[Senate Hearing 117-]
[From the U.S. Government Publishing Office]
LEGISLATIVE BRANCH APPROPRIATIONS FOR FISCAL YEAR 2021
----------
U.S. Senate,
Subcommittee of the Committee on Appropriations,
Washington, DC.
[Clerk's note.--The subcommittee was unable to hold
hearings on departmental and nondepartmental witnesses. The
statements and letters of those submitting written testimony
are as follows:]
DEPARTMENTAL WITNESSES
Prepared Statement of Architect of the Capitol
Chairwoman Hyde Smith, Ranking Member Murphy and members of the
subcommittee, I appreciate the opportunity to present the Architect of
the Capitol's (AOC) Fiscal Year (FY) 2021 budget request of $798
million.
Earlier this year, I was honored to join this notable institution
as the 12th Architect of the Capitol. In the first few weeks of leading
this organization, I met with my executives and staff to better
understand the strengths and weaknesses of the agency. A couple of
weeks later, the agency began responding to the COVID-19 coronavirus
pandemic.
Today, the AOC team continues to work tirelessly to care for the
Capitol Complex. As we all witnessed, the United States Senate worked
night and day to pass the largest relief package in American history.
Throughout that time, employees of the AOC kept the Senate Office
Buildings clean, sanitized, and well maintained to enable congressional
staff to safely do their jobs.
The outbreak and the threat of infection by COVID-19 has rightly
caused Americans to be concerned and anxious. I am proud of the AOC
employees who played an important role in helping Congress respond to
the country's urgent needs. Making me even more proud, is that the AOC
team continues to support campus needs by serving as the legislative
branch purchasing agent for emergency supplies, managing the
sanitization of spaces identified by our partners and ensuring the
facilities and utilities are well maintained for future congressional
needs.
Under these conditions, I have also been able to assess the future
needs of the agency as a whole. I believe the AOC has all the necessary
elements to succeed in its mission of serving Congress and the Supreme
Court, preserving America's Capitol and inspiring memorable
experiences. With your support, I honestly feel the best is yet to come
for the Architect of the Capitol.
Massive, once-in-a-generation renovations of exterior facades,
interior spaces and system infrastructure are occurring across campus.
Industry-leading changes to energy production and efficiency are being
realized through the Capitol Power Plant's cogeneration system and
several Energy Saving Performance Contracts. These transformation
energy projects will maximize the use of appropriated funds and have
the potential of reducing the Capitol Campus' energy consumption by
upwards of 50 percent by 2025. The Architect of the Capitol provides
exceptional support for large-scale public events, exhibits and
educational programs. This support solidifies our agency's ability to
deliver on behalf of the Congress and the Supreme Court.
For a small agency with modest resources, the level of effort
required to simultaneously develop and execute short-term and long-
range capital funding priorities and projects while minimizing
disruption to the building occupants and record numbers of annual
visitors is nothing short of amazing.
View of the West Front of the U.S. Capitol
I am excited to bring my executive expertise to the AOC. The agency
is mission driven and committed to service. Harnessing the dedication
of my personnel to improve processes, operations, accountability and
transparency is one of my top priorities.
Redirecting that enthusiasm and effort will be a difficult
transition for the agency and our clients. Much of our work is ongoing.
Even more emphasis is needed to better address deferred maintenance and
emergent needs required for our facilities. As you know well, our needs
far outweigh available resources within the Legislative Branch. As a
result, our FY 2021 request continues the principles of the FY 2020
budget but seeks targeted increases in several key areas.
Operationally, we must continue to prioritize our critical
centralized services and personnel that directly support our front line
operations. Therefore, in FY 2021, we prioritized 16 percent of the
agency's requested resources to support the core central services that
influence the execution of the entire program. Within this we are
targeting areas that have a direct impact on the agency's ability to
execute our capital budget and deliver projects on time and on budget.
Adequate support for studies, planning, project design and development,
construction oversight and project management is lacking. We need to
increase our ability to award contracts and procure supplies in a
timely manner. And we must fast-track our modernization of information
technology business processes.
FY 2021 LICP Request
------------------------------------------------------------------------
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Studies and Designs.......................... $35.5 m
Ongoing Projects............................. $98.9 m
Operation and Maintenance Upgrades........... $30.2 m
New Starts................................... $18.6 m
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Total Request............................ $183.2 m
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The AOC's risk-based project prioritization process identified
$183.2 million for capital projects across campus in FY 2021. Of those,
only $18.6 million are new infrastructure projects. The agency will
continue to pursue critical campus-wide stone and metal rehabilitation,
landscape restorations and upgrades to security, utility, fire and life
safety system needs and conduct studies that help us anticipate future
project needs.
In this request, one of the biggest projects is the next phase of
the fire alarm system replacement in the Hart Senate Office Building.
This important project will complete the replacement of all of the
existing equipment and infrastructure with a modern, code-compliant
fire alarm system. We also have budgeted significant resources to
support the Library of Congress' aging infrastructure, as well as their
continued expansion needs. The request for construction of Book Storage
Module 7 at the Library's Ft. Meade campus represents approximately 23%
of our total capital budget submission.
As I settle into this new role, I am committed to continuing a top-
to-bottom evaluation of the agency to address both real and perceived
issues. I appreciate that my predecessor and both of the Acting
Architects that followed him identified and sought ways to address
human capital, information technology and budgetary challenges. I, too,
have thoughts about how to modernize the agency, better use federal
resources and support our clients. You have my commitment that I will
act quickly to implement solutions and keep this committee informed
about our progress.
AOC Employee Appreciation Day Celebrates the Hard Work of Our
2,300 Dedicated Employees
Specifically, we will develop a robust human capital strategy to
address the changing workforce and the challenges of competing for
talent in a region undergoing a healthy construction boom. The plan
will ensure succession planning and train or retain our top talent. We
will modernize the agency's information technology infrastructure and
continue to strengthen our cyber security initiatives. We will further
leverage every dollar entrusted to us through a comprehensive
enterprise asset management program that will enable us to optimize
projects that produce the highest rate of return for facility
longevity.
More than ever, the AOC needs a strong, transformational leader who
will build upon our successes and usher in a new era of accountability
to effectively maintain and preserve the universally recognized symbol
of Western Representative Democracy. I am humbled to be that leader.
I appreciate your support of the AOC and I look forward to working
with you this year as you consider our FY 2021 budget request.
[This statement was submitted by The Honorable J. Brett Blanton.]
______
Prepared Statement of the Congressional Research Service
Madam Chairman, Ranking Member Murphy and Members of the Subcommittee:
Thank you for the opportunity to present the fiscal 2021 budget
request for the Congressional Research Service (CRS). I would also like
to thank the Committee for your support of our fiscal 2020 request.
With today's testimony, I look forward to highlighting several
noteworthy fiscal 2019 accomplishments and bringing you up to date on a
number of the Service's strategic initiatives. In addition, I will
provide more detail regarding CRS's priorities for the requested fiscal
2021 funds, including plans to expand support on science and
technology-related issues for Congress.
During the current Coronavirus pandemic, CRS continues to offer the
full range of products and services to Members, committees and staff,
albeit remotely. CRS experts are available for consultation via
telephone, email or virtual briefing. In addition, CRS has developed a
COVID-19 resources page, available on both CRS.gov and Congress.gov, to
provide congressional staff with access to all of the Service's
products related to the current crisis. The Service's Congress.gov
support continues without interruption; including twice monthly
webinars for congressional staff. Other CRS programs are also available
via webinar.
fiscal 2021 budget request and the need for increased research capacity
The CRS budget request for fiscal 2021 is 129.52 million dollars,
an increase of 9 million dollars (or 7.5 percent) over the amount
appropriated for fiscal 2020. The requested increase includes 7.1
million dollars for mandatory pay related and price level increases. As
in previous fiscal years, staff pay and benefits account for
approximately 86 percent of the amount requested by CRS.
As part of its budget proposal, CRS is requesting 1.93 million
dollars to enhance the Service's research capacity in the science and
technology area by adding 12 FTEs. CRS recognizes that Congress
requires additional expert support to address the science and
technology policy challenges facing our nation. In the conference
report accompanying the Energy and Water, Legislative Branch, and
Military Construction and Veterans Affairs Appropriations Act, 2019,
Congress clearly articulated a need for additional legislative research
and analytical support in the area of science and technology policy.
The additional positions requested would enable CRS to provide Congress
more timely and robust support on a variety of science and technology
related issues including: cybersecurity, natural resources, renewable
fuels, climate change, and federal government information and IT
management policy.
service to congress
Fiscal 2019 was an especially productive year for CRS in support of
Congress's work. The Service responded to over 71,000 requests from
congressional offices and committees, including approximately 6,500 in-
person consultations. This represented a more than thirteen percent
increase in requests over the previous fiscal year. Additionally,
analysts, attorneys, and information professionals prepared 1,100 new
products and updated over 2,000 existing products. CRS staff also
conducted 345 seminars and hosted over 10,400 congressional
participants, representing a twenty-one percent increase in attendance
over fiscal 2018. As in previous years, the Service provided support to
more than 99% of Member and committee offices. I am also pleased to
report that CRS has fulfilled the mandate to make non-confidential
written products available for publication to Congress.gov.
CRS supported Congress during every stage of the legislative
process and across a range of timely public policy issues including:
border security, criminal justice reform, emergency management,
prescription drug pricing, telecommunications and internet policy, and
veterans benefits. In addition, CRS experts provided context and
analysis of issues related to international trade, the national
security implications of emerging technology, and U.S. engagement
across the globe. CRS analysts, attorneys, and information
professionals also assisted Congress with a variety of questions
related to legislative procedure, executive branch operations, federal
agency rulemaking, the budget and appropriations process, and the
consideration of executive and judicial branch nominations.
strategic initiatives
CRS is fully engaged in accomplishing the priority initiatives
identified in last year's budget request and the 2019-2023 CRS
Directional Plan, which established two goals. The first goal is to
``enhance service and access for all of Congress.'' The second goal is
to ``optimize resource utilization.'' Fiscal 2019 marked the completion
of and continued progress on a number of objectives aligned with these
two goals. The following is a summary of the action items taken to
advance these initiatives over the past year:
IT Modernization/Integrated Research and Information Systems (IRIS)
The IRIS initiative is a multi-year effort to modernize the
Service's mission-specific information technology (IT) to provide CRS
staff with the best tools possible to create and deliver products and
services to Congress. CRS completed the first phase of the IRIS
initiative in fiscal 2019.
Working with the Library's Office of the Chief Information Officer
(OCIO), the initial hardware and software foundation was completed, and
embarked on an intensive effort focused on the Service's authoring,
content management, and publishing tools. At the end of fiscal 2019,
CRS completed a pilot project with approximately fifty CRS users. The
lessons learned from the pilot will inform future development efforts.
The Service's next goal is to reach a minimum viable product (MVP) and
conduct a second pilot test with a larger group of CRS users. CRS will
continue to work with OCIO to modernize its IT infrastructure with the
deployment of new IT tools and software.
Congress.gov/Legislative Information System (LIS) Retirement
The Legislative Information System (LIS) user interface was retired
from use in November 2019, completing the migration to a more
authoritative, reliable, secure, and advanced source of legislative
information for congressional users. To prepare congressional staff for
the retirement of LIS and transition to Congress.gov, CRS conducted a
series of outreach and education campaigns. Information related to the
transition was posted on the LIS homepage, Twitter, as well as emailed
directly to users. CRS also delivered over 3,000 brochures to Member
and committee offices promoting the capabilities of Congress.gov and
outlining available training dates. The Service provided classroom,
webinar, or customized Congress.gov training to over 1,100 staff
members from more than 422 congressional offices. In addition, a number
of enhancements to Congress.gov were released in fiscal 2019 including
committee report search and display improvements; searchable committee
schedules; and improved email alert capability. CRS, in partnership
with OCIO and the Law Library, will continue to enhance the
functionality of Congress.gov and work to ensure a seamless transition
to this resource for congressional users.
Constitution of the United States of America: Analysis and
Interpretation (CONAN) Modernization
On September 17, 2019, ``Constitution Day,'' the Library of
Congress and CRS launched a new website for CONAN-
constitution.congress.gov. Known officially as the ``Constitution of
the United States of America: Analysis and Interpretation,'' CONAN has
served as the official record of the U.S. Constitution for Congress for
over a century. Prepared by CRS legislative attorneys, the publication
provides a historical overview of the origins of the Constitution as
well as analysis and explanation of the Supreme Court's jurisprudence
with respect to every provision. The modernized CONAN website provides
improved search capabilities and a user-friendly interface, making the
content fully searchable and accessible to congressional and public
users for the first time. During fiscal 2019, CRS staff prepared 440
pages of constitutional analysis and other content to replace outdated
material. In partnership with OCIO and the Law Library, CRS will
release further improvements to CONAN's functionality and additional
revised content in the coming year.
Strengthening the Workforce: Staff Recruitment, Retention, and
Development
CRS's most valuable resource is its staff and the Service is fully
committed to supporting programs to ensure the recruitment, retention,
and professional development of a highly skilled and diverse workforce.
During fiscal 2019, the Service provided a variety of training
activities, empowering staff to strengthen and maximize their knowledge
and skills including: professional writing, oral presentation and
delivery, leadership and senior executive training, and mentoring. CRS
also provided training for staff on the topic of ``unconscious bias''
as part of a broader effort to support a culture of diversity and
inclusion. In the area of recruitment and retention, CRS working groups
engaged in initiatives to examine diversity and inclusion activities at
the Library and CRS as well as comparable agencies and organizations,
and to identify strategies to improve the diversity of applicant pools
for CRS positions.
Assessing Congress's Science and Technology-Policy Resource Needs
As directed by the conference report accompanying the Energy and
Water, Legislative Branch, and Military Construction and Veterans
Affairs Appropriations Act, 2019 (P.L. 115-244), CRS contracted with
the National Academy of Public Administration (NAPA) to assess the
science and technology policy-related resources currently available to
Congress in the Legislative Branch and to make recommendations on how
to best enhance such support. The report provided Congress with a
number of recommendations including: enhancing the science and
technology capabilities of existing Legislative Branch support
agencies, such as CRS; and/or creating a separate agency to fill
existing gaps in available legislative support.
Knowledge Management
CRS continued to capture and digitize institutional knowledge and
facilitate knowledge sharing through its Knowledge Management
Initiative. Fiscal 2019 marked the launch of the CRS Research Portal, a
tool intended to curate research materials gathered by analysts,
attorneys, and librarians on selected public policy issues. In
addition, CRS continued efforts to digitize its products. Continuation
of these and other activities are planned for fiscal 2020 and beyond
and will facilitate improved management of CRS's information resources,
more effective collaboration among CRS experts, and better
responsiveness to Congress's information and reference needs.
Identifying and Addressing the Full Range of Congressional Information
Needs
Early in fiscal year 2020, the Service contracted with Gallup, Inc.
to gather feedback from congressional users, regarding satisfaction
with CRS products and services. As the mid-point of fiscal 2020
approaches, CRS is on target to meet the milestones related to this
effort.
conclusion
It is an honor to serve as Congress's research and analytical arm.
Each day we strive to fulfill our mission by providing Congress with
``the highest quality of research, analysis, information, and
confidential consultation, to support the exercise of its legislative,
representational, and oversight duties.'' As always, our top priority
looking forward will be to continue providing Congress with
confidential, timely, authoritative, non-partisan, and objective
support. The initiatives and requested increases in today's testimony,
reflect CRS's ongoing commitment to meet the important responsibility
that Congress has entrusted to us; and to do so as comprehensively and
efficiently as possible. On behalf of my colleagues at CRS, I would
like to express my appreciation to the Committee for its continued
support and consideration of our fiscal 2021 request.
[This statement was submitted by Mary B. Mazanec, Director.]
______
Prepared Statement of the Government Publishing Office
Madam Chairman and Ranking Member Murphy, I am grateful for this
opportunity to provide testimony in support of the United States
Government Publishing Office's (GPO) fiscal year 2021 Appropriations
request.
As the new Director of GPO, which just recently celebrated its
159th anniversary, it is an honor to represent the more than 1,600
craftspeople and professionals who make up our GPO team, and believe
deeply in our mission of Keeping America Informed.
overview
Circumstances have changed dramatically--for GPO, for Congress, and
for our Nation--since I had the opportunity to present similar
testimony before your counterparts on the House side of the Capitol in
March.
There are profound dangers posed by the novel coronavirus (COVID-
19) to our institutions, economy, families, and individual and
collective health and we are all confronting unanticipated challenges.
For the past several weeks, GPO has been managing pretty well--we
have dramatically reduced the number of personnel entering our
buildings and have increased our use of a well-established telework
program. We have been fulfilling our obligations to our customers,
Congress in particular, without incident or major challenges, and we
have adapted our policies to guide us through this period of
uncertainty.
But uncertainty and cruelty seem to be the defining characteristics
of the COVID-19 pandemic, and we recently learned that it claimed the
life of one of our special police officers on the evening of Saturday,
April 18th. This loss has hit us hard as the deceased officer was a
well-regarded member of our GPO team. As of this writing, we have also
had two other teammates test positive for the virus, though they are
doing well.
With this tragic news, the threats COVID-19 posed to the wellbeing
of the GPO community became starkly real and have pushed us to further
refine our operational protocols. For instance, while we had limited
facility access prior to the tragic death of our GPO teammate, that
access is now further restricted. We had social distancing and
sanitation protocols in place prior to this tragedy, but now those are
being heightened. And while we hope things will soon change for the
better, we will prepare as though they may well change for the worse.
While I cannot predict what changes and challenges will emerge in
the months ahead, I can provide the Committee an overview on where
things currently stand, as well as an assessment of whether our FY 2021
Budget Justification still adequately addresses what we anticipate
GPO's needs will be in the coming fiscal year.
In summary, we are still hopeful that our request of $117 million,
if fully funded, will be sufficient to maintain operations in the
coming fiscal year, and that currently appropriated funds are adequate
to sustain our operations throughout the remainder of FY 2020. However,
there are currently two significant issues that are increasing our
operating costs and reducing our revenues that may require us to
request this Subcommittee's permission to expend funds that we had
hoped to reserve for critically important capital investments needed to
serve our Federal agency customers.
Any need to expend such funds to support operations would likely
either require GPO to raise its prices for congressional publishing
services or request significant appropriations increases in future
years. Or both. We have recently begun inquiring of the Subcommittee's
staff whether there might be some options that can be explored to
prevent either one of those scenarios from materializing.
Specifically, the financial challenges we are confronting relate
both to the increased labor costs necessitated by the emergency pay
status of those GPO employees whose duties require them to physically
enter GPO facilities during the COVID-19 pandemic, and the ongoing loss
of revenues resulting from the idling of our passport production
operations.
While the majority of GPO staff are not required to enter GPO's
facilities during this time, those that must enter the premises are
appropriately eligible for increased emergency pay. Over the first two
bi-weekly pay periods of the COVID-19 era, those payroll cost increases
have averaged over 10 percent, or approximately $885,000 per pay
period. We are optimistic that a significant portion of these costs
will be recoverable through client billings. However, any increased
costs billed to appropriated accounts such as the Congressional
Publishing account will inevitably accelerate the depletion of
appropriated funds.
The loss of revenues from the idling of GPO's passport production
operations for the United States Department of State is of great
concern. The services GPO provides the State Department account for
more than 30 percent of GPO's annual revenues--in FY 2019, GPO's work
for State generated $272.6 million of GPO's $937.4 million of revenue.
GPO typically produces between 15 and 22 million passports per year for
the State Department and is reimbursed on a per-passport basis.
As a result of the mid-March shutdown of GPO's passport operations
over 200 GPO employees are currently idled. In the interim, GPO is
relying on its cash reserves to fund their salaries, a practice that
will become increasingly difficult if this status continues into June
and July. Fortunately, GPO has been notified by State that wants the
full order of 16 million passports for the year, though we don't yet
know when we can safely resume passport production.
Today, as I submit this testimony, I can still envision a scenario
in which GPO's FY 2021 Appropriations request of $117 million will be
adequate to meet the agencies needs in the coming fiscal year.
Regrettably, I can also envision an equally plausible scenario in which
GPO endures up to $18.7 million in unexpected COVID-19 emergency pay
costs during the remaining months of FY 2020 that would require
additional Congressional funding assistance to absorb. I realize there
is a wide differential between those two potential outcomes, but so
much is dependent on when we are able to return to normal operations.
As you know, GPO runs largely as a business, with nearly all of our
FY 2019 revenue of $937.4 million generated by services we provide to
our customers through our cost recovery model.
For example, in FY 2019:
--Nearly 88 percent--or $823 million--of our revenue came from direct
billings to our non-congressional customers.
--Another 8 percent--or $74 million--came from billings to Congress
for the provision of specific requested services.
--Still another 3 percent--or $28 million--came from appropriations
we used to administer the Federal Depository Library Program
(FDLP) and provide critical public information program
services.
--And finally, the remaining 1.3 percent--or $12.3 million--came from
appropriations this Subcommittee provided to enable GPO to make
critical information technology and cybersecurity investments
for the future.
Because the significant majority of GPO's revenues are derived from
services provided to its customers, and not from direct appropriations,
GPO can find itself in a position of considerable vulnerability if an
external shock--such as the onset of a global pandemic--should drive
away its customer orders. That leads to situations where our revenues
can dry up, but many of our costs--our overhead--remain. The idling of
our passport production operations is one such example, and we are
fortunate that we have not yet had significant others to date.
If passport production can be brought back online in a reasonable
time frame and conditions permit GPO to end its emergency pay
obligations within a month or two, GPO should be in a position to
adhere to its original FY 2021 Appropriations request of $117 million.
This is the 6th fiscal year in a row where GPO has requested
essentially even funding, and, in real terms, GPO's annual
appropriation has gone down nearly 35 percent since FY 1995.
We have been able to achieve this through changes in our business
model and strategic decisions that keep overhead costs low, and we've
been able to do it while accommodating annual cost-of-living pay raises
for our valued GPO teammates. We've been able to do it because the
members of this Subcommittee, and your counterparts in the House, have
provided strong support for GPO's efforts to change and evolve.
Yet, prior to onset of the COVID-19 pandemic we believed that FY
2021 would probably be the last fiscal year that we could request
essentially flat funding, a point we conveyed to the House Legislative
Branch Appropriations Subcommittee in our testimony at the beginning of
March. The increased costs and diminished revenues brought about by the
pandemic have, at a minimum, affirmed this reality.
As in year's past, there are three main components to GPO's FY 2021
Appropriations request. It includes $78 million for the Congressional
Publishing account, a $1 million decrease from FY 2020. It is based on
our estimates of Congress' likely needs, informed by historical trends,
and available unexpended balances.
The second component is our request for $32.3 million to support
the Public Information Programs of the Superintendent of Documents
account, which represents an approximately $1 million increase from the
prior year, and which is attributable to salary and other cost
increases.
The third, and final, component of our request is for a $6.7
million appropriation in FY 2021 to GPO's Business Operations Revolving
Fund for investments to information technology upgrades.
Lastly, as required by section 1604(c) of the Legislative Branch
Inspectors General Independence Act, we are forwarding our Inspector
General's request for $6.1 million in budget authority for FY 2021.
That request would be funded as part of GPO's agency overhead--a
component of the prices and rates GPO charges its agency customers and
Congress--and not as a separate appropriation.
As the new Director, I do want to take a moment and talk about
GPO's future.
In recent years, with this Subcommittee's support, GPO has embarked
on a number of important initiatives to modernize its plant and its
methods. We have invested heavily in new digital inkjet press
technology and in the development of XPub, our next-generation
composition tool. We have completed the development of the cutting-edge
govinfo online repository and website, and we continue working with the
State Department to modernize our tooling and our processes for the
next-generation passport.
While GPO has been able to absorb many of the costs associated with
those upgrades due in large part to our effective conservation of
taxpayer funds, I am afraid that our ability to continue absorbing
those costs in the future will be tightly constrained, even before
factoring in the impacts of the COVID-19 pandemic on GPO's finances.
When you do factor in the costs associated with running GPO during this
period of pandemic, we will likely have to delay important investments
in technology, our physical plant, and our people.
We will, of course, continue to look for new sources of revenue and
ways to improve our efficiency and lower costs, but those efforts alone
will not be enough. We have now either expended or obligated the prior-
year funds made available for our ongoing upgrades and in the future,
we will likely need to seek additional funding through our annual
appropriations requests to maintain our level of effort.
Those investments will provide some opportunities for GPO. For
instance, as we develop XPub, we are looking for a sustainable model to
support the operation and development of the platform, including the
possibility of providing it to our customers as a software-as-a-
service, much like Office 365 or Adobe's Creative Cloud. That could
lead to new markets as we work with our other Federal customers to help
them with their document creation challenges.
It is our intention to work closely with the Subcommittee in the
years ahead to find the right balance to bolster our long-term
sustainability, and I am committed to keeping the Subcommittee informed
of any developments that could pose any threats to GPO's short-term and
mid-term operations, whether related to the coronavirus or other
challenges.
Personally, I am grateful to the Subcommittee and your capable
staff for the support you've all shown GPO in recent years and for your
willingness to help us navigate this period of uncertainty.
background
GPO is the OFFICIAL, DIGITAL, SECURE resource for producing,
procuring, cataloging, indexing, authenticating, disseminating, and
preserving the official information products of the Federal Government.
Under title 44 of the U.S. Code, GPO is responsible for the
production and distribution of information products for all three
branches of the Government, including the official publications of
Congress and the White House, U.S. passports for the Department of
State, and the official publications of other Federal agencies and the
courts.
Along with sales of publications in digital and tangible formats to
the public, we support openness and transparency in Government by
providing permanent public access to Federal Government information at
no charge through govinfo (www.govinfo.gov). Today, govinfo makes more
than
2.6 million Federal titles available and averaged approximately 34
million retrievals per month in FY 2019. GPO also provides public
access to Government information through partnerships with 1,120
Federal, academic, public, law, and other libraries nationwide
participating in the FDLP.
History.--Article I, section 5 of the Constitution requires that
``each House shall keep a journal of its proceedings and from time to
time publish the same,'' providing the first commandment that Congress
tell the public about its work. After years of struggling with various
systems of contracting for printed documents that were often beset with
scandal and corruption, in 1860 Congress created the Government
Printing Office as its official printer. GPO first opened its doors for
business on March 4, 1861, the same day Abraham Lincoln was inaugurated
as our 16th President.
Since that time, GPO has produced and distributed the official
version of an uncounted number of other Government publications,
documents, and forms. These documents include the Emancipation
Proclamation, the legislative publications and acts of Congress, Social
Security cards, Medicare and Medicaid information, census forms, tax
forms, citizenship forms, passports, and Presidential inaugural
addresses. This work goes on today, in digital as well as print
formats, as GPO transforms itself from a print-centric to a content-
centric publishing operation, consistent with the recommendations
submitted by the National Academy of Public Administration to Congress
(Rebooting the Government Printing Office: Keeping America Informed in
the Digital Age, January 2013).
gpo and congress
For the Clerk of the House, the Secretary of the Senate, and the
committees of the House and the Senate, GPO publishes the documents and
publications required by the legislative and oversight processes of
Congress in digital and tangible formats. This includes the daily
Congressional Record, bills, reports, legislative calendars, hearings,
committee prints, and documents, as well as stationery, franked
envelopes, memorial and condolence books, programs and invitations,
phone books, and all the other products needed to conduct the business
of Congress. We produce all the printing work required every four years
by the Joint Congressional Committee on Inaugural Ceremonies. Tools
developed by GPO support Congress' daily work, and we work hand-in-hand
with Congress to jointly develop the next generation of those tools.
We also detail GPO team members to support the publishing
requirements of House and Senate committees and congressional support
offices such as the House and Senate Offices of Legislative Counsel. We
work to ensure the provision of these services under any circumstances,
including inclement weather and other emergency conditions.
Today, the activities associated with creating congressional
information datasets comprise the majority of the work funded by GPO's
annual Congressional Publishing Appropriation. Our digital
authentication system, supported by public key infrastructure (PKI), is
an essential component for assuring the authenticity and integrity of
congressional publications in digital formats. The datasets we build
enable access to congressional publications in digital formats as well
as their production in tangible formats and form the building blocks of
other information systems supporting Congress.
For example, they are made available to the Library of Congress via
the govinfo application programming interface (API) to support its
Congress.gov system. In addition, GPO works with the Library to make
summaries and status information for House and Senate bills available
as XML bulk data on govinfo.
In FY 2019, GPO achieved a major milestone in its publication of
the 2018 Main Edition of the U.S. Code through GPO's new XPub system,
an XML-based automated composition system designed to replace GPO's
aging, proprietary MicroComp system. A nearly 60,000-page publication,
the U.S. Code is published by GPO every six years. GPO is now ready to
begin working to bring additional publications into XPub production,
including congressional bills, resolutions, amendments, public laws,
statutes at large, House and Senate calendars, the Congressional
Record, and the Federal Register.
GPO Cuts the Cost of Congressional Work.--GPO's use of electronic
information technologies has been the principal contributor to lowering
the cost, in real economic terms, of congressional information
products. In FY 1980, as GPO replaced hot metal typesetting with
electronic photocomposition, the appropriation for Congressional
Publishing was $91.5 million, the equivalent in today's dollars of
$310.1 million. By comparison, our approved funding for FY 2020 is
$79.0 million, a reduction of nearly 75% in constant-dollar terms.
Since 2010, we have achieved a 29% reduction in the constant-dollar
value of the Congressional Publishing Appropriation, consistent with
the continuing transformation of our technology profile, an emphasis on
controlling costs, and collaborative efforts with Congress to reduce
print distribution while meeting the information needs of the Senate
and House of Representatives.
Annual appropriations for Congressional Publishing have been at or
below $79.7 million in each of Fiscal Years 2014 to 2020.
gpo and federal agencies
Federal agencies are major generators of information in the United
States, and GPO produces their information products for official use
and public access. Federal agencies and the public also rely on a
growing variety of secure credentials that we produce, including
travelers holding U.S. passports, members of the public who cross our
borders frequently, and other users. Our digital systems support key
Federal agency publications, including the annual Budget of the U.S.
Government and, most importantly, the Federal Register and associated
products. As it does for congressional documents, our digital
authentication system, supported by public key infrastructure (PKI),
assures the digital security of agency documents.
One of GPO's major agency customers is the Office of the Federal
Register (OFR), a unit of the National Archives and Records
Administration (NARA), which produces the daily Federal Register. OFR
is also responsible for related publications such as the Code of
Federal Regulations, and other key information products such as Daily
Compilation of Presidential Documents and the Public Papers of the
Presidents, each of which we produce in digital and print formats.
Highlights of FY 2019 Agency Operations.--Since 1995, we have made
the annual Budget of the U.S. Government available online, and with
GPO's govinfo system the documents are now available across multiple
platforms. In FY 2019, GPO had the privilege of producing printed
materials to support important presidential events at The White House,
including the September 20, 2019 State Dinner in honor of Australian
Prime Minister Scott Morrison and his wife, Jennifer.
In FY 2019, GPO's Pueblo Colorado Distribution Center, celebrated
its 47th anniversary. The Pueblo facility provides warehousing,
logistics, business services, and distribution services for over 33
Federal customers, and is estimated to have distributed more than 1.2
billion publications to customers since it opened in 1972.
During FY 2019, GPO also worked to complete the renovation of
approximately 24,000 square feet of space in its Building A to house
NARA's Center for Legislative Archives. NARA just began moving House
and Senate legislative records into the space this month, and NARA and
GPO are currently engaged in discussions to build out additional space.
Partnership with Industry.--Beyond work for Congress, passports,
and other inherently governmental work such as the Federal Register and
the Budget, GPO produces virtually all other Federal agency information
products via contracts with the private-sector printing and
information-product industry. In FY 2019, this work was valued at
approximately $439.7 million, and represented 96,172 orders. More than
10,000 individual firms are registered to do business with GPO, the
vast majority of which are small businesses with fewer than 20
employees per firm.
Security and Intelligent Documents.--GPO has been proud to produce
U.S. passports for the U.S. Department of State for nearly a century.
Since 2005, U.S. passports have incorporated advanced security features
that make it the most secure identification credential obtainable. GPO
produced 15.2 million passports for the State Department in FY 2019,
and has produced a total of more than 181 million passports since 2005.
In the years ahead, GPO will continue to make investments needed to
support the State Department's Next Generation Passport Program (NGP).
Since 2008, GPO has also served as an integrator of secure
identification smart cards to support the credentialing requirements of
Federal agencies and other Government entities. GPO provides secure-
card credential products to include design, printing, manufacturing,
personalization and shipping and delivery. Through its production
processes, GPO leverages the most advanced industry technologies to
build the highest quality products at the lowest prices. GPO secure-
credential operations are fully ISO 9001 certified and undergo rigorous
third-party audits each year to gain recertification.
On an annual basis, the GPO produces over 4.2 million secure-card
credentials for our Federal agency customers, and, since 2008, GPO has
produced more than 26 million across 11 different product lines. Some
of them include the Trusted Traveler Program's (TTP) family of border
crossing cards--NEXUS, SENTRI, FAST, and Global Entry--for the
Department of Homeland Security (DHS), which are used by frequent
travelers across U.S. borders.
gpo and open, transparent government
Producing and distributing the official publications and
information products of the Government fulfills an informing role
originally envisioned by the Founders, as James Madison once 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.''
GPO operates a variety of programs that provide the public with
``the means of acquiring'' Government information that Madison spoke
of. These programs include the Federal Depository Library Program
(FDLP), govinfo, Publications and Information Sales, and Agency
Distribution Services.
Federal Depository Library Program.--The FDLP has legislative
antecedents that date to 1813 (3 Stat. 140), when Congress first
authorized congressional documents to be sent to certain universities,
historical societies, and state libraries for the use of the public.
Today, GPO provides the Federal depository libraries with information
products in digital and tangible formats, and libraries, in turn, make
them available to the public at no charge while providing expert
assistance in finding and navigating Government information. The FDLP
serves millions of Americans through a network of 1,120 public,
academic, law, and other libraries located across the Nation, averaging
nearly three per congressional district.
In recent years, GPO has been working to digitize and make
available online historic print collections of Government information,
as well as developing strategic efforts to partner with libraries and
other organizations to permanently preserve historic resources.
Through its digitization efforts, GPO has enhanced the scope of
historic collections available on govinfo tremendously. Some notable
examples of GPO's recent work include:
--The Public Papers of the Presidents collection, formerly available
from 1991 through the present, was expanded to include volumes
dating back to 1929, through a collaborative digitization
effort with OFR.
--More than 1,300 historic congressional hearings dating back to 1958
were digitized and made available, as part of an ongoing effort
to digitize nearly 15,000 congressional hearings.
--The complete collection of the Federal Register, dating back to the
first volume published in 1936, was also digitized and made
available, through another joint effort with OFR.
GPO also has formal partnership agreements in place with 64
organizations to advance free public access to U.S. Government
information. One recent collaboration is GPO's work to support the
Library of Congress' efforts to make valuable Congressional Research
Service (CRS) reports available online by performing extensive
cataloging services.
govinfo.--Under the provisions of Public Law 103-40, GPO has been
providing online public access to congressional and Federal agency
publications since 1994, beginning with a site known as GPO Access.
Fifteen years later, GPO Access was replaced by GPO's Federal Digital
System or FDsys, and, in early 2016, GPO unveiled the next generation
of our public access system with the introduction of govinfo. In
December 2018, the FDsys website was fully retired.
The govinfo website features a mobile-friendly design, current and
historical content collections from all three branches, enhanced search
and intuitive browse, linked related documents, curated feature
articles, quick and easy social sharing, developer tools such as XML
bulk data and a public API, expanded help information, support for
redirects from millions of legacy FDsys links, and additional
enhancements based on stakeholder feedback. In FY 2019, govinfo grew to
make more than 2.6 million titles from the legislative, executive, and
judicial branches available online from our servers and through links
to other agencies and institutions. The system averaged approximately
34 million retrievals per month.
GPO has continually added content to govinfo to provide increased
public access to Government information. In recent months, GPO added
the digitized historical editions of the U.S. Government Manual from
1935 to 1994, completing the digitization of the Government's official
handbook of agency organization for all three branches of the Federal
Government. In collaboration with the Law Library of Congress, GPO has
also initiated a multi-year effort to digitize and make available
volumes of the U.S. Congressional Serial Set back to the very first
volume published in 1817.
During 2018 and 2019, govinfo underwent an extensive audit for
certification as a Trustworthy Digital Repository in compliance with
International Organization for Standardization (ISO) 16363. Then, in
December 2018, GPO made history by becoming the first organization in
the United States, and just the second worldwide, to achieve this
certification, which is considered the highest global standard of
excellence for digital repositories. To secure this certification and
establish that govinfo is a standards-compliant digital repository in
which Government information is preserved, accessible, and usable now
and into the future, govinfo was evaluated against 109 specific
criteria.
Bulk Data.--In support of the Legislative Branch Bulk Data Task
Force, GPO works closely with the Clerk of the House and the Secretary
of the Senate on initiatives to convert legacy file formats into United
States Legislative Markup (USLM) XML. In early FY 2019, the first
project was completed with the release of a subset of enrolled bills,
public and private laws, and Statutes at Large in Beta USLM XML on
govinfo. GPO is currently working on a project in support of our
legislative data partners to enable downstream processes and increase
efficiencies by converting legacy statute compilations into Beta USLM
XML and providing access to those files on govinfo. USLM offers a
standard XML schema to promote interoperability among documents as they
flow through the legislative and regulatory processes. USLM also
promotes international interoperability with documents produced by
governments worldwide.
Publication and Information Sales Program.--Along with the FDLP and
our online dissemination system, which are no-fee public access
programs, GPO also provides access to official Federal information
through public sales. GPO features secure ordering through its online
bookstore (bookstore.gpo.gov), a bookstore at GPO headquarters in
Washington, DC, and partnerships with the private sector that offer
Federal publications as eBooks.
Agency Distribution Services (ADS) Program.--GPO operates two
distribution facilities which are strategically located in Laurel, MD
and Pueblo, CO. Through these facilities, GPO administers distribution
programs for the information products of other Federal agencies. Today,
over 60 Federal agencies utilize the comprehensive services provided
through the Pueblo and Laurel facilities, which together offer more
than 200,000 square feet of climate-controlled distribution, storage,
and fulfillment space. Among the services provided through GPO's ADS
program are website hosting, consulting services, fulfillment and
distribution, address validation services, call center operations, and
printing optimization, just to name a few. These services are all
designed to help Federal agencies achieve savings in the distribution
of their information products.
gpo finances
Business Operations Revolving Fund.--All GPO activities are
financed through our Business Operations Revolving Fund, established by
section 309 of Title 44, U.S.C. This business-like fund is used to pay
all of our costs in performing congressional and agency publishing,
information product procurement, and publications dissemination
activities. It is reimbursed from payments from customer agencies,
sales to the public, and transfers from our two annual appropriations:
the Congressional Publishing Appropriation and the Public Information
Programs of the Superintendent of Documents Appropriation.
Retained Earnings.--Under GPO's system of accrual accounting,
annual earnings generated since the inception of the Business
Operations Revolving Fund have been accumulated as retained earnings.
Retained earnings enable us to fund a significant amount of technology
modernization. However, appropriations for essential investments in
technology and plant upgrades are requested when necessary.
Appropriated Funds.--GPO's Congressional Publishing Appropriation
is used to reimburse the Business Operations Revolving Fund for the
costs of publishing the documents required for the use of Congress in
digital and tangible formats, as authorized by the provisions of
chapters 7 and 9 of Title 44, U.S.C. The Public Information Programs of
the Superintendent of Documents Appropriation is used to pay for the
costs associated with providing online access to, and the distribution
of, publications to Federal depository libraries, cataloging and
indexing, statutory distribution, and international exchange
distribution. Reimbursements from these appropriations are included in
the Business Operations Revolving Fund as revenue for work performed.
Congress has also, in years past, appropriated funds directly to the
Business Operations Revolving Fund in support of specific capital
investments. In recent years such appropriations have been provided in
support of information technology and cybersecurity investments.
Annual Independent Audit.--Each year, GPO's finances and financial
controls are audited by an independent outside audit firm working under
contract with GPO's Office of Inspector General.
For FY 2019, the audit concluded with GPO earning an unmodified, or
clean, opinion on its finances, the 23rd consecutive year GPO has
earned such an audit result.
FY 2019 Financial Results.--During FY 2019, revenue totaled $937.4
million while expenses charged against GPO's budget were $885.7
million, for an overall net income of $51.7 million from operations.
Included in both GPO's revenue and net income figures is approximately
$17.3 million for passport-related capital investments, as agreed to by
GPO and the Department of State, and $1.7 million resulting from an
increase to GPO's long-term workers' compensation liability under the
Federal Employees Compensation Act (FECA). Apart from these two set
asides, GPO's net operating income from FY 2019 was $36.2 million.
In FY 2019, funds appropriated directly by Congress provided nearly
$113.9 million (including funds from the Congressional Publishing and
Public Information Programs appropriations, along with appropriations
to the Business Operations Revolving Fund), or about 12.2% of total
revenue. All other GPO activities, including in-plant publishing (which
includes the production of passports), procured work, sales of
publications, agency distribution services, and all administrative
support functions, were financed through the Business Operations
Revolving Fund by revenues generated by payments from agencies and
sales to the public.
fy 2021 appropriations request
GPO is requesting a total of $117,000,000 for FY 2021. This is the
same level of funding GPO requested in FY 2020, and the same amount
appropriated in FY 2020. Through FY 2020, total GPO appropriations have
declined by 21% since FY 2010 and are at their lowest level since then.
