[Congressional Record Volume 146, Number 111 (Tuesday, September 19, 2000)]
[House]
[Pages H7799-H7804]
From the Congressional Record Online through the Government Publishing Office [www.gpo.gov]
GAO PERSONNEL FLEXIBILITY ACT OF 2000
Mr. BURTON of Indiana. Mr. Speaker, I move to suspend the rules and
pass the bill (H.R. 4642) to make certain personnel flexibilities
available with respect to the General Accounting Office, and for other
purposes, as amended.
The Clerk read as follows:
H.R. 4642
Be it enacted by the Senate and House of Representatives of
the United States of America in Congress assembled,
SECTION 1. VOLUNTARY EARLY RETIREMENT AUTHORITY.
(a) Civil Service Retirement System.--Effective for
purposes of the period beginning on the date of enactment of
this Act and ending on December 31, 2003, paragraph (2) of
section 8336(d) of title 5, United States Code, shall, with
respect to officers and employees of the General Accounting
Office, be applied as if it had been amended to read as
follows:
``(2)(A) has been employed continuously by the General
Accounting Office for at least the 31-day period immediately
preceding the start of the period referred to in subparagraph
(D);
``(B) is serving under an appointment that is not time
limited;
``(C) has not received a notice of involuntary separation,
for misconduct or unacceptable performance, with respect to
which final action remains pending; and
``(D) is separated from the service voluntarily during a
period with respect to which the Comptroller General
determines that the application of this subsection is
necessary and appropriate for the purpose of--
``(i) realigning the General Accounting Office's workforce
in order to meet budgetary constraints or mission needs;
``(ii) correcting skill imbalances; or
``(iii) reducing high-grade, managerial, or supervisory
positions;''.
(b) Federal Employees' Retirement System.--Effective for
purposes of the period beginning on the date of enactment of
this Act and ending on December 31, 2003, subparagraph (B) of
section 8414(b)(1) of title 5, United States Code, shall,
with respect to officers and employees of the General
Accounting Office, be applied as if it had been amended to
read as follows:
``(B)(i) has been employed continuously by the General
Accounting Office for at least the 31-day period immediately
preceding the start of the period referred to in clause (iv);
``(ii) is serving under an appointment that is not time
limited;
``(iii) has not received a notice of involuntary
separation, for misconduct or unacceptable performance, with
respect to which final action remains pending; and
``(iv) is separated from the service voluntarily during a
period with respect to which the Comptroller General
determines that the application of this subsection is
necessary and appropriate for the purpose of--
``(I) realigning the General Accounting Office's workforce
in order to meet budgetary constraints or mission needs;
``(II) correcting skill imbalances; or
``(III) reducing high-grade, managerial, or supervisory
positions;''.
(c) Numerical Limitation.--Not to exceed 10 percent of the
General Accounting Office's workforce (as of the start of a
fiscal year) shall be permitted to take voluntary early
retirement in such fiscal year pursuant to this section.
(d) Regulations.--The Comptroller General shall prescribe
any regulations necessary to carry out this section,
including
[[Page H7800]]
regulations under which an early retirement offer may be made
to any employee or group of employees based on--
(1) geographic area, organizational unit, or occupational
series or level;
(2) skills, knowledge, or performance; or
(3) such other similar factors (or combination of factors
described in this or any other paragraph of this subsection)
as the Comptroller General considers necessary and
appropriate in order to achieve the purpose involved.
SEC. 2. VOLUNTARY SEPARATION INCENTIVE PAYMENTS.
(a) In General.--Effective for purposes of the period
beginning on the date of enactment of this Act and ending on
December 31, 2003, the authority to provide voluntary
separation incentive payments shall be available to the
Comptroller General with respect to employees of the General
Accounting Office.
