    Architect of the Capitol: Management and Accountability Framework
    Needed for Organizational Transformation (17-JAN-03, GAO-03-231).

    The Office of the Architect of the Capitol (AOC) plays an
    important role in supporting the effective functioning of the
    Congress and its neighboring institutions. With a budget of $426
    million, AOC is responsible for the maintenance, renovation, and
    new construction of all buildings and grounds within the Capitol
    Hill complex. GAO was mandated by the Legislative Branch
    Appropriations Act, 2002, to conduct a comprehensive management
    review of AOC's operations to help identify improvements in
    strategic planning, organizational alignment, and strategic human
    capital management to help AOC better achieve its mission and to
    address long-standing program issues. To address these
    objectives, GAO reviewed AOC's legislative authority and internal
    documents, interviewed key AOC officials and senior managers, and
    conducted employee focus groups.
    -------------------------Indexing Terms-------------------------
    REPORTNUM:   GAO-03-231
        ACCNO:   A05907
      TITLE:     Architect of the Capitol: Management and Accountability
    Framework Needed for Organizational Transformation
         DATE:   01/17/2003
      SUBJECT:   Accountability
    	     Agency missions
    	     Federal agency reorganization
    	     Internal controls
    	     Strategic planning

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    GAO-03-231

                                           A

    Letter 1 Executive Summary 3

    Purpose 3 Background 4 Results in Brief 5 Principal Findings and
    Recommendations for Agency Action 6 Matters for Congressional
    Consideration 10 Agency Comments 11

    Chapter 1 12

    Introduction Background 13

    Objectives, Scope, and Methodology 15 Chapter 2

    19 Strategic Management

    AOC Needs to Undergo Organizational Transformation 19 Conclusions 35
    Framework Needed to

    Recommendations for Agency Action 36 Achieve

    Matters for Congressional Consideration 38 Transformation

    Agency Comments 38 Chapter 3

    39 Management

    Standards for Internal Control Can Provide a Strong Foundation for
    Organizational Transformation 40 Infrastructure and

    Strengthening Human Capital Policies, Procedures, Controls Needed to

    and Processes 42 Support Organizational

    Continue Improving Financial Management to Support Program Management 47

    Transformation AOC Could Benefit from an Agencywide and Disciplined
    Approach Initiatives

    to IT Management 50 Conclusions 59 Recommendations for Agency Action 59
    Agency Comments 62

    Chapter 4 64

    Strategic Management AOC*s Worker Safety Efforts Are Substantial, but AOC
    Needs to

    Develop a Strategic Approach to Achieve a Safer Workplace 65 Framework
    Important

    Conclusions 78 for Addressing

    Recommendations for Agency Action 79 Long- standing Worker

    AOC Has Identified Best Practices for Project Management, but
    Implementation Is Uneven 80

    Safety, Project Conclusions 93

    Management, and Recommendations for Agency Action 93

    AOC Needs to Build on Current Efforts by Adopting a Strategic Recycling
    Issues

    Approach to Recycling 94 Conclusions 102 Recommendations for Agency Action
    102 Agency Comments 103

    Appendixes

    Appendix I: Employee and Supervisor Focus Groups* Objectives, Scope, and
    Methodology 104 Objectives, Scope, and Methodology 104

    Appendix II: Comments from the Office of the Architect of the Capitol 116

    Appendix III: GAO Contacts and Staff Acknowledgements 124 Tables Table 1:
    Federal Agencies with the Highest Injury and Illness Rates,

    Fiscal Years 1999 through 2001 65 Table 2: Components of an Effective
    Safety and Health Program

    and How They Are Demonstrated 67 Table 3: Ten Steps Identified by GSA for
    Best Administering a

    Recycling Program 98 Figures Figure 1: Strategic Plan for Aligning AOC*s
    Activities, Core Processes, and Resources to Support AOC*s

    Mission- Related Outcomes 23 Figure 2: AOC Workers* Compensation Payments,
    Fiscal Years 1997 through 2002 76