GPO's continued transition to digital technologies and products has
increased our productivity and reduced costs. Additionally, maintaining
financial controls on our overhead costs, coupled with a buyout in FY
2015 that reduced GPO's workforce by 103 positions, has helped make
this funding request possible. Finally, the utilization of the
unexpended balances of prior-year appropriations, which we are able to
transfer to GPO's Business Operations Revolving Fund with the approval
of the Appropriations Committees, has made it possible in recent years
to hold the line on the level of new funding we request.
Total Appropriations to GPO
FY 2010-2020 and FY 2021 Request
------------------------------------------------------------------------
Fiscal Year Appropriation
------------------------------------------------------------------------
2010............................... $147,461,000
2011............................... 135,067,324
2012............................... 126,200,000
2013............................... 117,533,423
2014............................... 119,300,000
2015............................... 119,993,000
2016............................... 117,068,000
2017............................... 117,068,000
2018............................... 117,068,000
2019............................... 117,000,000
2020............................... 117,000,000
2021............................... 117,000,000 (Requested)
------------------------------------------------------------------------
Our FY 2021 request will enable us to:
--meet projected requirements for congressional publishing;
--fund the operation of the public information programs of the
Superintendent of Documents; and
--develop information technology, including IT cybersecurity
measures, to support congressional publishing and public
information programs operations.
Congressional Publishing Appropriation.--GPO is requesting
$78,000,000 for this account. This is $1,000,000 less than requested in
GPO's FY 2020 budget submission for the Congressional Publishing
account, and $1,000,000 less than Congress appropriated in FY 2020.
Overall, the annual appropriations for Congressional Publishing
have been flat since FY 2014 and have declined by nearly 17% since FY
2010 as the result of our continuing transition to digital technology
and products, as well as actions taken in cooperation with the House of
Representatives and the Senate to control congressional publishing
costs. Unspent prior-year balances from this account have been
transferred to GPO's Business Operations Revolving Fund, and are
available for the purposes of this account in Fiscal Year 2021.
Congressional Publishing Appropriation
FY 2010-2020 and FY 2021 Request
------------------------------------------------------------------------
Fiscal Year Appropriation
------------------------------------------------------------------------
2010............................... $93,768,000
2011............................... 93,580,464
2012............................... 90,700,000
2013............................... 82,129,576
2014............................... 79,736,000
2015............................... 79,736,000
2016............................... 79,736,000
2017............................... 79,736,000
2018............................... 79,528,000
2019............................... 79,000,000
2020............................... 79,000,000
2021............................... 78,000,000 (Requested)
------------------------------------------------------------------------
House Report 114-110, accompanying the Legislative Branch
Appropriations bill for FY 2016, requires the presentation of budget
requirements from a zero base. However, GPO has no control over the
workload requirements of the Congressional Publishing Appropriation.
These are determined by the legislative activities and requirements of
the House of Representatives and the Senate as authorized by the
applicable provisions of Title 44, U.S.C.
GPO utilizes historical data incorporating other relevant factors
to develop estimates of likely congressional publishing requirements.
These requirements serve as the basis of the budget presentation for
this account.
In FY 2021, the Congressional Publishing workload volume is
expected to decline by about $155,000 from FY 2020 levels, but price-
level and wage increases (if implemented) are expected to increase
expenses to the Congressional Publishing account by an additional
$2,500,000.
In order to accommodate the net cost increase, and to reduce the FY
2021 Congressional Publishing request by $1,000,000 from FY 2020, GPO
plans to use about $6,000,000 of prior-year transfer funds in GPO's
Business Operations Revolving Fund to support its Congressional
Publishing work in FY 2021.
As shown on page D-4 of our budget justification for FY 2021,
unexpended balances of prior-year appropriations that have been
transferred to GPO's Business Operations Revolving Fund will be used to
offset anticipated requirements for FY 2021, so that appropriation
requirements can be reduced by $1,000,000. The balance of these
transfer funds is earmarked for GPO's critically important XPub system
(formerly the CSR project) and other congressional information projects
as indicated on page F-5.
As previously mentioned, XPub is a new XML-based composition system
being developed and deployed to replace the 30+ year-old MicroComp
system used in the preparation of congressional documents for digital
and print access. The successful deployment of XPub will enable GPO to
create, edit, proof, approve, and simultaneously publish legislative
and regulatory documents from a variety of print and digital sources in
a high-volume production environment while maintaining GPO's reputation
for quality and typographic excellence. GPO believes XPub will help GPO
deliver even greater value to Congress and GPO's other Federal clients
in the years ahead.
Public Information Programs of the Superintendent of Documents.--
GPO is requesting $32,300,000 for this account, which is an increase of
$1,004,000 from the amount GPO requested, and Congress appropriated, in
FY 2020. This account pays for the cost of providing Federal Government
publications in digital and tangible formats to 1,120 Federal
depository libraries nationwide, cataloging and indexing, the
distribution of documents to recipients designated by law, and
international exchange distribution.
This appropriation request represents a nearly 21% reduction from
the amounts appropriated in FY 2010. This reduction has been made
possible by our continuing transition to digital technology and
products which has made the increased dissemination of official
Government information to the public less costly and more efficient.
Public Information Programs of the Superintendent of Documents
Appropriation
FY 2010-2020 and FY 2021 Request
------------------------------------------------------------------------
Fiscal Year Appropriation
------------------------------------------------------------------------
2010............................... $40,911,000
2011............................... 39,831,178
2012............................... 35,000,000
2013............................... 31,437,000
2014............................... 31,500,000
2015............................... 31,500,000
2016............................... 30,500,000
2017............................... 29,500,000
2018............................... 29,000,000
2019............................... 32,000,000
2020............................... 31,296,000
2021............................... 32,300,000 (Requested)
------------------------------------------------------------------------
The net funding increase of $1,004,000 we are requesting for FY
2021 is comprised of mandatory pay and related increases of about
$501,000, and price-level increases of $503,000. The approved use of
prior-year transfer funds will cover $4,063,000 of program/project/
activity costs in FY 2021 as well. Such programs include the
implementation of the Salesforce customer relations management (CRM)
system ($1,200,000); the potential development of a web-portal
envisioned by the pending Congressionally Mandated Reports Act, H.R.
736 ($1,000,000); the digitization, processing, and cataloging of
historic documents for ingest into govinfo ($1,000,000); and national
collection pilot projects for FDLP libraries.
The requested amount is based on the outcome of using zero-based
budgeting to determine the proper levels of funding needed to perform
program activities at minimum levels, as directed by House Report 114-
110. GPO plans to utilize carry-over balances from funds transferred to
the Business Operations Revolving Fund to support high-priority
information services and products funded by this account as indicated
on page F-5, including the collection and preservation of new and
historic documents and continued development of govinfo content and
capabilities.
Business Operations Revolving Fund.--GPO is requesting $6,700,000
for this account, to remain available until expended, to support
continued investment in information technology and cybersecurity
projects. This compares with the $6,704,000 GPO requested, and Congress
appropriated, for these same purposes in FY 2020. Funding provided to
this account represents an increase to working capital for specified
projects.
Since FY 2013, these projects have consistently included
improvements to GPO's FDsys website and its successor govinfo, which
have expanded public access to congressional and other Government
information products in digital formats while decreasing the costs of
distributing traditional print formats. They have also included efforts
to harden and secure GPO's IT infrastructure from persistent external
cybersecurity threats.
Appropriations to the Business Operations Revolving Fund
FY 2010-2020 and Requested for FY 2021
------------------------------------------------------------------------
Fiscal Year Appropriation
------------------------------------------------------------------------
2010............................... $12,782,000
2011............................... 1,655,682
2012............................... 500,000
2013............................... 3,966,847
2014............................... 8,064,000
2015............................... 8,757,000
2016............................... 6,832,000
2017............................... 7,832,000
2018............................... 8,540,000
2019............................... 6,000,000
2020............................... 6,704,000
2021............................... 6,700,000 (Requested)
------------------------------------------------------------------------
govinfo projects for fy 2021--$6,550,000
--General System and Collection Development ($3,500,000)--This
funding is requested to support the development of new govinfo
features to meet the identified needs of key stakeholders.
Activities funded would include developing new content
collections, increasing content in existing collections,
enhancing the accessibility of content, and improving the
discoverability of information hosted on govinfo.
--Infrastructure ($3,050,000)--This funding is requested to support
the procurement and servicing of the hardware, storage, and
environments needed to manage system performance as govinfo
content and usage continues to grow.
cybersecurity projects for fy 2021--$150,000
--Security Enhancements for Advanced Persistent Threats ($150,000)--
The cybersecurity threat environment faced by Government
agencies continues to change rapidly and presents substantive
risks and dangers to organizations. The requested funding is
planned to address that evolving threat environment by
implementing enhanced IT security systems that are intended to
reduce the risk of unauthorized data exfiltration, unauthorized
access, unauthorized changes to data, and related impacts.
Madam Chairman, Ranking Member Murphy, and Members of the
Subcommittee, before concluding I want to express our deep appreciation
for the support you gave our appropriations request for FY 2020, and
your continuing interest in the important work performed by dedicated
craftspeople and professionals of the Government Publishing Office.
This completes my prepared statement and I look forward to
answering any questions you may have.
[This statement was submitted by the Honorable Hugh Nathanial
Halpern, Director.]
______
Prepared Statement of the Librarian of Congress
Madam Chairman, Ranking Member Murphy, and Members of the Subcommittee:
Thank you for the opportunity to provide testimony in support of
the Library's fiscal 2021 budget.
I want to assure you first that, in these extraordinary times, the
Library is taking every possible step to protect the health and well-
being of staff, their families and the community as we continue our
service to Congress and the nation. For reasons of public safety during
the COVID-19 pandemic, we have closed our buildings to the public until
further notice and cancelled public events until July 1. Our Pandemic
Task Force meets daily to make sure we plan and address new issues that
develop. We are in close coordination with the United States Capitol
Police, the Architect of the Capitol, and House and Senate operations.
An expanded telework policy is in place that allows our people to
accomplish a great deal of their work remotely. Our recent investments
in IT modernization are proving their value as network demand
increases. With a determined and dedicated staff, I am confident that
we will maintain our mission critical services throughout this crisis.
The budgetary impact of the pandemic on the Library will be closely
tracked and analyzed.
Now in my fourth year as Librarian of Congress, I am excited to see
the progress we have made in sharing more of the Library's
extraordinary collections and our staff's expertise and commitment to
public service. Today, the Library holds more than 170 million items in
all formats and 470 languages and has the world's largest collections
of legal materials, films, and sound recordings. Last year, the Library
welcomed nearly 1.9 million in-person visitors. The Congressional
Research Service (CRS) provided custom services to more than 99 percent
of Senate and House member offices and standing committees. The U.S.
Copyright Office issued more than 547,000 copyright registrations. Over
9.4 million preservation actions were performed on the physical
collections; more than 21.8 million copies of braille, audio and large
print items were circulated to patrons by the newly renamed National
Library Service for the Blind and Print Disabled (NLS); and the Library
responded to nearly one million reference requests from Congress, the
public, and other federal agencies. The Library's websites, including
loc.gov, congress.gov, copyright.gov, and the CRS site, among others,
served as conduits in supporting our strategic vision for connecting
all Americans to the Library by receiving 119 million visits and 520.8
million content page views.
Over the past year, we have moved forward in significant ways,
using our strategic plan as a guide, to modernize and increase access
to the Congress's library. The Congressional Research Service's (CRS's)
next-generation Integrated Research and Information System (IRIS), for
example, is well underway. As part of Copyright Office IT modernization
efforts, a pilot for a new electronic recordation system is anticipated
to begin shortly. IT centralization under the Office of the Chief
Information Officer (OCIO) is now complete. The Library is on schedule
to complete the Data Center Transformation project in fiscal 2020,
transitioning data center operations from the aging primary data center
in the Madison Building to a hybrid-hosting model. The new hosting
model will ensure that the Library has a secure, flexible, efficient
and stable foundation for its technology needs for the next generation.
With funding enacted this fiscal year, NLS will begin implementation of
the eReader pilot program and the initial work to transform the BARD
system to a fully cloud-hosted environment for a web-based delivery
system, supporting an expanding patron base.
The Library's Center for Exhibits and Interpretation and the Center
for Learning, Literacy and Engagement, created last year, are bringing
innovation to the way the Library connects to users, physically and
digitally. We have even changed the name of the NLS, now known as the
National Library Service for the Blind and Print Disabled, to replace
outdated language.
We have also made recent organizational changes to support
modernization and optimization. In fiscal 2020, the Library Collections
and Services Group was established as a Program, Project and Activity
(PPA), bringing into better alignment the ``library'' components-
Library Services, the Law Library of Congress, and NLS, along with The
John W. Kluge Center and the Internship and Fellowship Programs office.
Each unit remains distinct, but the grouping leverages expertise and
processes across the organizations, creating economies of scale and
strengthening collaboration and a coordinated vision.
I would like to express my sincere gratitude for the outstanding
support that this committee and the entire Congress give to the
Library. In particular, I appreciate the funding you have provided for
our fiscal 2020 requests to meet high--priority needs such as enhanced
functionality for the Congress.gov system; delivering talking and
braille books and magazines via the Internet; optimizing the capacity
of the Financial Services Directorate; and supporting Phase II of the
data center transformation and network modernization initiative. I also
thank you for your continued extraordinary support for the collections
storage modules at Fort Meade as part of the Architect of the Capitol's
budget. Storage module 5 is almost full, module 6 is under
construction, and module 7 is in the fiscal 2021 AOC budget request. We
continue to work closely with the AOC to achieve preservation storage
with sustainable operations and maintenance costs, including
transferring items from temporary storage space at the Landover Center
Annex to Fort Meade.
My top priority remains expanding user access-public engagement
with the Library's resources and services. Your significant fiscal 2020
support for the Visitor Experience over three years is helping us
transform the magnificent Jefferson Building, finished at the end of
the 19th century, into a state-of-the-art destination for discovering,
creating, and learning in the 21st century. The planning and design
process is underway for the Treasures Gallery, the Orientation Gallery
and Oculus, and the Youth Center/Learning Lab. The design period for
each of these areas will take approximately 12-18 months and the re-
designed spaces will open in phases, beginning in late calendar 2022.
With a lead gift of $10 million from David Rubenstein, philanthropist
and chairman of the Library's Madison Council, we are now in an
excellent position to attract additional private sector commitments to
the project.
We want our visitors to better connect with the Library of Congress
and to learn more about our country and our cultural heritage after
seeing and learning about our collections--such as Thomas Jefferson's
library, the Rosa Parks papers, the map Lewis and Clark used on their
expedition exploring the American west--first-hand. Visiting school
groups, for example, will gain a better understanding of our history,
democracy, and Congress's purpose in building and sustaining a Library
unlike any other in the world. The Visitor Experience will deliver a
unique civics lesson.
Thank you also for helping us approve the request to transfer funds
to the Architect of the Capitol so the project can keep moving forward
on schedule. I look forward to continuing to keep you informed about
our progress on this project.
I come before you today to discuss the Library's funding request
for fiscal 2021 which continues modernization in a strategically
sequenced, systematic and deliberate way. The fiscal 2021
appropriations request aligns with the strategic goals set forth in the
fiscal 2019-2023 Strategic Plan: expand access, enhance services,
optimize resources, and measure impact. We are moving forward in our
decisive shift to become more user centered, digitally enabled, and
data driven.
The Library of Congress fiscal 2021 budget request is for
approximately $830 million, which represents a 7.0 percent increase
over the Library's fiscal 2020 enacted appropriation. This request
includes $38 million in mandatory pay and price level increases. The
balance of the increase represents critical program investments
necessary to fulfill the Library's role and to move forward on the
commitment to become more user centered, further modernization efforts,
and address staffing needs.
The budget seeks to expand service to Congress by enhancing the
depth and breadth of CRS's research capacity on current and emerging
legislative issues related to science and technology. Additional
research capacity will enable CRS to meet the growing congressional
need for robust, timely, multidisciplinary analysis and consultative
services on these critical policy issues.
Our request also seeks to acquire an electronic records management
system to manage the archiving of all Library of Congress records
digitally as well as a central electronic repository for contract
documents to replace the current paper-based system. The electronic
records management system will centralize and automate records
creation, storage, and disposition for key offices. The electronic
repository for contract documents will automate and optimize
contracting workflow for greater efficiency and transparency.
In another move toward modernization in the critical area of
cybersecurity, we are requesting funding for security enhancements to
protect congressional and other digital high-value assets, including
sensitive information from CRS, the Law Library, and the U.S. Copyright
Office. Cyber threats to our systems have escalated steadily and have
become increasingly complex over the past decade. We must remain
vigilant on this front.
Implementation of the requirements of the Music Modernization Act
(MMA) for public education and outreach will expand user access by
informing members of the public and songwriters about the process by
which a copyright owner may claim ownership of musical works before the
``mechanical licensing collective'' created under the MMA. Passage of
the MMA underlies our requests for Copyright Royalty Judges and MMA
staffing, as well as a request for realignment in Copyright fees due to
a projected user fee collections shortfall.
Our strategic goal of expanded user access is reflected in our
request to continue replacing the compact shelving in the Law Library.
Replacement of the second of four quadrants of Law Library shelving,
installed in 1981 and dangerously unusable, is now complete, and we are
requesting as a high priority in fiscal 2021 funding for the
replacement of the third quadrant. This shelving houses a significant
portion of the world's largest and most comprehensive collection of
international, foreign, national, and comparative legal resources.
We are also seeking to increase paid internship opportunities at
the Library to provide access to a broader and more inclusive talent
pool reflecting wider socioeconomic status. The request is in alignment
with Congress's intent to increase paid internship programs on Capitol
Hill.
Although the request to rebalance the Library's preservation
program funding requires no additional funding, I believe it is the
best way forward. I have been meeting with the Library's world-class
experts in preservation and conservation science to determine the most
sustainable and cost effective ways to preserve our collections in
multiple formats so they will be accessible for generations to come.
We have invested in mass approaches to preservation treatment since
the late 1980s. In fact, mass deacidification will have reached the
significant milestone of having treated 90 percent of our top-priority
materials by the end of fiscal 2020. However, mass methods now costs
2.8 times more than the environmentally optimized storage at Fort
Meade, which has comparable preservation outcomes for a much wider
range of materials. Thirty-plus years later, new methods are available
to address an old problem--the varied types of damage and deterioration
that occur over the lifecycle of the Library's expansive, multi-format
collections. I ask your support for my request to repurpose the $5.5
million we have been spending on mass approaches to preservation
treatment that mass deacidification cannot address, including
conservation of the Library's most significant artifacts, reformatting
of fragile and irreplaceable items, and the content management and
information technology infrastructure necessary to preserve the digital
collections.
In closing, the 2021 Congressional Budget Justification continues a
sequence of strategically planned modernization efforts of all types
across the enterprise. It extends modernization efforts beyond IT
systems to include the preservation program, CRS science and technology
capacity, electronic records management and contract document systems,
compact shelving, cybersecurity, internship funding, and implementation
of the MMA, in ways that will strengthen the Library now and ensure
that we do the best we can for those who will come after us. Our
pandemic response capacity has been highly dependent on these ongoing
modernization efforts.
Madam Chairman, Ranking Member Murphy, and Members of the
Subcommittee, the Library is the embodiment of the American ideal of a
knowledge-based democracy in good times and bad, through war and in all
times of crisis. I thank you again for supporting the Library of
Congress and for your consideration of our fiscal 2021 request.
[This statement was submitted by Carla Hayden.]
______
Prepared Statement of the Office of Congressional Workplace Rights
Chairman Hyde-Smith, Ranking Member Murphy, and Members of the
Legislative Branch Subcommittee, thank you for allowing me the
opportunity to submit for the record this statement regarding the
budget request for Fiscal Year (FY) 2021 for the Office of
Congressional Workplace Rights (OCWR). I want to express our
appreciation to this Subcommittee for its continued support of the OCWR
and its mission to advance workplace rights, safety, and health for
employees in the legislative branch, and accessibility for members of
the public with disabilities.
The OCWR's Statutory Mandate
The Congressional Accountability Act of 1995 (CAA) embodies a
promise by Congress to the American public that it will hold itself
accountable to the same federal workplace and accessibility laws that
it applies to private sector employers and executive branch agencies.
Congress established the OCWR to administer the CAA.
We are a very small office with a very broad mandate. With 28 FTE
positions inclusive of a part-time Board of Directors, the OCWR serves
the same functions as multiple agencies in the executive branch,
including the Equal Employment Opportunity Commission, the Occupational
Safety and Health Administration, the Department of Labor, and the
Federal Labor Relations Authority. We are responsible for enforcing
federal workplace and accessibility laws that cover more than 30,000
employees in the legislative branch, including the House of
Representatives, the Senate, the United States Capitol Police, the
Library of Congress, the Congressional Budget Office, the Office of the
Architect of the Capitol, the Office of the Attending Physician, and
the Office of Congressional Accessibility Services, and our own office,
among others. We administer the administrative dispute resolution (ADR)
process established by the CAA to resolve workplace disputes; we carry
out a program of training and education on the laws made applicable to
the legislative branch by virtue of the CAA; and we advise Congress on
needed changes and amendments to the CAA.
Furthermore, our General Counsel is responsible for inspecting--at
least once each Congress--over 18 million square feet of facilities and
grounds in the legislative branch for compliance with the Occupational
Safety and Health (OSH) Act, as well as the public areas of all
facilities in the legislative branch for compliance with titles II and
III of the Americans with Disabilities Act (ADA). The OGC is further
responsible for investigating allegations of OSH, ADA, and unfair labor
practice (ULP) violations filed under the Act, and for filing and
prosecuting complaints of OSH, ADA and ULP violations.
The CAA Reform Act
On December 21, 2018, the Congressional Accountability Act of 1995
Reform Act, S. 3749, was signed into law. Not since the passage of the
CAA in 1995 has there been a more significant moment in the evolution
of legislative branch workplace rights. The new law focuses on
protecting victims, strengthening transparency, holding violators
accountable for their personal conduct, and refining the adjudication
process.
The Reform Act also includes many important changes that
dramatically expand the OCWR's duties and responsibilities, as well as
the number of employees covered by the CAA. These new duties and
responsibilities under the Reform Act include:
--substantially modifying the ADR process under the CAA, including
creating additional procedures for preliminary hearing officer
review of claims;
--developing and implementing procedures for Members of Congress to
reimburse the Treasury for awards and settlement payments
resulting from specified harassment or retaliation claims;
--developing and implementing procedures for employing offices to
reimburse the Treasury for payments resulting from specified
claims of discrimination;
--appointing one or more confidential advisors to provide information
to legislative branch employees about their rights under the
CAA;
--renaming our office as the Office of Congressional Workplace Rights
to more clearly inform the legislative branch community of our
mission;
--extending CAA protections to unpaid staff, including interns,
detailees, and fellows, as well as employees of the Stennis
Center for Public Service, the China Review Commission, the
Congressional-Executive China Commission, and the Helsinki
Commission;
--significantly expanding OCWR reporting obligations;
--developing and administering a biennial climate survey of all
legislative branch employees to collect information on the
workplace environment and attitudes regarding sexual
harassment;
--creating a program to permanently retain records of investigations,
mediations, hearings, and other proceedings;
--establishing an electronic system to receive and keep track of
claims; and
--developing and implementing means by which legislative branch
employees who work outside of the Washington, D.C., area--such
as in Members' district offices--have equal access to OCWR
services and resources.
Some of the changes in the CAA Reform Act became effective
immediately, such as the name change of our Office, but most became
effective 180 days from enactment, i.e., on June 19, 2019. The biennial
workplace climate survey of the legislative branch--which was designed
in FY 2019--is currently being administered for the first time in FY
2020.
The OCWR's FY 2021 Budget Justification
In our FY 2021 budget justification, we are requesting $7,500,000
for FY 2021 operations, which is an increase of $1,167,330 or 18% from
the enacted amount for FY 2020, as well as three additional FTEs. The
FY 2021 budget request focuses on supporting the OCWR's statutory
mandates and improving the delivery of services to the covered
community under the CAA. The requested amount is necessary for the
Office's mandated operations, including hearings, mediations, safety
and health inspections, ULP investigations, and ADA inspections. This
amount will also allow us to carry out our statutory mission to educate
and train Members of Congress, their staff, and other legislative
branch offices and employees on their rights and responsibilities under
the CAA through the development of materials specifically designed for
the legislative branch, and that are easily understood, practical
rather than legalistic, and proven effective.
The OCWR did not seek an increase to its funding for FY 2020 from
FY 2019 levels. Nonetheless, we have made significant progress on many
of the initiatives discussed above, including developing and
implementing a secure e-filing system, and revising virtually all
publications and education and training materials that the OCWR
produces to incorporate the changes set forth in the Reform Act.
Although many of the initial changes mandated by the Reform Act have
already been implemented using FY 2019 or FY 2020 funds, higher levels
of funding will be required to expand and improve on these efforts
moving forward, especially with respect to our Information Systems
program. For example, the OCWR's secure e-filing system, which is now
operational, will require continued cybersecurity upgrades and design
modifications to assure information security and confidentiality.
Online training and educational modules also must be continually
updated to reflect changes in the law and to fully discharge our
statutory mandate to educate and assist legislative branch offices and
employees. New ADR procedures, such as preliminary review by hearing
officers of all claims, will affect the costs associated with
adjudication of those claims. Moreover, the legislative branch climate
survey, once developed, will require ongoing funding to administer it
every 2 years, as mandated by the Reform Act.
More than 60% of the requested amount reflects personnel costs,
including increased compensation and benefits associated with
additional staff hired during this fiscal year. The remainder of the
requested amount would pay for contract services, including cross-
servicing providers such as the Library of Congress and the National
Finance Center, and other services, equipment, and supplies needed to
operate the OCWR.
Of the FY 2021 requested amount, the OCWR is requesting that a
total of $1,000,000 remain available until September 30, 2022 for the
services of essential contractors, including hearing officers,
mediators, and safety and health inspectors, and for the ongoing costs
associated with administering the biennial climate survey of
legislative branch employees.
Alternative Dispute Resolution Program
The OCWR requests a total of $450,000 for non-personnel services
for FY 2021 for administration of its ADR program, which represents our
best estimate for the cost of administration of that program in the
coming fiscal year. The CAA establishes an ADR process that provides
employing offices and covered employees a neutral, efficient, and cost-
effective means of resolving workplace disputes. We strive to ensure
that stakeholders have full access to these ADR procedures. The OCWR
enjoys a 100% affirmance rate in employment cases by the U.S. Court of
Appeals for the Federal Circuit. The OCWR continues to do more with
less, maintaining a flat rate of pay for contract mediators, a
standardized hourly fee for hearing officers, and rate limitations for
other outside service providers.
In any given year, it is difficult to predict the number of cases
that will be filed with the OCWR's ADR program, the complexity or
duration of administrative proceedings, or the overall costs associated
with case processing and adjudication. Recent developments add to the
difficulty of making such predictions for FY 2021. In FY 2018, for
example, Library of Congress employees were allowed to file claims with
the OCWR for the first time. Other changes in the Reform Act--such as
extending CAA protections to unpaid staff, including interns,
detailees, and fellows--also increase the pool of potential claimants
under the ADR process. Moreover, as discussed above, on June 19, 2019,
the ADR process changed significantly. The new process, as required by
the Reform Act, is outlined in our FY 2021 budget justification. It
requires, among other things, that an additional hearing officer be
appointed to conduct a preliminary review in each case filed on or
after June 20, 2019 that raises claims of unlawful employment
discrimination, harassment, or reprisal, among other claims. Our budget
justification takes these considerations into account in arriving at
our best estimate of the costs for administering this program in FY
2021.
Education and Training Programs
The OCWR is requesting a total of $370,000 for non-personnel
services for FY 2021 for its Education and Training Programs. The OCWR
has a statutory mission to educate and train Members of Congress and
legislative branch employees on their rights and responsibilities under
the CAA.
In FY 2019, following the passage of the Reform Act, the OCWR
created and disseminated educational materials on its revised ADR
process, including developing an orientation video explaining the
substantive provisions of the CAA and the revised ADR process to
resolve claims of violations of the Act. To ensure that the legislative
branch community was aware of the new provisions of the Reform Act, the
OCWR also posted updated FAQs on its website and disseminated to
covered employees e-newsletters and printed materials explaining the
changes. As required by the CAA Reform Act, in FY 2019 the OCWR also
created and distributed for posting more than 4,000 posters informing
legislative branch employees of their rights under the CAA. The OCWR
also enhanced its curriculum to include related courses on preventing
unconscious bias in workplace decision-making, and bystander
intervention techniques for those who witness harassment or other forms
of discrimination. The OCWR also delivered training in person, online,
and via video conferencing to legislative branch employees throughout
the country, including unpaid staff.
In FY 2020, the OCWR continues to provide information and training
opportunities to the covered community, and it is completing revisions
of all of its educational materials including its website and print
content. The OCWR will require substantial funds in FY 2021 to continue
these efforts, which are vital to our ongoing mission to provide
stakeholders in the legislative branch with current, dynamic, and
innovative educational and outreach materials.
Safety and Health and Public Access
The OCWR is requesting a total of $150,000 for non-personnel
services for FY 2021 for its Occupational Safety and Health and ADA
public access inspection programs. Before the OCWR opened its doors in
1996, Capitol Hill buildings had not been subject to even the most
basic building codes or regulations. The first inspections led to the
discovery of serious fire and other safety hazards in House and Senate
buildings and around the Capitol. As a result of OCWR inspections,
Congress has abated thousands of serious hazards, reduced numerous
barriers to access for individuals with disabilities, and dramatically
improved the overall safety and accessibility of the Capitol Hill
campus. The OCWR has been instrumental in the development and
implementation of cost-effective solutions to safety and access
problems by working directly with the Architect of the Capitol and
other offices on the Hill. It is during these inspections that our
inspectors, who are trained OSH and ADA specialists, can work directly
with employing offices, providing technical support at the point where
assistance is needed. Our budget request will allow us to continue to
provide the level of expertise and assistance that the community
deserves.
Information Systems
The OCWR is requesting a total of $1,272,000 for non-personnel
services for FY 2021 for the Information Systems Program. As mandated
by the Reform Act, the OCWR successfully launched its secure online
claims reporting and tracking e-filing system in June 2019 on a
compressed 6-month timeline. The OCWR also implemented other key IT
modernization projects in FY 2019, including setting up new network
printers that are highly secure by design. In late FY 2019, the OCWR
developed and began implementation of its plan for the upgrade of its
Facility Management Assistant (FMA) program for Occupational Safety and
Health (OSH) inspections. FMA currently runs on an obsolete and
unsupported Microsoft platform. The OCWR's OSH team is working to
identify the requirements of a Risk Management Suite to meet its needs,
plan and design the system, perform independent security categorization
of the information contained in the current FMA system, and import
current FMA records into the new system.
The Reform Act also mandates enhanced cybersecurity along with a
GAO audit of the OCWR's cybersecurity practices. We have already begun
to make progress on these priority items in FY 2020: We have initiated
the process of revising our IT systems project planning to ensure the
development and implementation of policies and procedures incorporating
key cybersecurity activities; we have created and will be filling the
position of IT Security Project Manager to acquire the cybersecurity
project management expertise; and we have also expanded the OCWR IT
Director's role to formally include the functions of an IT Risk
Executive. In FY 2020, the OCWR will work with the IT Security Project
Manager and the IT Risk Executive to develop and implement oversight
procedures for each of its externally-operated systems, and to develop
and implement policies and procedures for managing cybersecurity risk.
To date, the OCWR has spent over $500,000 toward updating its
cybersecurity, and we will be obligating additional funds for continued
updates, maintenance and hosting of its secure web-based e-filing
system. However, the objectives of these efforts to protect and
safeguard critical information assets can only be assured if the
Program is continually monitored, reassessed and upgraded to meet or
exceed industry standards. Accordingly, in FY 2020 and 2021, the OCWR
will be designing and developing the next generation of its e-filing
system, which will be even more secure, robust, and fault-tolerant,
with state-of-the-art security measures built in at all layers of its
infrastructure. This system will be designed, developed, and built from
the ground up, using highly secure encryption at all components and
across all layers of its infrastructure--including storage, database,
application server, network, and the webserver. The integrity of the
Program thus depends upon ongoing funding in FY 2021 and beyond.
Additional Services
The balance of the requested amount covers increases in contract
services, including those furnished by cross-service providers, such as
the Library of Congress and the National Finance Center, and other
services, equipment and supplies needed to operate the OCWR.
Thank you very much for providing us with this opportunity to brief
you on our FY 2021 budget request. As the Executive Director of the
OCWR, I am proud of the work that our highly professional and talented
staff members perform every day. We are available to answer any
questions or to address any concerns that the Chair of the Subcommittee
or its Members may have.
[This statement was submitted by Susan Tsui Grundmann, Executive
Director.]
______
Prepared Statement of the Office of the Secretary of the Senate
BUDGET REQUEST
I would first like to thank the Committee for its ongoing support
of the Office of the Secretary of the Senate's budget and mandated
systems and continue to express our appreciation for the Committee's
flexibility with multi-year and no-year funding. For Fiscal Year (FY)
2021, I am requesting a budget of $37,200,000. The request includes
$27,664,000 in salary costs; $1,900,000 for the operating budget of the
Office of the Secretary; $2,500,000 for the Financial Management
Information System (FMIS) modernization project; and $5,136,000 for the
Senate Information System (SIS) program.
The FY 2021 budget request represents an increase of $846,000 in
the salary portion for a cost-of-living-adjustment. The operating
budget of the Office of the Secretary and the budget for the SIS
program remain flat. Please note that the FY 2020 award included a one-
time appropriation of $5,000,000 that was not part of the FY 2020
request, and is not included in the FY 2021 request, and therefore the
overall budget request is a decrease of $4,154,000 from the FY 2020
award.
OFFICE OF THE SECRETARY OPERATING BUDGET
----------------------------------------------------------------------------------------------------------------
Amount available Budget estimates
Item FY 2020 FY 2021 Difference
----------------------------------------------------------------------------------------------------------------
Total operating budget for all departments................ $1,900,000 $1,900,000 ................
----------------------------------------------------------------------------------------------------------------
PROJECT REQUESTS
fmis modernization project \1\
The budget includes a request for $2,500,000 (the same amount as in
FY 2020) in no-year funds to continue the modernization of FMIS and
activities associated with the retirement of the Senate's mainframe
computer and associated hardware and software. The flexibility of no-
year funding remains important to the success of the modernization
project because of its complexity, the unique Senate technical
environment and business requirements, and the continuing need for open
competition.
----------------------------------------------------------------------------------------------------------------
Item FY 2020 FY 2021 Request Difference
----------------------------------------------------------------------------------------------------------------
FMIS Modernization Project................................ $2,500,000 $2,500,000 ................
----------------------------------------------------------------------------------------------------------------
The FMIS modernization project is an update of the Senate's
collection of financial applications known as FMIS. This project will
improve financial system supportability and flexibility; address
business requirements not met by the existing system; and continue to
bring the Senate closer to an integrated, auditable, paperless
financial system.
In FY 2019, FMIS faced significant hurdles while making every
effort to maintain the original deadlines and cost estimates of the
project. Following user advisors' request for a new approach to
replacing the old system (WebFMIS) in FY 2018, a new direction was
taken in the user interface development, with impacts on how user data
connects in each of the multiple applications that make up FMIS.
However, delays in availability of required technical components of the
user interface delayed development into early FY 2019. Soon after, a
change in the Senate's external credit card vendor, and errors in
transition by that vendor, required significant resources to be drawn
from the planned development progress. Finally, in the summer of 2019,
an external error caused the loss of several months of work in one
business area of the project, with impacts on all others.
These setbacks caused the project to be significantly behind
projections for how many collaboratively developed user features would
be available at the end-of-life of WebFMIS. Nonetheless, because of the
mounting risks associated with WebFMIS, transition to the new system
(FMIS NextGen) began in October 2019. While necessary because of the
end of WebFMIS support and the lifecycle of its hardware and software,
the transition remains a significant challenge that the Office of the
Secretary is addressing with stakeholders on a regular basis. To date,
the Financial Systems Program Office (FSPO) within the Disbursing
Office has been able to add helpful resources within the limits of the
funds provided, though additional needs are constantly being evaluated.
In 2019, the FSPO collaborated with the Office of the Senate
Sergeant at Arms (SAA) to
--Oversee development and implementation of planned components of the
modernized financial system, including:
--Implementation of General Ledger (GL), Accounts Payable (AP), and
Accounts Receivable (AR) financial applications to support
retirement of the final remaining mainframe application,
Financial Accounting Management Information System (FAMIS),
as well as the mainframe and its related hardware and
software in FY 2020; and
--Completion of the development of baseline features for the
modernized front-end financial system application.
--Transition financial activities and users to the modernized
platforms, including:
--Completion of the rollout of payroll expenditure and projection
reports on the modernized application platforms; and
--Transition of approximately 5,000 active users and more than
6,700 accounts to modernized applications; processed more
than 33,000 vouchers and payments in addition to all FY
2020 purchase-order renewals via the modernized front-end
applications.
The FY 2021 request is the final request of a planned six-year
phased project. The table below outlines the annual funding for
software and services for this project.
----------------------------------------------------------------------------------------------------------------
2016 2017 2018 2019 2020
FY Funding (funded) (funded) (funded) (funded) (funded) 2021 Total
----------------------------------------------------------------------------------------------------------------
Implementation/Acquisition................ 2.5M 4M 3.5M 3M 2.5M 2.5M 18M
----------------------------------------------------------------------------------------------------------------
The FMIS Business Case outlines the full scope of the financial
system modernization project. The table on the following page reflects
the Business Case, including major phases and timelines for the
proposed modernization effort, as well as the status of progress
through FY 2019 and activities planned through FY 2021.
----------------------------------------------------------------------------------------------------------------
Modernization
Date Business Area Approach and Status through FY Planned through FY
Rationale 2019 2021
----------------------------------------------------------------------------------------------------------------
FY 2016 through FY 2021 \1\.... Budget............ Replace multiple --Acquired and --Complete
existing budget implemented implementation/
applications and software and rollout of budget
manual processes hardware to solution for
with a commercial support --Phase Ib--
software package development. Disbursing and;
widely used by --Worked with the --Phase II--SAA.
federal agencies SAA to establish
to hardware and
--Allow for more configure an
efficient and initial sandbox
effective budget environment to
planning and support
budget execution development.
tracking; --Provided
--Enable what if training
budget analyses at activities for
the Senate and staff
individual office participating in
levels; and budget
--Facilitate direct modernization.
integration of the --Held planning
payroll and discussions with
financial systems. and solicited
feedback from
various
stakeholders
related to budget/
payroll
integration and
PeopleSoft
Enterprise
Program
Management (EPM)
replacement.
--Documented
requirements for
all phases of
budget
modernization.
--Implemented
Oracle Hyperion
Planning and
Public Sector
Planning and
Budgeting
software in the
development,
testing, and
production
environments.
--Completed the
testing and
rollout of
Hyperion Phase Ia
features.
--Initiated
implementation of
Phase II (Offices/
Committees),
including basic
budgeting and the
foundation for
``what if''
budget analyses.
----------------------------------------------------------------------------------------------------------------
\1\ Disbursing and SAA budget formulation automation activities are underway but will not be completed until FY
2021, rather than FY 2020. This change does not impact the completion date of the overall modernization.
----------------------------------------------------------------------------------------------------------------
Modernization
Date Business Area Approach and Status through FY Planned through FY
Rationale 2019 2021
----------------------------------------------------------------------------------------------------------------
FY 2016 through FY 2021........ Reporting......... Streamline and --Gathered --Transition
modernize the reporting production and
reporting requirements from review of the
infrastructure to financial system Report of the
prepare for and stakeholders. Secretary of the
minimize impacts --Developed Senate to the
of the financial initial data modernized
system management and application
modernization, and reporting platforms.
--Reduce the volume strategy. --Enhance user-
of reporting data; --Established reporting tools
--Eliminate unused historical to support
and redundant reporting analytics and ad
reports; repository on hoc inquiries.
--Consolidate distributed ..................
numerous, environment for
disparate report development and
processes; transition of
--Ensure the financial
consistency and reports.
accuracy of --Completed review
historic data; and of critical
--Provide greater reporting
flexibility for requirements with
users to customize stakeholders.
the data they view --Augmented
and receive. reporting
repository with
initial budget
and procurement
data.
--Augmented
reporting
repository with
payroll data.
--Documented
requirements for
Report of the
Secretary of the
Senate.
..................
FY 2017 through FY 2021........ Accounting........ Replace the --Developed and --Complete the
mainframe-based GL refined Chart of implementation of
system with a Accounts (COA) PeopleSoft GL,
commercial for modern GL. Accounts Payable,
software package, --Reviewed COA and Accounts
which will with Oracle Receivable.
--Allow the Senate Subject Matter --Retire legacy
to retire the Experts and mainframe and
expensive and system related hardware.
increasingly stakeholders. --Enable
difficult-to- --Documented additional
support mainframe requirements for delivered
hardware and GL. integrations
software; --Completed the between
--Implement a review of GL PeopleSoft GL and
modern GL requirements with PeopleSoft Human
consistent with stakeholders. Capital
all current --Initiated the Management (HCM).
federal financial implementation of
standards and PeopleSoft GL,
reporting Accounts Payable,
requirements; and and Accounts
--Enhance the Receivable.
Senate's ability
to maintain the
core component of
the financial
system and the
source of the
statutory semi-
annual Report of
the Secretary of
the Senate.
----------------------------------------------------------------------------------------------------------------
FY 2017 through FY 2021........ Data Sharing...... Automate interfaces --Acquired and --Continue
with Senate implemented transition of
systems and software and batch master data
outside agencies, hardware to interfaces to
such as the support sharing DRM.
Department of the of master data --Implement
Treasury between financial interface with
(Treasury), to applications. Treasury's
--Reduce errors in --Provided Invoice
Senate reporting; training for Processing
and staff Platform (IPP).