(b) Terms and Conditions.--The authority to provide
voluntary separation incentive payments under this section
shall be available in accordance with the provisions of
subsections (a)(2)-(e) of section 663 of the Treasury, Postal
Service, and General Government Appropriations Act, 1997, as
contained in Public Law 104-208 (5 U.S.C. 5597 note), except
that--
(1) subsection (a)(2)(D) of such section shall be
disregarded;
(2) subsection (a)(2)(G) of such section shall be applied
by construing the citations therein to be references to the
appropriate authorities in connection with employees of the
General Accounting Office;
(3) subsection (b)(1) of such section shall be applied by
substituting ``Committee on Government Reform'' for
``Committee on Government Reform and Oversight'';
(4)(A) subsection (b)(2)(A) of such section shall be
applied by substituting ``eliminated (if any)'' for
``eliminated'';
(B) subsection (b)(2)(C) of such section shall be applied
by substituting ``such positions or functions as are to be
eliminated and such employees as are to be separated'' for
``the eliminated positions and functions''; and
(C) the agency strategic plan referred to in subsection (b)
of such section shall, in addition to the information
described in paragraph (2) thereof, contain the following:
the steps to be taken to realign the General Accounting
Office's workforce in order to meet budgetary constraints or
mission needs, correct skill imbalances, or reduce high-
grade, managerial, or supervisory positions;
(5) subsection (c)(1) of such section shall be applied by
substituting ``to the extent necessary (A) to realign the
General Accounting Office's workforce in order to meet
budgetary constraints or mission needs, (B) to correct skill
imbalances, or (C) to reduce high-grade, managerial, or
supervisory positions, in conformance with that agency's
strategic plan (as referred to in subsection (b)).'' for the
matter following ``only'';
(6) subsection (c)(2)(D) of such section shall be applied
by substituting ``December 31, 2003, or the end of the 3-
month period beginning on the date on which such payment is
offered to such employee, whichever is earlier'' for
``December 31, 1997''; and
(7) instead of the amount described in paragraph (1) of
subsection (d) of such section, the amount required under
such paragraph shall be determined in accordance with
subsection (c)(1) of this section.
(c) Additional Contribution to Retirement Fund.--
(1) Determination of amount required.--The amount required
under this paragraph shall be the amount determined under
subparagraph (A) or (B), whichever is greater, for the fiscal
year involved.
(A) First method.--The amount required under this
subparagraph shall be determined as follows:
(i) First, determine the sum of the following:
(I) The amount equal to 19 percent of the final basic pay
of each employee described in paragraph (2) who takes early
retirement under section 8336(d) of title 5, United States
Code.
(II) The amount equal to 58 percent of the final basic pay
of each employee described in paragraph (2) who retires on an
immediate annuity under section 8336 of such title 5 (not
including any employee covered by subclause (I)).
(ii) Second, reduce the sum of the amounts determined under
clause (i) by the sum of the following (but not below zero):
(I) The amount equal to 419 percent of the final basic pay
of each employee described in paragraph (2), who is covered
by subchapter III of chapter 83 of title 5, United States
Code, and who resigns.
(II) The amount equal to 17 percent of the final basic pay
of each employee described in paragraph (2) who takes early
retirement under section 8414(b) of such title 5.
(III) The amount equal to 8 percent of the final basic pay
of each employee described in paragraph (2) who retires on an
immediate annuity under section 8412 of such title 5.
(IV) The amount equal to 211 percent of the final basic pay
of each employee described in paragraph (2), who is covered
by chapter 84 of such title 5, and who resigns.
(B) Second method.--The amount required under this
subparagraph shall be equal to 45 percent of the final basic
pay of each employee described in paragraph (2).
(2) Computations to be based on separations occurring in
the fiscal year involved.--The employees described in this
paragraph are those employees who receive a voluntary
separation incentive payment under this section based on
their separating from service during the fiscal year
involved.
(3) Regulations.--
(A) In general.--The Office of Personnel Management shall
prescribe any regulations necessary to carry out this
subsection, including provisions under which any additional
contribution determined under this subsection shall, at the
election of the General Accounting Office, be payable either
in a lump sum or through installment payments made over a
period of not to exceed 3 years.
(B) Interest.--The regulations shall include provisions
under which, if the installment method is chosen, interest
shall be payable at the same rate as provided for under
section 8348(f) of title 5, United States Code.
(4) Rule of construction.--As used in this subsection, the
term ``resign'' shall not be considered to include early
retirement or a separation giving rise to an immediate
annuity.
(d) Definitions.--
(1) Final basic pay.--As used in this section, the term
``final basic pay'' has the same meaning as under section
663(d)(2) of the Treasury, Postal Service, and General
Government Appropriations Act, 1997, as contained in Public
Law 104-208 (5 U.S.C. 5597 note).
(2) Employee.--As used in this section and, for purposes of
this section, the provisions of law cited in subsection (b),
the term ``employee'' shall be considered to refer to an
officer or employee of the General Accounting Office.
(e) Numerical Limitation.--Not to exceed 5 percent of the
General Accounting Office's workforce (as of the start of a
fiscal year) shall be permitted to receive a voluntary
separation incentive payment under this section based on
their separating from service in such fiscal year.
(f) Regulations.--The Comptroller General shall prescribe
any regulations necessary to carry out this section,
excluding subsection (c). Such regulations shall include
provisions under which a voluntary separation incentive
payment may be offered to any employee or group of employees
based on--
(1) geographic area, organizational unit, or occupational
series or level;
(2) skills, knowledge, or performance; or
(3) such other similar factors (or combination of factors
described in this or any other paragraph of this subsection)
as the Comptroller General considers necessary and
appropriate in order to achieve the purpose involved.