    Figure 3: AOC Annual Appropriations for Capital Projects from Fiscal Years
    1994 through 2003 81

    Abbreviations

    AOC Office of the Architect of the Capitol BCA building condition
    assessment CAA Congressional Accountability Act of 1995 CFO chief
    financial officer COO chief operating officer DOD Department of Defense
    EAC Employee Advisory Council EEO equal employment opportunity GPRA
    Government Performance and Results Act GSA General Services Administration
    HRMD Human Resource Management Division IT information technology OAP
    Office of Attending Physician OCODC Office of the Chief of Design and
    Construction OIRM Office of Information Resource Management OOC Office of
    Compliance OSHA Occupational Safety and Health Administration PHS Public
    Health Service PIC Project Information Center PMBOK A Guide to the Project
    Management Body of Knowledge

    PMI Project Management Institute

    This is a work of the U. S. Government and is not subject to copyright
    protection in the United States. It may be reproduced and distributed in
    its entirety without further permission from GAO. It may contain
    copyrighted graphics, images or other materials. Permission from the
    copyright holder may be necessary should you wish to reproduce copyrighted
    materials separately from GAO*s product.

    Letter

    January 17, 2003 The Honorable Robert F. Bennett Chairman The Honorable
    Richard J. Durbin Ranking Minority Member Subcommittee on Legislative
    Branch Committee on Appropriations United States Senate

    The Honorable Jack Kingston Chairman The Honorable James P. Moran Ranking
    Minority Member Subcommittee on Legislative Committee on Appropriations
    House of Representatives

    In response to the management review of the Office of the Architect of the
    Capitol (AOC) mandated by the Legislative Branch Appropriations Act, 2002,
    this report discusses (1) improvements in strategic planning,
    organizational alignment, and strategic human capital management that

    would help AOC better achieve its mission and accomplish its strategic
    goals, (2) actions that AOC can take in other key areas of its management
    infrastructure, such as financial and information technology management,
    to improve its performance and better accomplish its goals, and (3) best

    practices and specific improvements in three key program areas of
    longstanding concern to AOC*s congressional stakeholders and employees*
    worker safety, project management, and recycling. This report contains
    recommendations to the Architect of the Capitol for establishing a
    strategic management and accountability framework, including strong
    management infrastructure and controls, to drive its agency transformation
    effort and to address long- standing program issues.

    Please call me at (202) 512- 6806 if you or your staff members have any
    questions concerning this report. Major contributors to this report are
    listed in appendix III.

    J. Christopher Mihm Director, Strategic Issues

    Executive Summary Purpose The Office of the Architect of the Capitol (AOC)
    plays an important role in

    supporting the effective functioning of the Congress and its neighboring
    institutions. With a budget of $426 million, AOC is responsible for the
    maintenance, renovation, and new construction of all buildings and grounds
    within the Capitol Hill complex, such as the Capitol building, the House
    and Senate office buildings, the Library of Congress, and the Supreme
    Court. The historic nature and high- profile use of many of these
    buildings creates a complex environment in which to carry out this
    mission. AOC must also perform its duties in an environment that requires
    balancing the divergent needs of congressional leadership, committees,

    individual members of the Congress, congressional staffs, and the visiting
    public. The challenges of operating in this environment were compounded by
    the events of September 11, 2001, and their aftermath, including the
    October 2001 discovery of anthrax bacteria on Capitol Hill, and the
    resulting need for increased security and safety.