--Eliminate the participating in --Implement
manual effort Data Relationship interface with
required to Management (DRM) Pay.gov.
support daily and implementation. --Continue
monthly external --Implemented implementation of
reporting. Oracle Hyperion additional
DRM software in interfaces with
production federal websites/
environment. applications to
--Transitioned support
budgeting master procurement to
data interfaces payment
to DRM. functions.
--Implemented per
diem rate check,
leveraging
General Services
Administration
(GSA) per diem
rates.
--Initiated
development of
interface with
System for Award
Management (SAM).
----------------------------------------------------------------------------------------------------------------
FY 2017 through FY 2021........ Procurement to Replace the highly --Documented --Implement
Payment. customized initial additional
procurement to procurement and features to
payment expense system support
applications with requirements. procurement and
commercial --Conducted contracts
software, where alternatives management.
possible, subject analysis to --Continue to
to a thorough determine whether implement user-
alternatives additional prioritized
analysis. This procurement to features and
will allow the payment enhancements to
Senate to applications are automate
--Continue to meet required. procurement to
unique Senate (Previously payment
business needs acquired functions.
while also applications were
addressing a determined to be
number of business capable of
requirements not meeting user
currently met by requirements.)
the existing --Implemented
applications; selected
--Enhance the procurement to
Senate's ability payment
to administer and applications.
support financial --Implemented
system baseline
applications; procurement and
--Enable more rapid expense system
deployment of user- requirements
requested changes; through the
and modernized front-
--Facilitate end application.
tighter
integration of all
procurement to
payment
applications to
enhance Senate
financial
statement
production.
----------------------------------------------------------------------------------------------------------------
FY 2019 through FY 2021........ Asset Management.. Replace the --Documented asset --Initiate
existing Asset management system competitive
Management requirements. procurement(s)
application with a for asset
commercial management
software module applications if
that will needed.
--Enable direct
integration with
the financial
system; and
--Eliminate
redundant
processes and
data, increasing
the efficiency and
accuracy of the
Senate's asset
tracking.
----------------------------------------------------------------------------------------------------------------
FY 2020 through FY 2021 \2\.... Archival Tools.... Implement data .................. --Document data
archival tools to archival
--Reduce the costs requirements.
and potential --Initiate
application competitive
performance issues procurement(s)
associated with for archival
maintaining large tools if needed.
volumes of
financial data;
and
--Ensure that all
relevant data is
archived together
and may be
restored together
as needed to
support Senate
financial
operations.
----------------------------------------------------------------------------------------------------------------
\2\ Due to unexpected demands, the project related to this business area was rescheduled to commence in FY 2020.
This is not expected to impact the scheduled completion of this business area.
In addition to the six-year modernization project, Disbursing
continued to oversee the current FMIS program and bridged from the
current program to the modernized financial system by enhancing
customer service; engaging customer advisory boards to provide input
and feedback; and communicating through such channels as the quarterly
Financial Tips & Tricks newsletter and regular user group meetings.
Disbursing also worked with the SAA to maintain legacy financial system
platforms, and continue the Senate's transition to paperless voucher
processing.
sis program
The budget includes a request for $5,136,000 in multi-year funds
(2021/2025) for the SIS program. This is the same amount requested last
year and what is needed to support the continuation of current services
offered as part of this program and to keep the three new subscription
services added last year at the request of the Senate community.
SIS is a collection of online tools managed by the Senate Library
to provide all Members and Senate staff with cost-effective access to
legal, legislative, media and policy research, including real-time news
tracking and media alert services. Funding enterprise-wide access to
research and news services continues to provide the greatest return on
investment for thousands of Senate users, allowing shared access to a
comprehensive set of high-quality resources and tools in support of
core business functions at rates unattainable by individual offices and
committees.
legislative services
The legislative operations of the Office of the Secretary provide
support essential to Senators in carrying out their daily activities in
the Senate Chamber, as well as the constitutional responsibilities of
the Senate. Legislative Services consists of the following departments:
Bill Clerk, Captioning Services, Daily Digest, Enrolling Clerk,
Executive Clerk, Journal Clerk, Legislative Clerk, Official Reporters
of Debates, and Parliamentarian.
The Office of the Secretary maintains a positive working
relationship with the Government Publishing Office (GPO), which
continues to respond in a timely manner to the Office's requests,
through the legislative staff, for the printing of bills and reports,
including the expedited printing of priority matters for the Chamber.
Several Legislative Services offices, along with the Office of Web
Technology and the Senate Library, provided extensive knowledge,
feedback, and data to the Library of Congress (LOC) to help facilitate
the LOC's successful retirement of the Legislative Information System
(LIS.gov) in November 2019, and to ensure the accuracy and transparency
of Senate-related materials on Congress.gov. Through constant testing,
monitoring, and reporting, Secretary staff were instrumental in
reducing the gap between the two systems. The Office of the Secretary
remains committed to the internal advanced users of the Senate to
ensure all legislative information is as correct, timely, and usable as
possible and recognizes the important role these systems play in the
legislative process.
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 Office keeps this information in
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 Congress.gov and Senate.gov. Current amendment
information is entered and updated by the Office and is available to
Senate offices on the Amendment Tracking System. 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
information received in the Office comes directly from the Senate floor
in written form within moments of the action involved, making the
Office generally regarded as the most timely and accurate source of
legislative information.
Some of the work completed during the 116th Congress, 1st Session
included the processing of 31 Senate concurrent resolutions, 62 Senate
joint resolutions, 189 Senate reports, 338 measures reported, 462
Senate resolutions, 1,275 Senate amendments, and 3,148 Senate bills.
This is the highest number of Senate bills introduced in a session of
Congress since 1969.
captioning services
The Office of Captioning Services provides real-time closed
captioning of Senate floor proceedings to individuals who are deaf or
hard of hearing and unofficial electronic transcripts of Senate floor
proceedings to Senate offices on Webster.
Captioning Services strives to provide the highest-quality closed
captions and is staffed by some of the most seasoned and respected
captioners in the industry. The overall average accuracy rate for the
Office has continuously been above 99 percent, a level of achievement
sustained for more than two decades. 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 are completed for the most part in electronic form.
The real-time searchable Closed Caption Log database and VideoVault
browser, available to Senate offices on Webster, continue to be
invaluable tools for the entire Senate community. Legislative floor
staff, Cloakroom staff, the Senate Recording Studio, and Member offices
in particular continue to depend on the availability, reliability, and
content of these resources in the performance of their everyday duties.
daily digest
The Office of the Daily Digest is responsible for the publication
of a concise, brief, and easy-to-read accounting of all official
actions taken by the Senate in the Congressional Record (Record)
section known as the Daily Digest. The Office compiles an accounting of
all meetings of Senate committees, subcommittees, joint committees, and
committees of conference.
The Office enters all Senate and joint committee scheduling data
into the Senate's web-based scheduling application system. Committee
scheduling information is also prepared for publication in the Daily
Digest in three formats: Day-Ahead Schedule; Congressional Program for
the Week Ahead; and the extended schedule that appears in the
Extensions of Remarks section of the Record. The Office also enters all
official actions taken by Senate committees on legislation,
nominations, and treaties into the Legislative Information System
Document Management System (LIS/DMS).
The Office publishes a listing of all legislation that has become
public law, as well as a ``Resume of Congressional Activity,'' which
contains all congressional statistical information, including days and
time in session; measures introduced, reported, and passed; and roll
call votes. The Resume is published on the first legislative day of
each month in the Daily Digest. The Office also assists the House Daily
Digest Editor in the preparation of a history of public bills enacted
into law and the final Resume at the end of each session of Congress.
All hearings and business meetings (including joint meetings and
conferences) are scheduled through the Office and are published in the
Record and on the Digest's page on Senate.gov. Meeting outcomes are
also published by the Daily Digest in the Record each day and
continuously updated on the website. The Office of the Daily Digest, in
coordination with the Office of Web Technology, provided additional
data elements to enable the LOC to successfully meet its deadline for
the establishment of a combined committee schedule on Congress.gov.
The Office publishes a ``20-Year Comparison of Senate Legislative
Activity'' that can be found at: https://www.senate.gov/reference/
resources/pdf/yearlycomparison.
pdf.
enrolling clerk
The Office of the Enrolling Clerk prepares, proofreads, corrects,
inputs amendments to, and prints all legislation passed by the Senate
before it is transmitted to the House of Representatives, the National
Archives, and the White House, as well as other communications as
directed by the Senate. Electronic files of all measures engrossed and
enrolled in the Senate are transmitted daily by the Enrolling Clerk to
GPO for overnight printing, distribution, and online publication. The
Office also keeps the original official copies of bills, resolutions,
and appointments from the Senate floor through the end of each
Congress.
During the 116th Congress, 1st Session the Office prepared 362
Senate engrossments, including 5 Senate joint resolutions, 12 Senate
concurrent resolutions, 30 Senate appointments, 106 Senate bills, and
268 Senate resolutions. Additionally, the Office prepared 12 House
engrossments, including 3 House joint resolutions and 9 House bills.
The engrossing of House measures includes preparation of various
amendments, messages, and letters of transmittal.
The Office also processed 40 Senate enrollments, including 5 Senate
joint resolutions that were transmitted to the White House, 5 Senate
concurrent resolutions that were transmitted to the National Archives,
and 30 Senate bills. The Senate joint resolutions were returned to the
Senate due to vetoes.
executive clerk
The Office of the Executive Clerk is responsible for the Journal of
the Executive Proceedings of the Senate (Executive Journal), a record
of the Senate's actions during executive sessions.
The Executive Clerk receives, assigns numbers to, and processes the
nominations, treaties, executive communications, petitions or
memorials, and presidential messages sent to the Senate. As part of
this processing, the Executive Clerk enters each of these into LIS/DMS,
sends them to the committee of jurisdiction, and places them in the
Record. In addition to recording the Senate's actions during executive
sessions in the Executive Journal, the Executive Clerk also records
these actions in LIS/DMS and the Record.
The Office prepares the Executive Calendar daily when there are
nominations, treaties, or resolutions related to treaties before the
Senate. The Executive Clerk also prepares all nomination and treaty
resolutions for transmittal to the President of the United States.
During the 116th Congress, 1st Session there were 1,309 nomination
messages sent to the Senate by the President, transmitting 20,749
nominations to positions requiring Senate confirmation and 22 messages
withdrawing nominations. The Senate gave its advice and consent to 5
treaties. The Senate also conducted 328 roll call votes in executive
session, all on or in relation to nominations and treaties. In
addition, 40 presidential messages, 171 petitions or memorials, and
3,587 executive communications were received and processed.
journal clerk
The Office of the Journal Clerk takes note of the daily legislative
proceedings of the Senate in a minute book and prepares a history of
bills and resolutions for the printed Journal of the Proceedings of the
Senate (Senate Journal) as required by Article I, section 5 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 staff take 90-minute turns at the rostrum in the
Senate Chamber when the Senate is in session, 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, division
votes taken, and roll call 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 using the LIS Senate
Journal Authoring System for the annual publication of the Senate
Journal. The Senate Journal is published for each calendar year, and in
2019, the Office completed the production of the 895-page 2017 volume.
The 2018 volume of the Journal is in the process of being published,
and the 2019 volume will be completed later this year.
legislative clerk
The Legislative Clerk sits at the rostrum 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 of the Legislative Clerk 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 Office
maintains the official copy of all measures pending before the Senate
and must incorporate into that copy all agreed-upon amendments to the
measures. It retains custody of official messages received from the
House of Representatives and conference reports awaiting action by the
Senate and is also responsible for verifying the accuracy of
information entered into LIS/DMS by the various offices of the
Secretary.
A small sample of the work completed during the 116th Congress, 1st
Session included the processing of 338 measures reported by committees,
428 roll call votes, and 1,275 submitted amendments, as well as the
incorporation of 108 floor amendments into measures considered by the
Senate.
The Office works closely with GPO, particularly the night
production crew. For this past session of Congress the Office published
188 separate issues of the Calendar of Business, the Official Senate
Class Card, and the Senate Committee and Subcommittee Booklet. All of
these publications are also available online, which has reduced the
need for printed copies and made the materials more accessible.
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 daily publication in the Record. The Chief
Reporter acts as the editor-in-chief and oversees the production of the
Record to ensure its accuracy and consistency with Senate parliamentary
rules and procedures. The Chief Reporter also develops a schedule that
allows each reporter to cover the floor in 15-minute rotating shifts
throughout the day to record all debate. The Deputy Director functions
as the technical production manager, assisting the Chief Reporter in
assembling the Record and directly interacting with Senators' staff in
the editing of the Record. The Morning Business Coordinator is
responsible for assembling the legislative and executive material in a
portion of the Morning Business section of the Record and sits in the
Chamber, recording daily floor activity of the Senate for the Official
Reporters of Debates.
When the Senate is in session, the electronic and paper transcripts
of the Senate floor proceedings are delivered to GPO starting in the
early evening, and the last delivery occurs approximately three hours
after the Senate adjourns or recesses for the day. The Record is
published in paperback form and online and is available to the public
on the next business day.
parliamentarian
The Office of the Parliamentarian performs 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 Presiding Officer of the Senate
and Senators, Senators' staff and committee staff, House Members and
their staff, 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 and
the Constitution that affect the proceedings of the Senate.
The Parliamentarians work in close cooperation with Senate
leadership and their floor staff to coordinate all of the business on
the Senate floor. A Parliamentarian 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 President pro tempore and the Vice President of the United States
and their staff when either performs duties as President of the Senate.
The Parliamentarians monitor all proceedings on the floor of the
Senate, advise the Presiding Officer on the competing rights of the
Senators on the floor, and advise all Senators as to what is
appropriate in debate. The Parliamentarians keep time on the Senate
floor when time is limited or controlled under the provisions of time
agreements, statutes, or standing orders. They keep track of amendments
offered to the legislation pending on the Senate floor, assess them for
germaneness and other possible points of order, and review countless
other amendments that are never offered in the same regard.
The Office of the Parliamentarian is responsible for the referral
to the appropriate committees of all legislation introduced in the
Senate and all legislation received from the House, as well as all
communications received from the Executive Branch, memorials from state
and local governments, and petitions from private citizens. In order to
fulfill this responsibility, the Parliamentarians do substantial legal
and legislative research. The Office works extensively with Senators
and their staff to advise them of the jurisdictional consequences of
drafts of legislation and to evaluate the jurisdictional effects of
proposed modifications in drafting.
The year 2019 began with the swearing in of new and returning
Senators. The Parliamentarians were instrumental in reviewing election
and appointment certificates of Senators and participated in
orientation of new Senators. It closed with an intense period of
preparation for potential proceedings on the impeachment of the
President of the United States. Preparations included researching the
history of impeachment and prior trials, drafting memos, countless
meetings and conference calls, and walk-throughs of the process for a
variety of Senate Officers and offices in order to provide support and
guidance to all parties expected to participate in an impeachment
trial. The Parliamentarian's office also worked closely with staff from
the Supreme Court to assist the Chief Justice of the United States in
fulfilling his constitutional role as Presiding Officer.
Other significant tasks of 2019 included continued work on the
Electronic Senate Precedents system and several unique procedural
circumstances with respect to the War Powers Act, the National
Emergencies Act, the Arms Export Control Act, the Countering America's
Adversaries Through Sanctions Act (CAATSA), the United States-Mexico-
Canada Agreement (USMCA), the Congressional Review Act, and various
international treaties. In addition, the Parliamentarians worked with
various offices on continued attempts to reform the budget process.
Finally, a significant new precedent was set with respect to the
debatability of nominations post-cloture when the Presiding Officer was
overturned on appeal by the Senate in April 2019.
FINANCIAL OPERATIONS
disbursing office
The mission of the Senate Disbursing Office is to provide efficient
and effective financial, payroll, and employee benefits information and
advice to the offices, Members, and staff of the Senate. Disbursing
manages the collection of information from all the 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 Office collects information from Members and
staff that is necessary to maintain and administer the retirement,
health insurance, life insurance, and other central human resource
programs, and provides responsive, individual attention to Members and
staff on an unbiased and confidential basis.
In addition to the current FMIS program and the project to
modernize the financial system, Disbursing continued work on several
activities that required a significant level of effort and staff
resources. Among them were the completion of the new Congress turnover
and assistance to outgoing and incoming Members and staff; the rollout
to the full Senate community of the online address update (phase three)
of the Employee Self-Service (ESS) in PeopleSoft; the validation,
review, and publication of the Report of the Secretary of the Senate
for the six-month periods ending in March and September of 2019; and
preparations for major changes to the 2020 Form W-4.
Disbursing also continued working with offices to transition users
to FMIS NextGen. Since the transition in October 2019, the number of
offices using paperless voucher processing has increased from 55
percent to 100 percent.
In addition, Disbursing implemented the Senate's 2020 operating
budget, including a change to the Senate maximum salary. The Office
also prepared and distributed budget justification worksheets to the
various offices to gather the information needed for the FY 2021 budget
request to present to the Committee on Appropriations and submit to the
Office of Management and Budget. Disbursing also mailed more than
10,000 letters to Senate vendors in preparation for integration with
the Department of the Treasury's government-wide System for Award
Management (SAM). Finally, the Office played a significant role in
providing feedback on legislation affecting Senate budgets and
salaries.
ADMINISTRATIVE AND EXECUTIVE OPERATIONS
senate 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, which
allowed Senate staff to file claims of employment discrimination
against Senate offices. With the enactment of the Congressional
Accountability Act of 1995 (CAA), Senate offices became subject to the
requirements, responsibilities, and obligations of 12 employment laws,
and subject to suit in federal district court for alleged violations of
such laws. In accordance with the CAA, Congress has applied
subsequently enacted employment laws to Senate offices, such as the
Genetic Information Non-Discrimination Act. Senate offices are also
subject to certain non-CAA federal laws that create compliance
obligations regarding Senate employment.
The SCCE is charged with the legal defense of Senate offices in all
employment law cases at both the administrative and court levels, from
case inception through final appeal. In addition to litigating cases,
the SCCE's attorneys provide legal advice to Senate offices about their
obligations under employment laws. Each Senate office client is an
individual client of the SCCE; accordingly, each such office maintains
an attorney-client relationship with the SCCE. The SCCE also conducts a
robust training program on a wide variety of employment law topics,
including seminars to educate Senate managers, staff, and interns about
how to identify, prevent, and address unlawful harassment in the
workplace. Anti-harassment training was mandated in the Senate by S.
Res. 330 (115th Congress); the SCCE has been proactively providing such
training to the Senate community and will continue to do so.
The SCCE's areas of responsibility can be divided into the
following broad categories: litigation (defending Senate offices in
courts and at administrative hearings); mediations to resolve potential
lawsuits, as well as court-ordered alternative dispute resolution
processes; Occupational Safety and Health Act (OSHA) compliance;
Americans with Disabilities Act (ADA) compliance; layoffs and office
closings in compliance with the law; management training regarding
legal responsibilities and employee rights; anti-harassment training
for Senate Members, Officers, managers, and staff covering prohibited
forms of harassment, including sexual harassment and retaliation; union
drives, negotiations, and unfair labor practice charges; and preventive
legal advice concerning applicable employment laws and regulations.
conservation and preservation
The Office of Conservation and Preservation supports the
preservation of official records and the bookbinding needs of Senate
leadership, committees, and offices.
In 2019, the work of the Office included bookbinding, framing, and
the fabrication of materials for presentation, storage, and display.
Bookbinding included re-casing of older books, congressional hearings,
and Congressional Record volumes with new covers and end sheets;
repairing bound volumes of Senate Library collection materials; and
preparing new volumes for binding from materials printed in-house at
the request of Senate offices. The Office designed and fabricated
custom boxes, enclosures, and slipcases for preservation and storage of
materials, prepared objects and signage for display in Senate exhibits,
and stamped and matted copies of the official photograph of the 116th
Congress.
curator
The Office of Senate Curator, on behalf of the Senate Commission on
Art (Commission), develops and implements the museum and preservation
programs for the Senate. The Curator collects, preserves, and
interprets the Senate's fine and decorative arts, historical objects,
and specific architectural features and exercises supervisory
responsibility for the historic chambers in the Senate wing of 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.
In keeping with scheduled procedures, all Senate Collection objects
were inventoried in 2019, and any changes in location were recorded in
the Curator's database. As directed by S. Res. 178 (108th Congress),
the Office submitted a list of works of art and historic objects in the
Senate to the Committee on Rules and Administration. The list, known as
the Art and Historic Furnishings Inventory, documents the history of
the acquisition, use, and manufacturer for each object. Items on the
inventory are prohibited from removal or purchase. The inventory, which
is submitted every six months, is compiled by the Office with
assistance from the SAA and the Architect of the Capitol's
Superintendent of Senate Office Buildings.
The Office continued to advance the preservation and documentation
of the historic Russell Senate Office Building furnishings by
conducting a yearly inspection of the use and location of the 65 flat-
top partner desks that remain in the Senate, and through educational
initiatives aimed at informing Senate staff about the history of the
furnishings.
Providing for the conservation needs of the Senate's historical
collections is an ongoing priority for the Office. In 2019, the
internal mechanisms of the Ohio Clock were conserved offsite to ensure
the continued function and long-term preservation of one of the
Senate's best-known symbols. In addition, the oil-on-canvas portraits
of Blanche Kelso Bruce and Margaret Chase Smith were treated for minor
repairs, and five sketches by Constantino Brumidi and their associated
frames were also cleaned and treated.
One hundred and four objects were accessioned into the Senate
Collection last year. The most significant additions were the donations
of the portraits of Senator Harry Reid and Senator Ted Stevens into the
Senate Leadership Portrait Collection. The portraits are the first
additions to the leadership series since 2011.
The Office actively collects contemporary artifacts, including
gallery passes, tickets, and programs from ceremonial proceedings in an
effort to preserve and document the present for future generations. To
that end, ephemera was added to the Senate Collection from a variety of
historic events in 2019, among them the unveiling ceremony for the
portrait of Senator Ted Stevens and the Joint Meeting to Hear Jens
Stoltenberg, Secretary General of the North Atlantic Treaty
Organization.
gift shop
The Gift Shop serves Senators and their spouses, staff, and
constituents, as well as the many visitors to the Capitol complex. The
products available include a wide range of fine gift items,
collectibles, and souvenirs, many created exclusively for the Senate.
In addition to over-the-counter and walk-in sales, the Gift Shop
offers an online order form through Webster, and the administrative
office provides mail order service and special orders. The Gift Shop's
second location, the Capitol kiosk, was temporarily closed in 2013 to
accommodate restoration of the Brumidi Corridors. The Gift Shop is
continuing to work with the SAA, in consultation with the Rules
Committee, to design a new seasonal and mobile Capitol kiosk.
Working with the Secretary of the Senate's Office of Information
Systems, the Senate Gift Shop installed a new point-of-sale (POS)
inventory system in October 2019. The new system allows for faster
customer service, increased reporting capability, and more efficient
and timely ordering of merchandise; in addition, the new system
provides greater overall security.
The Official 2019 Congressional Holiday Ornament evokes an old-
fashioned snow globe featuring the Capitol dome, the east front
extension, and the Capitol Christmas tree. More than 27,000 units of
the ornament were sold, of which more than 8,000 were personalized by
Gift Shop staff. Consistent with statute and past practice, a transfer
of $40,000 to the Senate Employees' Child Care Center was made based on
the annual sales of the Congressional Holiday Ornament. (See 2 U.S.C.
Sec. 6576(c)(3).) Also introduced this year was a series of ties from
Vineyard Vines featuring the Capitol and other design motifs.
historical office
In 2019, the staff of the Senate Historical Office continued to
serve the Senate and the broader community through a variety of
activities.
Senate historians and archivists worked closely with the Senate
Webmaster to update, revise, and reorganize Senate.gov. They
collaborated with the staff of the Center for Legislative Archives to
enhance archiving capabilities and storage capacity. Senate historians
provided expertise to the Capitol Visitor Center (CVC) staff to improve
the quality of Capitol tours and ensure innovation and accuracy in the
development of new exhibits.
The Historical Office also provided many specially requested talks
and tours to Senate offices; answered more than 2,000 history-related
questions by e-mail, phone, and personal contact from staff, the
public, and press; and drew large audiences for historical and archival
presentations. Such presentations included, but were not limited to,
``Building a Bipartisan Strategy for Success: Senate Leadership and the
Civil Rights Act of 1964'' and ``History of Party Whips'' in March;
``The Senate and Women's Fight for the Vote'' in June; and ``We the
Undersigned: Suffragists Petition the Senate'' in September. Senate
historians also continued to provide regular talks to Senate audiences,
as well as weekly ``historical minutes'' at Conference luncheons. The
Senate Historian is currently working on a collection of such minutes
for inclusion in a book entitled Senate Stories.
Since 1976 Senate historians have conducted hundreds of oral
history interviews with Senators, Officers, and staff. In 2019, the
historians again focused their attention on a special oral history
project, ``Women of the Senate.'' In anticipation of the centennial
commemoration of Senate passage of the woman suffrage amendment in
1919, ratification of the Nineteenth Amendment in 1920, and the service
of the Senate's first female Member, Rebecca Felton, in 1922, the
historians continued to conduct interviews with former female Senators
and staff. With phase one of the project completed, the historians
began developing a special online feature that will debut on Senate.gov
in the summer of 2020, to celebrate the Ratification of the Nineteenth
Amendment.
In 2019, Senate archivists focused on acquiring all non-current
Senate records with great success. As a result, the Senate transferred
365 accessions from committees, subcommittees, conferences, and offices
of the Secretary and the SAA through the Historical Office to the
Center for Legislative Archives. Senate archivists processed 109
separate loans totaling 421 boxes, or more than 536,250 pages, in 2019.
Historical Office staff collaborated with the Office of Web
Technology and the Information Systems Office to research, test, and
implement a Digital Assets Management program in order to better
preserve, organize, catalog, and make available the Historical Office's
extensive collection of digital assets, including photographic images,
illustrations, documents, and oral history audio and video files.
In collaboration with the Office of the Clerk of the House of
Representatives, the Secretary's Executive Office and the Historical
Office have continued to monitor the lease, renovation, and preparation
of much-needed congressional archival storage space at GPO Building A,
allowing for expansion of storage space for the Center for Legislative
Archives. The Building A project has been completed and the Center for
Legislative Archives began transferring archival records to the new
storage space in February 2020. Phase two of the project is entering
the design stage and will continue in 2020.
Throughout the past year, Senate historians and archivists have
continued to represent the Senate community at scholarly conferences
and seminars, teacher training programs, and in other educational
settings in order to fulfill the Historical Office's founding mission
of preserving and promoting the history of the Senate.
human resources
The Office of Human Resources was established in June of 1995 by
the Secretary of the Senate 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. These responsibilities
include recruiting and staffing; providing guidance and advice to
managers and staff; training; performance management and evaluation;
job analysis and classification; compensation planning, design, and
administration; leave and time administration; records management;
maintaining and updating the Secretary's employee handbook; employee
relations; and organizational planning and development.
Human Resources staff coordinate the Secretary's management
training program and in 2020 will be introducing a continuing education
management training program for those who have graduated from the
management training program. Human Resources staff train all incoming
staff on the Secretary's customer service program, R.A.T.E. This
program emphasizes four core principles that guide Secretary staff:
being responsive, going above and beyond, being trusted, and being
engaging and friendly.
The Office also administers the following for Secretary staff: the
public transportation subsidy program, student loan program, Family
Medical Leave Act (FMLA) program, veterans' preference program, parking
allocations, and the Secretary's intern programs. The intern programs
include a summer internship that offers college students the
opportunity to gain valuable skills and experience in a variety of
Senate support offices; the Congressional Internship Program for
Individuals with Intellectual Disabilities; Operation Warfighter for
wounded and ill service members; and the Upward Bound Internship
Program for low-income high school students.
information systems
The Office of Information Systems provides technical hardware and
software support for the Office of the Secretary. Information Systems
staff also interface closely with the application and network
development groups within the SAA, GPO, and outside vendors on
technical issues and joint projects. The Office provides computer-
related support for all local area network (LAN) servers within the
Office of the Secretary, as well as direct application support for all
software installed on workstations; it also initiates and guides new
technologies and implements next generation hardware and software
solutions.
The primary mission of the Office is to continue to provide the
highest level of customer satisfaction and computer support for the
Office of the Secretary. Emphasis is placed on creating and
transferring legislative records to outside departments and agencies,
supporting Disbursing's financial responsibilities to Member offices,
and complying with Secretary Office-mandated and statutory obligations.
interparliamentary services
The Office of Interparliamentary Services (IPS) is responsible for
administrative, financial, and protocol functions for special
delegations authorized by the Majority and/or Minority Leaders for all
interparliamentary conferences in which the Senate participates by
statute, and for interparliamentary conferences in which the Senate
participates on an ad hoc basis. The Office also organizes leadership-
authorized staff foreign travel and provides appropriate assistance as
requested by other Senate delegations.
The statutory interparliamentary conferences are the Mexico-United
States Interparliamentary Group; the Canada-United States
Interparliamentary Group; the British-American Interparliamentary
Group; and the United States-China Interparliamentary Group.
On behalf of the Senate Majority and Minority Leaders, the Office
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 the authority of
P.L. 100-71 are maintained by IPS. In 2019, two such visits occurred
with Senators.
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 and
Minority Leaders, IPS also assists staff members of Senators and
committees in filling out the required reports.
legislative information system (lis) project office \2\
LIS is a mandated system (2 U.S.C. Sec. 6577) that provides desktop
access to the content and status of legislative information and
supporting documents. In addition, pursuant to 2 U.S.C. Sec. 181, a
program was established to provide for the widest possible exchange of
information among Legislative Branch agencies. The long-range goal of
the LIS Project Office is to provide a ``comprehensive Senate
Legislative Information System'' to capture, store, manage, and
distribute Senate documents. The Office remains focused on Senate-wide
implementation and transition to a standard system for the authoring
and exchange of legislative documents such as bills, resolutions,
amendments, and reports that enhances the availability and re-use of
legislative documents within the Senate and with other Legislative
Branch agencies. In support of this goal, the Office maintains and
extends a standard system for authoring bills, amendments, resolutions,
committee reports, conference reports, and signature sheets. The
Legislative Editing in XML Application (LEXA) is used to draft
virtually all legislative measures in the Senate using a format
compatible with systems used throughout the Legislative Branch.
Extensible Markup Language (XML) has been accepted as the primary
data standard to be used for the exchange of legislative documents and
information. Following the implementation of LIS, the Office shifted
its focus to the data standards program and established the LIS
Augmentation Project (LISAP). The overarching goal of LISAP is to
provide a Senate-wide implementation and transition to XML for the
authoring and exchange of legislative documents.
The Office provides support to Senate Legislative Counsel; the
Committee on Appropriations; the Committee on Commerce, Science, and
Transportation; and the Enrolling Clerk in their use of LEXA for
drafting, engrossing, and enrolling. All Senate measures (bills,
resolutions, and amendments) are authored in LEXA and produced in XML.
GPO also uses LEXA to prepare measures for printing. Several new
features and fixes were added in LEXA releases in 2019 to improve the
drafting process. Office staff trained new drafters in the use of LEXA.
The LIS Project Office successfully managed the migration to the
Windows 10 version of LEXA for all users. Additionally, the Office
began a long-term project to modernize the underlying technologies used
in LEXA. This modernization initiative is required to enhance the
overall performance of LEXA for our customers.
The LIS Project Office is conducting several group projects with
GPO and the Legislative Computer Systems (LCS) in the Office of the
Clerk of the House of Representatives, which include participants from
the Office of the Law Revision Counsel (OLRC), the Senate Office of the
Legislative Counsel, and the House Office of the Legislative Counsel.
These projects include a multi-phase project for the OLRC that will
result in applications to convert, edit, and maintain the U.S. Code in
an XML format. The first phase of this project to convert the existing
U.S. Code to XML is complete. As a result of this project a new data
standard was developed, which the OLRC named United States Legislative
Markup (USLM). In another project, the Legislative Counsel's offices in
the House and Senate are collaborating on maintaining and using the
compilations of existing law in an XML format. Finally, the LIS Project
Office and LCS continue to monitor and participate in GPO's multi-year
project to replace Microcomp with a new composition system that can
directly ingest XML data without having to convert it to another format
before printing.
Based on the successful implementation of the USLM standard by the
OLRC and GPO, the Office is working to upgrade LEXA to use USLM as a
``next generation'' standard for legislative documents. A project is
underway to enhance LEXA to open, edit, and save documents in USLM.
This project is dependent on the progress made in the overall
development of the USLM standard.
The Office will continue to support all Senate offices using LEXA
for legislative drafting and will work with the House, GPO, and LOC on
projects and issues that impact the legislative process and data
standards for exchange.
library
The Senate Library provides legislative, legal, business, and
general information services to Senators and staff. 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 four websites: Congress.gov, Senate.gov, Webster, and its own site,
Library.senate.gov.
The reference librarians work with Senate staff on a wide range of
research topics, including legislative histories, legal citations,
public records, and news article searches. These experienced
information professionals draw on in-depth knowledge of Senate
institutional procedures and practices when answering reference
questions. In 2019, there were 10,727 walk-in, e-mail, and phone
requests. Librarians assisted all 100 Senators' offices, as well as
standing and joint committees, by answering questions, conducting staff
training, lending Library materials, and providing research support.
Senate staff continue to demonstrate an increasing preference for
web-accessible resources. The Library's Databases & Research web page
saw 23,453 visits in 2019, a 41 percent increase over the previous
year. The Virtual Reference Desk (VRD) on Senate.gov received more than
2 million visits to the content pages from public users in 2019,
including 891,995 visits to the revised glossary term pages currently
under review. The ongoing reorganization of content on Senate.gov has
both consolidated and improved the visibility of the Library's content
on the site.
A redesigned Webster interface that included a completely rebuilt
services directory was launched on July 15, 2019. Prior to launch, all
existing information on organizations and services was verified and web
page links were updated. The Library continues to update directory
content and answer inquiries sent in via a new feedback widget on
Webster. Librarians participated in usability studies and as members of
the Webster Design Working Group and reviewed the site's menus and
quick links. A new legislative resources page, linked from the site's
News & Research menu, was developed jointly with the Office of Web
Technology.
With the relaunch of Webster, the Library's own website moved from
the Webster platform to retain its architecture and current content
management system, assuming a new domain name, Library.senate.gov.
Following the move, the website group worked to ensure that Library web
pages were given appropriate visibility in Webster search results and
that page titles were descriptive of content. This effort resulted in
an increase in visits to the Library site as a whole and increased
visibility for the Senate-wide research resources hosted on the
Databases & Research page as noted above. An accessibility audit of the
website was undertaken with some modifications made to ensure that
visually impaired patrons would be able to view content and request
accounts without difficulty. The team also updated content to provide
better information for staff who need remote offsite access to
enterprise-wide online resources.
The Library plans to host a virtual outreach event to highlight new
eBook and audiobook offerings from OverDrive. Preparations are complete
for launch of the service pending a final review of web-based guidance
for users about new eBook and audiobook offerings available from the
new web-based catalog interface and mobile app.
Browsing collections featured in the Reference Room again included
``Great Reads,'' ``Popular Titles,'' ``New Books,'' and the ``Reference
Display.'' Materials in these collections circulated 1,441 times during
2019 and account for 53 percent of all items borrowed. A collection
shift improved the visibility and use of an expanded number of books
featured as ``Popular Titles.'' This browsing collection grew from 290
to 457 books, highlighting titles that are of current interest and
showcasing the Library's multidisciplinary collection. A total of 694
volumes were loaned from this collection in 2019, a 39 percent increase
over the previous year. These librarian-curated collections are a key
part of successful outreach efforts. Selected titles are regularly
featured in displays, highlighted on tours and in trainings for new
staff, and featured on the Library website and in its biweekly
newsletter e-mailed to patrons.
page school
The Senate Page School serves all appointed Senate pages with a
sound program, both academically and experientially, during their stay
in the nation's capital. Senate pages are all juniors or rising juniors
in high school, and the School ensures the appropriate continuation of
their studies integrated into the schedule of the page program in the
Senate. The School focuses on providing a smooth transition from and to
the pages' home schools.
In 2018, the Middle States Commission on Secondary Schools awarded
accreditation renewal that continues until May 1, 2025. Faculty and
staff's work to implement the action research plan approved by the
Commission and required for reaccreditation is ongoing. The Page School
is numbered among schools throughout the world that meet the
internationally recognized standards of quality.
In 2019, all courses at the Page School were designated as honors-
level courses. This designation most accurately reflects the academic
caliber of the courses and corresponds with the typical course level at
pages' home schools.
Faculty and staff provided extended educational experiences to
pages, including 20 field trips and 4 guest speakers, and opportunities
to study world languages. A panel of former pages also provided
information and answered current pages' questions. Summer pages made
four field trips to educational sites. The community service project
established by pages and staff continues. Pages collected, assembled,
and shipped items for gift packages to military personnel serving in
various locations and included letters of support to the troops.
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 of the U.S. Code as it
relates to Senate documents, hearings, committee prints, and other
official publications. The Office coordinates, schedules, delivers, and
prepares Senate legislation, hearing 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 and
committee prints, as well as legislative documents and other
publications; orders all blank paper, envelopes, and letterhead for the
Senate; and prepares page counts of all Senate hearing transcripts in
order to compensate commercial reporting companies for the preparation
of the transcripts.
During FY 2019, OPDS prepared 2,235 requisitions authorizing GPO to
print and bind the Senate's work, exclusive of legislation and the
Congressional Record. 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. Examples of major printing projects are the Report of the
Secretary of the Senate; the Congressional Directory; the Authority and
Rules of Senate Committees; and the Journal of the Proceedings of the
Senate.
During 2019, OPDS processed and distributed more than 11,000
legislative items, in addition to fulfilling numerous daily requests
for legislative material at the walk-in counter and by telephone, mail,
and e-mail. The trend for on-demand printing continued in 2019; the
Office produced 1,596 on-demand print jobs. It also maintains its
practice of monitoring and adjusting the number of documents received
from GPO to meet demand while eliminating waste. Online ordering of
legislative documents and the link to the Printed Legislation Hot List
on Webster, where Members and staff can confirm arrival of printed
copies of the most sought-after legislative documents, remain popular.
The page is updated each time new documents arrive at OPDS from GPO.
The Office is in the process of creating new online filing systems,
accessible to all OPDS staff, to help with the tracking and filing of
requisitions, hearing print orders, and GPO proofs of letterhead,
envelopes, and all other specialty jobs. These new systems will vastly
improve the efficiency and effectiveness of the Office.
public records
The Office of Public Records receives, processes, and maintains
records, reports, and other documents filed with the Office of the
Secretary that involve the Lobbying Disclosure Act (LDA) of 1995, as
amended; the Honest Leadership and Open Government Act of 2007; the
Senate Anti-Harassment Training Resolution of 2017 (S. Res. 330); the
Senate Code of Official Conduct; Rule 34, Public Financial Disclosure;
Rule 35, Senate Gift Rule; Rule 40, Registration of Mass Mailing; Rule
41, Political Fund Designees; Rule 41(6), Supervisor's Reports on
Individuals Performing Senate Services; and Foreign Travel Reports
required by the Mutual Security Act of 1954. The Office works closely
with the Senate Select Committee on Ethics and the Office of the Clerk
of the House of Representatives concerning filing requirements, where
applicable.
From October 2018 through September 2019, Public Records staff
assisted thousands of individuals seeking information from or about
reports filed with the Office by responding to walk-in, telephone, and
e-mail inquiries. Further, the Office provided assistance to
individuals attempting to comply with the provisions of the LDA.
The LDA requires semi-annual contribution reports and quarterly
financial and lobbying activity reports. As of September 30, 2019,
there were 4,565 registrants representing 19,520 clients. The total
number of individual lobbyists disclosed on FY 2019 registrations and
reports was 14,006. The total number of lobbying registrations and
reports processed was 115,071. The Office referred 1,477 cases of
potential past noncompliance to the U.S. Attorney for the District of
Columbia. Throughout FY 2019, the Office maintained increased
communication with the filing community with the goal of reducing
noncompliance going forward.
The Office coordinated with the Office of the Clerk to implement
the provisions of P.L. 115-418 (The JACK Act), which requires
disclosure of past convictions on certain LDA filings. Additional
reporting fields were added to the online LDA filing system, and
guidance was developed to assist filers in understanding the reporting
requirement. The conviction information is made public through the
online LDA databases maintained by the Office.
During FY 2019, the Office developed and deployed the online
disclosure system for the Anti-Harassment Training Certifications
required by S. Res. 330 passed by the Senate in 2017. The resolution
requires the Secretary to publish the certifications not later than 30
days after the beginning of a new Congress. Training certifications for
the 115th Congress were made public on January 29, 2019.
Other disclosure requirements overseen by the Office include Public
Financial Disclosure reports, the post-employment lobbying ban, mass
mailing reports, and Gift Rule/Travel reports. The filing date for
Public Financial Disclosure reports was May 15, 2019, and a total of
5,594 paper and e-filed reports and amendments were filed. The reports
were made available to the public and press as soon as they were filed
and processed, and in most cases on the same day. Public Records staff
provided copies to the Ethics Committee and the appropriate state
officials. Senators are also required to file mass mailing reports on a
quarterly basis. The number of pages submitted during FY 2019 was 349.
In addition, the Office received 532 Gift Rule/Travel reports during FY
2019.
stationery room
Since it was formally established in 1854, the Senate Stationery
Room has evolved into a diversified retail outlet serving the needs of
the Senate community by providing a wide range of office and
administrative supplies, communication and computer accessories, and
special-order items for official government business.
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 to best meet the immediate needs of the Senate
community; developing and maintaining productive business relationships
with a wide variety of vendors; maintaining expense accounts for all
authorized customers and preparing monthly activity statements; and
managing all accounts receivable and accounts payable reimbursements.
Stationery has also coordinated with the Emergency Preparedness Office
to stock the ``Stop the Bleed'' kits for Senate offices on Capitol
Hill, as well as for state offices.