SEC. 3. REDUCTIONS IN FORCE.
(a) Modified Procedures.--
(1) In general.--Subsection (h) of section 732 of title 31,
United States Code, is amended to read as follows:
``(h)(1)(A) Notwithstanding any other provision of law, the
Comptroller General shall prescribe regulations, consistent
with regulations issued by the Office of Personnel Management
under authority of section 3502(a) of title 5 for the
separation of employees of the General Accounting Office
during a reduction in force or other adjustment in force.
``(B) The regulations must give effect to the following
factors in descending order of priority--
``(i) tenure of employment;
``(ii) military preference subject to section 3501(a)(3) of
title 5;
``(iii) veterans' preference under sections 3502(b) and
3502(c) of title 5;
``(iv) performance ratings;
``(v) length of service computed in accordance with the
second sentence of section 3502(a) of title 5; and
``(vi) other objective factors such as skills and knowledge
that the Comptroller General considers necessary and
appropriate to realign the agency's workforce in order to
meet current and future mission needs, to correct skill
imbalances, or to reduce high-grade, managerial, or
supervisory positions.
``(C) Notwithstanding subparagraph (B), the regulations
relating to removal from the General Accounting Office Senior
Executive Service in a reduction in force or other adjustment
in force shall be consistent with section 3595(a) of title 5.
``(2)(A) The regulations shall provide a right of appeal to
the General Accounting Office Personnel Appeals Board
regarding a personnel action under the regulations,
consistent with section 753 of this title.
``(B) The regulations shall provide that final decision by
the General Accounting Office Personnel Appeals Board may be
reviewed by the United States Court of Appeals for the
Federal Circuit consistent with section 755 of this title.
``(3)(A) Except as provided in subparagraph (B), an
employee may not be released, due to a reduction force,
unless such employee is given written notice at least 60 days
before such employee is so released. Such notice shall
include--
``(i) the personnel action to be taken with respect to the
employee involved;
``(ii) the effective date of the action;
``(iii) a description of the procedures applicable in
identifying employees for release;
``(iv) the employee's ranking relative to other competing
employees, and how that ranking was determined; and
``(v) a description of any appeal or other rights which may
be available.
``(B) The Comptroller General may, in writing, shorten the
period of advance notice
[[Page H7801]]
required under subparagraph (A) with respect to a particular
reduction in force, if necessary because of circumstances not
reasonably foreseeable, except that such period may not be
less than 30 days.''.
(2) Effective date.--Subject to paragraph (3), the
amendment made by paragraph (1) shall apply with respect to
all reduction-in-force actions taking effect on or after--
(A) the 180th day following the date of enactment of this
Act; or
(B) if earlier, the date the Comptroller General issues the
regulations required under such amendment.
(3) Savings provisions.--If, before the effective date
determined under paragraph (2), specific notice of a
reduction-in-force action is given to an individual in
accordance with section 1 of chapter 5 of GAO Order 2351.1
(dated February 28, 1996), then, for purposes of determining
such individual's rights in connection with such action, the
amendment made by paragraph (1) shall be treated as if it had
never been enacted.
(b) Authority To Permit Voluntary Separations To Avoid
Reductions in Force.--
(1) In general.--Section 732 of title 31, United States
Code (as amended by subsection (a)), is amended by adding at
the end the following:
``(i) The regulations under subsection (h) shall include
provisions under which, at the discretion of the Comptroller
General, the opportunity to separate voluntarily (in order to
permit the retention of an individual occupying a similar
position) shall, with respect to the General Accounting
Office, be available to the same extent and in the same
manner as described in subsection (f)(1)-(4) of section 3502
of title 5 (with respect to the Department of Defense or a
military department).''.
(2) Effective date.--The amendment made by paragraph (1)
shall take effect on the date of enactment of this Act.
SEC. 4. SENIOR-LEVEL POSITIONS.
(a) Critical Positions.--
(1) In general.--Title 31, United States Code, is amended
by inserting after section 732 the following:
``Sec. 732a. Critical positions
``(a) The Comptroller General may establish senior-level
positions to meet critical scientific, technical or
professional needs of the General Accounting Office. An
individual serving in such a position shall--
``(1) be subject to the laws and regulations applicable to
the General Accounting Office Senior Executive Service under
section 733 of this title, with respect to rates of basic
pay, performance awards, ranks, carry over of annual leave,
benefits, performance appraisals, removal or suspension, and
reductions in force;
``(2) have the same rights of appeal to the General
Accounting Office Personnel Appeals Board as are provided to
the Office Senior Executive Service;
``(3) be exempt from the same provisions of law as are made
inapplicable to the Office Senior Executive Service under
section 733(d) of this title, except for section 732(e) of
this title;
``(4) be entitled to discontinued service retirement under
chapter 83 or 84 of title 5 as if a member of the Office
Senior Executive Service; and
``(5) be subject to reassignment by the Comptroller General
to any position in the Office Senior Executive Service under
section 733 of this title, as the Comptroller General
determines necessary and appropriate.