    This review was mandated by the Legislative Branch Appropriations Act,
    2002. 1 Senate and House Appropriations Committee reports also asked GAO
    to help address certain management shortcomings at AOC that needed
    attention, with a focus on recommending solutions. 2 In April 2002, at the
    request of the Subcommittee on Legislative Branch, Senate Committee on
    Appropriations, GAO submitted a statement for the record for AOC*s
    appropriations hearing that outlined its preliminary observations on what
    AOC needed to do to improve its management. This report completes GAO*s
    review. This report discusses (1) improvements in strategic planning,
    organizational alignment, and strategic human capital management that
    would help AOC better achieve its mission and accomplish its strategic
    goals, (2) actions that AOC can take in other key areas of its management
    infrastructure, such as financial and information technology management,
    to improve its performance and better accomplish its goals, and (3) best
    practices and specific improvements in three key program areas of long-
    standing concern to AOC*s employees and congressional stakeholders* worker
    safety, project management, and recycling. This report also discusses
    actions taken to date by AOC and GAO recommendations for further
    enhancements. As mandated by the

    1 Section 129( d) of Pub. L. No. 107- 68, Nov. 12, 2001. 2 Sen. Rep. No.
    107- 37 at 28, 29 (2001) and H. R. Conf. Rep. No. 107- 148 at 73 (2001).

    Legislative Branch Appropriations Act, 2002, AOC is to develop a
    management improvement plan to address GAO*s recommendations. 3

    Background Organizationally, AOC is made up of a centralized staff that
    performs administrative functions and *jurisdictions* that handle their
    own day- today

    operations. These jurisdictions include the Senate Office Buildings, the
    House Office Buildings, the U. S. Capitol Buildings, the Library of
    Congress Buildings and Grounds, the Supreme Court Buildings and Grounds,
    the Capitol Grounds, the Capitol Power Plant, and the U. S. Botanic
    Garden. There are over 2,300 employees in AOC; nearly 1 out of every 3
    employees is a member of a union. New requirements to meet long- standing
    labor and safety laws have added to the complexity of AOC operations. For
    example, the Congressional Accountability Act of 1995 (CAA) applied 11
    civil rights,

    labor, and workplace laws to AOC as well as other legislative branch
    agencies. 4 CAA also requires AOC to meet standards set by the
    Occupational Safety and Health Act of 1970, which applied new life and
    fire safety codes, as well as other building codes, to the agency.

    Across the federal government, fundamental questions are being asked about
    what government does; how it does it; and in some cases, who should do the
    government*s business. The answers to these questions are driving agencies
    to transform their organizational cultures. AOC confronts many of these
    same issues. The experiences of successful major change management
    initiatives in large private and public sector organizations

    suggests that such initiatives can often take at least 5 to 7 years until
    they are fully implemented and the related cultures are transformed in a
    sustainable manner. To achieve such organizational transformation,
    agencies across the government will need to (1) elevate attention on
    management issues and transformation, (2) integrate various key

    management functions and transformation responsibilities, and (3)
    institutionalize accountability for addressing management issues and
    leading transformation.

    3 Section 129( d) of Pub. L. No. 107- 68, Nov. 12, 2001. 4 Pub. L. No.
    104- 1, Jan. 23, 1995.

    Results in Brief AOC has demonstrated a commitment to organizational
    transformation through the management improvements it has planned and
    under way, such as commencing a new strategic planning effort that focuses
    on developing mission- critical goals. To build upon this commitment and
    achieve the magnitude of change needed, AOC needs to establish a
    management and accountability framework as the centerpiece of its
    transformation efforts.

    This framework includes (1) demonstrating top leadership commitment to
    organizational transformation, (2) involving key congressional and other
    stakeholders in developing an AOC- wide strategic plan, (3) using the
    strategic plan as the foundation for aligning activities, core processes,
    and resources to support mission- related outcomes, (4) establishing a

    communications strategy to foster transformation and create shared
    expectations and build involvement, (5) developing annual goals and a
    system for measuring performance, and (6) strategically managing AOC*s
    human capital and information technology to drive transformation and to
    support the accomplishment of agency goals.

    To support its transformation initiatives and to cope with shifting
    environments and evolving demands and priorities, AOC also should continue
    to develop its management infrastructure and controls in the areas of
    human capital, financial, and information technology management.
    Establishing a management and accountability framework and further
    developing its management infrastructure and controls can also help AOC
    improve the performance of program areas of long- standing concern to
    AOC*s employees and congressional stakeholders* worker safety, project
    management, and recycling.