Utilizing the Pay.gov service offered by the Department of the
Treasury, the Stationery Room has been accepting online flag requests
and payments from constituents through Member offices. Currently, 92
Member offices are offering this payment option and 4 offices are in
the beginning stages of the program. Among its benefits are decreased
wait times for constituents, elimination of payment inaccuracies, and
greatly reduced workloads for office representatives.
The Stationery Room contracts annually with various vendors to
provide U.S. flags. The flags are purchased by constituents through
individual Member offices and are flown over the Capitol for
commemoration of special occasions. The Stationery Room also sells pre-
flown flags.
joint office of training and development
The Joint Office of Training and Development, overseen by the
Office of the Secretary and the SAA, provides training to ensure that
all Senate staff have the resources and skills they need to perform
their jobs. In 2019, nearly 8,000 staff attended in-person and webinar
classes or utilized the Office's many resources for individual
coaching, instruction, or specific guidance. More than 6,000 of these
staff were assisted by the Office in informal learning encounters
outside the classroom. Additionally, the Office facilitated 3
conferences for more than 200 state staff.
This year the Office plans to continue to refine and improve the
existing training, provide professional development training to Office
staff, and obtain various software licenses to provide support to
Senate staff learners.
The Health Promotion section within Training and Development is
mandated to provide health promotion activities and events for the
Senate community. Each year the section coordinates and hosts the two-
day Senate Wellness Fair. In 2019, nearly 3,000 staff participated in
health promotion activities, which included screenings for glucose,
cholesterol, and blood pressure, exercise demonstrations, and seminars
on topics such as healthy eating and cancer prevention. The Office
continues to coordinate with the American College of Surgeons and the
Stop the Bleed Coalition to provide bleeding control training for D.C.
Senate staff. During 2019, more than 75 Senate staff were trained, and
the Office continues to provide this training quarterly.
web technology
The Office of Web Technology is responsible for Senate.gov, the
Secretary's intranet on Webster, portions of the central site of
Webster, and Legbranch.senate.gov (an extranet site available to all
Capitol Hill entities). The Office is also responsible for the web-
based systems, servers, and technologies supporting these websites that
fall under the purview of the Secretary of the Senate.
Senate.gov content is maintained by more than 30 contributors from
7 departments of the Office of the Secretary and 3 departments of the
SAA. Most content is controlled through the Secretary's web content
management system, managed by the Office.
Further enhancement of the refreshed, mobile-friendly version of
Senate.gov that launched in March 2017 continued with the newly
organized Legislation & Records section. The section was organized and
broadened to include content that had previously existed only on other
parts of the website. The new information architecture for the
Legislation & Records section logically groups materials relating to
bills, acts, nominations, treaties, votes, floor proceedings, rules,
procedures, landmark legislation, sessions of Congress, and public
disclosure, making discrete pieces of data easier to find while
providing greater opportunity for users to discover related content.
The Art & History section is now undergoing a multi-phased project to
reorganize the content into several new top-level sections to better
serve varied audiences. The Office will continue revisions until all
major sections have a new and improved information architecture, vastly
increasing overall findability on the site and further modernizing the
refreshed design.
Working alongside the SAA, the Office revamped Webster into a more
modern, consistent, and user-friendly intranet for Senate staff. The
Senate community was regularly consulted as the project progressed and
is continually encouraged to provide feedback. The new version of
Webster provides the Senate community with a highly accessible, easy-
to-use internal tool for numerous and varied tasks. The vastly enhanced
intranet site offers several valuable new features such as live floor
proceedings dynamically showing on the home page when the Senate is in
session, greater prominence of news and research services, revamped
main navigation, and frequent links used by staff in common roles.
Establishment of standalone websites for the Senate Library, Senate
Chief Counsel for Employment, and Gift Shop, outside of the common
appearance, features, and infrastructure of Webster, allowed for these
departments to accomplish their unique objectives without taking away
from Webster's overall uniformity and continuity. Modern servers were
built and configured to realize these standalone Secretary Office
sites, support the advanced functionality these departments require,
and ensure the accurate and timely presentation of Secretary-provided
data to the central portions of Webster.
The Office began publishing more and smarter data to the extranet
server Legbranch.senate.gov for our data partners' consumption and to
help them facilitate newly introduced projects such as the common
congressional hearings calendar on Congress.gov. This combined the
coordination of policy and information technology expertise to satisfy
legislative requirements and stay within existing practices and
procedures. Data modernization will continue in the coming year in
coordination with the Senate Clerks, LOC, GPO, and SAA support
organizations.
In 2019, an average of approximately 41,000 visits were made per
day to the central site of Senate.gov, a 17 percent increase over the
previous year. The Office responded to nearly 1,100 e-mails from the
general public regarding Senate.gov.
emergency preparedness and continuity planning
Throughout 2019, the Office of the Secretary continued to develop a
broad range of emergency preparedness and continuity programs, in
coordination with the SAA, House Officers, the U.S. Capitol Police, and
partners in the Executive and Judicial Branches. The primary objectives
of the Office of the Secretary are to ensure the continuity of the
legislative process and the ability of the Senate to meet its
constitutional obligations under any circumstances. Within the Office
of the Secretary, drills, exercises, and flyaway kit updates are
conducted routinely in order to ensure that all departments can carry
out essential functions in an emergency. All departments within the
Office of the Secretary also maintain individual COOP plans to ensure
their preparedness.
other mandated projects
In the Legislative Branch Appropriations Act of 2019, the Office of
the Secretary was directed to conduct or contract for a compensation
study across all Member offices and committees. The study must
facilitate an evaluation of whether Senate staff receive similar pay
for similar work, including a comparison to outside workplaces. In
2019, the Office formed a working group whose members include
representatives from the Secretary's Executive Office, Human Resources,
the Senate Library, Senate Chief Counsel for Employment, and Web
Technology, and contracted with outside experts to facilitate this
project. Work on the project is ongoing, with significant efforts being
made to correctly identify comparability factors for a successful
survey with viable and useful results.
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\1\ This section constitutes the regular update on the mandated
FMIS project managed by the Office of the Secretary.
\2\ This section constitutes the regular update on the mandated LIS
project managed by the Office of the Secretary. The LIS referred to in
this section is not the same as LIS.gov, referred to on page 10, or the
LIS/DMS referred to on pages 11, 13, and 14.
---------------------------------------------------------------------------
______
Prepared Statement of Open World Leadership Center
``Since participating in Open World as a journalist several
years ago, I have often referred to the lessons learned and
best practices that were demonstrated during my program. As
Head of the Parliamentary Committee on Preventing and
Combatting Corruption, I remember well that most of the
Americans I've met believed they can achieve anything they
want. Open World's network of alumni in Ukraine consists of a
new generation of Ukrainians working to improve their country
and fight corruption in these trying times. I hope that
Congress continues this program as it is important for
Ukraine.''
Members of the Subcommittees, thank you for the opportunity to
submit testimony for the record on the Open World Leadership Center
(the Center). Congressional participation on our governing board and in
our programs has made the Center uniquely qualified to support Members'
conduct of Congressional diplomacy and to serve Members, their
constituents and communities across America. All of us at the Center
are deeply grateful for your support.
overview
In 1999, Congress authorized the Open World program (then called
the Russian Leadership Program) as a pilot project as a result of
discussions between then Librarian of Congress, Dr. James H.
Billington, and a bicameral and bipartisan group of Members of
Congress. The project focused on the question of how to increase mutual
understanding between Russia and the United States and to support
Russia's democratization efforts. In December 2000, the success of the
Russian Leadership pilot program and the continued importance of its
mission led Congress, through the leadership of the House and Senate
Appropriations Committees, to establish a permanent, independent entity
in the Legislative Branch to administer the program: the Open World
Leadership Center.
The Center conducts the Open World program, one of the most
effective U.S. exchange programs for countries in transition.
Participation on the program has enabled more than 29,000 young global
leaders to engage in and interact with Members of Congress,
Congressional staff, and thousands of other Americans, many of whom are
the delegates' direct professional counterparts. The Open World program
focuses on assisting Congress in its oversight responsibilities and on
conducting exchanges that establish and foster lasting professional
relationships between the emerging leaders of Open World program
countries and Americans dedicated to showcasing U.S. values and
democratic institutions. The Center's non-partisan nature and
independence from the priorities of the executive branch is an
important asset for the program.
The highly-regarded Open World program has played an increasingly
vital role in the political landscapes of many countries throughout
Eurasia and has been effective in improving relationships with these
countries by introducing emerging leaders to their professional
colleagues and thematic best practices throughout the United States.
The Center brings rising leaders who have become influential in the
national arena and within their communities. The Center has a long
record of providing substantial expertise in conducting exchange
programs tailored to support the Legislative Branch. As it embarks on
its third decade, the Open World Leadership Center continues to strive
for excellence in providing relevant, informative, and timely programs
for foreign legislators and the best and brightest young professionals
in Open World program countries.
By the close of 2019, over a 20-year span, the Center had brought
more than 29,000 young and emerging leaders from 21 countries.\1\ These
talented and engaged political and civic leaders were hosted in all
fifty states by nearly 8,000 families in some 2,300 communities across
the United States.
As a U.S. Legislative Branch entity, Open World actively supports
the foreign relations role of Congress by linking delegates to Members
and their enthusiastic constituents throughout the United States who
are engaged in projects and programs in Open World countries. Open
World programs routinely involve Members in hosting activities. More
than eighty percent of delegates met with Members of Congress and their
staff last year.
The Center also regularly consults with the Commission of Security
and Cooperation in Europe, the House Democracy Partnership, the
Congressional Ukrainian Caucus, the Senate Ukraine Caucus, the Albania
Issues Caucus, Congressional Georgia Caucus, Congressional Serbian
Caucus, the Friends of Kazakhstan Caucus, the Congressional Caucus on
Central Asia, the Congressional Mongolia Caucus, other Congressional
entities, and individual Members with specific interests in Open World
countries or thematic areas.
open world activities in 2019 and plans for 2020
In 2019, the Open World program included seventeen participating
countries and 1,020 emerging leaders who were able to benefit from
direct exposure to the workings of the United States Congress; to
understand the impact of legislation on all aspects of society; and to
experience the robust and dynamic democracy and free market system that
exists in the U.S. and makes up its form of federalism. Also of
significance is that these Open World participants broke bread with
their American counterparts, woke up in an American household, and saw
families/children getting ready for work/school. They witnessed social
activism, a free and aggressive media, and the incredible volunteerism
that makes up this great country.
Parliamentary Program in 2019
In developing its latest strategic plan, the Center's Board of
Trustees emphasized the importance of parliamentary programs that link
Members of Congress to their counterparts from Open World countries. A
goal was then set that 15% of delegates would be Members of Parliament,
parliamentary staff or regional legislators or their staff. We met that
goal in 2019. The interaction between our Parliamentarians and Members
of Congress created numerous opportunities for unfiltered dialogue
between the U.S. Congress and Parliaments from Open World countries. It
also provided timely discussion of the political and economic
conditions affecting these countries. Overall, fifteen parliamentary
delegations consisting of 89 participants from ten countries (Armenia,
Georgia, Kazakhstan, Kyrgyzstan, Moldova, North Macedonia, Serbia,
Tajikistan, Ukraine, and Uzbekistan) traveled to the United States for
home stays from Olympia, WA to Burlington, VT and ten states in
between.
The Open World Leadership Center made great strides in 2019 to
further strengthen its relationship with the U.S. Congress and further
engage Members of Congress in our parliamentary programs. To that end,
2019 was the first year that the Center cooperated with congressional
caucuses to put on joint events to introduce Open World delegations of
Members of Parliament. In November 2019, the Center paired with the
Congressional Caucus on Armenian Issues to hold a reception for a
delegation of Members of Parliament from Armenia. Also in November
2019, the Center paired with the Congressional Ukrainian Caucus to hold
reception for a delegation of newly elected members of the Ukrainian
Parliament. The Center plans to increase the number of congressional
events held in conjunction with congressional caucuses and committees
in 2020. The Center is also increasing ties with the Parliaments in
other participating countries. In 2019, the Center cemented a close
relationship with the Parliament of Georgia to such an extent that the
Secretary General and the Center are in the process of finalizing a
Memorandum of Understanding with the Parliament towards improving the
functioning of the administration of both legislative bodies, bearing
in mind the importance of bilateral relations and recognizing the will
to further enhance mutual cooperation. According to the Chief of Staff
of the Vice Speaker of the Parliament of Georgia:
``Open World's Parliamentary exchange program has been the most
successful program ever in its history.''
Open World's Parliamentary program is profoundly effective because
it provides the participants the opportunity to present their country
and its issues to Members of Congress. The relationships established
during this program leads to great relationships with Open World
parliamentary alumni, who are then eager to nominate other strong
candidates and to help develop programmatic themes based on the
necessities of their country. This one-on-one contact and unrivaled
access, the sharing of meals, and the fact that the Center individually
tailors each program has made these exchanges beneficial for both the
visiting Parliamentarians and the Members of Congress with whom they
meet and whom the Open World Leadership Center serves. The Center plans
to continue and enhance this important programming in 2020.
Following is a country by country review of the seventeen nations
that participated in Open World in 2019 and for which programming is
planned for 2020.
Russia
From 1999 through 2019, the Open World Leadership Center hosted
20,134 young Russian leaders. In calendar year 2019, the Center hosted
341 Russian participants in 57 exchanges. Delegates came from 67 of
Russia's 89 administrative subjects, included a wide range of ethnic
groups, and were hosted in 42 host communities in 30 U.S. states. Women
made up 56% of the delegates.
The Center has maintained a robust program in Russia, despite the
continued deterioration of U.S.-Russia relations. In 2019, the Center
welcomed its 20,000th Russian participant. The alumni community in the
country continues to show a willingness to meet with their American
counterparts in Russia, and recommend the program to their colleagues
and professional contacts. Furthermore, American diplomats often reach
out to the Center for contacts in cities that they are visiting because
they know that Open World alumni are leaders in their communities, are
objective and forward thinking. Also, because of their firsthand
experience in America, they are confident enough to meet with U.S.
embassy officials without fear of rebuke.
In 2020, as the U.S.-Russia bilateral relationship is likely to
remain severely strained, Open World programs will focus on maintaining
partnerships, increasing people-to-people contacts in order to counter
disinformation and to foster greater mutual understanding. We will
prioritize programs that reinforce long standing partnerships and that
further newly formed ones, such as sister city relationships and Rotary
club partnerships. The program will counter anti-American propaganda
and promote a positive image of the United States by linking
professionals with their U.S. counterparts and providing a host family
experience for each participant. Program themes will also focus on
areas of mutual interest, such as health issues, business and
innovation, entrepreneurship, education, national parks/conservation,
and inclusion. Many program themes will also include local legislators
and those seeking to run for local office.
Open World alumni occupy a wide array of positions at various
levels across the country and are willing and eager to help promote a
positive U.S.-Russia relationship. For example, a delegation of
zoologists visited the Henry Doorly Zoo in Omaha, Nebraska in September
2018. The delegation included two employees of the Moscow Zoo, one of
which was promoted to Scientific Director not long after completing the
program. While at the Zoo in Omaha, local staff mentioned to the group
that they had been trying to acquire an Amur tiger from Russia and how
difficult it was. The Open World delegates from the Moscow Zoo pledged
to help on their side. After returning to Moscow, the alumni advocated
for the transfer of a tiger to the Omaha Zoo and the process quickly
re-started, after having been stalled for some time. In the summer of
2019, the tiger was transferred to Moscow and in November, the tiger
arrived in Omaha. This is a great example of American and Russian
scientists working together on a conservation program to save the Amur
tiger, an endangered species.
Another strong area of cooperation between the Center's host
communities and our Russian delegations stems from sister city and
other existing partnerships. In 2019, there were many events held that
showed the strong dedication each city has to maintain, or revitalize,
their partnerships. The Zelenograd-Tulsa Sister City partnership was
reinvigorated in March, when an event was held to organize the
Zelenograd City Cultural Center, with 32 participants in attendance,
including alumni, city administration officials, local NGO leaders, and
local media and journalists. A videoconference was held to include
their counterparts in Tulsa, and they decided to set up a Tulsa
informational stand in Zelenograd's local museum. A delegation from
Portland, ME traveled to Archangelsk over the summer, where they held 5
Sister City partnership-focused events for alumni. The events served to
strengthen relationships forged while on the Open World program.
Another successful partnership Cleveland-Volgograd Sister City
partnership held an alumni conference in Volgograd, which was attended
by alumni and representatives from several other Sister City
committees, including Yaroslavl, Archangelsk, and Vladimir. This event
completely revitalized the Cleveland-Volgograd Sister City partnership.
The success of these partnerships comes from the genuine desire of Open
World delegates and their American partners to continue a friendship
that grows stronger with each year that new groups visit their Sister
Cities.
In December 2019, based on the recommendations of the Open World
20th Anniversary Symposium, 17 Russian alumni of the Open World program
gathered to create an Open World Program Alumni Association. The group
formed a council, elected a chairman, and are planning their first
formal meeting in the first quarter of 2020.
Ukraine
From 2003 through 2019, the Center hosted 4,037 Ukrainian emerging
leaders. In calendar year 2019, the Center hosted 321 Ukrainian
participants from all current unoccupied regions of Ukraine. They were
hosted in 47 host communities in 29 U.S. states, and women made up 61
percent of the delegates. The Center's objective in Ukraine is to
increase exposure to democratic processes by providing a new generation
of Ukrainian leaders with the vision, skills, and tools needed to
develop their country at this critical juncture in its history and
while it faces Russian aggression in its Southern and Eastern regions.
Open World programming in Ukraine is aimed at furthering the reform
efforts of the new government; furthering legislative reform; assisting
in the decentralization process; promoting the rule of law; improving
transparency in the public and private sectors; responding to the
humanitarian needs of a war-torn society; and providing a secure safety
net to a population demanding change.
In the past year, the Center has seen many of its alumni take
critical positions in the new government and become the vanguard on
reform. Among the Center's more than 4,000 alumni in Ukraine are the
Minister and Deputy Minister of Healthcare; the Deputy Minister of
Veteran Affairs/Temporarily Occupied Territories; two Deputy Minsters
of Education and Science; the Deputy Minister of Youth and Sports; and
the First Deputy Prosecutor General. The Center also works closely with
four additional alumni that are close advisors to Ukraine's President.
In addition, twenty-one Members of the Parliament of Ukraine (Verkhovna
Rada) are alumni, including fifteen new Members. These alumni include
the Heads of the Committees on Legal Policy, Education, and on Science
and Innovation; the First Deputy Heads of the Committees on
Anticorruption Issues and on Budgeting; and the Secretaries of the
Committees on Foreign Policy, Inter-parliamentary Cooperation, and
Health. In addition, five Open World alumni have been appointed to the
newly formed High Anti-Corruption Court, three in the General Chamber
and two in the Appeals division.
The power of the Center's alumni network can be gauged by the
success of recent alumni programs such as those on Health Care/Medical
Reform Issues, Veterans Affairs, and Decentralization/Economic
Development in Eastern Ukraine, with the first two being larger Kyiv-
based activities and the other being an innovative program held in
Mariupol. All together, the Center conducted 11 alumni events in
Ukraine throughout 2019 with the participation of more than 450 program
alumni. At the February 2019 Medical Reform event, the former Acting
Minister of Healthcare of Ukraine, Ulana Suprun (an active nominator of
the program), expressed her admiration for Open World program alumni
and spoke about the long-term successful cooperation the Ministry of
Health has had with the Center, even indicating that she specifically
looks for Open World program alumni when she is hiring. Outstanding
Open World alumni served as speakers and they delivered various views
on the timely issue of medical reform and held active discussions with
the program attendees. At the Veterans Affairs event in October 2019,
Open World alumna, Member of Parliament and wounded warrior Yana
Zinkevych spoke about her Open World program experience and shared how
her participation gave her the courage to join the election campaign
and run successfully to become a Member of Parliament. Ms. Zinkevych
was followed by Deputy Minister of Veteran Affairs/Temporarily Occupied
Territories and wounded warrior Oleksandr Tereshchenko who spoke about
how the Open World program inspired him on his professional
accomplishments having risen from the director of a small NGO in
Mykolaiv to the Deputy Head of the Academy of Patrol Police to his
current position.
Open World program results are widespread among emerging Ukrainian
leaders in many sectors. Open World program alumni teams have received
U.S. Embassy grants aimed at transparency in educational budgeting,
empowering youth in remote areas, supporting socially responsible youth
startups, promoting women in politics, and furthering best practices in
education and academic integrity. From the NGO Director who worked on
developing and transforming the war-torn Donetsk region being awarded
an Honorable Service medal personally by President Zelensky on Freedom
Square on Independence Day, to small-scale woman agriculture leaders
expanding the use of greenhouses in the village of Levkiv in the
Zhytomyr region to an alumna winning international grants to install
solar panels on the roof of a rural school in the Poltava region and to
organize a camp for climate activists, the Center is proud of the
achievements of its more than 4,000 alumni in Ukraine. The Center
hosted its 4,000th participant from Ukraine in October 2019. This
delegate from Kharkiv was also able to participate in the celebration
of the 30th Anniversary of the Cincinnati-Kharkiv sister city
partnership, which the Center has been supporting since it added
Ukraine in 2003.
Due to Ukraine's strategic significance, the Center regularly
consults with House and Senate Ukraine Caucus members and works closely
with the leadership of the U.S. Embassy in Kyiv to design programming
that is responsive to the needs of a new government promising reform
and that is still facing aggression and the occupation of about seven
percent (7%) of its territory. In 2020, the Center will focus its
programming on new Members of the Ukrainian Parliament/Legislative
Processes, Decentralization/Regional Government, Health System and
Education Reform, Rule of Law, Media/Investigative Journalism, Minority
Inclusion Issues, Anti-Corruption Efforts, Entrepreneurship and
Business Development, Agriculture, Energy Issues, Veteran's Programs
and other Social Safety Net Issues. All programming is aimed at
strengthening democratic institutions and promoting good governance.
As part of the 2020 planning efforts, the Center is embarking on an
initiative to provide as many of the 323 new Members of Ukraine's
Parliament as calendars permit with programming aimed at providing them
exposure to the U.S. Congress and legislative processes at all levels
of governance. Four new members of Ukraine's Parliament, including two
high-ranking members representing President Zelensky's party, one
representing the ``Fatherland'' party, and one independent
representative of the ``For the Future'' faction, visited with the
Center for four days in November 2019, to work on the design of this
ambitious initiative. The Open World Leadership Center's Executive
Director Jane Sargus and Deputy Executive Director Maura Shelden
followed up this visit by traveling to Ukraine in December on a program
planning mission and met with the leadership at the U.S. Mission, the
Speaker of the Parliament, and other stakeholders, such as the USAID
implementer of the Responsible Accountable Democracy Assembly (RADA)
program, with which the Center has worked very closely.
Armenia
From 2011 through 2019, the Center hosted 157 delegates from
Armenia. Many emerging Armenian leaders have been introduced to their
American counterparts and observed firsthand the power of civic
engagement and accountable governance. With the Center's very short
programming timeline, we are able to adapt themes to the current
situations in Yerevan. Following Armenia's Velvet Revolution, the Open
World program for Armenia was configured to reflect the needs of that
country's new government and its citizens.
After the December 2018 parliamentary elections, the Center saw an
important opportunity to bring newly elected Members of Parliament on
the program to meet their U.S. counterparts. In November 2019, the
Center welcomed its first parliamentary delegation after the Velvet
Revolution in a program that was highly touted by Members of the
Congressional Armenian Caucus. The Center plans to continue this
parliamentary program in 2020, focusing on newly elected members. It is
an opportunity to expose these members to new mechanisms of law making
and deepen their knowledge of the United States legislative process in
this crucial time in Armenia's history.
Following the peaceful transition of power during the Velvet
Revolution, a new generation of young and dedicated professionals has
moved into key roles in the government, and Open World alumni have
flourished and risen to leadership positions. During the Velvet
Revolution, Open World alumnus Alen Simonyan played a very active role
in the peaceful revolution. In December 2018, he was again elected to
Parliament and in January 2019, he was elected to be Vice President of
the National Assembly. Mane Tandilyan was the Minister of Labor and
Social Affairs in 2018 and now serves as a Member of Parliament. Vahe
Danielyan, who participated on the program as a parliamentary staffer,
has been promoted to Advisor to the Deputy Prime Minister.
In 2020, we will continue to bring emerging leaders from Armenia on
the Open World program as we have seen how much of an impact they have
in shaping the future of that country.
Azerbaijan
From 2007 through 2019, the Center hosted 337 delegates from
Azerbaijan. Delegates from Azerbaijan benefit immensely from
participating in the Open World program. Open World is working to
enhance women's role in society since women face numerous social
barriers in Azerbaijan. Our programs dedicated to all-women
participants include Women in STEM and Women in Politics and Civil
Society. Farida Asgarzade, who participated on the Women in Politics
and Civil Society program, was recently nominated for the ``Influencer
of the Year'' award at Innovation Week 2019 in Baku. She is the founder
of the Human Foundation platform, the director of the Center for Social
Business, a teacher at the Business School at Azerbaijan State
University of Economics, and is a social entrepreneur.
Open World programming in Azerbaijan is also aimed at recognizing
those who are underserved and underrepresented, including the disabled,
refugees, and Internally Displaced Persons. Elman Suleymanov, who
participated on a Disability Advocacy and Reform program, received a
grant for a project that designed and produced a special guide for
people with visual disabilities. This guide included a printed braille
alphabet, audio books, and covered the topics of medical first-aid and
instructions for responses to natural disasters for people with visual
disabilities. The guide was circulated among people with visual
disabilities and state libraries. Elman, who is visually impaired, was
greatly appreciative that he was able to participate on the Open World
program. He felt that his participation helped him grow as a
professional and boosted his confidence.
A fellow extraordinary alumni from the Disability Advocacy and
Reform program is Nihad Gulamzada. He is the CEO and Founder of the
first inclusive theatre consisting of actors with disabilities in
Azerbaijan and the Caucasus. In 2019, Nihad was able to gain government
support and organize his productions in partnership with various
ministries. Nihad partnered with fellow Open World alumnus Elman
Suleymanov by handing out copies of the guide for people with visual
disabilities to guests of the theater performances. Nihad is currently
running for Parliament in the February 2020 parliamentary elections.
Belarus
In 2004, and from 2017 through 2019, the Center hosted 54 delegates
from Belarus. The program has focused on fostering a stronger civil
society, economic resilience, issues of good governance and
transparency, respect for human rights, and countering misinformation.
Program themes have focused on healthcare, intellectual property
rights, marketing, tourism, alternative energy, media, and
entrepreneurship. The year 2020 marks four straight years of Open World
programs with Belarus.
The Open World alumni community in Belarus is growing and becoming
more active. In May 2019, Program Manager Matt Tucker traveled to Minsk
to meet with alumni, embassy staff, and nominators from the public and
private sectors. During a small alumni event held around the visit,
fellow Open World alumni from different parts of the country and
representing different professional fields, were able to meet, share
experiences, and discuss ways of collaborating amongst themselves.
A delegate who participated in a recent media literacy program has
already made plans to invite a professional speaker from her local
program in Detroit, MI to visit Minsk and conduct a series of speaking
events and outreach programs on media literacy at her institution,
Press Club.
Estonia
From 2013 through 2019, the Center brought 26 delegates from the
Estonian judiciary. These delegations were hosted by federal judges
that were identified in cooperation with the International Judicial
Relations Committee of the Judicial Conference of the United States.
The Judicial Training Department of the Supreme Court of Estonia
supported 90% of the cost of this programming. Federal district judges
in Nevada, Maryland, Ohio, North Carolina, and Mississippi have hosted
their Estonian counterparts. This year, in response to a request from a
Member of Congress and due to the critical nature of the programming,
the Center's program for Estonia will feature a delegation of six
Cybersecurity professionals. The Center is working closely with the
staff at the U.S. Embassy in Estonia to design this important and
timely program.
Georgia
From 2007 through 2019, the Center hosted 746 delegates from
Georgia. The Center's programming for Georgia is planned in close
consultation with the U.S. Embassy in that country and has focused on
Responsive Governance, Social/Ethnic Inclusion, Rule of Law and
Economic Development/Cultural Heritage.
In 2019, the Center cemented a close relationship with the
Parliament of Georgia to such an extent that the Secretary General and
the Center are in the process of finalizing a broad Memorandum of
Understanding with the Parliament ``towards improving the functioning
of the administration of both legislative bodies, bearing in mind the
importance of bilateral relations and recognizing the will to further
enhance mutual cooperation.'' Through this MoU, the Parliament of
Georgia will cost-share several delegations of leading Parliamentary
staffers by paying all airfares for such delegations, and will provide
the nominations/candidates for future planned Parliamentary
delegations. According to the Chief of Staff of the Vice Speaker, Open
World's ``Parliamentary exchange program has been the most successful
program ever in its history.'' The Chief Specialist of the Parliament's
Department of International relations, following a Dobbs Ferry-based
program that featured a private lunch with the Chairman of the House
Foreign Affairs Committee, reported, ``The program was excellently
arranged. Meetings were brilliant. All the interests that the delegates
were expecting were met.''
In mid-November 2019, Member of Parliament and Open World alumnus
George Khatidze (Member of the Inter-Parliamentary Union, the E.U.-
Georgia Parliamentary Association Committee, the Foreign Relations
Committee, the Legal Issues Committee and the Permanent Parliamentary
Council on Open Governance) joined us in Washington, D.C. He reported
on the impact his 2017 Open World program had on him, on several
meetings that he had with Open World delegations before their departure
for U.S. programming, and with Open World hosts when they visited
Georgia.
One area of programming that is producing extremely meaningful
results is the work the Center is doing to support inclusion among
different nationalities, religions and lifestyle choices in this very
diverse country that has witnessed ethnic, religious and social unrest.
One alumna has risen to head the Public Movement Multinational Georgia
and is now a Visiting Lecturer at Ilia State University. Her programs
include promoting the wider engagement of ethnic minorities
(particularly the youth of the Samtskhe-Javakhet region) in
participatory democracy, and working to mitigate and enhance
communication between ethnic minority constituencies. In another
project, she is working to improve the peace building and mediation
capacities of the youth, media professionals, and representatives of
community-based civil society organizations representing ethnic
Armenian and Azeri communities to mitigate tensions between them. This
alumna is also a regular contributor and organizer of timely European-
based activities on behalf of the Eastern Partnership Civil Society
Forum, a unique multi-layered regional civil society platform aimed at
promoting European integration and facilitating reforms and democratic
transformation in the six Eastern Partnership countries--Armenia,
Azerbaijan, Belarus, Georgia, Moldova and Ukraine.
Another alumnus in this field recently finished a Fulbright
Graduate Student Program in conflict transformation and then went on to
work with the International Foundation for Electoral Systems (IFES) to
design an approach for its new project to promote civic and political
awareness among youth in minority regions. Another alumnus founded the
organization ``Regional Empowerment for Democracy'' which is actively
working to improve the participation of ethnic and remotely based
minorities in democratic processes, and recently one alumna
participated in a program ran by the Konrad-Adenauer Stiftung program
in Brussels aimed at preparing young citizens to have a better
understanding of European Union practices, polices and ideals.
Finally, an alumna was recently named to Forbes' 2019 30 Under 30
Europe list for her outstanding tourism and wine company. She produces
four varieties of wine that are all native to Georgia and she recently
started exporting to the United States. Her current goal is add more
acreage to her farmland and increase her production capacity.
Kazakhstan
From 2008 through 2019, the Center hosted 539 delegates from
Kazakhstan. The Open World program has impacted participants from all
over Kazakhstan and across a wide range of sectors, from Members of
Parliament and Supreme Court Justices to local entrepreneurs and
leaders of NGOs.
The Open World program in Kazakhstan focuses on promoting more
effective, accountable, and transparent government institutions in all
three branches of government at the national and local levels, as well
as building a stronger and more engaged civil society. Recent program
themes have included: Members of Parliament, parliamentary staffers,
judges, local legislators, and librarians. In 2020, the Center will
continue working with parliamentary staffers, judges, and local
legislators, while adding programs for English teachers and on NGO
management.
The Open World alumni community in Kazakhstan has been very active.
Several alumni have taken up leadership positions in regional alumni
networks for past participants of U.S. government exchange programs. In
2019, the U.S. embassy funded four Open World alumni projects through
the Alumni Small Grants program. One project was aimed at supporting
youth in their region and received a grant. The project focuses on
conducting courses for minors at the Center for the Adaptation of
Minors in Petropavlovsk. The courses include lectures on human rights
and children's rights, media literacy and online safety, career
counseling, and personal development. They also provide mentoring to
participants and involve students in volunteering.
After returning to Kazakhstan, Open World alumnus Emin Askerov
founded GreenTal, which provides employment and job training for people
with disabilities. His tireless work in this field is now promoted all
over Kazakhstan. Last year he won an Alumni Small Grant to travel to
the regions and share his experiences.
Another open World alumnus helped found a sister city partnership
between Pavlodar and Madison, Wisconsin. Since then, he has worked
closely with his U.S. counterparts and organized six Kazakh delegations
to travel to Wisconsin and hosted four American delegations through the
Citizen-to-Citizen Diplomacy program he founded with his partner from
Wisconsin, Gary Kirking. They also created a sister school partnership
between a rural school from Pavlodar and a rural school from Wisconsin.
They are proud that this partnership has been thriving for 10 years.
Kosovo
From 2014 through 2019, the Center hosted 158 delegates from
Kosovo. The Open World program in Kosovo works to enhance transparency
and reduce corruption with past and future programs focusing on the use
of public funds and rule of law program, specifically highlighting
economic-related crimes. The Center is excited to reinstate a program
for Members of Parliament from Kosovo in 2020 to help these elected
officials work to improve accountability. We hoped to bring a
parliamentary delegation in 2019, but with the resignation of the prime
minister, we had to move the delegation into early 2020. We adapt to
situations in our countries and are able to move and add programs as
need be.
The two Open World program delegations that traveled in 2019 are
eager to adapt what they learned in the U.S. to their communities in
Kosovo. After traveling on a program focusing on Energy Independence-
Integrating Renewable Energy, one alumnus was so inspired that he is
writing a policy report to implement what he learned about during his
meetings in Utah, including providing several electric car charging
spots around Pristina and making the energy free of charge.
A delegation focusing on Economic Development-Community-led Tourism
showed interest in pursuing future partnerships and projects with their
counterparts in Washington. Two alumni have begun an initiative to
expand international tourism to Kosovo. They used new ideas that they
gained from their program and motivated people to apply as volunteers
for an International Festival of Medieval Arts. They have also
initiated discussions on environmental issues and the creation of a
pedestrian zone in their city to create a tourist hotspot to increase
economic development in the area.
Kyrgyzstan
From 2007 through 2019, the Center hosted 530 delegates from
Kyrgyzstan. The Open World Program in Kyrgyzstan has made great strides
in enhancing transparency and accountability in the legislative process
by bringing at least one parliamentary delegation each year. A
delegation of Kyrgyz Parliamentarians, while visiting their sister
state of Montana, were presented with a copy of the Montana state
constitution by the President of the Montana State Senate. A short time
later when one of the Kyrgyz MPs found himself responsible for
rewriting a portion of the Kyrgyz constitution on the judiciary, he
drew on his experience and used the Montana constitution as a model.
Following Member of Parliament Elvira Surabaldieva's participation
in the program, she returned home and with the additional knowledge and
leadership skills that she gained, was elected as the Chair of the
Women's Forum. Traditionally this seat was taken by older women MPs. In
addition to her regular lawmaking responsibilities, Elvira relentlessly
defends gender equality. She has convinced her male colleagues to
support a law against domestic violence, and she pushed for gender
quotas for elected positions at the local level. Currently, she is
working on legislation against sexual harassment that she hopes will
pass before the October 2020 elections. Though Kyrgyzstan has made
strides towards greater gender equality in recent years, the country
continues to struggle with ingrained patriarchal attitudes. Seeking to
raise awareness of the consequences of sexual harassment, Elvira
partnered with USAID, her fellow women MPs, activists and celebrities
to produce a short video featuring examples of harassment: in the
workplace, online, and on the street. Public reaction to the anti-
harassment video was overwhelmingly positive. The video went viral on
Facebook and was uploaded onto the Forum's website.
Moldova
From 2007 through 2019, the Center hosted 494 delegates from
Moldova. The Open World program in Moldova has focused on parliamentary
exchanges, rule of law, economic development, and partnerships, all
aimed at strengthening institutions, fighting corruption, countering
misinformation, and developing civil society.
The outcome of the February 2019 parliamentary elections in Moldova
produced an unusual coalition government, and resulted in 57 newly
elected MPs out of the 101 members. The Open World program for
parliamentarians will continue the dialogue between legislators from
Moldova and their counterparts in the U.S. Congress. The program
reinforces effective and democratic governance practices, and allows
Members of the United States Congress to discuss timely issues such
European integration, countering disinformation, and combating
corruption with their colleagues from Moldova. The Open World judge-to-
judge program for Moldova resumed in 2019, after being on hold in 2018
due to the annulment of the Chisinau Mayoral election results. This
program pairs Moldovan judges with a U.S. federal judge to share best
practices in jurisprudence, ethics, and the importance of an
independent judiciary, all of which are essential to justice sector
reform in Moldova.
In 2020 the Center will expand program for Members of Parliament
and parliamentary staffers form Moldova, while also continuing to
support the North Carolina-Moldova State Partnership program with a
program focused on regional economic development and waste management.
The North Carolina-Moldova Partnership has expanded programs in
English language education, conducted a librarian exchange, pharmacy
school exchange, and most recently a nursing school exchange through
the Open World program. With the help of the Partnership, the medical
university in Chisinau was able to create the first Bachelor of Science
program in nursing. In May 2019, an Open World Program Manager
travelled to Moldova with a delegation from North Carolina led by the
North Carolina Secretary of State, Elaine Marshall, as part of the
Center's efforts to support this dynamic partnership.
Open World alumni in the legislative and judicial branches in
Moldova are working to implement many reforms across the country, both
at the national and local level. A recent MP, who participated on the
program after being newly elected in February 2019, was so inspired
after a meeting with the Senate Ethics Committee that she took a copy
of the ethics rules manual back to Moldova, made a speech about the
program on the floor of the Moldovan Parliament, and is currently
working to establish a subcommittee on ethics in parliament.
Mongolia
From 2011 through 2019, the Center hosted 123 delegates from
Mongolia. The Open World program in Mongolia focuses on Parliamentary
and Rule of Law exchanges. In 2019, the Center signed a new Memorandum
of Understanding (MOU) with the Mongolian Prosecutor General's Office
to host programs for Mongolian prosecutors. In addition to hosting
programs for Members of Parliament, judges, and prosecutors, in 2020
the Center will also include a program for court administrative staff.
In September of 2019, a Member of the Judicial General Council of
Mongolia (JGC) visited the United States and signed the 2020 MOU
between the JGC and the Open World Leadership Center to continue the
partnership to host programs for Mongolian Judges.
Alumni from Mongolia have made many achievements since
participating in the program. For example, after being impressed by the
transparency and openness of U.S. courts, delegates returned to
Mongolia with new ideas on how to reform the court's interaction with
the citizenry. Today, court decisions in Mongolia are public and the
court offers multiple ways for citizens to observe trials. In addition,
many delegates have been so impressed by the standard of ethics and
accountability of their U.S. federal judge hosts that they returned
home to become trainers among their peers on judicial ethics.
North Macedonia
In 2019, the Center hosted its first delegations of Members of
Parliament and Judges from North Macedonia. To date, the Center has
hosted 15 delegates from North Macedonia, including three
parliamentarians in a 2014 joint delegation in cooperation with the
House Democracy Partnership. The Open World program in North Macedonia
is focused on strengthening the relationship between the North
Macedonian Parliament and the U.S. Congress, as well as sharing the
U.S. experience in constituent relations, oversight functions, and the
importance of separation of powers in a democratic and transparent
government. The judicial program is aimed at strengthening the rule of
law and supporting key judicial reforms.
The Parliamentary program took place in February not long after the
country's name change and signing of the NATO accession protocol.
During the program in Washington, the delegation had the opportunity to
meet with senior staff of the Senate Foreign Relations Committee to
discuss the U.S. process of ratifying North Macedonia's NATO accession
treaty. The delegation was also able to meet with six Members of
Congress to discuss the importance of NATO and EU integration, and what
remaining reforms need to take place. A few months after the program,
one of the MPs was appointed Minister of Local Government.
The judges who participated on the program in 2019 were hosted in
Oklahoma City, OK by U.S. Magistrate Judge Suzanne Mitchell. The judges
returned home impressed and looking forward to implementing and sharing
with their peers the experience gained on the program to advance North
Macedonia's judicial independence, professional standards, and ethics.
Judge Mitchell also accepted an invitation by the delegation to visit
North Macedonia in December 2019 to present professional development
programs for judges and other justice officials.
Serbia
From 2012 through 2019, the Center hosted 532 delegates from
Serbia. The Open World program in Serbia aims to strengthen democracy
and the legislative process, and also focuses on combating corruption.
The program also reinforces the Rule of Law sector by bringing judges
working on domestic violence and judicial efficiency in criminal
proceedings. Joining in on Serbia's fight against corruption, one Open
World alumna, a judge, will be leading a training course through the
International Criminal Investigative Training Assistance Program. This
training will help to support Serbia's newly formed anti-corruption and
economic crimes prosecutorial and police units.
Another exemplary alumna from Serbia is the acting Secretary
General of the European Movement in Serbia, who is responsible for the
successful implementation of the ``Share Your Knowledge: Become a
Mentor'' project, a unique mentorship program designed for women. The
main goal of this project is to empower and enhance young women's
capacities and skills by gathering expert leaders from different
professions to share their knowledge and experiences with young women
with similar interests.