``(b) Senior-level positions under this section may include
positions referred to in section 731(d), (e)(1), or (e)(2) of
this title.''.
(2) Numerical limitation applies.--Section 732(c)(4) of
title 31, United States Code, is amended--
(A) by inserting ``(including senior-level positions under
section 732a of this title)'' after ``129 positions''; and
(B) by striking ``title);'' and inserting ``title and
senior-level positions described in section 732a(b) of this
title);''.
(3) Clerical amendment.--The table of sections for chapter
7 of title 31, United States Code, is amended by inserting
after the item relating to section 732 the following:
``732a. Critical positions.''.
(b) Reassignment to Senior-Level Positions.--Section 733(a)
of title 31, United States Code, is amended--
(1) by striking ``and'' at the end of paragraph (6);
(2) by redesignating paragraph (7) as paragraph (8); and
(3) by inserting after paragraph (6) the following:
``(7) allowing the Comptroller General to reassign an
officer or employee in the Office Senior Executive Service to
any senior-level position established under section 732a of
this title, as the Comptroller General determines necessary
and appropriate; and''.
SEC. 5. EXPERTS AND CONSULTANTS.
Section 731(e) of title 31, United States Code, is
amended--
(1) in paragraph (1) by striking ``not more than 3 years''
and inserting ``terms of not more than 3 years, but which
shall be renewable''; and
(2) in paragraph (2) by striking ``level V'' and inserting
``level IV''.
SEC. 6. REPORTING REQUIREMENTS.
(a) Annual Reports.--The Comptroller General shall include
in each report submitted to Congress under section 719(a) of
title 31, United States Code, during the 5-year period
beginning on the date of enactment of this Act--
(1) a review of all actions taken pursuant to sections 1
through 3 of this Act during the period covered by the
report, including--
(A) the number of officers or employees who separated from
service pursuant to section 1 or 2, or who were released
pursuant to a reduction in force conducted under the
amendment made by section 3, during such period;
(B) an assessment of the effectiveness and usefulness of
those sections in contributing to the agency's ability to
carry out its mission, meet its performance goals, and
fulfill its strategic plan; and
(C) with respect to the amendment made by section 3, an
assessment of the impact such amendment has had with respect
to preference eligibles, including--
(i) whether a disproportionate number or percentage of
preference eligibles were included among those who became
subject to reduction-in-force actions as a result of such
amendment;
(ii) whether a disproportionate number or percentage of
preference eligibles were in fact released pursuant to
reductions in force under such amendment; and
(iii) to the extent that either of the foregoing is
answered in the affirmative, the reasons for the
disproportionate impact involved (particularly, whether such
amendment caused or contributed to the disproportionate
impact involved); and
(2) recommendations for any legislation which the
Comptroller General considers appropriate with respect to any
of those sections.
(b) Three-Year Assessment.--Not later than 3 years after
the date of enactment of this Act, the Comptroller General
shall submit to the Congress a report concerning the
implementation and effectiveness of this Act. Such report
shall include--
(1) a summary of the portions of the annual reports
required under subsection (a);
(2) recommendations for continuation of section 1 or 2 or
any legislative changes to section 1 or 2 or the amendment
made by section 3; and
(3) any assessment or recommendations of the General
Accounting Office Personnel Appeals Board or of any
interested groups or associations representing officers or
employees of the General Accounting Office.
(c) Preference Eligible Defined.--For purposes of this
section, the term ``preference eligible'' has the meaning
given such term under section 2108(3) of title 5, United
States Code.
The SPEAKER pro tempore (Mr. Shimkus). Pursuant to the rule, the
gentleman from Indiana (Mr. Burton) and the gentleman from California
(Mr. Waxman) each will control 20 minutes.
The Chair recognizes the gentleman from Indiana (Mr. Burton).
{time} 1530
General Leave
Mr. BURTON of Indiana. Mr. Speaker, I ask unanimous consent that all
Members may have 5 legislative days within which to revise and extend
their remarks on H.R. 4642.
The SPEAKER pro tempore. Is there objection to the request of the
gentleman from Indiana?
There was no objection.
Mr. BURTON of Indiana. Mr. Speaker, I yield myself such time as I may
consume.
Mr. Speaker, I rise to express my support for H.R. 4642, a bill to
improve the effectiveness of the General Accounting Office through
improvement to its personnel system. I would like to thank my
colleague, the gentleman from Florida (Mr. Scarborough), chairman of
the Subcommittee on Civil Service for his work and efforts on this
legislation.