    The change under way at AOC will require further long- term and concerted
    action on the part of AOC, the Congress, and other interested parties.
    Organizational transformation does not come quickly or easily. However,
    such transformation is possible through focused efforts and careful and

    thorough planning. In that regard, GAO makes recommendations to the
    Architect of the Capitol, and suggests that the Congress consider actions
    directed at supporting this transformation and improving the strategic and
    operational management of AOC. In responding to this report, AOC generally
    agreed with our findings, conclusions, and recommendations.

    To adopt the elements of the management and accountability framework*
    strategic planning, organizational alignment, communications, performance
    measurement, and strategic human capital management* and build on efforts
    under way at AOC, GAO recommends that the Architect of

    the Capitol  improve strategic planning and organizational alignment by
    involving

    key congressional and other external stakeholders in AOC*s strategic
    planning efforts and in any organizational changes that may result from
    these efforts;

     develop a comprehensive strategy to improve internal and external
    communications by completing the development of congressional protocols
    with stakeholder involvement and continuing to regularly measure customer
    satisfaction AOC- wide, among other strategies; and

     strengthen accountability for results by developing annual goals,
    measuring performance, and strategically managing human capital to support
    achieving those goals and measures.

    The Architect should work with key congressional and other stakeholders to
    develop this plan.

    Management Infrastructure The effectiveness with which AOC can use the
    management and

    and Controls Needed to accountability framework* leadership, strategic
    planning, organizational Support Transformation

    alignment, communications, performance measurement, and strategic
    Initiatives

    human capital management* to achieve organizational transformation will
    depend in part on its ability to focus on management improvement in its
    day- to- day operations. A key factor in helping an agency to better
    achieve its mission and program outcomes and minimize operational problems
    is to implement appropriate internal control* or management controls.
    Effective internal control also helps in managing change to cope with
    shifting environments and evolving demands and priorities. AOC has
    recently focused on improving its internal controls in a number of

    key areas: (1) improved budget formulation and execution processes, (2)
    begun preparations for producing auditable financial statements, and (3)
    begun drafting a policy to establish an agencywide approach to information
    technology management. AOC must continue to assess and evaluate its
    internal control to assure that the control activities being used

    are effective and updated when necessary in the areas of human capital,
    financial, and information technology management.

    GAO found that AOC will need to further develop and consistently apply
    transparent human capital policies and procedures in the area of leave,
    awards, and overtime and examine discrepancies in job classification and
    pay levels across the agency. AOC must also continue improving its
    approach to financial management to support effective and efficient
    program management. For example, it must continue to develop and implement
    effective budget formulation and execution policies and procedures that
    govern capital projects and operating activities AOC- wide. Finally, AOC
    will need to adopt an agencywide approach to information technology
    management to position itself to optimize the contribution of information
    technology to agency mission performance.

    To continue to develop a management infrastructure and strengthen
    appropriate management controls, GAO recommends that the Architect of the
    Capitol

     strengthen and consistently implement AOC*s human capital policies and
    procedures, and assess ways in which AOC management could better gather
    and analyze data on employee relations issues;

     continue to improve AOC*s approach to financial management by developing
    strategies to institutionalize financial management practices that will
    support budgeting, financial, and program management at AOC; and

     adopt an agencywide approach to information technology management by
    establishing appropriate leadership and developing the policies,
    procedures, and tools needed to effectively and efficiently manage
    information technology resources across the agency.

    Strategic Management The need for AOC to put in place the management and
    accountability

    Framework Important for framework for organizational transformation, and
    the management

    Addressing Long- standing infrastructure of financial, information
    technology, and other controls that

    Worker Safety, Project support the transformation, cuts across the
    agency*s programs and

    influences its performance in all areas critical to achieving its mission.
    Management, and Recycling

    Improvements in these areas can also contribute to improving the Program
    Issues

    performance of program areas of long- standing concern to AOC*s

    employees and congressional stakeholders* worker safety, project
    management, and recycling.