An Open World alumna from 2013 was granted $19,894 from U.S.
Embassy Belgrade for her ``Women Entrepreneurship Start-Up
Accelerator'' project taking place from September 2019 through March
2020. The project involved the launch of the first accelerator for
women entrepreneurs in Serbia with the goal of providing a complex set
of services and a platform for learning, sharing, networking and having
access to venture capital funds. Participants are educated in
developing business ideas, business idea marketing, business incubation
and business acceleration, with the goal of generating at least five
business ideas which will be presented to potential investors.
Tajikistan
From 2011 through 2019, the Center hosted 541 delegates from
Tajikistan. In 2020, the Open World program in Tajikistan will continue
its work with the Parliament of Tajikistan, while also hosting programs
for government managers, in support of higher education reform, and
supporting women entrepreneurs. These programs are aimed at promoting
more effective, accountable and transparent institutions, as well as
investing in Tajikistan's human capital, ailing education system, and
the untapped potential of women, who are afforded far fewer
opportunities than men.
Open World alumni in Tajikistan are extremely active, and regularly
develop new projects while also sharing their Open World experience
with others. In 2019, the Embassy approved nine Open World alumni
projects for grants, which accounts for 33% of the total approved
project proposals for that U.S. Embassy. The Center's Alumni Outreach
Assistant traveled to Tajikistan in October 2019 for an Open World
alumni conference and met alumni that are working on projects they
implemented after traveling to the United States. Many alumni, as well
as U.S. Embassy staff attended the conference.
An Open World alumna from 2019 is one of the most successful women
leaders in Tajikistan. In 2013, she established her own Public
Organization ``IDEA'' that provides a team of experts to provide women
with the necessary skills and information they need to find proper
jobs, expand their businesses, and find their place in society. After
her Open World program, she felt more confident in her role as a woman
business leader. Meeting her American counterparts inspired her to
implement more large-scale projects in Tajikistan. In 2019, she
implemented three projects: a 21-day leadership and entrepreneurship
development project; a collaboration between her organization and the
Embassy of Great Britain; and, the forming of a partnership with the
European Bank for Reconstruction and Development focusing on female
entrepreneurs.
One alumnus, who was hosted in Sacramento in 2016 on a volunteerism
theme, was so inspired by what he saw in the U.S. that he created the
``Open Hut'' project when he returned back to Tajikistan. The alumnus
realized more needed to be done in his small rural community to help
children with disabilities. With an alumni grant, he was able to create
the Open Hut project which provides lawyers, medicine, and therapy for
children with disabilities and their parents. He is working to combat
the stigma that surrounds children with disabilities and their families
in rural and very religious areas of Tajikistan and change the
mentality that leads to children with disabilities being ``hidden''
from public exposure. His goal for the future is to continue working
with children with disabilities and create recreational clubs for them
to improve their lives.
Turkmenistan
From 2008 through 2017, the Center hosted 197 delegates from
Turkmenistan. Open World is planning to resume programming in
Turkmenistan in 2020, after not hosting programs for the past two
years. This year's programs will focus on sustainable tourism in rural
environments and on sports for youth with disabilities, which will also
support the sister city relationship between Albuquerque and Ashgabat.
These programs will help to increase Turkmenistan's integration into
regional and global economic markets, as well as increase commercial
ties between the United States and Turkmenistan, improving economic
stability and the quality of life.
Uzbekistan
From 2003 through 2019, the Center hosted 185 delegates from
Uzbekistan. The Open World program in Uzbekistan is focused on
supporting the robust reform efforts of the new President and the
government, primarily in the areas of parliamentary governance, rule of
law, and economic development.
In 2020, the Center will expand its work with the Uzbek Parliament
by hosting two delegations of Members of Parliament and one delegation
of parliamentary staffers. In addition, programming will be conducted
in e-governance, transparency and governmental accountability, and
agriculture in the modern market.
Last year's delegation of Members of Parliament from Uzbekistan
were able to give Members of Congress firsthand actionable information
about key developments in that country and provided an update on the
progress of comprehensive reforms initiated by President Mirziyoyev.
This group of MPs was also particularly interested in how Congress
serves their constituents, and was able to return home with a wealth of
new ideas. As the new President has called on the Uzbek Parliament to
be more accountable, these interactions and sharing of best practices
has inspired many of the new and less experienced MPs to return home
and implement reforms.
Open World alumni in Uzbekistan include senators, mayors, the
Deputy Minister of Investment and Foreign Trade, and the Deputy
Minister of Innovative Development. In spring 2019, the current
Chairman of the Senate met with the Center's leadership in Washington
and subsequently nominated a delegation of women leaders to participate
in the program.
conclusion
Before closing this statement about the Open World Leadership
Center, it is important to talk about the continuing participation of
Russian delegates once their program is over. Russia continues to play
a critical role in events in the region, in Europe, and its reach
extends much further. Kremlin control of media within Russian borders,
and the very effective disinformation campaign in neighboring states,
has brought the intended results--strong internal support for the
Russian president and for his policies; a resurgent pride in Russia's
expanded role on the world stage; and a reassertion of its spheres of
influence. A few years ago, the United States had more than 300 active
exchange programs with Russia. Today there are just a few, and only
one, the Open World program, has the means to reach throughout this
vast country and to attract rising leaders who might otherwise eschew a
U.S.-sponsored program.
Ukraine is entering its sixth year of conflict with the Russian
Federation and its sixth year of sporadic, though effective, reforms.
While relations with Russia and between Russia and Ukraine remain
unsettled, there looms the issue of how the United States Congress can
continue to support Ukraine while maintaining an authentic conversation
with the people of Russia.
Our Russian, Ukrainian, and other delegates, who stay with American
families for their intense ten-day program, return with an
understanding of a people in the United States who share many of the
same aspirations they have: a prosperous, peaceful country; hope that
their children will fulfill their potential; and a desire to understand
one another. With at least a third of the delegates under the age of
30, and recognized as leaders among their peers, these Open World
program participants can explain to their broad range of contacts that
the United States is not as portrayed in the mass media, but nuanced as
is their own country.
The Open World program, in some ways, is a last hope for
cooperation with Russia and is a lifeline to democratic processes in
Ukraine. As a resource for Congress and the nation, the Open World
program is a crucial American effort to sustain cooperation with Russia
and to build a future relationship. Our alumni there, 20,000 strong,
fill important positions in all regions, and consists of dedicated
professions in key areas of development. In Ukraine and throughout
Eurasia, the Center has bolstered relations between these Parliaments
and Members of Congress, and supported critical reform efforts.
Congress is right to be proud of what they funded and supported.
Advancing democracy and strengthening civil society worldwide is a
strategic long-term investment in our nation's security and a crucial
source of America's influence and strength in the world. The Center is
committed to these efforts recognizing the possibility of uncertainty
and setbacks, and understanding that progress requires unwavering
dedication to the enduring principles and goals that make the United
States a country that others look to with admiration.
Russia and Ukraine are keys to the future of the region. By
supporting reformers and Euro-integrationists in Ukraine, by supporting
those engaged in countering disinformation, and by helping committed
officials use the laws on decentralization, health, and educational
reform succeed, we in a small way help balance the overwhelming
advantage Russia enjoys at this moment. Our intertwined interests and
rivalries with Russia will not fade, and we need to be smart enough to
engage the post-Putin generation for they will soon enough influence
whether their country continues its role as a destabilizing force or
cooperates with the community of nations in Europe and Eurasia.
The Open World program has been carefully honed through the years
based on an ongoing and constant review of the programming. Bearing in
mind that quality will not be compromised, the Center continues the
trend of reducing unit cost per appropriated dollar; of adjusting the
strategies for nominations to bring legislators as a significant
portion of our delegates; of working with many host organizations in
all fifty states to make the programs highly relevant; and of fostering
partnerships and projects involving alumni and hosts. To that end,
Congressional leadership in supporting the Center and its highly-
regarded Open World program is paramount to the Center's continued
success.
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\1\ Fiscal 2020 countries (17) include Armenia, Azerbaijan,
Belarus, Estonia, Georgia, Kazakhstan, Kosovo, Kyrgyzstan, Moldova,
Mongolia, North Macedonia, Russia, Serbia, Tajikistan, Turkmenistan,
Ukraine, and Uzbekistan; past countries (4) include Egypt, Lithuania,
Peru, and Turkey.
[This statement was submitted by Jane Sargus, Executive Director.]
______
Prepared Statement of the Sergeant at Arms and Doorkeeper of the Senate
Chairman Hyde-Smith, Ranking Member Murphy, distinguished Members
of the Subcommittee; I appreciate the opportunity to testify in support
of the Sergeant at Arms' budget request for fiscal year (FY) 21.
The SAA respectfully requests $225.2M in appropriated salary and
expense funds, a 4.9% increase from the FY20 enacted level. The SAA has
also identified a need for seven additional full-time equivalents
(FTEs) to support our mission to provide security and information
technology to the Senate. In addition, the SAA requests $4.7M in No-
Year funds to fund the Senate portion of the Joint Audible Warning
System (JAWS). This budget request supports our continued focus on the
safety and security of Senators while providing a range of technical
and administrative services. Our requested increase will allow us to
make needed investments in the safety and security of the Senate and
our information technology infrastructure, begin refurbishment of 43
Senate hearing and meeting rooms, and fund 927 FTEs in furtherance of
the SAA's mission to support the Senate.
As I begin my third year as Sergeant at Arms, I am pleased to share
with you how we have made steady progress in meeting our mission.
emergency preparedness
Our office has been proactively preparing for, responding to, and
assisting the Senate in maintaining legislative operations prior to and
throughout the SARS-CoV-2 virus and COVID-19 pandemic that has become a
public health crisis. We instituted social distancing in the early
stages by encouraging staff to maximize telework where possible to
deter the potential spread within Senate office buildings while
maintaining the critical services required to operate the Senate.
The SAA Office of Emergency Preparedness (EP) routinely provides
Continuity of Operations (COOP) planning support which includes
pandemic planning. The COOP team contacted Member and committee offices
in advance of any closures with an encouragement to revisit their plans
and an added focus on those offices that had not recently updated their
procedures. A similar effort was undertaken by our State Office
Operations team for the 470 state offices throughout the nation.
In conjunction with the Office of Attending Physician (OAP), the
Architect of the Capitol (AOC), the U. S. Capitol Police (USCP), and
other local stakeholders, we disseminated guidance on appropriate
mitigation and response techniques. We worked with OAP to share
resources with Senate staff and Office Emergency Coordinators on how to
prepare for and respond to the crisis. The EP office also collaborated
with the Secretary of the Senate and other stakeholders to update the
overall Senate Pandemic Plan.
EP activated the SAA Operations Center (SOC) on March 13 to monitor
the outbreak and coordinate the SAA's response process. We use software
to provide real-time organizational viability, focusing on operational
capacity and employee status. The majority of SAA staff are working
remotely while providing mission critical support to Senate operations.
We have partnered with other legislative branch and National
Capital Region Operations Centers to continuously improve our response
as the situation evolves as well as document day to day occurrences for
future planning purposes. The EP office continues to work with D.C.
Member offices and committees that have activated their COOP plans in
addition to reaching out to other offices that may need and benefit
from our support. The State Office Operations office continues to work
with all Senate state offices to ensure critical operations, security
monitoring, and required maintenance services continue. They have
released streamlined COOP documentation for state office staff and have
been providing the SOC daily state office status, state emergency
declarations, and maps detailing COVID-19 cases in relation to state
office locations. We are working closely with the General Services
Administration (GSA), Federal Protective Service (FPS), commercial
landlords, and contractors on access, enhanced cleaning protocols, and
security for offices located across federally owned or commercially
leased spaces. We have also coordinated with the Secretary of the
Senate's Disbursing Office to process and release commercial rental
payments three weeks early to avoid any delays associated with COVID-19
closures.
The SAA Capitol Operations division has partnered with the AOC to
mitigate the potential spread of SARS-COV-2 in the Capitol Complex by
implementing an enhanced cleaning schedule for customers. The Recording
Studio continues to take special care to ensure microphones and all
other surfaces are sanitized in between Member visits. Additionally,
the Appointments Desks is no longer reusing badges and clips.
Furthermore, credentialed media are practicing social distancing and a
number are also employing pool cameras.
The SAA Capitol Facilities office is bolstering its cleaning
regimen in the chamber, cloakrooms, personal offices, hideaways,
bathrooms, and public areas with staff safety in mind. We use EPA-
verified hospital grade disinfectant to thoroughly eliminate viral
strains. More frequent and in-depth cleanings are being conducted in
public bathrooms. All hard vertical and horizontal surfaces are
disinfected throughout office spaces. Hallways are receiving more
frequent treatment with enhanced targeting of benches, handrails, and
workstations. We are disinfecting all continuously touched surface
areas, such as elevator buttons and interiors as well as internal and
external office door handles and knobs.
Our Postal Service operation continues to process incoming mail to
ensure it is safe and is offering the option to hold or deliver mail
for closed offices. We are providing a new digital imaging service
through the Printing, Graphics, and Direct Mail (PGDM) department to
electronically convert incoming First-Class mail and post it directly
to the office's secure Customer File Exchange folder for safe
retrieval. At this time 84 offices are participating in the digitized
mail program. PGDM has also provided 60 offices with digital
letterhead, 34 offices with digital signatures for correspondence and
16 offices are participating in electronic constituent letter proofing.
The SAA Office of the Chief Information Officer (CIO) has worked to
best position the Senate network to support large scale telework
operations. This has included reconfiguration of network equipment,
ensuring contractual provisions are in place to allow for increased
internet bandwidth, procuring additional laptops and peripherals, and
reviewing vendor contracts to make sure plans and provisions are in
place to support IT Help Desk and technology support operations. More
than 3,000 Senate staff and contractors accessed the network remotely
on the first day mass telework was implemented in contrast to 800
remotely working individuals during a normal schedule.
The CIO has noticed a dramatic increase in telework and
telepresence services with the following activity in the March 13th--
April 8th timeframe:
--The daily average number of VPN users morphed to 4,800, compared to
the previous daily average of 500-600 per day.
--There were 13,146 conference calls in this period compared to 5,419
calls between January and February combined.
--Call Forward Remote Access feature was added to 1,500 DC phones.
--A new DC soft phone capability was released with 31 clients
immediately participating to answer their main line numbers
remotely. Since the original release, it has increased to 66
offices.
The Senate Employee Assistance Program (EAP) has transitioned to
serving employees and their family members by phone and virtually. The
team is fully staffed and meeting with individuals to address a wide
array of emotional and behavioral issues including an increase in
anxiety. EAP has also been participating in team conference calls with
Senate offices to provide support including assisting managers and
supervisors throughout the Senate to address employee and
organizational challenges and needs during this unique time. EAP will
continue to offer regular communication to the Senate community with
appropriate suggestions and available resources.
SAA will continue to support the health, safety, security of
Senators and staff while ensuring legislative operations continue with
the robust series of additional measures discussed above.
We continue to educate, train, and exercise emergency plans and
procedures to ensure Members and staff are equipped with the necessary
knowledge, skills, and tools to prepare for, respond to, and recover
from a variety of emergencies. During FY19, we updated 147 Emergency
Action Plans and plan to update a similar amount in both FY20 and FY21.
These plans provide detailed evacuation routes and elevator locations
for the mobility-impaired. Further, we assisted 26 Member offices and
committees with completing their Continuity of Operations plans,
strengthening the Senate's ability to continue performing its essential
functions during and after disruptive events. We also supplied and
maintained emergency supply kits, annunciators, and escape hoods
(including baby escape hoods), offering personalized preparedness,
alert notification, accountability, and equipment training. We
distributed guides informing staff on how to respond to threatening
situations, protestors, and other emergencies.
In FY19, our office obtained and configured four iPads to
streamline the boarding and manifesting process of Senators and staff
during emergencies to ensure accurate accountability rosters at a
variety of locations. In FY20, our office will create four new mobile
communications and boarding/manifesting kits that we will deploy during
emergencies or special events, or use on Congressional delegation trips
abroad.
We implemented technological improvements to increase facility
functionality in the Leadership Coordination Center (LCC) during
emergencies. We finalized the Legislative Branch Emergency Call Center
Plan and continue to work toward certification of a Congressional
emergency website with the Library of Congress, so that a .gov website
address can be used by Legislative Branch organizations to share
unified and approved information with the public during emergencies. In
FY20, we will integrate the Legislative Branch Family Assistance Center
(FAC) plan that is under development into the approved Call Center
Plan, and will join efforts with the District of Columbia to improve
streamlined planning efforts should a FAC ever be needed during a mass
casualty event affecting Capitol Hill.
Readiness and protection of Members, staff, and visitors remains
our primary focus. Working with the United States Capitol Police, we
conducted over 30 annual evacuations, shelter in place, and other life
safety drills, as well as the chamber exercise that allowed staff to
observe and participate in realistic emergency scenarios and gain an
appreciation of law enforcement responses. Further, we trained more
than 4,000 staff on essential topics, including protective actions,
emergency action planning, and ALERTS/Remote Check-In procedures. For
FY20 and FY21, we plan to host preparedness fairs, and invite local
response organizations during the September recess to educate staff
about their services in order to develop a more resilient workforce.
Over the past year, we have completely updated the SAA Operations
Center plan and concept of operations. In collaboration with colleagues
throughout the Senate, we have developed a forward leaning information
hub focused on the Senate institution. We have positioned the SOC to
integrate into operations with the Secretary of the Senate, House of
Representatives, Architect of the Capitol, and USCP Operations Centers
during planned and emergency events to establish a unified approach to
incident management. The Joint Audible Warning System (JAWS) is
replacing the legacy annunciator system, which was installed shortly
after 9/11 and the anthrax attacks on the Capitol complex. The current
system has become obsolete with limited support and hardware available
for maintenance. The new system will provide an encrypted, remotely
manageable audible warning system with coverage in required areas of
the Capitol complex. We submit our FY21 request through a collaborative
effort with the House SAA, USCP, and AOC. Our budget request aligns
with the same methodology as the USCP and AOC and will cover the cost
of engineering and technical services ($1,628K), infrastructure
equipment costs ($711K), and end units ($2,401K).
We recently completed a year-long pilot program with the Committee
on Energy and Natural Resources to install an alert beacon in their
hearing room to provide a silent visual notification to the Chief
Clerk, who can determine a response to the emergency message. We are
grateful to the committee staff for their feedback and assistance in
shaping the program to meet committee needs, and plan to offer beacons
to all committees this upcoming year.
We continue to collaborate with the House, USCP, AOC, and Library
of Congress to update, manage, and exercise joint communications plans
and procedures for various communications devices. We also continue to
work with the Executive Branch and other partners to expand priority
and preemption cellular services to select Senate users, and provide
access to secure communications devices as needed during highly
congested events.
security planning and police operations
In coordination with USCP, we provide security and law enforcement
support for the Senate community. This year's efforts included: 1)
coordinating 1,286 Senate campus access requests; 2) working with the
Committee on Rules and Administration and USCP to identify and publish
numerous door and barricade restrictions during recess periods, special
events, and holidays; and 3) representing the Senate on a joint Senate,
House, USCP, and AOC campus security working group. Additionally, we
coordinated security coverage for 455 committee hearings and more than
70 Member-specific security requests. We also partnered with USCP to
participate in several residential security assessment for Members. New
this year, we reinstituted Security Awareness Briefings for Senate
staff and held more than 50 sessions to provide information covering a
variety of security-related topics.
Our office provides real-time situational awareness through USCP
Command Center support. Our staff are on duty all hours the Senate is
in session, and throughout normal business hours during periods of
recess, to allow for communication between our office, USCP, and the
Senate community throughout routine operations, special events, and
emergencies. Last year, we monitored approximately 697 security events
through this program. My staff also provided security oversight and
coverage during the State of the Union address, summer concert series,
and demonstration activities in Senate office buildings.
intelligence and protective services
We recognize the value of maintaining collaborative partnerships
with various federal, state, and local law enforcement, intelligence,
and force protection entities. We are able to synchronize information,
identify security risks, monitor threat streams, and maintain
situational awareness to ensure appropriate mitigation and prevention
strategies are deployed to protect the safety and security of the
Senate, domestically and abroad. Expanding social media platforms and
the availability of open source materials allow individuals to spread
malicious intents and activities to a large audience. We proactively
research and analyze such material and engage with community partners
and subject matter experts to maintain security-related situational
awareness and identify threat data against Members, their families, and
staff. We discovered over 300 comments of concern, which we referred to
USCP, resulting in more than 30 criminal threat violations, a 110%
increase over the previous year. For FY21, we anticipate social media
awareness, as well as threat discoveries, to increase as social media
platforms become a prominent communication method and open source
intelligence technology develops further.
We collaborate with USCP and other law enforcement agencies to
ensure appropriate notification and communication with specifically
targeted Members and staff while continuously monitoring, evaluating,
and conducting vulnerability, risk, and threat assessments to determine
and apply suitable security measures and protective operations
coverage. For FY19, we tracked, monitored, and updated Senators and
staff on over 150 active criminal threat cases, which is more than a
30% increase from FY18. We expect our FY20 and FY21 cases to remain
comparable to FY19. Additionally, we provide situational awareness for
the Senate community regarding significant upcoming events or planned
activities in and around the Capitol complex and state offices, which
may adversely affect Senate business. Finally, we collaborate with USCP
and other agencies to support contingencies, oversee security
operations, and perform incident management and response action
planning for major events. These major events include the Inauguration,
State of the Union, Senatorial retreats, National Conventions,
televised concerts, joint sessions of Congress, and other high profile
National Special Security Events such as the Lying-In-State or In Honor
of a government official in the U.S. Capitol Rotunda. This fiscal year,
we will support events such as the Republican and Democratic National
Conventions, and our key event will be the Presidential Inauguration in
2021.
In FY21, we expect an increase in Member-specific requests. The SAA
stands ready to assist Member offices with coordinating security and
law enforcement needs. Our FY21 budget request identifies a $250K
increase to cover the estimated amount of funds required to support
USCP personnel on Congressional Delegations as addressed in the 2006
Interagency agreement between the SAA and USCP and in compliance with 2
U.S.C. Sec. 1975.
office of member outreach and security coordination
The primary objective of the Office of Member Outreach and Security
Coordination (MOSC) is to actively engage with all Senators in order to
proactively create a conduit for security-related information flow and
appropriate liaising with law enforcement. In coordination with the
USCP and other law enforcement agencies, this office continues to
mature. For FY20, we implemented several security initiatives, law
enforcement outreach efforts, and protective services objectives,
including scheduling meetings with all 100 Senators' Chiefs of Staff
and senior leadership in order to establish an open dialogue regarding
security support to Senators and staff, both while in D.C and away from
Capitol Hill. Information outlined includes security assessments and
law enforcement coordination for public and private events, overseas
travel assessments and coordination, tools for off campus safety,
reporting procedures, SAA security training initiatives, cybersecurity
awareness, and enhancing overall security postures. Additionally, the
MOSC has engaged in active outreach and discussions regarding all
active threat and criminal cases directed at Members and/or staff, as
well as weekly reinforcement emails to Chiefs of Staff, Administrative
Managers, State Directors, Chief Clerks, and Schedulers regarding
campus safety initiatives. Additionally, MOSC participates in all
Security Awareness Briefings for Senate office staff alongside USCP
counterparts. Finally, we have increased initiatives with partner
intelligence agencies.
Each effort is undertaken to ensure Members and their staff receive
the necessary guidance, tools, and support when planning and attending
national public events. We provide offices with a final product
highlighting the overall threat level, specific areas of concern, and
local law enforcement contact information. In FY20, we have extended
this coordination to incorporate assistance in additional areas such as
providing law enforcement notifications for identified Rest Overnight
locations and coordinating escorts at airports, train stations, and
other mass transit locations. Through this extensive outreach
initiative, MOSC has completed approximately 525 law enforcement
coordination and assessment requests, 39 law enforcement escort
requests, and 40 rest overnight notifications during the first half of
FY20 (October 2019--March 2020). While initially on track to nearly
double the approximate 626 total requests completed in FY19, we
anticipate that the COVID-19 pandemic will significantly impact our
coordination numbers for FY20 due to the decline in scheduled public
events and travel plans. Given the current climate, we continue to
adapt our efforts and focus on how we can support Senators with their
current needs as they relate to virtual town halls and alternative
constituent outreach. As this pandemic continues, we will remain in
support of the Senate for the upcoming 2020 election cycle and work to
serve their needs during this ever-changing environment.
Further, we continue to disseminate weekly emails to Administrative
Managers, Chief Clerks, and Schedulers offering simple methods for
requesting law enforcement coordination and security assessments to
mitigate concerns at public events with Members in attendance. During
FY21, we will engage in personal meetings with all Chiefs of Staff and
senior level management-both to complete our final introductions and as
a follow up to prior meetings-to ensure all offices receive the most up
to date information. We will augment these outreach efforts by
collaborating with USCP to develop additional training programs and
security techniques for staff to use in this ever-evolving threat
environment.
id office
We partnered with multiple Senate divisions to manage ID badge
requests with the appropriate data and designations. Almost 18,000 new
and updated Congressional and Press IDs were issued in FY19. We
anticipate our FY21 volume to be consistent if not greater than
previous fiscal years due to USCP-established identification
requirements for special events and increased demand from state
offices. The ID office is collaborating with the office of the Senate
Chief Information Officer (CIO) to support various capabilities as
outlined in the Homeland Security Presidential Directive (HSPD) 12,
including email encryption and two-factor secure remote network access
throughout FY20 and FY21.
We recently updated our badge production hardware designated for
use during Continuity of Government and Continuity of Operations events
and will further upgrade printers and cameras in late FY20 to ensure we
are able to support the growing demand for SmartCards and proximity-
based IDs. We are scheduling future upgrades in a five-year cycle or
earlier in order to meet National Institute of Science and Technology
standards, which are considered best practices.
We have been actively pursuing a vendor who can make the necessary
modifications to our current badge management system to improve the
accuracy and efficiency of our current production process while
remaining good stewards of financial resources.
SmartCards used for digital signatures in the Senate financial
management system (FMIS NextGen) during FY19 expanded to include all
Member, committee, and support offices. This expansion has increased
demand for SmartCards by 30% each Congress, dating back to the 114th
Congress. As the system expands its functionality and user population,
we expect this number to grow throughout FY20 and FY21.
parking operations
We continue to accommodate staff vehicle needs during ongoing
renovations throughout the Capitol complex. Long-term construction
projects, such as the Russell Senate Office Building's exterior
rehabilitation, will continue to affect various permit holders over the
next three to four years. In collaboration with the AOC, we remain
committed to limiting disruptions during the Russell Senate Office
Building underground garage renovation. During May of FY20, we will
upgrade the permit management application process to streamline
enforcement, enhance collection efforts, improve accuracy, and deliver
real-time updates from field Parking Specialists. In FY21, we will
purchase new Zebra permit printers, as well as Windows Surface Pros, to
use in parking lots to enhance on-site customer service.
cybersecurity response
We are in the fifth year of transforming cybersecurity from a
reactive to proactive program defending the Senate. During FY21, we
will focus on five key cybersecurity areas. First, we are currently
developing a standardized methodology to assess the resiliency of our
operations and evaluate the security of Senate-specific and cloud-based
systems used or proposed for use by the Senate. Once this methodology
is completed, we will develop a schedule to evaluate the effectiveness
of the cybersecurity program. Second, we will conduct advanced
resiliency assessments for Senate offices and committees that include
coordinated penetration tests, vulnerability assessments, and advanced
phishing assessments, among other actions. These advanced assessments
will also evaluate the effectiveness of the Cyber Security Operations
Center, as well as Information Technology systems supporting the Senate
network. Third, we will continue to concentrate on mitigating risk
associated with the potential insider threat, through education and
technical means. Fourth, we will continue maturing our cybersecurity
awareness campaign in collaboration with other agencies. Finally, we
will continue evaluating gaps in cyber and privacy security as it
relates to cloud-based services and other technologies, and will work
to develop and post relevant cybersecurity policies to the Senate
community. Through the standup of a contracting review board, we review
all awarded contracts for legal, cybersecurity, and privacy risks. This
review continues to mature and includes development and continual
refinement of legal, privacy, and cyber concerns on vendors' terms and
conditions.
cio security enhancements
We continue to work closely with offices on multi-factor
authentication (MFA) to enhance the security of the Senate IT
infrastructure. With input from Senate offices, we procured an MFA
solution in November 2018. In FY19, we integrated the MFA solution with
our Privileged Access Management (PAM) and Virtual Private Network
(VPN) and made the MFA PAM solution available to all Senate offices. In
early FY20, we transitioned all Senate users to the new MFA VPN
solution. During FY21, we will further secure access to critical Senate
services and data using MFA for other applications.
To address the ongoing need for increased security of highly
privileged accounts, we expanded enrollment into PAM to include the
accounts used by office System Administrators. PAM significantly
increases the security posture of the Senate information systems,
protecting the most sensitive data by limiting exposure of privileged
credentials and protecting access to those credentials with MFA. We
will continue outreach efforts during FY21 to ensure all Senate offices
are using PAM to better protect the Senate network, resources, and
data.
The Identity and Access Management (IAM) program remains
strategically important as it ensures users of IT resources have the
right access to the right systems and data from initial onboarding
through their tenure at the Senate, ensuring access to all systems and
data terminates once they are no longer an employee of the Senate. SAA
CIO plans to deploy IAM in a pilot program late in 2020. With the
increased adoption of cloud services across the IT and mobile device
landscape, it is essential that a user's access to the proper systems
and data can be managed efficiently and securely. Additionally, cloud
products rely on user licenses to access these services, and the
ability to correctly license and delicense users is essential to
control costs.
enterprise and network services
Further developing the Senate's hybrid cloud strategy remains a key
goal during FY20 and FY21. During FY20, we developed a cloud strategy
centered on moving appropriate software applications to cloud services,
after careful analysis of data protections and the Senate's ability to
secure cloud services. In partnership with Senate offices, we conducted
a thorough pilot of cloud-based storage and collaboration tools. This
provides users with greater capacity of cloud-based storage and allows
them to access the storage from any Senate device, while offering a
modern collaboration platform sought by Senate users. During FY20 and
FY21, we will make these services available to all Senate offices and
evaluate the use of additional cloud services.
In FY19, we identified a modern data center to provide geographic
separation, enhanced resiliency of critical IT services, as well as
improved physical security. Additionally, this data center provides
efficient and reliable power, cooling, and network redundancy to ensure
that critical IT services are always available. Select critical IT
services will begin running out of the new data center in FY20, and the
buildout will continue into FY21. Ultimately, some services will run
out of this new data center while other services will run from cloud
providers. We are undertaking additional analysis to ensure we provide
the right mix of cost effective and modern services between a mix of
data centers and the cloud.
We will also begin replacing campus network distribution switches
that have reached end of life, starting in FY21 and completing in FY22.
enterprise and system development services
In FY20, we commenced an effort to improve customer service by
replacing our current IT service management platform with a more modern
system. This application functions as a Help Desk ticket workflow and
management. In FY21, we plan to complete the acquisition of the new
platform and required integration services and begin the
implementation.
it support communications
In FY18, the SAA began expansion of the digital signage system to
approximately 60 locations within the Hart, Dirksen, and Russell
buildings, with a plan to add 54 new locations over the next five
years. The expanded digital signage system will display graphical
wayfinding information and emergency notifications, in addition to
existing directory information and hearing schedules. The new digital
signs will connect to the Joint Emergency Mass Notification System.
The multi-year effort to upgrade and modernize the state office
telephony infrastructure for all 460-plus state offices is underway and
the first 170 offices have been completed. We expect to complete an
additional 200 offices in FY20. It will provide each state office with
new hardware, increased flexibility, a feature-rich voicemail platform,
and additional security at a lower cost.
We are currently evaluating the legacy telephone system for the
Capitol and Senate buildings and plan to upgrade it, as well as the
adjunct systems. This Unified Communications and Collaboration (UCC)
platform will upgrade the existing Voice over IP telephone switch and
associated subsystems, including, but not limited to, voicemail,
instant messaging, contact center, integrated voice response systems,
audio/video conferencing, and any other collaboration tools that
support Senate offices. We have contracted with subject matter experts
to assist in requirements development and design for a new UCC
platform. We are currently interviewing Senate offices and other
stakeholders to gather requirements that will inform our procurement
action. Our FY21 budget request reflects our estimated increase for
this upgrade.
contingency programs
Contingency Programs, in collaboration with the Secretary of the
Senate, House Officers, Architect of the Capitol, and other Senate and
Executive Branch partners, mitigates against potential impacts through
identification of vulnerabilities, and the development of strategies,
plans, and capabilities. This allows the Senate constitutional
functions to continue in the face of natural and man-made disruptions.
We accomplish this through the incorporation of continuity best
practices, regularly scheduled assessments, planning reviews,
exercises, and collaborative work groups. The mainstay of Contingency
Programs are flexible relocation options, a comprehensive family of
plans, and trained employees ready to deploy, as needed. Efforts
undertaken in conjunction with the House of Representatives are
performed under the auspices of the Joint Congressional Continuity
Board. The Senate Continuity Board, comprised of the Sergeant at Arms
and Secretary of the Senate, manages Senate-specific efforts.
Contingency Programs undertook several continuity exercises, which
validated existing plans and capabilities. One such exercise involved
setting up an alternate chamber. We successfully accomplished this over
a two-day period, thanks to the efforts of staff representing SAA and
the Secretary of the Senate, Architect of the Capitol, Committee on
Rules and Administration, and Party Secretaries. Simultaneously, we
established alternate office space in response to a simulated
disruption, which denied access to Senate office buildings.
In FY20, multiple exercises will take place to test and validate
our capabilities. One major exercise will be a week-long mobility and
relocation exercise, tasking Senate continuity stakeholders with
deploying vehicles, equipment, and staff to an off-site location,
setting up functioning offices, and challenging staff to perform
essential functions as if the Senate had relocated to a continuity
site. We expect the results of the exercise to contribute to the
refinement of plans, provide training, identify capability gaps, and
inform future investments. As we move toward FY21, the Contingency
Program Office anticipates further program refinement, while searching
for more efficient and effective means of ensuring the Senate's ability
to meet its constitutional obligations in the face of an increasingly
complex and diverse threat environment.
printing, graphics and direct mail
We provide support to the Senate community through graphic design,
printing, photocopying, mailing, document preservation, logistics, and
secure offsite transfer of Senate material. As printing and production
equipment approaches the end of its lifecycle, we will begin replacing
and replenishing within our existing budget.
Through software updates and enhanced training, we will continue to
provide more integral communication opportunities by using digital
technology to create both print and digital solutions for Senate
offices throughout FY20 and into FY21. We have actively begun
implementing digital publications for various offices, while ensuring
that items such as 508 compliance are applied. Those digital solutions
have generated additional printed material that will require enhanced
printing technology, which we will implement in FY21. We continue to
seek and provide training through various methods and resources to
ensure we meet or exceed industry standards.
senate post office
We test and deliver mail and packages to more than 180 locations
within the Capitol complex, while providing a messenger service to
multiple locations throughout the Washington metropolitan area. In
FY19, our office safely processed and delivered more than 7.25 million
incoming mail items, while intercepting nine suspicious mailings that
required an immediate response by the USCP. We prevented delivery of an
additional 920 mailings bearing characteristics with the intent to
disrupt Senate business and requiring further scrutiny by USCP.
Providing mail safety and security training for both D.C. and state
offices remains vital to ensuring all Senate staff know how to respond
to potentially dangerous situations. We offer training through the web
(static video), VTC, and webinars and accomplish it in coordination
with our State Office Programs group.
capitol facilities
We support the work of the Senate by providing a clean,
professional environment in the Capitol. Our Environmental Services
Division cleans Capitol offices, hallways, and restrooms; moves
furniture for offices; and provides special event setups for 15 meeting
rooms in the Capitol and the Senate expansion space in the Capitol
Visitor Center. The Furnishings Division provides furnishings,
including stock and custom furniture, carpeting, and window treatments,
to Capitol offices. They also provide framing services for Senate
offices and committees. Their focus continues on realizing cost savings
and improved efficiency, while maintaining the same level of service.
support services
Transportation and Fleet Operations
We procure, manage, and maintain Senate vehicles; operate the
Senate Daily Shuttle service; and provide the Senate with emergency
transportation and logistics support. The fleet includes trucks, vans,
buses, SUVs, electric vehicles, handicapped-accessible vehicles, and
Segways. In FY19, staff transported more than 22,000 passengers through
the SAA Shuttle Service, and our FY20 budget and FY21 request have us
postured to provide the same level of support.
Photography Studio
We provide photo-imaging services for Senate offices and
committees. Our studio manages and maintains the Photo Browser
application that provides Senate offices a secure, accessible archive
of all photos accumulated during a Senator's term in office. Currently,
the Photo Browser system contains more than 1.7 million photo image
files. In FY19, our staff photographed more than 185,000 images,
produced more than 54,000 photo prints, and coordinated scanning for
end of term archiving of more than 89,000 photo images for Senators
leaving office. We are able to provide the same level of service in
both FY20 and FY21 without any additional increase.
state office operations
We have seen an appreciable increase in state office rents for both
commercial and federal buildings over the past two years. In order to
cover these costs, we are internally realigning funds to support the
execution of leasing, tenant improvement, project management, security,
and emergency preparedness functions for more than 460 federal,
commercial, and mobile Senate state offices across the United States.
Our staff works closely with commercial landlords, the General Services
Administration (GSA), and the Federal Protective Service to ensure
Members' operational and security needs are met in their state offices.
In FY19, we completed 88 relocation and renovation projects,
coordinating construction, furniture, equipment, and delivery of IT
services. We expect this number to remain steady in FY20 and increase
in FY21 as the team works to support new Members and all commercial
lease renewals for the 117th Congress. Our success in managing the
Senate's State Office Operations portfolio hinges on our close and
collaborative working relationship with Senate staff. In FY19, in
conjunction with the GSA, we hosted the first-ever State Office
Operations Open House to increase awareness of our services, security
recommendations, and best practices. We look forward to hosting this
event yearly as a way to further promote our services and security
enhancements.
We remain committed to ensuring the safety of Members and staff,
and continue to provide customized security systems, monitoring
services, and enhanced office security construction designs to state
offices without affecting Member office budgets. Over 98% of state
offices have adopted some level of recommended security enhancements.
In FY19, we provided initial physical security enhancements for 28
state offices and enhanced existing security for 17 others.
Emergency preparedness training and familiarity with security
equipment equates to higher levels of compliance and readiness. In
FY19, more than 300 Office Emergency Coordinators, staff, and interns
attended at least one of our training or emergency plan review
sessions. We offered 40 webinars, provided on-site state office
security awareness briefings to 138 staff members, and 55 received USCP
active shooter training. We worked closely with USCP to maintain our
security awareness and emergency preparedness outreach, increasing the
number of state offices visited in FY19 by 84%, in order to provide on-
site training. We also continued supporting the requirement for state
offices to comply with the Congressional Accountability Act, assisting
over 100 state offices with the development of emergency action and
continuity of operations plans, a 168% increase over the prior year's
completion rate. Our focus on state office readiness and training will
continue into FY21 as we support transitions associated with the 117th
Congress.
senate recording studio
In FY19, we provided 1,029 hours of gavel-to-gavel coverage of
Senate floor proceedings, including 5,503 livestreamed page views to
569 unique visitors, as well as archiving of the proceedings on the
Senate's website, www.senate.gov. We also coordinate with other
government agencies, such as the Voice of America and the Department of
State, to provide hearings to a larger audience. Further, we enable
Senators working in D.C. to communicate with their constituents and
news outlets back home. In calendar year 2019, the Studio produced
1,010 television productions and 720 radio productions.
During FY19, we renovated two hearing rooms, replacing audiovisual
equipment that had exceeded its useful life. We will complete one
hearing room in FY20 with the $2,300,000 reprogrammed during FY19.
During FY21, we are requesting a $2,000,000 permanent budget base
increase to enable us to renovate one to two rooms a year based on
Senate priorities for the 43 hearing and meeting rooms. We provided a
15-year plan to the Committee on Rules and Administration. We will
continue to work with them, as well as with the Architect of the
Capitol and the Appropriations Committee, to refine and adjust the
replacement plan to avoid equipment failure.
periodical press gallery
The Senate Periodical Press Gallery serves the needs of accredited
news reporters for magazines, newsletters, non-daily newspapers, and
online publications. Serving as a liaison between reporters, Senate
officials, and law enforcement remains our primary responsibility.
Media presence on Capitol Hill has increased dramatically over the past
few years. Our staff helps maintain crowd control in the Senate subway
and the Ohio Clock Corridor during votes and party caucus meetings. We
also coordinate press coverage of hearings, news conferences,
stakeouts, and other media events in the Capitol and Senate office
buildings. In addition, we review new press applications in
consultation with the Executive Committee of Periodical Correspondents;
renew approximately 1,000 press credentials each year; and maintain
daily Senate floor logs on the Senate Periodical Press Gallery website
(www.periodicalpress.senate.gov), which tracks legislative activity,
votes, and schedule updates. Reporters and Senate staff are also kept
informed about Senate legislative activity on the Gallery's Twitter
account (@Senate PPG). Our FY21 budget request will allow us to
continue providing the same level of service.
daily press gallery
We issue approximately 1,600 credentials to journalists each year.