The General Accounting Office sometimes referred to as the
``watchdog'' of Congress or the ``investigative arm'' of Congress today
faces many of the same personnel problems confronting other Federal
agencies. As my colleagues know, the Federal Government is nearing a
crisis in its ability to recruit, retain and reward a skilled, trained,
and knowledgeable workforce for the 21st century.
Mr. Speaker, like the rest of the government, GAO is fundamentally
constrained by personnel issues in its ability to meet future
obligations to Congress and the country. It is to ensure that GAO can
successfully confront these personnel problems and secure its future
that I rise in support of this very important legislation.
Mr. Speaker, I think that I can safely speak for all Members on both
sides of the aisle in saying that GAO makes many contributions to
helping us improve the economy, effectiveness and efficiency of
government and in pointing out waste and abuse in government programs.
Not a week goes by without a major GAO report about some important
aspect of government operations.
From my own perspective and experience, I know that the Committee on
Government Reform has a unique relationship with GAO, not only does the
[[Page H7802]]
committee authorize GAO, but under House rules, it also officially
receives every GAO record that is sent to Congress. The Committee on
Government Reform also receives more GAO testimony than any other
committee in Congress.
The agency is invaluable to the entire congressional community. All
Members of Congress, including myself, rely upon GAO for briefings,
testimony, oversight, information and review of executive operations.
Mr. Speaker, I urge my colleagues to support this legislation for GAO
to ensure that our watchdog can continue to effectively do its job for
Congress in the future.
As my colleagues know, we have a new Comptroller General at GAO,
David M. Walker, who was confirmed about 19 months ago. Mr. Walker is
committed to making sure that the agency can successfully meet its
mission. Mr. Walker has developed a new strategic plan to keep aligned
with our needs on the Hill. He has embarked on a reorganization
designed to streamline operations and remove redundancies and he has
determined to meet personnel crises head on.
As Mr. Walker seeks to make constructive changes, continue
improvements in GAO, he faces a personnel quandary that has been many
years in the making, a series of budget cuts in the last decade forced
GAO to undergo a severe downsizing and a hiring freeze which resulted
in a 39 percent staff reduction and significant imbalances among the
staff remaining.
The impact of these cuts and freezes continues to hamper the agency.
GAO also faces one of the government's most significant problems of the
next few years. The anticipated retirement of many mid-level and
senior-level employees who have been with the government for decades
and who represent the greatest source of knowledge and experience in
the Federal sector.
For example, nearly 55 percent of GAO's senior executive service are
eligible to retire in the next 4 years and 34 percent of the agency's
total workforce will be eligible to leave government.
This potential mass exodus has the ability to undermine GAO's
effectiveness to an unprecedented loss of institutional memory that
could directly impact its products and services to Congress. These
executives and personnel have provided such long service to the
government and have a storehouse of knowledge and experience that
cannot be duplicated or easily replaced.
In the case of GAO, because of the wide variety of issues they
handle, this is a loss of expertise across many, many areas of
government. The expected loss of so many seasoned executives and
supervisors, combined with the massive downsizing experienced during
the past decades, when taken together, is at the core of GAO's current
and future personnel problems.
Indeed, it is this one-two punch of recent and expected personnel
departures that Mr. Walker and the GAO are now trying to confront, in
part through the legislation now before us.
In his efforts to more effectively focus GAO on the needs of Congress
in the 21st century, the Comptroller General has also recognized that
the skills GAO employees have today may not always be suited for the
agency's needs in the future. GAO has undertaken a number of
initiatives from the new strategic plan to a skills and knowledge
database of its employees.
These efforts will help the agency to ascertain both the current
skill set and future skills gap of its work force. The legislation will
also help to remedy this problem by providing flexibility in filling
the gaps.
Mr. Speaker, as I think my comments have proved, GAO urgently needs
this important legislation to help it face the future and by doing so
help us here in the Congress. This bill will allow GAO to overcome its
pressing personnel problems by providing the Comptroller General with
the ability to correct workforce skill imbalances to successfully
handle current and future issues, and to help achieve a more balanced,
productive and focused workforce.
H.R. 4642 provides the agency with a set of tools so that it can
better fulfill its mission to support Congress. The bill will help GAO
build a workforce for the future to implement its strategic plan and be
positioned to serve the varied important needs of the Congress.
The bill has three main provisions, which I will address very
briefly. First, the legislation will allow the Comptroller General to
hire scientific and technical experts who will have the same pay and
benefits as the SES and reclassify senior executives without loss of
pay. This creates a new career path for selected technical positions
and helps to redress the loss of institutional memory so critical to
the agency's work.