    AOC has made recent progress in all these areas. For example, AOC has (1)
    drafted a workplace safety and health master plan, (2) consulted with
    experts on how to structure its request for proposals for developing a
    longterm master plan for the Capitol Hill complex, and (3) improved
    recycling program coordination and client outreach.

    However, significant opportunities exist to build on this progress to
    bring about lasting performance improvements. For example, the Architect
    has declared that safety is the agency*s number one priority and
    established a target for reducing injuries. Nonetheless, relating safety
    to other pressing priorities and developing a clear strategy for how
    working safely will become the cultural norm, is still a work in progress
    at AOC. Similarly, AOC has adopted industry best practices for project
    management, but implementation is uneven and would benefit from stronger
    leadership and improvements in performance and financial management,
    priority setting, communication, and strategic management of human
    capital. Finally, although AOC has recently made improvements to the House
    and Senate recycling programs, contamination of recycled materials remains
    high, and the goals for the overall program remain unclear.

    To improve worker safety, GAO recommends that the Architect of the Capitol
    enhance AOC*s ongoing efforts to establish a strategy for the worker
    safety program by

     establishing safety program goals that are fully integrated with AOC*s
    agencywide goals, performance measures for achieving the goals, and
    accountability for results;

     improving AOC*s capacity to report hazards, conduct investigations and
    follow- up, and provide employee safety training that fully supports
    safety program goals;  clarifying the role of the Congressional Office of
    Attending Physician to

    help AOC meet its safety goals; and  establishing a senior management-
    level work group that will routinely

    discuss workers* compensation cases and costs, and developing strategies
    to reduce these injuries and costs.

    To improve project management at AOC, GAO recommends that the Architect of
    the Capitol

     develop a Capitol Hill complex master plan and complete condition
    assessments of all buildings and facilities under the jurisdiction of AOC;

     develop a process for assigning project priorities that is based on
    clearly defined, well- documented, consistently applied, and transparent
    criteria;

     develop tools to effectively communicate priorities and progress of
    projects, as a part of a broader communication strategy;

     define project management- related performance measures to achieve
    mission- critical strategic and annual performance goals; and

     align project management staff and resources with AOC*s missioncritical
    goals.

    To improve recycling at AOC, GAO recommends that the Architect of the
    Capitol adopt a strategic approach to recycling by  developing a clear
    mission and goals for AOC*s recycling program, with

    input from key congressional stakeholders, as part of its proposed
    environmental master plan;

     developing a performance measurement, monitoring, and evaluation system
    that supports accomplishing AOC*s recycling mission and goals; and

     examining the roles, responsibilities, and accountability of AOC*s
    recycling program staff.

    Matters for The Congress should consider ways in which to elevate,
    integrate, and

    Congressional institutionalize accountability for addressing management
    issues and leading organizational transformational at AOC. One option
    would be to

    Consideration create a statutory Chief Operating Officer or similar
    position for AOC to

    improve its executive decision- making capacity and accountability.

    To help ensure that AOC implements its management improvement plan, the
    Congress should consider requiring AOC to provide periodic status reports
    on the implementation of its plan, including progress made and milestones
    not met, and any adjustments to the plan in response to internal or
    external developments.

    Agency Comments On November 20, 2002, we provided to the Architect of the
    Capitol a draft of this report for comment. We received written comments
    from the

    Architect, which are reprinted in appendix II. AOC also provided technical
    comments that were incorporated where appropriate.

    In his written comments, the Architect stated that he is *dedicated to
    preserving and enhancing the national treasures entrusted to my agency*s
    care, and to providing high quality service to the Congress and our other

    clients.* He further stated *the GAO testimony provided in April 2002 and
    our discussions with GAO regarding the report resulted in our advancing
    improvement efforts at the [AOC].* The Architect generally agreed with our

    findings, conclusions, and recommendations and indicated that AOC is
    developing an implementation plan to adopt recommended management changes
    and that three themes* strategic planning, communications, and performance
    management* will be the primary focus of its immediate

    efforts. The Architect disagreed with our statement that AOC*s 5- year
    Safety Management Plan was drafted independent of its broader strategic
    planning effort. Although we believe that this statement was true at the
    time of our review, AOC has subsequently made efforts to improve the
    alignment between its draft strategic and worker safety plans. Therefore,
    we deleted this statement.