As custodians of the largest press complex on Capitol Hill, we serve
more than 100 reporters who work in the Press Gallery on a regular
basis. Further, we control access to the Press Gallery inside the
Senate Chamber, ensure Gallery rules are followed, and coordinate with
Senate committees on press coverage for hearings and other events
around Capitol Hill. Our staff remains focused on modernizing services,
streamlining the online credentialing process, and maintaining real
time website updates on Senate floor proceedings and notifications to
Senate staff and reporters via email and Twitter (@SenatePress).
press photographers gallery
Our FY21 budget request allows us to continue to provide support to
press photographers and representing news organizations from across the
United States and around the world. This support serves as our primary
duty to ensure a liaison between news photographers and Congress. Since
the House of Representatives does not have their own press
Photographers Gallery, our staff supports the press photographers and
Congressional staff at House news events and hearings. We support press
logistics at many high-profile hearings and events and coordinate with
other SAA offices, the United States Capitol Police, and Senate and
House offices to ensure press photographers have access without
interfering with the duties of the Congress. Equally important is our
coordination of the press logistic plans for Continuity of Government.
radio and television gallery
Our staff serves as the Senate's primary contact to the broadcast
news, ensuring the Senate's broadcast coverage rules are followed. We
function as liaison between Senate offices and the broadcast media. We
issue approximately 3,500 credentials each year to television and radio
reporters, producers, and technical personnel. We also maintain the
studio and technical infrastructure Senators use for news conferences.
In an effort to ensure live coverage capability, our staff conducts an
extensive connectivity maintenance program, to include the fiber optic
cabling throughout the Senate office buildings.
senate doorkeepers
As Doorkeepers, we provide access to those with Senate floor
privileges; enforce the rules of the Senate floor; and facilitate the
needs of Senators, Senate floor staff, and Senate Pages. We provide
support for a number of special events attended by Senators, their
families, and special guests. Moreover, we process approximately
200,000 visitors from around the world each year and ensure they can
visit the Senate Galleries safely. In keeping with safety, we also
undertake emergency preparedness roles, balancing access and safety in
the Senate.
senate appointment desk
At the Senate Appointment Desk, we safely and efficiently process
thousands of Senate guests each year for business meetings or other
purposes. During FY19, we processed approximately 230,000 visitors
through our network of Appointment Desks located on the first floor of
the Capitol, in the basements of the Russell and Hart Senate office
buildings, and in the Capitol Visitor Center (CVC). Of these, more than
108,000 visitors were in the Capitol complex for official business or
for a meeting with a Member, a Member's office, or a committee. In
addition, more than 29,000 international visitors relied on the CVC
Appointment Desk for Senate Gallery Passes and information. We expect
the same level of effort in FY21.
human resources
The SAA Human Resources (HR) office provides personnel services and
advice to SAA managers and employees. In addition, the office provides
workers' compensation, ergonomic assessments, Americans with
Disabilities Act accommodation requests, and recruitment services to
the broader Senate community. During FY19, the Senate Placement Office
received 768 requests for recruitment assistance from Senate offices
and processed 30,017 resumes from applicants seeking Senate employment.
Our FY21 budget justification requests a small increase to ensure
the viability of the transit subsidy program for our employees and
includes a request to obtain support to improve, enhance, and automate
HR processes. Further, we remain committed to working in concert with
the Secretary of the Senate to streamline our human resource efforts
and leverage the efficiencies offered by improvements to the HR
information system.
joint office of training & development
The Joint Office of Training & Development provides training to all
Senate staff so they have the resources and skills needed to perform
their jobs. Training & Development averages nearly 8,000 attendees in
the in-person and online courses annually. The office facilitates
conferences for state office staff, and provides customized training,
facilitation services, and coaching to Member, committee, and support
offices, averaging about 215 attendees each year. Outside of the
classroom, the Training & Development staff have assisted over 6,000
staff in informal learning encounters.
The mandated Health Promotion section provides health promotion
activities and events for the Senate community. Each year, this section
coordinates and hosts the two-day Wellness Fair, which averages nearly
3,000 participants in health promotion activities, including screenings
for glucose, cholesterol, and blood pressure; exercise demonstrations;
and seminars on topics including healthy eating and cancer prevention.
We continue to coordinate with the American College of Surgeons and the
Stop the Bleed Coalition to provide bleeding control training for D.C.
Senate staff. During FY19, we trained 75 Senate employees and we
continue to provide this training quarterly. The small increase to our
FY 21 budget request will enable us to continue refining and improving
upon our training, provide professional development training to our
employees, obtain various software licenses to support our clients, and
fund travel of our employees in support of Senate offsite
facilitations.
employee assistance program
Our Employee Assistance Program (EAP) offers a variety of
emotional, behavioral and work-related support resources and services
to staff, their family members, Senate Pages, and interns. In FY19,
nearly 1 in 8 Senate employees used the services of an EAP counselor.
Further, 323 employees took an online mental health screening; 2,498
employees attended an EAP training activity; and 2,042 employees
accessed resources for personalized information and referrals
addressing childcare, parenting, adult care, aging, education, legal
concerns, and/or financial issues. We are requesting a small increase
in our FY21 budget request to fully fund trauma and critical incident
support services.
conclusion
I want to thank you for your bipartisan support to the SAA. The
FY21 Sergeant at Arms budget request reflects only what we need to
support the personal security of the Senators and their staff, the
physical security of the Capitol and surrounding buildings, the cyber
and privacy security of the Senate, and the administrative and
logistical support to the Senate ensuring the legislative process
proceeds unimpeded. This budget request requires each member of the
Sergeant at Arms to be good stewards of every taxpayer dollar spent and
holds me accountable to provide first in class support to the Senate.
We will work closely with you to ensure we meet your needs in a timely
and efficient manner.
[This statement was submitted by the Honorable Michael C. Stenger.]
______
Prepared Statement of the United States Capitol Police
Chairman Hyde-Smith, Ranking Member Murphy, and Members of the
Subcommittee, thank you for the opportunity to present the United
States Capitol Police (USCP) budget request for Fiscal Year 2021 under
these serious circumstances as the Congress and the Department respond
to the ongoing COVID-19 pandemic. The Department greatly appreciates
the Subcommittee's continued support of the women and men of the
Department as well as Congress' generosity in providing the resources
necessary to support our crucial mission.
The USCP has a unique role--we are the only law enforcement agency
responsible for protecting the Congress and the U.S. Capitol Complex.
We detect, investigate, and prevent threats made against Members of
Congress and the U.S. Capitol. We provide a steady, watchful presence
throughout the Capitol Complex, 24 hours a day, 365 days a year. We are
responsible for protecting elected officials to ensure the continuity
of government. In addition, the type of policing that we engage in is
highly specialized to focus on the unique requirements of protecting
the legislative process as well as the First Amendment rights of our
citizens; maintaining an open campus so that visitors from across the
country and around the world can witness representative democracy in
action, and preventing crime and terrorism. We also engage in community
policing with our law enforcement partners throughout the city of
Washington, D.C., and we conduct investigations with our federal
partners including the Federal Bureau of Investigation, U.S. Secret
Service, Bureau of Alcohol, Tobacco, Firearms and Explosives, and
others.
In June 2019, I had the honor of being sworn-in as the tenth Chief
of Police for the United States Capitol Police. In my more than 28
years of law enforcement service, including nearly three years as the
USCP Assistant Chief of Police, I could not be more proud to lead a
Department that is so highly respected, and is known for its
professionalism and national security capabilities. I strongly believe
in our mission, and I know that our team is the best at what we do.
From our civilian employees who are critical in supporting our daily
operations, to our sworn officers who are out there getting the job
done, I value each and every one of their contributions that allow us
to successfully achieve our mission.
I look forward to leading the Department into the next decade by
continuing to optimize the Department's overall readiness to address
the challenges of keeping the Congress and the U.S. Capitol safe and
secure in our ever-changing world.
I am supported in this commitment to excellence by my Executive
Team--Assistant Chief Yogananda Pittman, Assistant Chief Chad Thomas,
Chief Administrative Officer Richard Braddock, Acting General Counsel
Thomas DiBiase, and Chief Financial Officer Dominic Storelli--as well
as by the members of my entire Executive Management Team.
The Department appreciates its partnerships with Mr. Michael
Bolton, USCP Inspector General, Ms. Karen Gray-Thomas, Chair of the
USCP International Brotherhood of Teamsters, and Officer Gus
Papathanasiou, Chairman of the USCP Fraternal Order of Police (FOP),
and their contributions to the Department's overall success. I value
our relationships with our unions, and respect their roles in
collaboratively implementing policies and procedures, and addressing
personnel concerns with the shared goal of supporting the Department's
mission.
effecting organizational changes to enhance operational capacities
Last fall, having spent significant time thoroughly and
thoughtfully reviewing our overall operations to better address
threats, manage Department resources, and develop and support our
future leaders, I implemented several organizational changes that
became effective on October 20, 2019. These changes are designed to
further enhance our operational capacity and internal oversight of the
Department's operations. The reorganization also places added
concentration on Department-wide internal controls and employee
wellness and well-being. I want to thank and recognize the Capitol
Police Board, and our Senate and House Oversight Committees for their
support as we put these organizational changes into effect.
In response to the significant increases in our ranks and in our
responsibilities, I added a second Assistant Chief Police to our
command staff. Prior to October 2019, we had one Assistant Chief of
Police who oversaw the day-to-day functions of all five of our
operational bureaus. In addition, as Chief, one of my top priorities is
to further strengthen our dignitary protection operations and threat
information gathering and analysis capabilities to identify any risks
of terror attacks whether the danger is from a foreign terrorist
organization or from a domestic ``lone wolf'' assailant.
Under our new Department organizational structure, Assistant Chief
Pittman is charged with leading our Protective and Intelligence
Operations, and Assistant Chief Thomas is charged with leading our
Uniformed Operations. This allows each of them to focus on developing
and implementing new mission-critical initiatives, on broadening our
protective mission within the Capitol Complex and beyond, on further
enhancing our operational readiness, and on ensuring that our critical
life-safety mission is successfully executed.
To effectively direct the Department's compliance with its
policies, procedures, and processes, and the efficient execution of its
programs and initiatives, a new Internal Controls and Risk Management
Division was established. The new division, under the Office of the
Chief Administrative Officer (CAO), works in concert with the
Department's Office of Inspector General (OIG) to identify and address
opportunities for greater operational efficiencies across the
Department.
Under the reorganization, a new Employee Wellness and Resiliency
Division also was established under the CAO, which is addressing
employees' physical, nutritional, mental, financial, and spiritual
well-being. During this time of responding to the COVID-19 pandemic,
while we are all working to maintain our good spirits and health, the
Department's is making available--free of charge to employees--
alternative resources that support nutritional and physical health,
stress management, and work-life balance. As detailed in our recent
report to the Subcommittee, the Department's overall plan going forward
is to deliver wellness solutions, which includes conducting a
comprehensive assessment of employee needs, and developing an inclusive
strategy to provide a variety of resources. For example, the Department
has partnered with the House Wellness Center to facilitate USCP
employees' access to the House's online and in-person wellness
offerings.
Our wellness program is being designed to help employees understand
their current health and financial wellness status; set realistic
goals; provide personalized guidance, and identify resources to ensure
success in their health and well-being journeys. It also will include
access to a personal trainer in the USCP gyms; experts to provide
advice on healthy eating habits; money management seminars on creating
household budgets and spending plans, and an early-intervention program
and peer-to-peer support program. The holistic wellness program also
aims to expand and promote Department policies and programs that
support work-life balance, such as the alternative work schedule and
telework policies.
As for the Department's financial wellness, I am pleased to report
that the Department received its eighth consecutive unmodified
``clean'' opinion on our Fiscal Year 2019 financial statements from the
OIG. The OIG plays a very important role in assisting the Department in
improving our operations and performance by conducting audits, reviews,
and investigations, and making recommendations for business
improvements. The resolution of OIG recommendations regarding the
Department's internal controls and business processes is among the top
priorities of our leadership team, as evidenced by the creation of our
new Internal Controls and Risk Management Division. Since 2006, when
the OIG was established, the Department has successfully closed 92
percent of the OIG's recommendations.
We also have been updating the Department's Strategic Plan to
prioritize key strategic goals and objectives within the current
security and fiscal environments for the next five years. These goals
include optimizing readiness; threat identification and mitigation;
supporting our employees from the day they are hired to the day they
retire, and promoting accountability. Our strategic planning process
has included valuable input from our sworn and civilian colleagues, and
when finalized, also will reflect Legislative Branch stakeholders'
priorities.
addressing threats to maintain highest level of readiness
We consistently work to maintain the level of protection necessary
to balance access and security. Over the past year, the Department
screened millions of individuals at building entrances and interior
checkpoints, effectively integrating and implementing the use of our
pre-screener officers at posts outside of the Senate and House office
buildings, coupled with our House Garage security perimeter plan. In
this fiscal year alone, we have managed an ever-increasing number of
demonstrations, including large demonstrations each Friday for 14 weeks
starting last October; have secured and supported a Lying in State
ceremony; saved dozens of lives using our specialized training and
equipment; secured historic Senate sessions and House hearings; have
swiftly responded to critical incidents and civil disobedience; and
have investigated numerous, credible threats against Members of
Congress and the U.S. Capitol.
In our efforts to address new and emerging threats and to maintain
the highest level of readiness, the Department works closely with the
Capitol Police Board to augment and strengthen its off-campus security
and Member protection. We routinely collaborate with the Senate and
House Sergeants at Arms to assess Members' state and district office
security, and we provide recommendations on ways to improve and enhance
security measures and practices inside and outside of the National
Capital Region.
We also continue to provide security awareness briefings for both
local and district staff. I am pleased to note that the number of
security awareness briefings requested by Member offices has nearly
tripled since Calendar Year 2017. We appreciate that there is a
heightened awareness among Members and their staffs about their
personal security, and that they are building partnerships with the
USCP to further ensure their safety. The Department greatly appreciates
the Capitol Police Board's support in these efforts, as their outreach
to Member offices allows the Department to better serve Congress's
needs.
Since Calendar Year 2017, the number of threats we have
investigated has increased by more than 75 percent. Our special agents
are aggressively pursuing all leads and investigating threats from many
sources. As a result of their efforts, we have also seen the number of
threat cases that we have closed by arrest increase significantly.
In just the past nine months, the USCP has thwarted a number of
serious and credible threats against Members that have led to numerous
arrests across the country as well as national headlines.
--``Kentwood Man Sentenced for Interstate Threat to Injure U.S.
Senator,'' June 28, 2019 (The Post-Cedar Springs, MI)
--``Virginia Beach Man Admits Threatening to Shoot Sen. Mark
Warner,'' July 11, 2019 (The Virginian-Pilot)
--``Kissimmee Man Sentenced to 15 Months for Threatening to Behead
Sen. Bernie Sanders,'' August 23, 2019 (Osceola, FL, News-
Gazette)
--``Man Arrested in Connection to Threats to Arkansas Congressman,''
October 1, 2019 (Arkansas Democrat-Gazette)
--``Man Accused of Threatening Federal Agent and Members of
Congress,'' November 26, 2019 (South Florida Sun-Sentinel)
--``Maine Schools in Lockdown After Threat Mentioning Susan
Collins,'' January 31, 2020 (Bangor Daily News)
--``Man Charged with Making Death Threats to Nancy Pelosi in
Coronavirus Rant,'' March 26, 2020 (New York Times)
Just as important, based on the thoroughness of our investigations,
these cases are being successfully prosecuted and tried by our law
enforcement partners in U.S. Attorney's Offices across the country.
In addition, the number of coordination activities where the
Department engages with other law enforcement agencies to provide
security for Members at off-campus events increased by more than 200
percent from Calendar Year 2017 to Calendar Year 2019.
This is due in part because of our concentrated effort to increase
Member protection within the National Capital Region, and our work with
our local, state, and federal law enforcement partners throughout the
country to coordinate security arrangements for Members while they are
at public events in their home states.
As the nation continues to adjust its activities due to the ongoing
COVID-19 pandemic, so too does the Department as we continue to plan
for both the Democratic National Convention in Milwaukee, Wisconsin,
and the Republican National Convention in Charlotte, North Carolina.
Each of these events requires extensive planning and resources from the
USCP, and we are working closely with the respective executive steering
committees to plan for a number of contingencies for each of the
conventions. As an active partner in the overall event security
planning, we have forged excellent relationships with our executive
steering committee partners, and our efforts will only enhance our
efforts to protect Members of Congress, no matter how the conventions
take place.
investing in a secure future
In order to continue to be a leader within federal law enforcement,
and to get ahead of potential threats rather than reacting to them, we
have developed our Fiscal Year 2021 budget request with an emphasis on
providing specialized training for our employees as well as investing
in the tools and technologies we need to maintain the highest level of
readiness.
Our Fiscal Year 2021 budget request is $516.7 million, and
represents an increase of 11.2 percent over Fiscal Year 2020 enacted
levels to meet mandatory salary requirements, provide overtime for
critical training, ensure the security of the 2021 Presidential
Inauguration, and address other mission-related expenses. Our budget
request does not include a request for additional FTEs, however, we are
facing increasing personnel costs due to outside requirements.
Specifically, our request includes $7.9 million to cover an
increase in benefits costs related to an increase in the Office of
Personnel Management's (OPM) Federal Employees Retirement System (FERS)
rate for the USCP. The FY 2021 request does not include potential
increases resulting from P.L. 116-94, Adjustment to Normal Cost
Percentage Rates.
Following OPM's establishment of the USCP's ``normal-cost
percentage'' level, the Department will provide the Subcommittee with
revised FY 2021 salaries request data, as necessary. In addition, we
are requesting $7.8 million for FY 2021 COLA and related benefits
costs.
As the members of the Subcommittee are aware, the Department's
current sworn staffing levels do not provide the complete and necessary
resources to meet all of our mission requirements within the
established sworn officer utility or 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. It balances the
utility of available staff with annual salary and overtime funding
along with known mission requirements. These known requirements include
post coverage and projected unscheduled events such as demonstrations,
late-night sessions, and holiday concerts. The utility number also
estimates unfunded requirements that occur after the budget is enacted,
such as unforeseen critical emergency situations, and providing
adequate police coverage of Congressional hearings.
Because of the need to fill the mission requirement gap through
overtime, the Department must also utilize overtime to ensure that
officers can be offline for training, while meeting our daily mission
requirements. There are flexibilities that other law enforcement
agencies have to offset or defer daily requirements to allow for
officer training that our unique mission does not afford us.
Therefore, mission requirements in excess of available personnel
must be addressed through the identification of efficiencies such as
post realignment and/or reductions, technology, and cutbacks within the
utility. Where necessary, we meet this requirement through the use of
overtime.
On January 20, 2021, the U.S. Capitol once again will be the center
of global attention as it hosts the Presidential Inauguration. Our
planning is underway and our FY 2021 budget request includes $2.72
million for overtime for Inaugural security-related activities. An
additional $47.5 million for overtime will cover base mission
requirements, the support of non-reimbursable events at the Library of
Congress, and the ability for sworn employees to be backfilled while
they attend mandatory and essential training.
According to the International Association of Chiefs of Police
(IACP), ``police agencies nationwide have experienced increasing levels
of staff turnover and difficulty in recruiting new officers. The
problem is compounded by experienced officers, who have been the core
of their agencies' operations for years, who are retiring.''
While we are competing with other law enforcement agencies across
the country to find and hire qualified applicants, we continue to work
hard to attract the necessary level of highly-qualified candidates to
hire without having to compromise our hiring standards--including
during this pandemic. The women and men who make up our recruit classes
are the top one percent of the candidates who have applied to work with
us. Our recruiting staff has been very successful in reaching out to
colleges and universities, as well as exploring other avenues, to meet
and recruit very diverse groups of applicants.
It is not enough to simply attract the best and the brightest. As
Chief, it is my responsibility to ensure that we continue to invest in
our employees by providing them with the training they need to grow
personally and professionally; to obtain and upgrade key equipment and
systems they need to do their jobs efficiently and effectively; and to
give them the proper tools to ensure that they achieve and maintain a
well-rounded career with the Department. As the Department continues to
grow and transform to address new and emerging threats, new
technologies are essential tools in our ability to maintain a high
level of readiness and to compete with other law enforcement agencies.
The IACP also has noted that, ``Technology impacts every aspect of
the law enforcement profession and is constantly evolving.'' This
includes communications, information management, enforcement
technologies, forensics, operations, cyber-crimes, digital evidence,
and emerging technologies such as drone mitigation and autonomous
vehicles.
For the Department's General Expenses budget, our FY 2021 budget
request includes items such as protective travel; hiring, outfitting,
and training new sworn personnel; supplies and security equipment;
event management, and other non-personnel needs. We are requesting
$99.5 million for general expenses, which is an increase of $14.2
million over the FY 2020 enacted level.
A large part of our General Expenses budget will be invested in our
people and the tools they need to do their jobs successfully. We plan
to use these funds to upgrade our network and infrastructure equipment,
computer hardware and software, and specialty equipment. We are also
going to provide our sworn personnel with specialized training in order
to commit more resources to our threat detection and prevention efforts
where their focus is on keeping the Members of Congress and the Capitol
Complex safe and secure.
Also included in our FY 2021 budget request is $3.6 million in No-
Year funding to support the replacement of the antiquated annunciator
system that was installed shortly after the September 11, 2001, and the
October 2001 anthrax attacks. The current system is obsolete, is no
longer supported, and replacement parts are no longer available. As the
threats continue to change, so too should the tools we use to
communicate with the Congressional community. It is imperative that we
provide appropriate information and instructions during security
incidents, and we continue to refine our communications equipment,
efforts, and protocols.
The new system, the Joint Audible Warning System, has been a joint
effort among the Senate and House Sergeants at Arms, the Architect of
the Capitol, and the USCP to provide a new, state-of-the-art, encrypted
audible warning system throughout the Capitol Complex. This No-Year
funding will cover the USCP's share of the total acquisition cost and
the initial purchase of receiver end units.
While physical security elements are an important part of any
operations plan, I want to again reiterate that our officers who are on
the job 24 hours a day, 365 days a year, are our greatest assets in
helping to prevent threats and responding to any crisis. During this
ongoing crisis, I especially want to recognize and thank our
employees--both sworn and civilian. I could not be more proud of the
tremendous teamwork and dedication to our mission that everyone has
exhibited as our nation, the Congress, and the Department continues to
respond to the COVID-19 pandemic.
I understand that Congress expects the USCP to be fiscally
responsible in carrying out our mission. We have made every effort to
identify efficiencies throughout the Department. With our recent
structural reorganization and strategic planning efforts, we are
strengthening our reporting relationships, promoting greater
accountability, fostering dynamic succession planning, increasing
efficiencies, and further empowering our people to ensure that our
critical mission continues to be successful.
However, to ensure that the USCP is always at the ready to keep the
Capitol Complex safe and secure, it is important that we make these
crucial investments in our people and our resources at this time. Our
Fiscal Year 2021 budget request was developed with great thought and
discipline to ensure that the necessary mission requirements were at
the forefront of our planning and prioritization.
In closing, I often tell my colleagues that it takes special people
to answer the call to public service. In choosing a career with the
United States Capitol Police, we all make a commitment to serving our
country, the Congress, and our Department. What unites us is our
dedication to keeping everyone protected and secure. Our team continues
to impress me with their professionalism and commitment each and every
day whether it is conducting security screening, providing valuable
mission support behind the scenes, responding to an emergency, dealing
with a global pandemic, or participating in an historic event.
Again, thank you for the opportunity to discuss our FY 2021 budget
request, our priorities, and activities. We will continue to work
closely with you and the Subcommittee to ensure that we meet the needs
and expectations of the Congress, and continue to successfully
accomplish our mission today, while preparing for the challenges and
the opportunities of tomorrow.
[This statement was submitted by Steven A. Sund, Chief of Police.]
______
Prepared Statement of the United States Register of Copyrights
Madam Chairman, Ranking Member Murphy, and Members of the Subcommittee:
Thank you for the opportunity to submit the United States Copyright
Office's fiscal 2021 budget request.
The Copyright Office has had an exceptionally busy year and has
made significant progress on a number of fronts. As the main federal
entity charged with administering the Copyright Act, the Office has
many responsibilities, including overseeing the national copyright
registration and recordation systems, advising Congress on copyright
policy and legislation, working with the Department of Justice and
other federal agencies on copyright litigation, conducting
administrative and regulatory activity with respect to statutory
copyright licenses (including managing over $1 billion in royalties
from compulsory licenses), and educating the public about copyright
law. We do all of this work with a lean staff of less than 450
employees who are dedicated to copyright's Constitutional mission of
``promot[ing] the progress of science and useful arts.'' \1\
Summary of the Past Year
This past year, we were successful on a number of fronts. We
released the 2019-2023 Strategic Plan, Copyright: The Engine of Free
Expression, which focuses on information technology modernization,
optimizing business processes, organizational change management,
education and engagement, impartial expertise on copyright law and
policy, and measuring success. We were able to make significant
progress on these focus areas. For example, regarding information
technology, fiscal 2019 marked the first year Congress appropriated
funds specifically for IT modernization, which allowed the Copyright
Office and the Library of Congress Office of the Chief Information
Officer (OCIO) to continue laying the groundwork for a modernized
information technology system. The Office worked closely with OCIO,
providing business information that OCIO, which undertakes the
development work, uses to develop the system. Using this business
information, OCIO finished development on the first phase of a
recordation pilot which launched on April 27 and worked on user
interface development for the new registration system, among other
things.
The Office also kicked off business process reengineering (BPR) and
organizational change management (OCM) activities. These efforts will
streamline and improve Office workflows and help build and maintain a
workforce that is efficient, adaptable, and inclusive. This work
complements IT modernization, making workstreams more efficient and
productive.
Since the Office's budget testimony last year, the Office has
engaged in a number of outreach activities to provide accurate and
unbiased information on copyright law. The Office developed a
comprehensive communications strategy and conducted significant
outreach, including to educate the public and stakeholders about
implementing the landmark Music Modernization Act (MMA).\2\ In fiscal
2019, the Office also answered over 100,000 public inquiries regarding
copyright, helping people understand copyright and the Office's
services.
Additionally, the Office continued its longstanding role of
providing expert legal and policy advice. The Office recently released
one policy study and continues work on several others. The Office also
continued to provided legal advice and assistance across the government
regarding complex and emerging areas of copyright law and policy,
including Supreme Court and appellate litigation and international
matters. Further, in the last year, the Office promulgated a number of
regulations to implement various provisions of the MMA, as well as
multiple rules to streamline practices for registration and
recordation, explore new group registration options, and facilitate
increased participation in the registration system.
We have achieved much this past year in administering the national
registration and recordation systems. In fiscal 2019, the Office issued
more than 547,000 registrations involving millions of works and
recorded 12,550 documents containing 457,731 titles. The Office also
received more than 700,000 deposited works; of those that were
transferred to Library collections, they amounted to a total value of
more than $52 million. As we testified in mid-2019, the Office had
eliminated the registration backlog. The registration division has been
steadily working to reduce the number of workable claims on hand; the
workable claims on-hand are now approximately 77,000 claims. Indeed, in
fiscal 2019 the Office decreased the overall average processing time
for review of copyright registration claims from seven months to four.
In the first half of fiscal 2020, we are pleased to report that the
Office has been able to further reduce processing times to an average
of 3.2 months--an overall reduction of over 50% in just eighteen
months.
Recent Events due to the Novel Coronavirus (COVID-19)
While the first half of fiscal 2020 has brought unique challenges
for the Office, our staff has risen to the challenge. The Office
implemented its pandemic response plan in March 2020, successfully
transitioning 98% of the Office's staff to full or partial telework
within just a few weeks. The bulk of the Office's operations have been
largely unaffected by this transition, including all legal and policy
work, registration processing of fully electronic claims, and ongoing
modernization activities. Although processing of physical materials has
been suspended since March 26 in accordance with our pandemic plan, the
Office has issued a new rule that permits the Office to offer an
electronic option for some services that previously required paper
submission. We have also adjusted practices to receive certain
additional applications and submissions via email during pandemic
operations. To further relieve constraints imposed by the pandemic on
users of Office services, the Acting Register is exercising the
authority recently granted by Congress in the 2020 Coronavirus Aid,
Relief, and Economic Security Act (``CARES Act''), including by issuing
two notices that temporarily adjust certain timing provisions and
monitoring operations to see if further measures are needed. The Office
is closely monitoring the impact of COVID-19 on our fee receipts. While
there has not yet been a significant shortfall of receipts, the Office
appreciates the Committee's support if funding flexibility is needed to
adjust to disruptions in operations or to address anticipated increased
workloads when mail service is resumed.
In sum, the Office is proud to have made so much progress this year
and is honored to serve the country and the copyright ecosystem. The
Office is grateful for this opportunity to present a budget request
that would enable this important work to continue in fiscal 2021.
funding and overall fiscal 2021 budget request
The recurring financial support for the Office's modernization
efforts, initially funded as part of the fiscal 2019 budget, continues
for fiscal 2021, and the Office is pleased to provide an update on a
number of initiatives that are now fully underway. In addition to
ongoing modernization, the Office and the Copyright Royalty Judges
(CRJ) are fully engaged in addressing new responsibilities under the
MMA. To meet the new MMA mandates, the Office is requesting $1.6
million in additional funding for fiscal 2021, primarily for Office and
CRJ staffing as described further below.
The Copyright Office's overall budget is composed of three separate
budgets or program areas:
(1) Basic Budget, which funds most of the Office's core
operations, including the majority of payroll-related expenses.
Historically the basic budget has been composed of a combination of
appropriated dollars and authority to spend fee revenue, with fees
constituting a majority of this funding (generally in the range of 50%
to 67%);
(2) Licensing Budget, which is derived completely from licensing
royalty collections otherwise payable to copyright owners and filing
fees paid by cable and satellite licensees pursuant to statutory
licenses administered by the Office; and
(3) Copyright Royalty Judges Budget. Although the CRJ program is
not a part of the Office, the Office provides it with budget
formulation and execution support on behalf of the Library of Congress.
For fiscal 2021, the Office requests a combined total of $94.891
million in funding and 435 FTEs, of which $44.8 million would be funded
through offsetting collections of fees collected in fiscal 2020 and in
prior years.
The Office's fiscal 2021 requests are:
--Basic Budget: $85.8 million and 403 FTEs. The fiscal 2021 budget
request requests funding for its Basic Budget from $38.0
million in offsetting fee collections (44%) and $47.8 million
(56%) in appropriated dollars. The request includes mandatory
pay-related and price level increases of $3.2 million and a
program increase of $0.7 million for staffing and public
outreach and education activities to implement the MMA. The
request also includes a reduction in the amount of $2.1 million
for non-recurring costs that were associated with program
increases that involved the Office's warehouse move and
contract support for the Office of Public Records and
Repositories. The fiscal 2021 submission includes a request to
shift base funding from offsetting fee collections to
appropriations due to a projected, continued negative fee
impact resulting from the enactment of the MMA. The MMA made
significant changes to the section 115 compulsory license, and
in accordance with the new law, the Office no longer accepts
certain section 115 filings. This change resulted in a fiscal
2019 reduction in fee collections of $4.2 million that is
expected to be permanent. The Office adjusted its fee schedule
effective March 20, 2020, to increase certain fees while being
mindful of the purposes of the national copyright system.
However, as noted in its report to Congress, Proposed Schedule
and Analysis of Copyright Fees to Go Into Effect in Spring 2020
(submitted October 16, 2019),\3\ the Office did not attempt to
recoup any loss due to the MMA through fees because doing so
would increase fees beyond those proposed in the 2018 Notice of
Proposed Rulemaking, potentially significantly reducing the
overall number of filings, thus undermining the copyright
system overall.
--Licensing Division Budget: $6.2 million and 23 FTEs, all of which
are funded via filing and royalty fees. The requested increase
includes mandatory pay-related and price level increases of
$0.3 million.
--Copyright Royalty Judges Budget: $2.9 million and 9 FTEs, with $0.1
million to support mandatory pay-related and price level
increases. Included in the request is a program increase of
$0.9 million to support 3 FTEs and other costs associated with
implementing the MMA and other increased workloads. Of the
total, royalties and participation fees offset $0.5 million
(for non-personnel-related expenses). The remainder, $2.3
million in appropriated dollars, is to cover the personnel-
related expenses of the judges and their staff.
focus of fiscal 2021 activities
The Copyright Office's fiscal 2021 funding request provides
resources necessary to continue the progress already started towards
the Office's strategic goals. As mentioned above, the Office's
strategic plan includes focus areas such as expert law and policy
advice and modernizing information technology and business process,
among other things. To advance these goals, the Office is seeking
specific funding regarding: (1) meeting the mandates of the MMA; (2)
modernization of the Office's IT systems and applications, including
the Office's historical records initiative; and (3) modernization of
the Office's business environment and practices so that the Office's
core registration and recordation services are delivered as efficiently
as possible. In late March, we updated our modernization webpage \4\ to
reflect ongoing work for both IT and non-IT initiatives.
Music Modernization Act (MMA)
The enactment of the MMA assigned new responsibilities to both the
Copyright Office and the CRJ. The MMA requires the Register of
Copyrights to ``engage in public outreach and educational activities''
regarding the amendments made to section 115 of title 17, in addition
to a number of rulemakings.\5\ Specifically, the Register must engage
in public education and other outreach activities to inform interested
members of the public and songwriters about the process by which a
copyright owner may claim ownership of musical works through the
``mechanical licensing collective'' (MLC), which will administer a
blanket licensing system for digital music providers to make and
distribute digital phonorecord deliveries (e.g., permanent downloads,
interactive streams). The Office has planned a number of public
outreach programs to address the requirements of the MMA, and is
requesting a program increase to include three additional FTEs to
ensure these efforts are fully resourced.
The MMA also assigned additional responsibilities to the CRJ. In
the MMA, Congress assigned to the CRJ the duty to ascertain the
reasonableness of the MLC's operating budget and the allocation of
contributions to that budget by the various licensees or licensee
representative groups.\6\ Previously, under section 802(b) of the
Copyright Act, the number of support staff authorized to support the
CRJ was capped at three. A proviso in the fiscal 2020 Further
Consolidated Appropriations Act permanently removed the staffing cap,
allowing for the new hires requested in fiscal 2021.\7\
Copyright IT Modernization
Modernization of the Copyright Office's aging information
technology systems and applications continues to be a top priority. The
Office has a number of accomplishments to report as we are in the
second year of our five-year modernization plan. OCIO is working
alongside the Office on software development activities, which are
progressing across multiple programmatic areas-including registration,
recordation, statutory licensing, and access to public records. This
calendar year, we are collaborating on several components of the new
Enterprise Copyright System (ECS), including the gathering of public
feedback. The first effort involves the public launch of a limited
pilot program for our new recordation system, which will eventually
replace our current paper-based system. We are pleased to report that
we launched the public pilot on April 27, which was on target for our
plans to launch in spring 2020. This pilot is initially available to a
limited number of public users who will be able to record a document
related to copyright ownership that falls under section 205 of title
17. We will incorporate the user feedback from this pilot into
iterative improvements as part of future releases as this project is
now in the phase of continuous development where additional
functionalities and additional waves of users will be added.
In addition to the recordation pilot, we plan to release a limited
prototype for at least one type of copyright registration application,
from which we will gather public feedback. Work also continues on the
release of a new Copyright Public Records Proof of Concept, an endeavor
that will eventually replace the existing Copyright Office Online
Public Catalog. Both of these endeavors are expected to be released by
the end of calendar 2020.
For the historical records project, the Office is currently working
with the Library's own experts in digital collections management to
ensure that the digitization of the Office's over 26,000 physical
copyright record books incorporates best practices and can be made
available for public, online viewing as rapidly as possible. Combined,
these record books contain well over 20 million pages of records dating
between 1870 and 1977, covering works as diverse as books, photographs,
musical compositions, sound recordings, motion pictures, and more. The
Office will digitize more than 800 volumes over the next year alone.
The Office also will continue improving the metadata for the more than
40 million registration application and index cards that are already
publically viewable using the Office's Virtual Card Catalog (VCC). The
metadata effort will enhance the public's user experience by providing
more accurate online search capability.
As directed by the Committee, the Office has developed an
integrated master schedule (IMS) for its modernization activities. To
ensure the IMS aligns with best practice criteria, the Office is using
expert consulting services to assist in developing a program for IMS
management that allows for continuous improvement and refinement of the
IMS and its estimates. The consultant services were procured under the
Library's recent contract for Library-wide performance planning and
measurement services. Given the building closures caused by the COVID-
19 situation, onboarding these contractors has been slightly delayed,
and this will result is some delays in near-term scheduled
deliverables.
Modernization of Copyright Office Business Practices
In the past year, the Copyright Office completely eliminated the
backlog of pending registration claims, reduced registration processing
times by more than 40%. Additionally, the Office drafted a number of
revised regulations to streamline registration practices and
procedures. The Office also recently completed an independent analysis
of its recordation business processes and began more targeted efforts
to reduce the existing recordation backlog.
In addition, the Office has made significant progress in its
business process reengineering efforts, with 66 distinct processes
under review and which we are scheduled to complete this summer. The
Office's modernization initiative also encompasses the Office's
organization and people. This past year, the Office of Personnel
Management (OPM) completed a review of the Office's organization and
structural needs for modernization. The Office has engaged OPM for
additional organizational review work, including assisting the Office
in succession planning, as part of the Office's continued focus on
processing time reduction efforts. The Office also is in the midst of
our organizational change initiative, which involves the development of
key change management processes and documents, staff training on change
management practices, and strategic coaching on structuring and leading
complex business transformation.
Consolidation of Copyright Office Storage Facilities
The Copyright Office has made exceptional progress in its planned
consolidation of copyright materials from several geographically
dispersed storage facilities into a single, modern facility. The
collaborative warehouse construction project between the Library, the
Office, and Architect of the Capitol is currently months ahead of the
original 2021 construction completion schedule.
The physical structure, located near Landover, Maryland, was
completed in March 2020 with a limited occupancy permit expected to be
granted in September 2020. The new facility will allow the Office to
provide faster location, better tracking, and improved security of the
Office's significant inventory of copyright deposits.
changes to copyright office fees
Though the Copyright Office provides many of its services at no
cost, the Copyright Act requires that the Office charge fees for
certain services.\8\ When proposing a balance of user fees and taxpayer
funded monies to support its operations, the Office gives careful
consideration to the public benefits of the national copyright system,
including the impact of user fees on a copyright system that is
dependent on voluntary copyright registration and recordation. To
ensure that the Office's fees are ``fair and equitable and give due
consideration to the objectives of the copyright system,'' \9\ the
Office conducts regular studies of its operating costs and fee
structure. The Office released its most recent fee study as part of a
Notice of Proposed Rulemaking in May 2018, and in June 2019, the Office
issued a supplemental notice proposing limited revisions to the 2018
notice. After carefully considering comments from a variety of
interested parties in response to the notices, in October 2019 the
Office proposed the adoption of new fee schedule for certain Office
services to Congress. By law, the Register may institute the new fees
120 days after the Office submits the proposed schedule to Congress,
unless Congress enacts a law within the 120-day period stating that it
does not approve the schedule.
In accordance with the final rule, which was published in the
Federal Register on February 19, the new fees entered into effect on
March 20, 2020.\10\ While the Office did increase some fees, we reduced
proposed fee increases for the most commonly used applications, the
Standard and Single Applications. The Office also did not increase fees
for some group registrations applications and certain searches and
certifications, among other things. In advance of the effective date,
we presented a public webinar to discuss the changes. Both the webinar
and the slides are available on our website.\11\
more flexible fee authority
The Copyright Office would also benefit significantly from greater
flexibility in the use of its fee collections, specifically the
authority to use existing fee balances to provide services to the
public in the event of a lapse in appropriations. As we have noted
before, flexibility in management of fee balances across budget cycles
also would provide for more efficient and cost-effective administration
of large, non-recurring projects related to modernization and other
capital expenditures. To that end, once authorized, the Office
anticipates including in a future budget request a change in
appropriations language to allow for 20% of the balance of fees
collected in prior-years to be available each year, in addition to
appropriated amounts, for obligation without fiscal year limitation,
and to allow the Office to access existing fee balances to continue
operations during a lapse in appropriations.
The Copyright Office appreciates the Committee's continued support
of the Office's efforts to modernize both its technology and services,
and to the operation of the copyright system overall.
---------------------------------------------------------------------------
\1\ U.S. CONST. art. I, Sec. 8, cl. 8.
\2\ Orrin G. Hatch-Bob Goodlatte Music Modernization Act, Pub. L.
No. 115-264, 132 Stat. 3676 (2018).
\3\ U.S. COPYRIGHT OFFICE, PROPOSED SCHEDULE AND ANALYSIS OF
COPYRIGHT FEES TO GO INTO EFFECT IN SPRING 2020 (Oct. 16, 2019), at
https://www.copyright.gov/rulemaking/feestudy2018/proposed-fee-
schedule.pdf.
\4\ See https://www.copyright.gov/copyright-modernization/.
\5\ Orrin G. Hatch-Bob Goodlatte Music Modernization Act, Pub. L.
No. 115-264, Sec. 102(e), 132 Stat. 3676, 3722 (2018).
\6\ Id. Sec. 102(c).
\7\ Further Consolidated Appropriations Act, 2020, Pub. L. No. 116-
94, Sec. 1405, 132 Stat. 2534, 3208 (2018).
\8\ 17 U.S.C. Sec. 708.
\9\ 17 U.S.C. Sec. 708(b)(4).
\10\ Copyright Office Fees, 85 Fed. Reg. 9374 (Feb. 19, 2020); the
Copyright Office's webpage on the fee study and the final fee schedule
is available at https://www.copyright.gov/rulemaking/feestudy2018/.
\11\ Id.
[This statement was submitted by Maria Strong.]
----------
NONDEPARTMENTAL WITNESSES
Prepared Statement of the American Association of Law Libraries (AALL)
Dear Chairman Hyde-Smith, Ranking Member Murphy, and Members of the
Subcommittee:
On behalf of the American Association of Law Libraries (AALL), I
write in support of the Fiscal Year (FY) 2021 budget requests of the
Government Publishing Office (GPO) and the Library of Congress.
AALL is the only national association with 4,000 members dedicated
to the legal information profession and its professionals. AALL was
founded in 1906 on the premise that lawyers, judges, students, and the
public need timely access to relevant legal information to make sound
legal arguments and wise legal decisions.