Second, the Comptroller General will be able to offer voluntary early
retirement and cash buyouts to employees in jobs deemed surplus. This
tool which the Comptroller General would use judiciously can help to
realign the agency in ways to improve its focus in critical areas.
The final provision addresses the Comptroller General's ability to
run a reduction in force or a RIF. The Comptroller General already has
the authority to conduct a RIF; but under existing rules, a RIF would
be based largely on a person's length of service but also would rely
upon tenure and military preference.
Under this legislation, a RIF would be based on a person's skills,
performance, and knowledge, as well as length of service and tenure,
while retaining the statutory preference for military veterans, which I
strongly support.
This is an important change because, absent this provision, efforts
to reshape the agency to better serve Congress in the future could be
hampered by continued loss of employees critical to implementing
strategic plans, goals, and objectives.
This legislation gives GAO the flexibility it needs to maximize its
performance and focus on the future. It helps rebalance the agency's
personnel structure after years of budget and personnel cuts, and it
continues efforts to sustain an environment in which performance in
government matters.
I have been pleased to sponsor this legislation with my good friend,
the gentleman from Florida (Chairman Scarborough) of the Subcommittee
on Civil Service; and we have been supported by the gentleman from
California (Mr. Waxman) in the legislation that has been discussed in
several hearings in which the Comptroller General outlined the
importance of the bill and the reasons why it was necessary to take
this action.
Mr. Speaker, as a result of this bill's progress in Congress, there
is considerable Member support and recognition of the need for this
important legislation. The legislation is also supported by Mr.
Walker's two predecessors in office, Comptrollers General, Elmer Staats
and Charles Browser, who together represent 30 years of GAO leadership
supported it.
I would further note that the administration does not oppose this
bill as it only affects the agency of the legislative branch. It is
important to highlight that the provisions of this bill will not have
an impact on executive branch agencies or their employees.
I know that several of my colleagues initially objected to this bill
because they believed it might have an impact on some of their
constituents. Let me reiterate that this legislation will only affect
the GAO and does not have any application to the executive branch of
the Federal Government.
Furthermore, I hope that my colleagues recognize that the legislation
before them now includes several changes from the original bill which
are designed to ensure that the provisions, if they are implemented,
are done so in an equitable and responsible manner.
This includes a requirement that GAO must issue regulations on RIF
selection criteria after a public comment period. GAO must also report
back to the Congress on how it implemented the law.
I believe these and other safeguards will help to satisfy any
concerns of the local delegation.
In summary, Mr. Speaker, I urge my colleagues to support this bill so
that GAO can achieve its goal of being a model Federal agency of
sustaining a strong and effective workforce and of meeting its mission
to Congress and to the American people.
Mr. Speaker, I include for the Record a legislative history of GAO's
personnel legislation.
[[Page H7803]]
Legislation Authorizing GAO To Take Certain Personnel Actions
I. Purpose
The General Accounting Office (GAO) has requested these
personnel authorities to enable the agency to effectively
address human capital challenges in order to more effectively
fulfill its mission. GAO explained that it recently completed
a thorough evaluation of its workforce needs and resources
and found that they do not match up. This arose in part
because of the severe downsizing and hiring freezes from
1992-1997. Also, the kinds of skills, knowledge, and
performance needed by GAO in its workforce are changing with
the impact of information technology, globalization, and
other trends in the broader society. Finally, these kinds of
imbalances threaten to become worse, because the retirement
of many employees possessing necessary expertise are or are
close to being eligible for retirement.
GAO has said that it is doing what it can administratively
to correct these imbalances, e.g., by enhanced entry-level
recruitment, active management of promotion decisions, and
compilation of an inventory of the agency's human capital
needs and resources. The agency is also being restructured to
have less hierarchy and fewer field offices. GAO explained,
however, that its current law is designed for ``downsizing,''
not ``rightsizing,'' and prevents GAO from taking needed
management steps.
GAO has thus explained why this new legislative authority
is necessary to enable GAO to effectively address the
agency's human capital requirements. This legislation is
appropriate for GAO considering its role and responsibilities
in the legislative branch and its unique relationship to the
Congress, and also taking account of the specific, fact-based
demonstration that GAO has made explaining why the requested
authority is needed and appropriate.
II. Summary of provisions
The legislation provides narrowly tailored authority,
preserving due process protections, in four specific areas:
(1) to offer early retirement (early-outs) on a voluntary
basis to a limited number of qualified employees in each
fiscal year; (2) to offer separation pay (buyouts) on a
voluntary basis to a limited number of qualified employees in
each fiscal year for a five-year period after enactment of
the legislation; (3) to release officers and employees in a
reduction in force (RIF) or an adjustment in force carried
out for downsizing, realigning, or correcting skill
imbalances; and (4) to establish senior-level positions to
meet critical scientific, technical or professional needs and
to extend to those positions the rights and benefits of
Senior Executive Service employees. Regulations governing the
RIF provision must give effect to tenure, military
preference, veterans preference, performance, length of
service, and other factors such as skills and knowledge.