    Chapt er 1

    Introduction The Office of the Architect of the Capitol (AOC) is
    responsible for maintaining and caring for the buildings and grounds
    primarily located in the Capitol Hill complex, such as the Capitol
    building, the House and Senate office buildings, the Library of Congress,
    and the Supreme Court. AOC is also responsible for making all necessary
    capital improvements within the complex, including major renovations and
    new construction. The historic nature and high- profile use of many of
    these buildings creates a complex environment in which to carry out this
    mission. For example, the U. S. Capitol building is, at once, a national
    capitol, museum, office building, ceremonial site, meeting center, media
    base, and tourist attraction. In making structural or other physical
    changes, AOC must consider the historical significance and the effect on
    each of these many uses. Further, AOC must perform its duties in an
    environment that requires balancing the divergent needs of congressional
    leadership, committees, individual members of the Congress, congressional
    staffs, and the visiting public. The challenges of operating in this
    environment were compounded by the events of September 11, 2001, and their
    aftermath, including the October 2001 discovery of anthrax bacteria on
    Capitol Hill, and the resulting need for increased security and safety.

    Given the important role AOC plays in supporting the effective functioning
    of the Congress and neighboring institutions, the Legislative Branch
    Appropriations Act, 2002, mandated this review, 1 and Senate and House
    Appropriations Committee reports directed our review on certain management
    shortcomings at AOC that needed attention, with a focus on recommending
    solutions* strategic planning, organizational alignment, strategic human
    capital management, and financial management. 2 The committees also asked
    us to assess information technology, and three key program areas* worker
    safety, recycling, and project management* both to illustrate the
    management issues we are addressing and to help AOC identify best
    practices and areas for improvement in these important programs. This
    report also discusses actions taken to date by AOC and our recommendations
    for further enhancements. In April 2002, at the request of the
    Subcommittee on Legislative Branch, Senate Committee on Appropriations, we
    submitted a statement for the record for AOC*s

    appropriations hearing that outlined our preliminary observations on what
    1 Section 129( d) of Pub. L. No. 107- 68, Nov. 12, 2001. 2 Sen. Rep. No.
    107- 37 at 28, 29 (2001), and H. R. Conf. Rep. No. 107- 148 at 73 (2001).

    AOC needed to do to improve its management. 3 This report completes our
    review. The act also requires AOC to develop a management improvement plan
    to address our recommendations. 4

    We recognize that this report outlines a large and complex agenda for
    achieving organizational transformation at AOC, and that AOC cannot tackle
    all these changes at once. The experiences of successful major change
    management initiatives in large private and public sector organizations
    suggest that such initiatives can often take at least 5 to 7 years until
    they are fully implemented and the related cultures are transformed in a
    sustainable manner. Nonetheless, this agenda provides the broad landscape
    of issues confronting AOC and is therefore important to crafting a
    comprehensive and integrated approach to addressing AOC*s challenges and
    setting appropriate priorities, even though by necessity it will have to
    be phased in over time. By drawing on the full potential of its management
    team, AOC can begin to take immediate steps on a number of actions,
    although we recognize that AOC will be able to implement some of these
    actions more quickly than others.

    Background In fiscal year 2002, AOC operated with a budget of $426
    million, which included $237 million for capital expenditures associated
    with the

    construction or major renovation of facilities within the Capitol Hill
    complex. Organizationally, AOC has a centralized staff that performs
    administrative functions; what AOC refers to as *jurisdictions* handle
    their own day- to- day operations. These jurisdictions include the Senate
    Office Buildings, the House Office Buildings, the U. S. Capitol Buildings,
    the Library of Congress Buildings and Grounds, the Supreme Court Buildings
    and Grounds, the Capitol Grounds, the Capitol Power Plant, the U. S.
    Botanic Garden. There are over 2,300 employees in AOC; nearly 1 out of
    every 3 employees is a member of a union.