AALL recognizes the many challenges the Subcommittee faces as a
result of the widespread economic impact of coronavirus (COVID-19). We
respect the difficult appropriations decisions that lie ahead as the
Subcommittee considers all of the legislative branch agency priorities
and requests under the Subcommittee's jurisdiction.
AALL believes that approving the immediate fiscal needs of GPO and
the Library of Congress will be a valuable use of limited resources as
the workload for these agencies has increased during the current
pandemic. Funding will enable GPO and the Library of Congress to meet
their important missions to provide permanent public access to and
preservation of essential government information. Greater access to
information supports access to justice and preserves the rule of law.
funding for the government publishing office
The GPO is responsible for producing, procuring, cataloging,
indexing, authenticating, disseminating, and preserving the official
information products of the federal government. Under the new
leadership of Director Hugh Halpern, GPO is strengthening its
relationships with its customers and stakeholders to modernize its
operations and improve efficiencies.
As physical libraries have closed and shifted to providing remote
services as a result of COVID-19, GPO's partnerships with libraries
across the country are playing a critical role in connecting members of
the public with government information and resources. More than 1,100
libraries-including approximately 200 law libraries-participate in
GPO's Federal Depository Library Program (FDLP), assisting your
constituents with finding the information they need on topics such as
public health, government benefits, and small business loan programs.
Given the increasingly important need for GPO to deliver robust
access to electronic materials, AALL particularly urges support for
GPO's Public Information Programs account to fund the FDLP, and the
cataloging and indexing programs to improve the findability of
information. We also support continued investment in GPO's govinfo
website, which provides public access to official, trustworthy, and
preserved government information. For example, the new Coronavirus
(COVID-19) webpage \1\ on govinfo includes links to legislative,
executive, and regulatory documents related to the federal government's
response to the pandemic.
funding for the library of congress
The rich and diverse electronic collections and the dedicated staff
of the Library of Congress have been on full display during the COVID-
19 situation. New virtual events and unique resources are available to
educate, entertain, and enlighten users from the very youngest children
to adult learners.
Housed within the Library of Congress, the Law Library of Congress
offers access to an unparalleled collection of domestic, foreign, and
international legal materials. The Law Library of Congress also boasts
a highly talented staff of lawyers and law librarians who serve the
federal judiciary and executive branch agencies, the practicing bar,
state and local government, businesses, scholars, journalists, and
anyone with legal research and reference needs.
Despite the temporary physical closure of the Law Library of
Congress, the Law Library has continued to provide users with timely,
comprehensive research. Recent activities include a newly published
report, Continuity of Legislative Activities during Emergency
Situations in Selected Countries, and a topical webinar, ``Fighting
Pandemics: Foreign and International Legislative Frameworks.''
AALL supports the Library of Congress' $23 million request for the
Law Library of Congress. This request includes funding for mandatory
pay-related and price-level increases and the necessary funding for the
replacement of outdated and obsolete shelving for the Law Library in
the Library's sub-basement. We also support the Library's need for
increased flexibility in the use of appropriated funds as it meets
expected and changing timelines as a result of government and business
closures due to COVID-19.
conclusion
As the Subcommittee considers agency priorities and funding levels
for FY 2021, AALL urges consideration of the current and future fiscal
needs of GPO and the Library of Congress. Providing GPO and the Library
of Congress with sufficient funding will enable these agencies to meet
their vital missions to provide public access to and preserve
government information.
---------------------------------------------------------------------------
\1\ https://www.govinfo.gov/features/coronavirus
[This statement was submitted by Michelle Cosby, President.]
______
Prepared Statement of the American Library Association
Chair Hyde-Smith, Ranking Member Murphy, and Members of the
Subcommittee:
On behalf of the American Library Association, thank you for the
opportunity to submit this testimony regarding Legislative Branch
Appropriations for Fiscal Year (FY) 2021. We respectfully request the
Committee's support for the Library of Congress and the Government
Publishing Office, which provide valuable services to libraries and the
public nationwide.
library of congress
The Library of Congress is the largest library in the world, a
shining example of our nation's commitment to preserving and advancing
American culture. The Library serves not only Congress, but also
libraries across the country and the American public. The Library
celebrated its 220th birthday this year, and it continues to modernize
its services and facilities to meet current and future needs.
The Library's Visitor Experience Initiative will highlight its
unique collections and inspire millions of visitors to learn, create,
and innovate. Despite temporary closures as a public health precaution
in response to COVID-19, upon reopening the Library will resume its
position as a leading attraction in the nation's capital, having
welcomed nearly 2 million onsite visitors in FY 2019. The planned
multi-year investments of the Visitor Experience Initiative will
strengthen the Library's leadership as a global symbol of America's
cultural heritage.
In addition, the Library's services support education and research
far beyond the walls of its buildings through activities such as the
National Library Service for the Blind and Print Disabled and the
Veterans History Project.
The National Library Service for the Blind and Print Disabled
serves readers who cannot see print or handle print materials. This
national program provides access to books and reading materials through
a network of regional libraries, such as the Mississippi Library
Commission's Talking Book Services and the Connecticut State Library's
Library for the Blind and Physically Handicapped. The network serves
readers across America, circulating more than 21 million books and
magazines in FY 2019.
The Veterans History Project collects, preserves, and makes
accessible the personal stories of American veterans. The nation's
largest oral history project, the Veterans History Project added more
than 3,000 new collections in FY 2019.
Additionally, the Library is making continued progress to
collaboratively modernize operations of the U.S. Copyright Office. By
digitizing historical copyright records, the Copyright Office is making
it easier for users to identify the rightsholder or status of
registered works. The Copyright Office is also reengineering its daily
processes to be more efficient and effective.
government publishing office
The Government Publishing Office provides essential information to
America's businesses, legal system, and researchers. The Office serves
users across the country through the Federal Depository Library
Program, its online repository of government information, and its other
public information programs.
The Federal Depository Library Program helps Americans access
federal laws, regulations, and publications in communities across the
nation. More than 1,100 libraries participate in the program, including
the University of Mississippi's J.D. Williams Library and Connecticut's
Bridgeport Public Library. Bipartisan modernization legislation
introduced in the 115th Congress would further strengthen the program,
if enacted; we hope that the 116th Congress will reintroduce and pass
it.\1\
In addition, the Office annually adds thousands of new government
publications to its free online repository, govinfo.gov, and catalogs
thousands of publications every year to assist researchers in locating
them. To preserve these important documents of our republic, the Office
manages a cooperative preservation program with libraries across the
country.
conclusion
Thank you for the opportunity to testify before the Subcommittee
regarding Fiscal Year 2021 funding for the Library of Congress and the
Government Publishing Office. We ask for the Subcommittee's support in
meeting the requests for these important national programs that serve
Congress, libraries, and the American public.
The American Library Association (``ALA'') is the foremost national
organization providing resources to inspire library and information
professionals to transform their communities through essential programs
and services. For more than 140 years, the ALA has been the trusted
voice for academic, public, school, government and special libraries,
advocating for the profession and the library's role in enhancing
learning and ensuring access to information for all.
---------------------------------------------------------------------------
\1\ FDLP Modernization Act of 2018, H.R. 5305, 115th Cong. (2018).
[This statement was submitted by Gavin Baker, Deputy Director,
Public Policy and Government Relations.]
______
Prepared Statement of the Center for Defense Information
Thank you Chairman Hyde-Smith, Ranking Member Murphy, and members
of the Committee for allowing me to provide testimony on behalf of the
Project On Government Oversight (POGO) and Demand Progress on
strengthening Congress's capacity to oversee the executive branch. POGO
and Demand Progress are nonprofit organizations focused on
strengthening the legislative branch's ability to legislate and conduct
oversight. We respectfully request that your committee provide the
personal office staff of members on key committees with the clearances
they need to properly support those Members of Congress in their review
of information the executive branch has deemed classified, and to
report on the provision of those clearances. Accordingly, our request
impacts the operations of the Office of Senate Security.
It is essential that key Senate staff have access to Top Secret/
Sensitive Compartmented Information (TS/SCI) to strengthen the Senate's
oversight of traditional national security matters such as the spending
and operations of the military and the intelligence community, as well
as emerging concerns such as election security and cyber threats. The
Senate Appropriations Defense Subcommittee; Senate Appropriations
Subcommittee on State, Foreign Operations, and Related Programs; Senate
Armed Services Committee; Senate Committee on Foreign Relations; and
Senate Committee on Homeland Security and Governmental Affairs all play
pivotal roles in overseeing our national security. While senators are
entitled to access classified information by virtue of the
constitutional offices they hold and do not need security clearances,
they must largely rely on their personal office staff to sift through
reams of information and to brief them on issues. Those staff often do
not hold sufficient clearances to access certain sensitive information,
thereby undermining the support they can provide and weakening
Congress's ability to legislate or conduct effective oversight.
The need for Congress to improve its own access to this information
has become more apparent in light of the executive branch's over-
classification of information, and, in some cases, weaponization of the
classification system to avoid accountability.\1\ From 2007 to 2017,
the amount of information designated TS or TS/SCI more than tripled.\2\
Over-classification has become such a problem that even the vice
chairman of the Joint Chiefs of Staff, General John Hyten, complained
that it has become ``unbelievably ridiculous.'' \3\
In POGO's congressional oversight manual, former Representative
Mickey Edwards (R-OK) challenged the executive branch's assertion that
it should control Congress's access to information. ``There is no
authority in the executive branch to tell Congress who can or cannot
have the information it seeks,'' he said.\4\ While Congress codified
some executive branch authority to limit access to sensitive
information in the National Security Act of 1947, those provisions
have, over time, been broadened to an unwarranted degree, and Congress
must challenge these limits if it is to maintain its ability to conduct
effective oversight.\5\ Another limit that has to be challenged comes
from a Senate entity: The director of the Office of Senate Security
declines to process clearances on the basis of a 30-year-old security
manual even though nothing in that manual gives that office the
authority to control senators' access to information.
As of April 2019, 637 Senate staff have active security clearances,
with 353 having secret or top secret clearances and 284 having TS/SCI
clearances.\6\ Only 37 senators have staff with the clearances
necessary to access SCI materials.\7\ By comparison, approximately 1.2
million executive branch employees and contractors hold top secret
clearances.\8\ It's likely that more than 100,000 executive branch
employees and contractors hold TS/SCI clearances, not counting foreign
officials who are ``in access.'' \9\ But it's not just minimal staffing
that's hobbling Congress's ability to oversee classified information.
The legislative branch receives approximately 0.7% of the non-defense
discretionary federal budget-approximately $5 billion-to oversee the
entire federal government.\10\ By contrast, this year the intelligence
community alone requested $85 billion, or more than 16 times all the
money spent on the legislative branch.\11\ This significant disparity
in both resources and people with access puts Congress in an inherently
weak position when it comes to effectively conducting oversight.
The Senate has appropriately provided other special clearances.
Personal office staff who serve senators with equities in the
Department of Energy, either through committee assignment or nuclear
equities in the senator's state, are eligible to receive a ``Q''
clearance.\12\ That clearance allows access to nuclear weapon design
and manufacture information.\13\
Critics of expanding staff access to classified information have
argued that rather than increasing congressional access to highly
sensitive information, Congress should combat over-classification.
While we support efforts to reduce the overall amount of
classification,\14\ these efforts do not negate the need for Congress
to stand its ground in the face of the executive branch's assertion
that it has the sole authority to determine who should be able to
oversee its operations.\15\
Providing select Senate staff TS/SCI clearances will not
necessarily give them unfettered access to classified information. The
granting of a TS/SCI clearance addresses an administrative hurdle-the
determination that a person can be entrusted with this information--but
it works hand-in-glove with the demonstration of a need to know and it
would not improperly infringe on the executive branch's classification
powers. The entity that holds the classified information must still
make the determination that the staff have a need to know for them to
access each SCI component, and the staffers must sign nondisclosure
agreements. This need-to-know determination will ensure that
information is available only to those who have an actual need for it.
The costs of implementing this reform are likely to be minimal. The
Congressional Budget Office scored a similar amendment offered last
year in the Senate as having ``no budgetary impact.'' The costs of
clearances for congressional staff are borne by the agency granting the
clearance, not Congress.\16\ We anticipate that there would be some
funding needed for the legislative branch to maintain records of
nondisclosure agreements, store classified documents, and track
individuals granted clearance, and we urge the committee to increase
funds for the Office of Senate Security accordingly. Additionally, as
most of the personal office staff of the relevant committees likely
already have TS clearances, providing additional access to SCI should
not be burdensome.
The cost of not implementing this reform, however, is significant.
Without adequately credentialed staff, Congress cannot ensure that we
have an executive branch that operates effectively and ethically to
protect our country, and in compliance with its constitutional
responsibilities. While every committee is under-resourced, most of
them work in areas where civil society can access information to help
fill in the gaps. Civil society cannot do that for committees that
oversee classified programs. Too often, Congress is instead forced to
rely on leaks to the press to learn when national security agencies
waste money, violate citizens' constitutional rights, or abuse their
power.
The Senate has previously recognized the need for enhanced access,
and has provided designees with TS/SCI clearances for members of the
Senate Select Committee on Intelligence. Consequently, the Senate has
been able to engage in more robust oversight. The success of this
designee system merits further expansion to personal staff so that
nearly every senator will have someone to help them to inform their
votes on the most sensitive national security matters, including
decisions about whether to authorize the use of military force or
whether a declaration of a national emergency is necessary.
To make sure that our most sensitive national security information
is properly protected, we urge the committee to increase
counterintelligence training for all congressional staff who receive
security clearances to help prevent the occurrence of improper leaks.
This training should be akin to that provided by intelligence agencies
to their own personnel. In addition, the Senate should expand its
reporting on the time it takes to receive a clearance to include an
accounting of the number of staff who hold clearances and the level at
which they hold it. This would put the Senate in line with executive
branch practices.
In our experience, congressional staff take significant care to
properly safeguard sensitive information, even documents that have
pseudo-classifications like ``For Official Use Only,'' also known as
Controlled Unclassified Information (CUI). If staff mishandle this
information, they should be held to the same standards and subject to
the same punishment as executive branch employees, including criminal
prosecution.
Granting staff sufficient clearance also provides for additional
resilience in emergencies, like the COVID-19 pandemic, when senators
may be scattered throughout the country and must rely on staff located
in DC to review materials that are only available in the Capitol
complex. Although this circumstance recurs regularly for a short time
when members are back in the district, it becomes a significant problem
when members will be gone for an extended time due to an emergency-a
time they most need someone who is cleared to review information on
their behalf.
We must modernize how Congress conducts oversight, and that must
include responsibly expanding its access to classified information.
Years of executive overreach by Democratic and Republican
administrations have severely diminished Congress's power. Congress
must reassert itself as a coequal branch fully able to perform its
oversight duties.
---------------------------------------------------------------------------
\1\ Jared Keller, ``Almost every US metric for the war in
Afghanistan 'is now classified or nonexistent,' so obviously things are
going swimmingly,'' Task and Purpose, April 25, 2019. https://
taskandpurpose.com/sigar-metric-afghansitan-war
\2\ National Archives and Records Administration, Information
Security Oversight Office, 2017 Report to the President (May 31, 2018),
45. https://www.archives.gov/files/isoo/reports/2017-annual-report.pdf
\3\ Aaron Mehta, ``'Unbelievably ridiculous,': Four-star general
seeks to clean up Pentagon's classification process,'' Defense News,
January 29, 2020. https://www.defensenews.com/pentagon/2020/01/29/
unbelievably-ridiculous-four-star-general-seeks-to-clean-up-pentagons-
classification-process/
\4\ Project On Government Oversight, The Art of Congressional
Oversight: A User's Guide to Doing It Right. 2nd ed. (United States:
Project On Government Oversight, 2015), 8. http://www.pogoarchives.org/
m/coi/pogo-the-art-of-congressional-oversight-handbook.pdf
\5\ The National Security Act of 1947 applies to statutorily
defined ``covert action,'' but not to intelligence collection, counter-
intelligence matters, or other national security issues. Moreover, a
separate provision of the act that requires the Director of National
Intelligence to protect ``sources and methods'' has been significantly
expanded beyond its originally limited scope.
\6\ Daniel Schuman and Mandy Smithberger, Demand Progress and the
Project On Government Oversight, A Primer on Congressional Staff
Clearances: Which Staff Can Obtain Security Clearances, at What Levels,
and Who Decides? (February 5, 2020), 9. https://docs.pogo.org/report/
2020/A_Primer_on_Congressional_Staff_Clearances_2020-02-05.pdf This is
the most recent data available.
\7\ Daniel Schuman and Mandy Smithberger, Demand Progress and the
Project On Government Oversight, A Primer on Congressional Staff
Clearances, 9 [see note 6].
\8\ Office of the Director of National Intelligence, Fiscal Year
2017 Annual Report on Security Clearance Determinations (August 2018),
4. https://www.dni.gov/files/NCSC/documents/features/20180827-security-
clearance-determinations.pdf
\9\ Office of the Director of National Intelligence, Fiscal Year
2017 Annual Report on Security Clearance Determinations, 4 [see note
8].
\10\ Office of Management and Budget, Table 25-1. Federal Budget by
Agency and Account, FY 2021 President's Budget Policy, 18. https://
www.whitehouse.gov/wp-content/uploads/2020/02/25-1_fy21.pdf; First
Branch Forecast, ``The Undermining of Congress,'' February 17, 2020.
https://firstbranchforecast.com/2020/02/17/the-undermining-of-congress/
#more-2121
\11\ Department of Defense, ``Department of Defense Releases 2021
Military Intelligence Program Budget Request,'' February 11, 2020.
https://www.defense.gov/Newsroom/Releases/Release/Article/2080605/
department-of-defense-releases-2021-military-intelligence-program-
budget-request/; Office of the Director of National Intelligence, ``DNI
Releases FY 2021 Budget Request Figure for the National Intelligence
Program,'' February 11, 2020. https://www.dni.gov/index.php/newsroom/
press-releases/item/2097-a-dni-releases-fy-2021-budget-request-figure-
for-the-national-intelligence-program
\12\ Daniel Schuman and Mandy Smithberger, Demand Progress and the
Project On Government Oversight, A Primer on Congressional Staff
Clearances, 7 [see note 6].
\13\ Federation of American Scientists, DOE Classification and
Security (February 6, 1996). https://fas.org/sgp/classdoe.htm
\14\ For examples of how Congress can reform its oversight of
intelligence matters, see R Street, Demand Progress, FreedomWorks, and
Electronic Frontier Foundation, Strengthening Congressional Oversight
of the Intelligence Community (September 13, 2016), 2-3. https://
www.eff.org/files/2016/09/13/
strengthening_congressional_oversight_of_the_ic_white_paper_sept_
2016.pdf; see also Nate Jones, `` `There's classified, and then there's
classified': Tangible Steps to Fix the Classification and
Declassification System,'' Statement for the Public Interest
Declassification Board, National Security Archive, December 6, 2016.
https://transforming-classification.blogs.archives.gov/2016/12/06/
theres-classified-and-then-theres-classified-tangible-steps-to-fix-the-
classification-and-declassification-system-by-nate-jones-national-
security-archive/
\15\ For example, then-House Government Operations Committee Chair
Jack Brooks (D-TX) considered the executive branch's authority on
clearances to be an improper violation of separation of powers, and he
initiated a mirror process to approve or deny clearances for staff of
his committee, conducted through the then-General Accounting Office.
\16\ Daniel Schuman and Mandy Smithberger, Demand Progress and the
Project On Government Oversight, A Primer on Congressional Staff
Clearances, 7 [see note 6].
[This statement was submitted by Mandy Smithberger, Director.]
______
Prepared Statement of the Center for Responsive Politics
Chairman Hyde-Smith, Ranking Member Murphy, and members of the
subcommittee, thank you for the opportunity to submit testimony on a
simple way the House of Representatives can improve the transparency of
lobbyist disclosures.
I am executive director of the Center for Responsive Politics, a
nonpartisan, nonprofit research organization based here in Washington
that monitors and analyzes campaign contributions in federal elections,
lobbying, and other forms of money and elite influence in U.S. politics
and policy.
The Clerk of the House and Secretary of the Senate serve as the
repositories for over twenty years of data detailing the lobbying
activities of thousands of organizations that are required to file
under rules set forth by the Lobbying Disclosure Act of 1995 (LDA) and
Honest Leadership & Open Government Act of 2007 (HLOGA). These reports
serve as the basis for important public resources that allow
investigations by academics, journalists and Congress itself that
contribute to the integrity of policy making processes.
Annually, these reports list more than 11,000 individual lobbyists
as having undertaken significant ``lobbying activities.'' \1\ The
Center for Responsive Politics (CRP) and others rely on this data both
to populate the OpenSecrets.org website, which is free and open to the
public, as well as to provide additional research assistance for
journalists, nonprofits, academic institutions and interested citizens.
This work includes normalizing individual lobbyist names to
facilitate tracking their employment history and political campaign
contributions. There is currently no publicly available identifier that
makes clear that names reported as ``Jane Davis,'' ``Jane A. Davis,''
and ``Jane Ann Davis'' all refer to the same individual lobbyist. In
fact, our research finds that over the last twenty years, an average of
12 percent of names reported annually are extraneous variations due to
typographical errors, nicknames, and name changes. Recent years have
been consistently in the eight percent range. Despite this recent
improvement, considerable labor is expended reconciling the different
versions as well as verifying that individuals with similar or common
names are in fact, different people. Changes to a lobbyist's legal name
based on changed marital status are common and present further
challenges as there is often not an easily accessible way to confirm
that ``Jane Doe'' and ``Jane Buck'' are, in fact, the same person.
Considerable effort goes toward creating and maintaining a version
of lobbyist IDs through algorithmic matching as well as human review.
Following a quarterly filing deadline, a full day is spent reconciling
variations caused by typos, nicknames, name changes due to marriage and
changes in associated registrants, delaying the release of an improved
data set.
According to official filing manuals,\2\ the Clerk of the House and
Secretary of the Senate assign a unique identifier to each lobbyist
during the filing process that is used to track each person across
reports (e.g., between LD-1 to LD-2; across various registrants; and in
the LD-203 contribution reports). However, publicly released
downloadable data does not include unique IDs. The existing non-public
identifiers that are used to login can easily and programmatically be
used to produce ones that are safe to disclose.
The Honest Leadership & Open Government Act's revolving door
provisions make it clear that tracking registered lobbyists' employment
across government and the private sector is essential to monitor for
conflicts of interest and to protect the integrity of the federal
government. In addition, the House Select Committee on the
Modernization of Congress has included unique identifiers for lobbyists
among its recommendations for the purpose of ``mak[ing] it easier to
know who is lobbying Congress and what they're lobbying for.'' \3\
Government Accountability Office annual reviews of LDA compliance
found that 19 percent of 2018 reports and 20 percent of 2019 reports
failed to fully comply with requirements to disclose previous
government employment as required, up from 15 percent in 2017.\4\ The
ability to easily and accurately identify individuals throughout their
lobbying careers is integral to research and oversight by civil society
actors that fill that compliance gap.
We respectfully request the addition of unique identifiers for
individual lobbyists that are currently available only internally to
the offices of the Clerk of the House and Secretary of the Senate to
the publicly available data files that are updated daily. If the
addition of such identifiers is not possible at this time, we request
that a study be undertaken to determine the feasibility of doing so in
the future.
Thank you for the opportunity to provide our comments. We welcome
the chance to discuss them further or answer any questions the
Committee may have. Please feel free to contact me at
[email protected].
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\1\ Lobbying Disclosure Act Guidance, Revised January 31, 2017;
https://lobbyingdisclosure.house.gov/amended_lda_guide.html#section4
\2\ ``Employed lobbyists are assigned a unique ID when they are
registered with the House and Senate to lobby and added to the
Contribution Reporting System by the person in your organization who
manages the registration and reporting filings.''--From the LD-203
``Help'' manual for filers, Obtaining a Lobbyist ID and Password
section: https://lda.congress.gov/LC/help/
default.htm?turl=WordDocuments%2Faccessingthesystem.htm
\3\ ``Recommendations of the Select Committee on the Modernization
of Congress,'' accessed March 2020: https://
modernizecongress.house.gov/committee-activity/recommendations
\4\ ``GAO 2019 Lobbying Disclosure: Observations on Lobbyists'
Compliance with Disclosure Requirements,'' March 2020: https://
www.gao.gov/assets/710/705614.pdf
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______
Prepared Statement of College to Congress
Chairman Hyde-Smith, Ranking Member Murphy, and Subcommittee
members--thank you for the opportunity to submit testimony despite the
current climate of uncertainty and mitigation measures due to the
coronavirus in our country.
My name is Audrey Henson and I founded College to Congress to help
create a more inclusive and effective Congress. We do this by
recruiting, training, supporting, and placing low-income students from
across the country in internships for their representatives in
Washington, DC. Today, we work alongside 76 Representatives and
Senators to create pathways to public service for students from
disadvantaged, rural, and low-income backgrounds. We assess their need
using the Pell Grant, a need-based federal grant for undergraduates
designated as low-income.
I was a Pell Grant recipient. I was also an intern and entry-level
staffer who has worked in the House and Senate. I founded College to
Congress to support students who are passionate about public service
but do not have the means to work an unpaid internship in Washington,
DC. Unfortunately, in the wake of COVID-19, many of them have had their
dreams deferred. This is not only to the detriment of our country's
students, but to the Senate staff and their ability to craft policy, as
well. In an election year, members will have to rely more and more on
staff to help raise funds for their campaigns. According to a CRS
study, the average tenure for a Senate staffer is 2.7 years and 2.1
years for legislative assistants.\1\ In addition to this high turnover
rate, low pay also prevents talent from middle and working-class
backgrounds from accepting these positions in one of the nation's most
expensive cities. Staff assistants make up the bulk of entry-level
positions in Senate offices with an average starting salary of $43,898
per year.\2\ This is 14% less than the national average for recent
college graduates. For students with student loans who are displaced
from affordable university housing due to the coronavirus pandemic and
unable to report for an in-person internship, my recommendations could
be the difference between being unemployed and still maintaining an
income and gaining experience for an entire semester.
I submit that we do not have to face an unnecessary reduction in
our workforce and I recommend the following to be enacted to protect
valuable positions for interns in the Senate:
We encourage offices within the Senate to:
--Consider easing restrictions against interns temporarily and solely
during this current public health crisis, on the type of work
that interns and fellows can perform remotely for the summer.
Interns could have the option of signing a pledge to maintain
the highest standards of confidentiality and agree to a penalty
or consequence determined by their office. They can still be
trusted to perform tasks such as maintaining constituent calls,
drafting responses for Congressional staff to review and send,
conducting background research for preparation materials,
drafting guidance for administrative responsibilities, etc.
--Consider combining the funds set aside for paying their interns
into a Fellowship which would be classified as a ``temporary
hire.'' This would mean that interns are still considered a
full-time employee of the office and can have access to
telework equipment, benefits, and income.
--Consider a virtual internship option modeled after the Virtual
Student Federal Service where dozens of federal agencies
release a call for project proposals around certain policy
areas and vet the student submissions for virtual interviews.
This would still ensure an intern's contribution to the
Congressional office and be held accountable.
--Consider making internship pay permanent to ensure equitable
compensation among the early leaders of our country.
Over the last four decades, the total number of congressional staff
has declined 27 percent \3\ and Senate committee staff has declined by
30 percent.\4\ But the U.S. population has nearly doubled while federal
spending has increased by over 700 percent.\5\ This bleeding of talent
can be mitigated by making Congress home to a strong example of early
staff retention and equitable compensation for interns.
---------------------------------------------------------------------------
\1\ Petersen, R. E. and Eckman, S. J. (2016, November 9). Staff
Tenure in Selected Positions in Senators' Offices, 2006-2016.
Congressional Research Service. https://fas.org/sgp/crs/misc/R44684.pdf
\2\ 9 Petersen, R. E. and Williams, R. T. (2019, June 11). Staff
Pay Levels for Selected Positions in Senators' Offices, FY2001-FY2018.
Congressional Research Service. https://fas.org/sgp/crs/misc/R44324.pdf
\3\ 1979-2015 from: Brookings Institute Vital Statistics on
Congress. Congressional Staff, 1979-2015. https://www.brookings.edu/wp-
content/uploads/2017/01/vitalstats_ch5_tbl1.pdf
\4\ 1979-2015 from: Brookings Institute Vital Statistics on
Congress. Staffs of Senate Standing Committees, 1947-2015. https://
www.brookings.edu/wp-content/uploads/2017/01/vitalstats_
ch5_tbl7.pdf
\5\ Data compiled between 1979-2019 from: Chantrill, C. Federal
1979 Spending by Function. https://www.usgovernmentspending.com/
fed_spending_1979USmn; and: Chantrill, C. Federal 2019 Spending by
Function. https://www.usgovernmentspending.com/fed_spending_2019USmn
---------------------------------------------------------------------------
______
Prepared Statement of Cyber and National Security
Chairman Hyde-Smith, Ranking Member Murphy, and Members of the
Subcommittee:
Thank you for the opportunity to testify. My name is Dan Lips. I am
the Director of Cyber and National Security with the Lincoln Network, a
non-profit organization that serves as a bridge between Silicon Valley,
other technology hubs, and national policymakers. I submit this
testimony in support of the Comptroller General's FY2021 budget request
for the U.S. Government Accountability Office (GAO).\1\ Further, I urge
the Subcommittee and Congress to provide necessary funding levels,
resources, and hiring authorities to allow GAO to expand its Science,
Technology Assessment, and Analytics (STAA) team.
To summarize, GAO is one of the best investments Congress makes on
behalf of American taxpayers, and the new STAA team has the potential
to dramatically increase the value that GAO provides Congress and the
nation. The STAA team will strengthen the Legislative Branch's capacity
to understand complex scientific and technological issues and to better
forecast and address emerging challenges, including global pandemics
and cybersecurity threats. Moreover, the STAA's planned use of data
science and advanced analytics to enhance GAO's auditing process could
create billions in government savings.
gao's fy2021 budget request in historical context
The Comptroller General proposed a 12 percent increase over FY2020
funding levels.\2\ This may seem like a lot given the nation's current
public health and fiscal challenges. But a review of historical data
shows that this increase would rebuild GAO's reduced capacity from
previous staffing levels and that additional funding will yield
considerable savings and improvements.
GAO's request includes funding 3,250 FTEs, an increase of 50
positions.\3\ To put this into historical context, GAO had more than
5,000 employees thirty years ago.\4\ GAO's workforce size has fallen by
1,800 employees since that time and is now two-thirds its staffing
level in 1991.
Despite operating at a reduced capacity since the 1990s, GAO has a
track record of delivering significant government savings and program
improvements over the past 20 years. A review of GAO's self-reported
annual estimates of savings, government improvements, and return on
investment (ROI) since 1999 shows that GAO's work has resulted in more
than $1.1 trillion in taxpayer savings and more than 25,000 other
improvements. See Table 1.
Table 1-GAO Reported Savings, Government Benefits, and Annual ROI (FY1999-2019)
----------------------------------------------------------------------------------------------------------------
Estimated
Annual
FY Year Reported Savings Reported Savings Other Government Return-on-
(billions of $) (billions of $) Benefits Investment
($)
------------------------------------------------------------------------------------------------------ ------------
1999....................................... 20.1 607 57
2000....................................... 23 788 61
2001....................................... 26.4 799 69
2002....................................... 37.7 906 88
2003....................................... 35.4 900 78
2004....................................... 44 1,000 95
2005....................................... 39.6 1,400 83
2006....................................... 51 1,342 105
2007....................................... 45.9 1,354 94
2008....................................... 58.1 1,400 114
2009....................................... 43 1,300 80
2010....................................... 49.9 1,361 87
2011....................................... 45.7 1,318 81
2012....................................... 55.8 1,440 105
2013....................................... 51.5 1,314 100
2014....................................... 54.4 1,288 100
2015....................................... 74.7 1,286 134
2016....................................... 63.4 1,234 112
2017....................................... 73.9 1,280 128
2018....................................... 75.1 1,294 124
2019....................................... 214.7 1,418 338
--------------------------------------------------------------------
Totals................................. 1,183.3 25,029
----------------------------------------------------------------------------------------------------------------
Source: Data are from GAO's annual reports since FY1999, which are available at GAO.gov.
GAO's annual ROI has been more than $100 in savings for each
taxpayer dollar invested in GAO every year since 2012. Moreover, GAO's
average annual ROI between 2011 and 2018 was $126 compared to an
average of $84 between 1999 and 2010. (The former average does not
include GAO's estimated $338 ROI reported for 2019, which was
significantly higher than past years. GAO stated that these historic
savings were due to $136 billion in savings related to a DOD weapon
system procurement and a $24.2 billion reduction in student loan
costs.\5\)
What happened at the beginning of the last decade that increased
GAO's annual return on investment in the years that followed? One
change is that Congress required GAO to issue annual reports on
governmentwide duplication beginning in 2011. In 2010, former Oklahoma
Senator Tom Coburn (full disclosure: my boss from 2011 to 2015) passed
an amendment to the debt limit increase to require GAO's annual
duplication reports. As of 2019, GAO estimates that its annual reports
and work on duplication have yielded $262 billion in financial benefits
since 2011.\6\ This shows how Congress's strategic direction can
leverage GAO's impact.
the case for expanding the science, technology assessment, and
analytics (staa) team
With this context, the Comptroller General testified that
additional funding will be used in part to grow the STAA team. He
stated that current and new appropriations will be used to increase the
STAA team from its current level of 100 positions to 140 positions in
FY2021. Further, he stated that the STAA would focus on several
priorities, including conducting technology assessments and providing
other scientific and technical assistance to Congress, improving
oversight of major acquisitions, technology, and science programs, and
advancing GAO's use of data science and analytics in its auditing.\7\
All of these priorities will yield significant value for Congress,
particularly as the nation faces a pandemic and related economic
impacts.
Improving Congressional Science and Technology Capacity
Enhancing Congress's science and technology capacity is a
recognized issue of bipartisan concern. The Congressionally mandated
National Academy of Public Administration report issued in November
recommended developing GAO's STAA as part of the solution to enhance
Congressional capacity for science and technology. The House Select
Committee on the Modernization of the Congress's bipartisan
recommendations include ``[r]eestablishing and restructuring an
improved Office of Technology Assessment.'' \8\ In a report for Harvard
University's Ash Center for Democratic Governance and Innovation,
Lincoln Network's Zach Graves and Demand Progress's Daniel Schuman
recommend a hybrid approach to improve Congressional S&T capacity-
including reestablishing the OTA while developing GAO's capacities and
specializations. ``GAO's STAA unit has shown significant competence in
building its technology assessment capacity,'' Graves and Schuman
write, ``It should continue to take on a significant portion of OTA's
original mission.'' \9\
As Congress considers whether to reestablish the OTA, the STAA is
well positioned to play a lead role in enhancing Congress's capacity.
The STAA will help Congress understand, analyze, and forecast major
issues involving science and technology (such as risks related to
cybersecurity threats and global pandemics), as well as develop
legislation and conduct oversight to address these challenges with
greater independence. The STAA will also provide valuable technical
assistance evaluating federal research and development investments.
Improving Oversight of Federal Technology, Acquisitions, and Science
Programs
Strengthening GAO and the Legislative Branch's ability to oversee
major technology, acquisitions, and science programs will improve
government performance and national security. For example, GAO has
identified federal information security and cybersecurity as a high-
risk issue since 1997. GAO has warned that the DOD's $1.6 trillion
acquisition program is a high-risk issue. A 2019 GAO report identifying
the Defense Department's supply chain risk management as a high-risk
area served as a catalyst for reform within DOD. GAO's past oversight
of major DHS science and technology programs have helped end or reform
ineffective programs and acquisitions. GAO's work has also informed
Congress and the executive branch about the need to rethink the
nation's approach to managing risk. Monitoring agencies' acquisitions
programs presents a significant challenge for Congress, particularly
when those programs involve science and technology. Growing the
capacity within GAO to oversee technology, acquisitions, and science
will help Congress better fulfill its Article I responsibilities,
strengthen national security, and improve Congress's ability to foresee
major risks like the current pandemic.
Using Data Science and Advanced Analytics to Strengthen GAO Auditing
The STAA team's plan to apply data science and advanced analytics
to enhance GAO's traditional auditing work will modernize and improve
GAO's role in Congressional oversight in significant ways. GAO's Chief
Data Scientist Taka Ariga recently explained to me how the STAA plans
to use data analytic: ``The nexus of scalable computational power and
innovative data science techniques enables analyses based on 100% of
the data instead of a more traditional, sample-based approach. In turn,
we can accelerate the speed and depth at which we identify, consume,
and act on patterns, behaviors, correlations, and anomalies.'' \10\
Applying data science has the potential to revolutionize oversight.
For example, imagine if the federal government was able to use similar
kinds of analytics that banks use to monitor consumers' credit card
transactions. GAO estimates that governmentwide improper payments have
totaled $1.4 trillion since 2003, when Congress required agencies to
begin reporting them. GAO reports that ``federal entities estimated
about $141 billion in improper payments'' in FY2017.\11\ Potential
savings from using data analytics and continuous oversight to monitor
and prevent improper payments could exceed tens of billions of dollars
per year.
Beyond achieving savings and eliminating waste, fraud, and abuse,
applying data science and advanced analytics to government oversight
could help Congress address other issues of bipartisan concern, such as
identifying root causes of the opioid overdose epidemic and human
trafficking, by analyzing multiple data sets and identifying patterns
across government programs.
conclusion
Thank you again for the opportunity to submit testimony.
Understanding the nation's urgent public health and fiscal challenges,
I urge the Subcommittee to recognize the potential long-term value of
investing in expanding GAO's capacity and particularly the STAA team to
strengthen Congress's scientific and technical capacity and to improve
federal oversight.
---------------------------------------------------------------------------
\1\ Gene L. Dodaro, ``Fiscal Year 2021 Budget Request,'' Testimony
Before the Subcommittee on the Legislative Branch, Committee on
Appropriations, House of Representatives, February 27, 2020.
\2\ Id.
\3\ Id.
\4\ Brookings Institution, ``Congressional Staff and Operating
Expenses,'' at: https://www.brookings.edu/wp-content/uploads/2019/03/
Chpt-5.pdf (February 26, 2020).
\5\ U.S. Government Accountability Office, ``Performance and
Accountability Report: Fiscal Year 2019,'' GAO-20-1SP, November 2019,
at: https://www.gao.gov/assets/710/702715.pdf (February 25, 2019).
\6\ GAO-19-285SP.
\7\ Id.
\8\ The Select Committee on the Modernization of Congress, U.S.
House of Representatives, ``Recommendations.''
\9\ Zach Graves and Daniel Schuman, ``Science, Technology, &
Democracy: Building a Modern Congressional Technology Office,'' Harvard
University Center for Democratic Governance and Innovation, 2020.
\10\ ``Modernizing Oversight to Improve Government Efficiency and
Performance,'' Lincoln Network, November 25, 2019.
\11\ GAO, ``Reducing Government-wide improper payments,'' 2020.
---------------------------------------------------------------------------
______
Prepared Statement of Demand Progress
Chairman Hyde-Smith, Ranking Member Murphy, and Members of the
Subcommittee, thank you for the opportunity to submit testimony. My
name is Daniel Schuman and I lead Demand Progress's Congressional
capacity team, which conducts research and engages in advocacy focused
on strengthening Congress.\1\ We greatly appreciate this Subcommittee's
ongoing work to modernize Congress, exemplified by the study on
congressional staff pay, the expansion of the Senate Employees' Child
Care Center, and the creation of an e-Signature platform.
My testimony focuses on modernizing congressional technology.
Modernization encompasses moving to digital platforms that augment the
current paper-based processes, facilitating the use of congressional
data across the legislative branch and beyond, and increasing the
resiliency of congressional operations in emergencies.
The importance of resilient and flexible information technology
infrastructure could not be more apparent than it is today in the midst
of the COVID-19 pandemic. Members of Congress, their personal and
committee staff, and staff in congressional offices and support
agencies all must be able to perform their duties regardless of the
circumstances. Technology, when designed properly and fully integrated
into legislative operations, provides important capabilities that
support the work of Congress even in the most adverse circumstances.
The Senate and House have undertaken significant efforts to improve
the quality of information technology available to the legislative
branch. We believe that further development of technology tools--
including the build-out of platforms and systems to share and manage
data--requires the instantiation of an even closer level of
coordination among the many components of the legislative branch than
exists today.
There is no entity inside Congress with the singular, day-to-day
focus on improving how information is managed and shared throughout the
legislative branch. Consequently, it is not always clear what data
exists, where it can be found, who is responsible for it, and whether
that data is being employed for all the purposes for which it is fit.
In addition, multiple technologies are at times being used by different
offices to manage the exact same information, which results in
additional costs from the procurement of duplicative tools and
inefficiencies from transferring data between incompatible formats.
Furthermore, many traditional (often paper-based) legislative practices
would be greatly enhanced if they were supported by interoperable
digital platforms.
For example, legislative branch-wide digital platforms could
support:
--Improved handling of the introduction, co-sponsoring, and amending
of legislation, including tracking that legislation, providing
comparative prints thereof, and reformatting it for publication
as slip laws as well as codification into the U.S. Code;
--Digitizing committee meeting notices, documents, testimony,
transcripts, voting tallies, nominations information, and
archives; deconflicting the scheduling of legislative
proceedings; and so on;
--More expeditious handling of executive branch communications;
--Improving constituent relations management through enhanced
tracking of inquiries, responses, and communications to
agencies, the use of an e-signature platform to improve
response times, and better methods for mass communications that
are customizable to constituent interests;
--Better techniques for managing offices, including payroll, leave
tracking, hiring and firing, and overseeing staff benefits; and
--Managing ethics information, including submission, review,
approval, and publication of staff and member financial
disclosures, gifts, travel reports, and statements of outside
business; lobbyist registrations; post-employment restrictions;
etc.;
--Matters relating to cybersecurity, strengthening district offices
ability to work collaboratively with the DC office, historical
records, agency documents, and support for mobile technology
that improves resiliency in the face of emergencies as well as
flexibility in day-to-day activities.