In addition, the legislation requires that the Comptroller
General report annually to the Congress on the use and
effectiveness of the legislation, and provide the Congress
with a report in three years summarizing the use and
effectiveness of the legislation and recommending whether it
should be continued or changed.
III. Employee Rights and Protections Under the New Authorities
First, as a general matter, it is essential that the
Comptroller General consult with employees concerning plans
for implementation of the legislation in advance of issuing
proposed orders or regulations for comment. GAO has described
the efforts taken by the Comptroller General to foster two-
way communication between the Office of the Comptroller
General and all agency officers and employees, including
extensive discussions regarding the need for and development
of this legislation. Broad consultation with officers and
employees should be continued at each stage of the
legislation's implementation. In addition, in developing
implementing regulations, GAO is obligated under existing law
to afford notice and opportunity for comment, and GAO has
said it will follow the best practices of regulatory agencies
in regards to summarizing and responding on the public record
to significant comments received.
The legislation itself contains a number of provisions and
preserves rights and protections under existing laws to
assure that employees will not be subject to arbitrary and
illegal action. Notably, this legislation in no way affects
existing laws that prohibit discrimination on the basis of
race, color, religion, sex, national origin, age, and
disability, that forbid prohibited personnel practices, or
that require compliance with merit principles. GAO's
implementation of the authorities granted by this legislation
must continue to be in conformity with those existing laws.
This legislation requires that, to implement the provisions
authorizing early retirement, separation pay, and reductions
in force, the agency must issue regulations that provide
criteria for, in effect, two levels of decision-making: the
decision to use the authorities and the decision regarding
which officers or employees shall be subject to actions under
the authorities.
GAO has stated that these regulations must set forth
clearly defined criteria and require consistent and well
documented application of those criteria. Any decisions based
upon individual data, such as skills/knowledge and
performance, will be based on identification and measurement
systems. Ratings from the agency's performance appraisal
systems will be the basis for measuring individual
performance, and GAO has stated that an individual's ratings
for three years will be used. Similarly, skills and knowledge
must be ascertained in a well-documented skills inventory.
GAO has explained that its staff will fill out such a skills
inventory, subject to supervisory review, which will be used
in conjunction with the agency's strategic plan to identify
any ``gaps'' or ``overages'' in workforce skills and
knowledge. If GAO finds it necessary to use the RIF authority
before a skills inventory is completed, the agency would use
existing organizational groups and units.
In giving effect to military preference, GAO must comply
with the requirements of its own Personnel Act, section
732(b)(5) of title 31, which requires GAO to provide a
preference to veterans in a way and to an extent consistent
with the system in the executive branch. In the executive
branch under section 3502(b) of title 5, a preference
eligible with a compensable service connected disability
of at least 30% and whose performance has not been rated
unacceptable is retained in preference to other preference
eligibles. Section 3502(c) of title 5 requires that all
other preference eligibles whose performance has not been
rated unacceptable be retained in preference to all other
competing employees. Therefore, these provisions would
bind GAO, and preference eligibles would be the last to be
terminated in their applicable unit/job or skill group
under a reduction in force.
The legislation allows the provisions authorizing early
retirement, separation pay, and reductions in force to be
exercised only for workforce realignment and other purposes
as specified in the legislation. Addressing individual
employee performance is not among these specified purposes,
and it is only for the specified purposes that the
Comptroller General may consider individual performance data
among the criteria for offering early retirement or
separation pay or for carrying out a reduction in force. For
example, GAO may not use these authorities for the purpose of
replacing lower-performing employees with higher-performing
employees or to address problems in individual employees'
performance. To address performance problems, GAO must
continue to use its performance management system under
existing law, which affords affected employees particular
procedural and substantive rights. Under this legislation as
under existing law, individuals are not subject to being
``targeted,'' i.e., reductions in force may not be carried
out for the purpose of removing a particular individual or
individuals.
The legislation requires that GAO regulations governing
RIFs be consistent with Office of Personnel Management
regulations. The use of the term ``consistent with''
recognizes that because of the form of GAO's personnel
system, GAO's organizational structure, and the authorities
granted under this and other legislation applicable to GAO,
the implementing GAO regulations may vary from the approach
taken by OPM. Nevertheless, the GAO regulations should follow
the OPM approach where such considerations do not apply.