    New requirements to meet long- standing labor and safety laws have added
    to the complexity of AOC operations. For example, the Congressional

    3 U. S. General Accounting Office, Architect of the Capitol: Management
    and Accountability Framework Needed to Lead and Execute Change, GAO- 02-
    632T (Washington, D. C.: Apr. 17, 2002). 4 Section 129( d) of Pub. L. No.
    107- 68, Nov. 12, 2001.

    Accountability Act of 1995 (CAA) applied 11 civil rights, labor, and
    workplace laws to AOC as well as other legislative branch agencies. 5 In
    particular, meeting the obligations of labor laws, such as the Fair Labor
    Standards Act of 1938 and the Federal Service Labor- Management Relations
    Statute, while overcoming a history of poor labor- management relations
    has been a struggle. CAA also requires AOC to meet standards set by the
    Occupational Safety and Health Act of 1970, which applied new life and
    fire safety codes, as well as other building codes, to the agency. CAA
    established the Office of Compliance (OOC) to enforce the provisions of
    the act through inspections, investigations, and prosecution of potential
    violations. In addition, OOC provides education to employees and employing
    offices, and administers dispute resolution procedures if

    violations are found. AOC has demonstrated a commitment to change through
    the management improvements it has planned and under way. For example,
    consistent with the preliminary observations we provided in our April
    statement, AOC has recently

     commenced a new strategic planning effort that focuses on developing
    mission- critical goals,  drafted congressional protocols patterned after
    our protocols,  conducted client surveys in the Capitol, House, Senate,
    and Library of

    Congress jurisdictions,  implemented a senior executive performance
    evaluation system,  improved budget formulation and execution processes,
     begun preparations for producing auditable financial statements,  begun
    drafting a policy to establish an agencywide approach to

    information technology management,  drafted a workplace safety and health
    master plan,

    5 Pub. L. No. 104- 1, Jan. 23, 1995.

     consulted with experts on how to structure its request for proposals for
    developing a long term master plan for the Capitol Hill complex, and

     improved recycling program coordination and client outreach. Objectives,
    Scope, and

    The Legislative Branch Appropriations Act, 2002, directed us to conduct a
    Methodology

    comprehensive management study of AOC*s operations. Under this mandate, we
    address three objectives: (1) What improvements in strategic planning,
    organizational alignment, and strategic human capital management would
    help AOC better achieve its mission and accomplish its strategic goals?
    (2) What actions can the AOC take to improve its overall management
    infrastructure in other key functional areas, such as financial management
    and information technology management, to improve its performance and
    better accomplish its goals? (3) What specific improvement can AOC make in
    selected program areas, including worker safety, project management, and
    recycling, vital to achieving its mission? To address these objectives, we
    have been working constructively with

    AOC managers to understand their complex operating environment and the
    long- standing challenges they must address. In addition to the standard
    audit methods described below, as part of our constructive engagement, we
    provided AOC briefings and GAO reports on best practices in the areas we
    reviewed. For example, at AOC*s request, GAO officials provided briefings
    on our own approach to strategic planning and establishing congressional
    protocols along with copies of our strategic planning and protocol
    documents. In addition, we provided GAO reports on areas such as

    strategic human capital management 6 and world- class financial management
    7 and other guidance on GAO*s human capital policies and procedures.
    Finally, upon request we provided details of our focus group methodology
    discussed below to assist AOC in replicating our approach in AOC
    jurisdictions we did not cover.

    6 U. S. General Accounting Office, A Model of Strategic Human Capital
    Management, Exposure Draft, GAO- 02- 373SP (Washington, D. C.: March
    2002). 7 U. S. General Accounting Office, Executive Guide: Creating Value
    Through World- class Financial Management, GAO/ AIMD- 00- 134 (Washington,
    D. C.: April 2000).