We recommend the creation of a Legislative Branch Information
Technology Coordination Office, co-directed by a Senate Data
Coordination Officer and a House Data Coordination Officer, as a pilot
project. The Office would coordinate and support legislative branch
information technologies that augment traditional legislative processes
and practices.
Specifically, as a start, the Legislative Branch Information
Technology Coordination Office would:
--Serve as a forum for convening relevant stakeholders to facilitate
strategy coordination, procurement, knowledge-sharing;
consultation with internal and external experts; and act as a
clearinghouse for appropriately routing technical inquiries,
issues, and ideas;
--Facilitate information sharing across different components in the
legislative branch by bringing together key players and
encouraging their collaborative identification, development,
and adoption of best practices and techniques;
--Promote interoperability and efficiency by encouraging the
sequencing of the development of tools and adoption of
technologies across legislative branch components; and
--Facilitate legislative operations by investigating and identifying
areas worth investment and surfacing gaps in current processes
and possible points of failure.
The Senate and House Data Coordination Officers would be chosen
respectively by the Senate Sergeant at Arms and the House Clerk. This
provides equitable representation to each chamber's nonpartisan
legislative operations staff and would serve as an extension of pre-
existing, informal practices. Part of the office's role would be to
provide a forum to invite relevant staff from legislative support
offices and agencies to participate in the co-development of shared
approaches to address common issues.
In addition to the above duties, the Legislative Branch Information
Technology Coordination Office would be responsible for supporting the
efforts of the Bulk Data Task Force; tracking datasets released by the
legislative branch; providing advice, guidance, and encouragement to
offices regarding the publication of legislative branch information as
data; supporting the annual Legislative Data and Transparency
Conference; and supporting and providing assistance to the public with
finding and obtaining legislative data.
The creation of a visible point of contact with a focus on the
institution as a whole would serve as a rallying point for
modernization efforts while allowing each component to continue to
focus on advancing its particularized mission. In addition, it is a
pragmatic outgrowth of the many ad hoc coordination efforts that exist
today. Such an office could be small, with one administrative FTE to
support two full-time Coordination Officers.
The Legislative Branch would benefit from improved coordination on
the development of digital processes that facilitate traditional
legislative operations and practices. Congress must continue to work to
adapt its technology to modern circumstances in an increasingly mobile
and volatile world. We look forward to continuing the conversation.
Thank you again for the opportunity to submit testimony.
---------------------------------------------------------------------------
\1\ For more information, visit https://firstbranchforecast.com/
---------------------------------------------------------------------------
______
Prepared Statement of Democracy Fund Voice
Dear Chairman Hyde-Smith and Ranking Member Murphy:
Democracy Fund Voice is a nonpartisan organization established by
eBay founder Pierre Omidyar to help America build a stronger, healthier
democracy. Effective governance in Washington is critical to this
mission, and our philanthropic efforts focus in part on ensuring that
congressional leaders have the resources and capabilities they need to
represent and serve the American people.
Through your leadership on this subcommittee, Congress has made
important progress in restoring the resources needed for the proper
functioning of the legislative branch. Appropriations for the
legislative branch in fiscal year 2020 continued to reinvest in the
people and systems required for the first branch of government to do
the people's work. In a bipartisan fashion, congressional appropriators
provided funds to raise staff salaries, bolster legislative support
agencies, and upgrade information technology systems.
We urge you to build upon the growing momentum to restore the
capacity of Congress to fulfill its constitutional responsibilities by
including adequate resources in the Fiscal Year 2021 Legislative Branch
Appropriations bill.
Although Congress has increased funds for the legislative functions
of the federal government for consecutive fiscal years, from a
historical perspective it is still significantly behind funding levels
of decades ago. The legislative branch receives only seven tenths of
one percent of non-defense discretionary federal funding. Most recent
increases in spending for the legislative branch, meanwhile, have been
directed toward critical needs like building renovations and campus
security. Spending on other areas that are critical to the legislative
and oversight work of the Senate, like committee allotments and
personal office allowances (SOPOEA), has been flat for 25 years.\1\
Members of the 116th Congress have distinguished themselves for
their interest in strengthening and reforming the first branch of our
federal system. This Congress has established new offices to strengthen
positive workplace practices and encourage diversity in staff hiring
and retention on a bipartisan basis. For the second consecutive year
the paid internship program was expanded, providing a more diverse pool
of young Americans with opportunities to begin careers in public
service. Growing ranks of experts in scientific and technical fields
are coming to work in legislative support offices, including the newly
expanded Government Accountability Office (GAO). This subcommittee
should appropriate funds to continue these and other reform-minded
innovations that will improve Congress's capacity to face the
challenges of the 21st century.
staff pay
The subcommittee should continue to prioritize increasing funding
levels for staff pay in congressional offices. As every member of
Congress understands, staffers are both the brain and heart of the
institution, providing vital support for members of Congress through
mastery of the complex issues facing a modern nation and providing
important services to constituents in home districts.
This subcommittee has led the way on this issue, providing funds to
pay interns and increasing the SOPOEA in fiscal year 2020. But there is
still much to do to reverse long-term trends in staff pay that have
eroded congressional legislative and oversight capacity, and have
contributed to less representative offices and policies. Even with last
year's increase, funding for the SOPOEA is 8 percent lower than it was
in FY 2010 when adjusted for inflation.\2\ The Congressional Research
Service (CRS) has found that the average salaries for staff have
declined by thousands of dollars in recent decades,\3\ pushing many
qualified public servants out the door and reducing the average tenure
of staff to just a few years.\4\ Spending on Senate committees, where
staff play particularly vital roles on oversight and legislative
matters, is down 35 percent over the last decade.\5\
We recognize that appropriating more funds for the SOPOEA and
committee allotments is challenging given the sizeable resource
constraints imposed by building renovations and campus security.
Nevertheless, the knowledge and skills of congressional staff
constitute critical infrastructure for the functioning of the
institution as well. We encourage the subcommittee to think creatively
about ways to restore funding for congressional staff back to
established norms of previous decades.
We especially urge the subcommittee to explore providing additional
resources for state-based staff. These staff have been on the
frontlines of Congress's response to the current crisis, from serving
constituents facing hardships, to coordinating with state and local
leaders, to channeling important information to shape the legislative
response. We expect these demands to continue building as this crisis
unfolds and encourage the subcommittee to ensure that state offices
have sufficient capacity to support constituents during fiscal year
2021.
representative offices
Inadequate funding is contributing to the lack of diversity among
congressional staff, depriving Congress of the experience and expertise
that are so vital to successful constituent representation and policy
formation. To support a Congress that looks more like America, the
subcommittee should continue its support for paid internships and
consider expanding the program to committees. We applaud the
subcommittee for commissioning a study on Senate staff pay and
retention in fiscal year 2019; it should also consider funding
permanent research on this topic and training personnel to promote
diverse hiring and inclusive workplace practices.
congressional support offices
Insufficient investment in the legislative branch has far-reaching
consequences for policy expertise within the Congress. Legislative
support agencies have suffered significant staff decreases in the past
35 years, with CRS and GAO operating with a fraction of the staff
capacity they had in the late 1970s.\6\ Additionally, Congress has
lacked dedicated in-house resources on science and technology policy
since the shuttering of the Office of Technology Assessment in 1995,
when only 3 percent of Americans had ever logged on to the World Wide
Web.\7\ The subcommittee should continue the investments it made last
fiscal year in CRS and GAO, particularly as the latter expands the
capacity of its Science, Technology Assessment, and Analytics (STAA)
team.
conclusion
We at Democracy Fund Voice believe deeply in the vital role of the
legislative branch in our federal system. Along with our sister
organization Democracy Fund, we support dedicated and resourceful
nonprofits that train congressional staff in legislative procedure,
educate members and staff on complex policy issues, strengthen
committee staff's ability to perform rigorous oversight of executive
branch agencies, and develop solutions to office communications and
technology challenges. We are proud to support this work, but only
Congress itself can solve underlying resource problems in the
legislative branch.
As our nation faces dual public health and economic crises of an
unprecedented scale, the American people will depend on a Congress that
is properly resourced to craft informed public policy. We believe the
bipartisan momentum for congressional renewal and reform is very
encouraging. This moment represents an opportunity to build a modern
Congress that can serve the American people for decades to come. We
look forward to supporting your vital role in that process.
---------------------------------------------------------------------------
\1\ ``The Undermining of Congress,'' First Branch Forecast, April
21, 2020. Available at https://firstbranchforecast.com/2020/02/17/the-
undermining-of-congress
\2\ Ibid.
\3\ Molly Reynolds, ``The Decline in Congressional Capacity,''
Brookings Institution, February 23, 2018 (citing multiple CRS reports).
\4\ Eric R. Petersen and Sarah Eckman, ``Staff Tenure in Selected
Positions in Senate Committees, 2006-2016,'' Congressional Research
Service, November 9, 2016, accessed April 21, 2020. Available at:
https://fas.org/sgp/crs/misc/R44685.pdf.
\5\ ``The Undermining of Congress"
\6\ Curtlyn Kramer, ``Vital Stats: Congress Has a Staffing Problem,
Too,'' Brookings Institution, May 24, 2017, accessed April 21, 2020.
Available at: www.brookings.edu/blog/fixgov/2017/05/24/vital-stats-
congress-has-a-staffing-problem-too/
\7\ Pew Research Center, ``Americans Going Online . . . Explosive
Growth, Uncertain Destinations,'' October 16, 1995. https://www.people-
press.org/1995/10/16/americans-going-online-explosive-growth-uncertain-
destinations/Accessed April 21, 2020.
[This statement was submitted by Joe Goldman, President.]
______
Prepared Statement of Issue One
Chairman Hyde-Smith, Ranking Member Murphy, and Subcommittee
members--thank you for the opportunity to submit testimony and to
address the capacity of the legislative branch.
My name is Meredith McGehee, and I have been a public interest
lobbyist for more than three decades, with an emphasis on promoting
transparency, accountability, and strong ethics in our government. I am
currently the Executive Director of Issue One, a leading crosspartisan
organization working with Republicans, Democrats, and independents to
advance commonsense reforms to fix our broken political system.
Issue One's mission is to ``fix democracy first.'' We advocate for
a range of solutions, including rebalancing the role of money in
politics, securing our elections, and strengthening Congress so that it
may fulfill its Article One responsibilities. To support our advocacy
efforts, we formed the bipartisan ReFormers Caucus, which brings
together more than 200 former members of Congress, governors, and
Cabinet officials.
Issue One is deeply concerned about the state of our politics,
including the polarization that has made it increasingly difficult for
Congress to get any work done. The current COVID-19 pandemic
demonstrates that Congress is capable of working together under
extraordinary circumstances--but Americans also deserve a strong,
functioning Congress that can address the issues that affect them every
day. Which is why I would like to highlight a key driver of dysfunction
in Washington that is hindering Congress' ability to consistently and
effectively serve the American people. I'm referring to Congress'
capacity--its capacity to legislate, deliberate, and represent
Americans. Put simply: Congress' ability to perform these critical
functions has not kept pace with the challenges of governing a large
and diverse nation in an increasingly complex world.
The numbers themselves paint a sobering picture. In the last four
decades, the U.S. population has nearly doubled \1\ and federal
spending has increased almost 800 percent \2\--but the total number of
congressional staff has declined 27 percent.\3\ In the same period,
Senate committee staff has decreased by 30 percent,\4\ and the staff of
three crucial supporting agencies--the Congressional Research Service
(CRS), Government Accountability Office, and Congressional Budget
Office--has been cut by 40 percent.\5\
This decrease in Hill staff impacts members of Congress' ability to
craft policy. Let's be honest: the amount of time that many members
spend on policymaking has to compete with the demands of the campaign
cycle. Issue One's research shows that in the last quarter, the typical
Senator raised an average of $1,700 per day, while Senators up for re-
election in 2020 raised an average of $15,300 per day.\6\ The need to
spend hours per week dialing for dollars can leave members with little
time to focus on policy. As a result, members have to rely more and
more on staff, many of whom are inexperienced and leave the Hill just
as they are gaining substantive policy expertise.
As anyone who visits the Hill regularly knows, staff skew young in
age and turnover is high. As a recent CRS study shows, the average
Senate staffer has only been in their position for 2.7 years.\7\ For
legislative assistants, who advise Senators on key subject-matter
areas, the average tenure in the position is only 2.1 years.\8\ To put
this in perspective, if you are a member of the Senate Armed Services
Committee, and the staffer advising you on the National Defense
Authorization Act is only in the position for one cycle of the bill's
annual review, your ability to impact that legislation will be
seriously undercut.
Unfortunately, low pay is a major factor contributing to staff
turnover. Staff who play a vital role in crafting and negotiating
legislation often earn half of what they can make in the private sector
or federal government. As a result, staffers get their ``Hill ticket''
punched and leave, taking with them valuable expertise and
institutional knowledge.
Moreover, low entry-level pay can prevent those from middle and
working-class backgrounds from taking a job on the Hill in the first
place. Staff assistants--the entry level position in most Senate
offices--make an average of $43,898 a year,\9\ which is 14 percent less
than the national average for recent college graduates.\10\ It is worth
noting that this comparison does not account for the high cost of
living in Washington, DC. For jobseekers with student loans to repay,
or those who cannot rely on support from family members to live and
work in an expensive city, this is simply not a job they can afford to
take.
These factors combine to exacerbate a lack of diversity in Hill
offices, which undermines Congress' ability to represent all Americans.
Let me be clear, by setting out this state of affairs, I do not
mean to disparage Hill staff. In more than 30 years of public interest
lobbying, I have found the vast majority of staffers to be
exceptionally bright and highly motivated.
However, pitting staff in their mid-twenties--no matter how
capable--against lobbyists and executive branch officials with decades
of experience is a recipe for having special interests or the executive
branch win every time.
So, what can be done?
I want to start by thanking you and the leaders of this Committee
for the increase you were able to secure for the Senators' Official
Personnel and Office Expense Account (SOPOEA) for Fiscal Year 2019.
This funding was a critically important step to improving congressional
capacity, and Issue One hopes there will be more targeted increases to
the SOPOEA and committee funding in the future.
For those who might complain about Congress ``spending money on
itself,'' I would argue forcefully that having an experienced and
diverse Hill staff is not about members themselves, but rather about
protecting and strengthening the voices of the people they serve--their
constituents.
It is also worth noting that this is a completely separate issue
from that of Senator pay--the staff positions I'm referring to when
expressing concern about retention are not earning anywhere near the
current cap in staff pay.
That said, Issue One recognizes Congress is operating in a
resource-constrained environment, particularly in this current
appropriations cycle. So, we would also urge you to focus on other,
cost-effective ways to improve staff retention.
First, we recommend that this Committee examine options to boost
the Senate's human resources capacity. One option is to create a ``one-
stop-shop'' that all Senate offices could turn to for help with hiring
and management. It could provide hiring managers with tools to recruit
candidates from a more diverse talent pool, assist them in
understanding staff benefits and competitive compensation levels, and
generally identify HR best practices. Expanding HR support Senate-wide
could improve staff retention and diversity while lessening the
administrative burden for Senators and staff alike.
We would also like to highlight the potential to boost retention
through improved management training for staff. Over my career, when I
have asked departing staffers why they chose to leave the Hill, about
half have cited the need to earn more money. But the other half cited
challenges with their managers.
I've seen and heard about these management problems time and time
again. Since there is no required management training as staff move
``up the ladder'' on the Hill, staffers find themselves suddenly
managing people without preparation, as they move from policy-only
positions to legislative or district director roles. This is just a bad
business practice that leads to inefficiencies and increased turnover,
all of which undermines Congress' ability to serve the American people.
Finally, we urge you to consider, in the next Congress, creating a
Joint Select Committee on the Modernization of Congress to examine and
improve congressional operations. As I, along with a number of other
congressional and public policy experts, wrote to Senate and House
leadership in a 2016 letter, establishing a Joint Committee could help
Congress boost its internal policy capacity so it can better compete
with lobbyists and the executive branch. The current pandemic has
demonstrated that, ultimately, if Congress is to fulfill its
constitutional duties effectively, the institution must commit to
thoroughly examining solutions to these issues.
One last observation is that work to modernize and improve Congress
has inspired action from a wide range of organizations with differing
missions and ideologies, but who still agree that a strong and
functional Congress is an essential part of our democracy. For our
part, Issue One has been meeting regularly with an informal coalition
of nonprofit and advocacy groups, with the goal of better supporting
critical, bipartisan work to strengthen the legislative branch. We have
been heartened to see a formalized effort on the House side to improve
congressional functioning, capacity, and effectiveness through the
House Select Committee on the Modernization of Congress. We've also
been impressed at how this desire to improve our first branch has
united so many of us on the left, right, and in between. We hope that
this broad support is reflected in this testimony and in the feedback
you receive ahead of this appropriations cycle.
In closing, thank you for considering these recommendations, and
for all your work to promote a strong and competent staff within the
legislative branch.
---------------------------------------------------------------------------
\1\ Data compiled between 1979-2019 from: United States Census
Bureau. Historical National Population Estimates: July 1, 1900 to July
1, 1999. https://www.census.gov/population/estimates/nation/
popclockest.txt; and: United States Census Bureau (2019, July 1). U.S.
and World Population Clock. https://www.census.gov/popclock/
\2\ Data compiled between 1979-2019 from: Chantrill, C. Federal
1979 Spending by Function. https://www.usgovernmentspending.com/
fed_spending_1979USmn; and: Chantrill, C. Federal 2019 Spending by
Function. https://www.usgovernmentspending.com/fed_spending_2019USmn
\3\ Data compiled between 1979-2015 from: Brookings Institute Vital
Statistics on Congress. Congressional Staff, 1979-2015. https://
www.brookings.edu/wp-content/uploads/2017/01/vitalstats_ch5_tbl1.pdf
\4\ Data compiled between 1979-2015 from: Brookings Institute Vital
Statistics on Congress. Staffs of Senate Standing Committees, 1947-
2015. https://www.brookings.edu/wp-content/uploads/2017/01/
vitalstats_ch5_tbl7.pdf
\5\ Data compiled between 1979-2015 from: Brookings Institute Vital
Statistics on Congress. Staffs of Congressional Support Agencies,
FY1946-FY2015. https://www.brookings.edu/wp-content/uploads/2017/01/
vitalstats_ch5_tbl8.pdf
\6\ Ratliff, A. (2020, February 5). Four Things We Learned from the
Latest House and Senate Campaign Finance Filings. Issue One. https://
www.issueone.org/four-things-we-learned-from-the-latest-house-and-
senate-campaign-finance-filings/
\7\ Petersen, R. E. and Eckman, S. J. (2016, November 9). Staff
Tenure in Selected Positions in Senators' Offices, 2006-2016.
Congressional Research Service. https://fas.org/sgp/crs/misc/R44684.pdf
\8\ Id.
\9\ Petersen, R. E. and Williams, R. T. (2019, June 11). Staff Pay
Levels for Selected Positions in Senators' Offices, FY2001-FY2018.
Congressional Research Service. https://fas.org/sgp/crs/misc/R44324.pdf
\10\ Koc., E. et al. (2019, Summer). NACE Salary Survey: Final
Starting Salaries for Class of 2018 New College Graduates, Executive
Summary. National Association of Colleges and Employers. https://
www.naceweb.org/uploadedfiles/files/2019/publication/executive-summary/
2019-nace-salary-survey-summer-executive-summary.pdf
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______
Prepared Statement of Lincoln Network
Dear Chairman Hyde-Smith, Ranking Member Murphy, and members of the
committee:
Thank you for the opportunity to submit testimony. Over the past
two years, there has been considerable interest and new research
surrounding the question of how to enhance science and technology
capacity in the legislative branch, and in particular whether it should
revive the Office of Technology Assessment or a invest in a similar
entity such as the Government Accountability Office's Science,
Technology Assessment, and Analytics (STAA) team. Given our current
crisis with COVID-10, and the unprecedented new expenditures
surrounding it, the conversation around building deeper science and
technology expertise and oversight capacity is more important than
ever.
As you know, following a provision in the fiscal year 2019
appropriations bill, the National Academy of Public Administration
conducted a wide-ranging study examining science and technology
resources within Congress.\1\ NAPA's report identified important gaps,
and reaffirmed a narrative of historical decline in the legislative
branch's staffing and capacity. This narrative has been supported and
augmented with additional studies by Harvard University (including one
I co-authored),\2\ and numerous reports by think tanks on both the left
and right. This literature, including the NAPA recommendations, is also
reviewed in-depth in a new report from the Congressional Research
Service.\3\
In its report, CRS outlines five approaches:
1. Reestablish OTA Without Changes to Its Statute
2. Reestablish OTA with Changes to Its Statute
3. Charge an Existing Agency or Agencies with New or Expanded
Technology Assessment Authorities and Duties
4. Use the National Academies for Technology Assessment
5. Rely on a Broad Range of Existing Organizations for Scientific
and Technical Analysis and Technology Assessment
Of these options, (2) and (3) have drawn the greatest support, and
arguably have the fewest drawbacks. While there are many both inside
and outside of Congress who favor restoring the Office of Technology
Assessment, most recognize the need to update its model, which was
conceived in the 1960s and designed for how Congress worked in that
era. Other analysts have pointed to STAA as a more politically feasible
vehicle for this work, but also warn of the institutional challenges it
has yet to overcome.
Since 2019, STAA has grown to over 80 FTE staff and undertaken
thorough reviews of its methodological approach for technology
assessment (as well as developing other products). But if it is to fill
this role, there is still much that needs to happen for it to mature
both institutionally and in terms of staffing capacity. The remainder
of my remarks are focused on addressing this challenge.
serving congress beyond committees
A major design limitation of OTA was that it primarily served
committee leadership (this small support base also facilitated its
political downfall). GAO's request process, governed by its
congressional protocols, operates along similar lines. Yet, the need
for science and technology expertise and analysis extends beyond just
committee chairmen and ranking members. While this system is meant in
part to manage scarce resources, there are potential approaches to open
up shorter form analytic products to a broader constituency within
Congress. To that end, we request the following report language:
Review of Congressional Protocols for S&T.--The Government
Accountability Office is requested to provide a report within
180 days on options to amend its congressional protocols, with
respect to technology assessments and other non-audit reports
generated by its STAA team, to address requests from
congressional committees on a bipartisan basis, as well as make
services available to individual member offices. This analysis
may wish to consider factors in request prioritization such as
bicameral and bipartisan requests, report type and length, as
well as the number of Members making the request.
leveraging outside talent
As Comptroller General Gene Dodaro discusses in his recent
testimony in the House of Representatives, GAO is actively exploring
this use of temporary project-based staff for science and technology
work at STAA. The use of rotators and project-based staff helps promote
an interchange between academia and government, leading to the
development of expert networks and staff expertise that otherwise
wouldn't be possible to get in government. To encourage utilization and
adoption of this model, we request the following report language:
Report on Hiring Authorities.--The Government Accountability
Office is requested to provide a report to this committee and
to publish online within 180 days a report on available hiring
authorities and their utilization for science and technology
work in STAA, as well as how it might adapt talent and
networking models from DARPA, the National Science Foundation,
and the former Office of Technology Assessment.
creating a stronger staa
Recent criticism of STAA, including analysis in the NAPA report and
from CRS, have pointed to its challenges in moving quickly and
separating itself from GAO's audit-focused culture and bureaucracy. To
address these issues and build consensus around STAA, policymakers
should explore additional ways to give STAA greater autonomy. This
might include a separate appropriations line item, or modeling the
relationship between the Congressional Research Service and the Library
of Congress (see: 2 U.S.C. Sec. 166). This issue could also potentially
be addressed through report language, such as:
Research Independence.--The Comptroller General is requested to
study and implement changes to afford STAA and its director the
maximum practicable research administrative independence within
GAO, including hiring and firing authority, consistent with its
strategic objectives to serve as a science and technology
advisor to the Congress.
Additionally, while we know there are significant limitations to
what can be funded, we respectfully urge you to support GAO's budget
request to provide additional resources for this important work. As
with GAO and the original OTA, we believe a fully-funded STAA can
provide a return to taxpayers that greatly exceeds its budget.
Thank you for your ongoing attention to this issue, and thank you
for the opportunity to testify.
---------------------------------------------------------------------------
\1\ We've conducted a detailed examination of its findings here:
https://lincolnpolicy.org/2019/12/04/evaluating-the-2019-napa-report-
on-st-policy-assessment-and-resources-for-congress/.
\2\ See: Mike Miesen, Laura Manley, et al., ``Building a 21st
Century Congress: Improving Congress's Science and Technology
Expertise,'' Belfer Center for Science and International Affairs,
September 2019. https://www.belfercenter.org/CongressSciTech; Zach
Graves and Daniel Schuman, ``Science, Technology, & Democracy: Building
a Modern Congressional Technology Assessment Office,'' Ash Center for
Democratic Governance and Innovation, January 2020. https://
ash.harvard.edu/publications/science-technology-and-democracybuilding-
modern-congressional-technology-assessment.
\3\ ``The Office of Technology Assessment: History, Authorities,
Issues, and Options,'' Congressional Research Service, April 29, 2020.
https://www.everycrsreport.com/reports/R46327.html.
[This statement was submitted by Zachary Graves, Head of Policy.]
______
Prepared Statement of the National Association of Latino Elected and
Appointed Officials (NALEO)
Dear Chair Hyde-Smith, Ranking Member Murphy and Members of the U.S.
Senate Appropriations Legislative Branch Subcommittee:
On behalf of the National Association of Latino Elected and
Appointed Officials (NALEO) Educational Fund, I respectfully write you
to urge the U.S. Senate to establish a Senate Office on Diversity and
Inclusion and fund it adequately to operate in an independent and non-
partisan manner.
NALEO Educational Fund is the nation's leading nonprofit
organization that facilitates the full participation of Latinos in the
American political process, from citizenship to public service. Our
Board members and constituency encompass the nation's more than 6,800
Latino elected and appointed officials and include Republicans,
Democrats, and Independents.
In November 2017, NALEO Educational Fund launched ``Staff Up
Congress,'' a national initiative to build a representative
congressional workforce. The initiative is working to grow the pool of
candidates of color for senior positions, develop candidates' skills
and networks, build a sustainable pipeline of candidates from entry-
level to the chief of staff, and urge hiring managers to actively
consider, recruit, and hire in an inclusive manner.
inclusion helps legislatures function effectively
Congressional staff provides indispensable assistance and
irreplaceable institutional knowledge that legislators need to meet
their policymaking, oversight, and constituent service
responsibilities. As the Congressional Management Foundation notes,
``talented and experienced employees are the most valuable assets in
any knowledge-based workplace, and Congress is one of the most
important, complex and information-rich knowledge-based workplaces in
the world.''
Extensive research has shown that teams of capable, intelligent
people with diverse personal characteristics work better than
homogenous groups. For example, social scientists have observed that
when people of varied backgrounds work together, they surpass groups
with similar personal characteristics in recognizing broad ranges of
needs and opportunities, brainstorming, and generating creative
solutions to emerging problems.
Emerging research also provides increasingly direct and conclusive
proof that inclusive teams make Members more effective policymakers. A
2018 study of Congressional committees' work determined that the more
racially diverse the members of a committee were, the less likely it
was that that the committee's reports and other written products would
include minority or dissenting views. According to this study's author,
diverse perspectives help build legislative consensus, and therefore
``efforts underway to further increase diversity in Congress are
important in potentially contributing to a better functioning
legislature.''
In addition to positively influencing the speed and effectiveness
of policymaking, inclusive legislative staff teams enhance Congress's
legitimacy in the eyes of its constituents. Researchers have found that
constituents tend to trust and engage more with their representatives
when those elected officials are individuals who share the experiences
of constituents' racial or ethnic communities.
This suggests that inclusive staffing will also tend to strengthen
democracy by increasing voter participation and other civic activity.
Staff who reflect the diversity of Members' constituencies also are
ideally equipped to anticipate and effectively address those
constituents' concerns.
Congress has much to gain from taking action on a public commitment
to inclusive hiring. As the partisan conflict has intensified, Congress
has found itself in ever more acute need of people who are willing and
able to work together across dividing lines. Congress must improve its
ability to reach consensus by deliberately pursuing greater inclusivity
in staffing.
congress has fallen short on inclusivity
Members of Congress and the workforce that powers the legislative
branch do not yet reflect the diversity of the constituents for whom
they work. Congress works to ensure that federal agencies and private
employers make inclusion a priority, but it has not yet held itself
accountable in the same way. Congress must take concrete steps and
remain open to new administrative approaches to make progress and
demonstrate a meaningful commitment to diversity to its constituents.
Although there are few data available from official sources,
available indicators universally show that the Congressional workforce
is not representative of the population for which it works. In its 2015
report on Senate staff, George Washington University's Joint Center for
Political and Economic Studies found that while 37.9 percent of United
States residents were people of color, just 7.1 percent of Senate
Chiefs of Staff, Legislative Directors, Communications Directors, and
Staff Directors were people of color. Congress can take effective
action to address these disparities. For example, since initiating
annual surveys, creating an inclusive resume bank, and urging Member
offices to adopt policies like the Rooney Rule, the Senate Democratic
Caucus has measured incremental and consistent improvement in markers
of inclusive hiring. It is essential that Congress make an explicit and
active commitment to building a workforce that more closely resembles
the nation's broad diversity.
house office of diversity and inclusion
The U.S. House of Representatives passed a Rules package that
established the House Office of Diversity and Inclusion in 2019, a
significant step toward increasing staff diversity and inclusion in the
House of Representatives. In addition to establishing the Office of
Diversity and Inclusion, the Rules package required the appointment of
a Chief Diversity Officer and the development of a diversity plan, to
include a survey to evaluate diversity in House offices and policies to
direct and guide House offices to recruit, hire, train, develop,
advance, promote, and retain a diverse workforce.
The House of Representatives administered the required diversity
survey in the summer of 2019, and the responses will be incorporated
into a series of recommendations to help enhance diversity and
inclusion across the chamber. In March 2020, the House of
Representatives appointed a Chief Diversity Officer to lead the House
Office of Diversity and Inclusion, and it will add a Deputy Director to
address effective and inclusive and hiring in a bipartisan manner.
The bipartisan Select Committee on the Modernization of Congress
unanimously endorsed the efforts of the House Office of Diversity and
Inclusion, and the full House overwhelmingly adopted House Resolution
756, which charged the Office with submitting reports for the
foreseeable future and anticipates its findings.
senate office of diversity and inclusion
NALEO Educational Fund urges the United States Senate to bring
itself into parity with the House of Representatives by establishing a
Senate Office of Diversity and Inclusion, appointing a Senate Office of
Diversity and Inclusion Director, and preparing a Senate Inclusion
Report. The Senate falls behind the House at the task of diversifying
its workforce at its own peril: over the long term, it risks becoming a
less-attractive workplace that is not as creative or effective as it
could be.
Employers across the nation in both large and small enterprises
increasingly implement inclusive hiring practices because they ensure a
workforce that is representative of their communities, and they
generate efficiency, innovation, and other strategic advantages. The
United States Senate should attract the best and should be proactive
and transparent about diversity, and implement strategies that address
fair employment opportunities for individuals of diverse races,
ethnicities, religions, genders, disabilities, and veteran status.
conclusion
NALEO Educational Fund urges the creation of the United States
Senate Office of Diversity and Inclusion, and we look forward to
working with Senators to implement measures that make future Congresses
more representative and more effective as public servants. Thank you
for your attention to this important matter.
[This statement was submitted by Arturo Vargas, Chief Executive
Office.]
______
Prepared Statement of the National Taxpayers Union
Dear Chairwoman Hyde-Smith, Ranking Member Murphy, and Members of the
Subcommittee:
Thank you for the opportunity to submit testimony regarding the
Fiscal Year (FY) 2021 Senate Legislative Branch Appropriations bill. On
behalf of National Taxpayers Union (NTU), the nation's oldest taxpayer
advocacy organization, we urge you to require a report from the
Congressional Budget Office (CBO) on the costs, benefits, and
feasibility of allowing lawmakers to request and receive formal CBO
cost estimates prior to legislative markups. NTU recently submitted
similar testimony on this proposal to the House Appropriations
Subcommittee on the Legislative Branch.\1\
CBO produces hundreds of formal cost estimates for proposed
legislation every year, but almost 90 percent of these estimates are
produced after a bill has been reported out of committee and to the
full House or Senate.\2\ While CBO receives ``thousands of requests for
informal reviews each year,'' and will provide informal cost estimates
for some bills prior to committee markup, it is clear that the vast
majority of legislation marked up by Congressional committees come with
no formal cost estimate.\3\
For a group like NTU, this is troubling. NTU has had a major impact
on tax, spending, and regulatory policies for decades, and like the
Committees of Congress we rely in part on CBO cost estimates to make
the case for or against legislation with our grassroots network.
Providing lawmakers with access to official, public cost estimates
prior to legislative markups would allow Committee Members, NTU, and
other stakeholders to address the spending, revenue, and deficit
impacts of legislation before bills are considered by the full
chambers.
Fortunately, there is bipartisan interest in asking CBO to produce
more formal cost estimates prior to legislative markups. In 2017,
amidst the debate over House Republican replacements for the Affordable
Care Act (ACA), Congressman Ro Khanna (D-CA) introduced legislation
that would have required CBO to produce cost estimates before any ACA-
related legislation was considered by the House Committees on Ways and
Means, Energy and Commerce, or Rules.\4\ The legislation garnered 13
Democratic co-sponsors representing 10 states.\5\
Many Republicans are also interested in this policy. The Republican
Study Committee (RSC), which includes 147 House Republicans, included
the following proposal in their FY 2020 Budget:
`` . . . allow the chairman of a committee or the chair of the
Committee on the Budget to request CBO prepare a preliminary
report including estimated budgetary authority on legislation
to be considered in committee.'' \6\
In 2018, then-House Budget Committee Chairman Steve Womack (R-AR)
asked CBO how feasible it would be for CBO to provide cost estimates
prior to markups. CBO answered in short, ``about 65 analysts are
devoted to producing cost estimates after full committee markup, but
producing estimates [on a routine basis] before markup would eliminate
some of the work that now occurs afterward. Nevertheless, the
additional resources that would be required would probably be
substantial.'' \7\ CBO added it would be happy to prepare a detailed
estimate if helpful.
Despite the potential need for additional resources at CBO, making
cost estimates available prior to markups would allow lawmakers to more
fully analyze and consider the budgetary impact of bills at an early
stage in the legislative process. CBO should conduct a detailed study
of this proposal. To that end, NTU is requesting that the following
language be included in the FY 2021 Legislative Branch appropriations
bill:
Congressional Budget Office Cost Estimates Prior to Committee
Markups.--Within 180 days of enactment of this legislation, the
Congressional Budget Office (CBO) shall provide to appropriators and
make publicly available a report on the costs and benefits of allowing
certain lawmakers to request and receive formal cost estimates of
legislation prior to committee markups. CBO should examine the
feasibility, cost, benefits, and drawbacks of allowing either the Chair
of a committee, or the Chair and Ranking Member of a committee, or the
Chairs and Ranking Members of the Committees on the Budget, to request
formal cost estimates, and provide guidance on the amount of time and
resources such requests would demand from CBO. It also shall assess
whether and how many additional personnel might be required to
accomplish this task.
As previously mentioned, NTU strongly supports allowing lawmakers
to request formal cost estimates from CBO prior to legislative markups.
However, we seek a clear picture of the additional burdens such a
proposal will put on CBO, and request their input on the matter. We
believe a report from CBO is the best way to receive this input. Thank
you for your time and consideration, and I am happy to answer any and
all questions the Subcommittee may have.
---------------------------------------------------------------------------
\1\ Lautz, Andrew. ``NTU Testifies to House Subcommittee on
Congressional Budget Office Reform.'' National Taxpayers Union, March
5, 2020. Retrieved from: https://www.ntu.org/publications/detail/ntu-
testifies-to-house-subcommittee-on-congressional-budget-office-reform
\2\ Congressional Budget Office. (February 2018). ``How CBO
Prepares Cost Estimates.'' Retrieved from: https://www.cbo.gov/system/
files/115th-congress-2017-2018/reports/53519-costestimates.pdf
\3\ Edelberg, Wendy, and Gullo, Teri. ``CBO's Cost Estimates.''
Congressional Budget Office, October 29, 2015. Retrieved from: https://
www.cbo.gov/sites/default/files/114th-congress-2015-2016/presentation/
50934-costestimates.pdf#page=7
\4\ Congressman Ro Khanna. (March 8, 2017). ``Release: CBO Score
Needed Before Health Care Replacement Bill Markup.'' Retrieved from:
https://khanna.house.gov/media/press-releases/release-cbo-score-needed-
health-care-replacement-bill-markup-2
\5\ Congress.gov. ``Cosponsors: H.Res.178--115th Congress (2017-
2018).'' Retrieved from: https://www.congress.gov/bill/115th-congress/
house-resolution/178/cosponsors?searchResultViewType=
expanded&KWICView=false
\6\ Republican Study Committee. (May 2019). ``Preserving American
Freedom: Republican Study Committee Fiscal Year 2020 Budget.''
Retrieved from: https://mikejohnson.house.gov/sites/
mikejohnson.house.gov/files/
Final%20RSC%20FY%202020%20FOR%20PRINT.pdf#page=135
\7\ Congressional Budget Office. (July 26, 2018). ``Answers to
Questions for the Record Following a Hearing Conducted by the House
Committee on the Budget on CBO Oversight: Economic Assumptions,
Baseline Construction, Cost Estimating, and Scoring.'' Retrieved from:
https://www.cbo.gov/system/files/2018-07/54205-QFR-
9HBC_Oversight.pdf#page=8
[This statement was submitted by Andrew Lautz, Policy and
Government Affairs Associate.]
______
Prepared Statement of Washington Intern Student Housing (WISH)
Good afternoon Members, I am Jackie Lewis, CEO and founder of
Washington Intern Student Housing (WISH). Thank you for the opportunity
to present a witness testimony regarding Fiscal Year 2021
Appropriations.
WISH provides fully-furnished, intern-only housing for students who
wish to live and work in Washington, DC. More specifically, WISH is
dedicated to providing a safe and affordable short-term residential
option for interns working on the Hill. It is important that interns
who are traveling to Washington, DC receive compensation, either
through a stipend or hourly pay, for their hard work in Congressional
Members' offices.
intern compensation helps congress
Paid congressional internships provide opportunities for more young
Americans who simply do not have the financial means to dedicate an
entire semester or summer to a congressional internship without pay.
Young people from the middle class or from more modest backgrounds are
unable to live without income in an expensive city such as Washington,
DC. Paid internships will diversify the applicant pool and make the
Congress more inclusive and representative of the United States of
America.
further assistance to congressional interns
Today, many offices are able to take on multiple interns, including
those from university-sponsored programs, volunteers from members'
districts, and stipends provided through appropriated funds.
For FY2020, the Legislative Branch Appropriations Bill provided $6
million for Senate intern pay, an increase of $1 million from FY2019,
which allowed for an average of $60,000 to each Senator's office. Due
to the success of the intern compensation, Congress is now able to
attract and hire the most qualified interns, regardless of
socioeconomic status.
For this reason, we urge the Legislative Bran Appropriations
Subcommittee to continue to retain and expand funding for stipends for
congressional interns.
WISH and its Foundation strive to create opportunities that allow
disadvantaged students to complete congressional internships and use
their experience to advance their careers in public service. A
congressional internship provides an immense amount of legislative
experience, firsthand know-how on the political processes of the U.S.
government, and the ability to forge professional relationships with
congressional staffers. Yet all of these rewarding experiences do not
outweigh the need for offices to provide monetary compensation.
We are pleased that each office has provided a stipend as
compensation for the interns, but we believe that more needs to be done
given the high expenses of living in Washington, DC.
Washington, DC is a very expensive city. Housing, food,
transportation, and everyday living expenses are much higher than in
the typical city or town that potential interns call home. Without a
stipend, many congressional interns struggle to cover the expenses that
arise over the course of their congressional internship.
We propose that all offices be allocated a $3,000 stipend for high
living expenses in Washington, DC. If there are students at a four-year
institution and need further assistance, this $3,000 stipend will
enable them to come to study and work in Washington, DC for a semester
or summer.
We suggest each Senate office receive $3,000 stipends for fall,
spring and summer sessions with a range of 2-6 stipends per office
depending on the office's size.
offices vary their intern pay schedules
Even before dedicated funding was available, Senate offices were
familiar with paying interns out of their standard office allowances.
Some offices were able to pay some of their interns, but not all. Many
offices selected college students with the understanding they wouldn't
have been able to receive academic credit for their internship if they
received compensation.
For other offices, paying interns depends on the time of the year.
It is quite common to see some Congressional offices choose to use
funds out of their own annual staff appropriations in order to pay for
fall and spring interns, but not summer interns. Essentially, these
offices are able to take advantage of the surplus of student applicants
who are only able to come to D.C. for a congressional internship during
the summer.
Our proposal will ensure that students who are interested in spring
and fall internships, as well as summer internships, have equal access
to stipends that will help cover their living expenses and
transportation costs to Washington, DC.
Our mission at WISH is to create upward mobility for first
generation college students my giving them the chance to have a
rewarding, productive, and intellectually stimulating careers. Our
proposal for $3,000 stipends is meant to further support students
interested in completing a congressional internship as a step towards
their post-graduate career.
With the well-being of congressional interns and the success of
FY2020's appropriation for Senate intern pay in mind, we suggest that
the Appropriations Subcommittee on the Legislative Branch should
appropriate $3,000 stipends for congressional interns.
Thank you for your consideration.