GAO's Personnel Appeals Board (PAB) will serve as an
independent body to review and decide any cases arising out
of a reduction in force where individuals feel they have not
been treated in accordance with law or regulations. GAO has
stated that this review authority of the PAB is established
under existing statute and under provisions of GAO's existing
regulations that GAO will retain. If an action under the RIF
authority was unlawful, the individual employee shall be
restored to the grade or rate of pay to which the employee is
entitled, retroactively effective to the date of the improper
action.
As to the senior level positions established under the
legislation, employees appointed to those positions will
generally enjoy the same rights and privileges as members of
GAO's Senior Executive Service. Furthermore, except as
otherwise specified in the legislation, the employees
appointed to the new senior level positions will enjoy the
rights and protections that apply generally to professional
employees at GAO. Any employees transferred under this
provision from GAO's SES to a non-executive senior level
position will retain their current pay and will have an
equivalent pay system to what they had in the SES.
The new early-out authority will be in addition to, and
will not detract from, any rights to early retirement
established under existing law.
Finally, the legislation requires GAO to report on the
implementation of the new authorities both annually and in a
3-year assessment, and GAO has said that these reports will
include information about any impact upon employee attitudes
and opinions, as measured by employee feedback survey
responses. The 3-year assessment will include not only
recommendations of the Comptroller General for continuation
or change of the authorities granted by this legislation, but
also any assessments or recommendations of the GAO Personnel
Appeals Board and of any interested GAO employee groups.
I encourage all Members to support this bill.
Mr. Speaker, I reserve the balance of my time.
Mr. WAXMAN. Mr. Speaker, I yield myself such time as I may consume.
[[Page H7804]]
Mr. Speaker, Members of Congress are well acquainted with the General
Accounting Office. It is Congress' and the Nation's primary watchdog
agency responsible for providing credible, objective and nonpartisan
reports and evaluations of the programs and management of the executive
branch.
The GAO has for years provided Congress with invaluable assistance,
now it is asking us for assistance by providing GAO with needed human
capital authorities, and we should meet this request.
Mr. Speaker, from 1992 to 1997, GAO's budget was cut by one-third. In
order to achieve these reductions, the GAO was forced to reduce its
staff by almost 40 percent and close many field offices. Since then, it
has had to impose hiring freezes, cut training and suspend incentive
programs. During the same period, GAO has faced a problem common to
much of the Federal Government, an aging workforce.
By the end of fiscal year 2004, over one-third of the GAO's employees
would be eligible for retirement. As a result of these pressures, GAO's
workforce is out of shape. There are too many senior- and middle-level
employees and too few at the lower levels. These imbalances have been
well documented in a human capital profile completed by the Comptroller
General.
In addition, the types of skills, knowledge and performance needed by
GAO have changed over time as the world has been radically altered by
the information age technology. Major policy issues have also become
increasingly complex, requiring greater technical skill and
sophistication to support the needs of Congress.
Mr. Speaker, all of these trends have led to a human capital profile
at the General Accounting Office which does not currently operate in
the most efficient or effective manner. More seriously, it puts the GAO
at risk of being unable to meet the demands and needs of the Congress
in the future.
The legislation before us would provide GAO with authority to address
these concerns. For example, the bill would authorize the Comptroller
General to offer early retirement opportunities and separation pay to a
limited number of qualified personnel each of the next 3 fiscal years.
Under the legislation, the Comptroller could also establish senior-
level positions to meet critical scientific or technical needs.
Finally, the bill requires the Comptroller to report annually to the
Congress on the effect of this legislation and to submit a 3-year
assessment of the implementation and effectiveness of this act.
These and other flexibilities in the bill will bring the GAO closer
to the personnel policies of our legislative branch organizations such
as the Committees of Congress and the Congressional Budget Office.
However, this legislation should not be viewed as a precedent for
changes in executive branch personnel policy.
Mr. Speaker, we have an outstanding Comptroller General in Mr.
Walker. He is putting all of his efforts into making the GAO the kind
of agency that we will all be proud of.
{time} 1545
This legislation before us today is a result of an enormous amount of
effort that he has put into giving us recommendations to make GAO a
better organization. I think that we ought to join together in a
bipartisan move today in supporting this legislation and making sure
that the GAO will be there to serve the needs of the Congress and the
American people.
Mr. Speaker, I yield back the balance of my time.
Mr. BURTON of Indiana. Mr. Speaker, I yield back the balance of my
time.
The SPEAKER pro tempore (Mr. Shimkus). The question is on the motion
offered by the gentleman from Indiana (Mr. Burton) that the House
suspend the rules and pass the bill, H.R. 4642, as amended.
The question was taken; and (two-thirds having voted in favor
thereof) the rules were suspended and the bill, as amended, was passed.
A motion to reconsider was laid on the table.
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