    For each of the management functions and the worker safety and health,
    recycling, and project management programs, we reviewed AOC*s legislative
    authority and internal AOC documents, including selected AOC policies and
    procedures, internal and consultant reports on AOC management issues,
    reports by the Inspector General and GAO, and other reports on best
    practices.

    To obtain management*s perspective on the objectives, we interviewed key
    senior AOC officials, including the Architect; the Chief of Staff; the
    Assistant Architect; the Chief Financial Officer; the General Counsel; the
    Deputy Chief of Staff; the Director of Safety, Fire, and Environmental
    Programs; the Director of the Office of Labor Relations; and the Acting
    Chief of the Office of Design and Construction. We also interviewed AOC
    officials at the next level of management responsible for strategic
    planning, human resources, information technology, budget, accounting,
    project management, architecture, engineering, construction, and
    recycling. We also spoke to senior AOC managers and toured facilities in
    the following

    AOC jurisdictions: U. S. Capitol Building, House Office Building, Senate
    Office Buildings, Library Buildings and Grounds, Supreme Court, Capitol
    Power Plant, and the U. S. Botanic Garden. We interviewed the Inspector
    General to discuss the work his office had done on the management areas we
    reviewed.

    In addition to formal interviews, AOC allowed us to attend as observers a
    number of key internal meetings, including two budget review meetings on
    budget formulation and execution progress and issues for two
    jurisdictions, three quarterly capital project review meetings to discuss
    the status of AOC projects, an August 2002 National Academy of Sciences

    workshop to discuss Capitol Hill complex- wide master planning efforts,
    and a June 2002 workshop by DuPont Safety Resources on strategies for
    safety excellence.

    To obtain additional perspectives on the areas examined as part of our
    review and as an initial effort to support AOC planned efforts to begin to
    routinely obtain employee feedback, we used focus groups to gather
    employee and supervisor perceptions, opinions, and attitudes about working
    at AOC. For our focus groups at AOC, we were interested in obtaining (1)
    employees* views of what aspects of working at AOC were going well or
    needed improvement, (2) whether employees had the

    resources needed to perform their jobs, and (3) employees* perspectives on
    AOC*s worker safety program. We contracted with the firm of Booz| Allen|
    Hamilton to conduct the focus groups and summarize and

    analyze the results. We conducted 13 of these focus groups with employees
    randomly selected from the House and Senate Office Building jurisdictions,
    Capitol Power Plant, Senate Restaurants, and the Construction Management
    Division. We selected employees from these parts of AOC in

    accord with our specific review areas of worker safety and project
    management and also because they contained some of the largest employee
    populations. The other two focus groups consisted of randomly selected
    employee supervisors from the House and Senate jurisdictions. In all, we
    invited 200 employees to attend 15 focus groups and 127 employees
    participated.

    To obtain a better understanding of project management at AOC, we also
    conducted a focus group with full- time AOC project managers. For the
    focus group, we asked about what is working well at the AOC in project
    management and where there might be areas for improvement. We also
    discussed (1) the project management process at AOC, (2) the project

    management environment, and (3) resources and tools used in performing
    project management duties at AOC. We invited 14 project managers and 8
    attended. A more detailed discussion of our focus group objectives, scope,
    and methodology, including a list of our focus group questions is
    contained in appendix I.

    To further understand how project management works at AOC, we conducted
    two in- depth case studies of projects currently under way* the relocation
    of the Senate Recording Studio and the modernization of the coal handling
    system at the Capitol Power Plant. We selected these case studies using
    the following criteria: both were drawn from AOC*s *hot** or

    high priority* projects, one was a medium project and one was a large
    project, and one had a project manager from the central Assistant
    Architect*s office and the other from a jurisdiction. In addition both
    projects were on a critical path to the completion of other high priority
    AOC projects. Our methodology entailed reviewing relevant project
    documents as well as interviewing key internal and external stakeholders
    for the projects.

    On November 20, 2002, we provided to the Architect of the Capitol a draft
    of this report for comment. We received written comments from the
    Architect. The Architect*s comments are reprinted in appendix II. AOC also
    provided technical comments that were incorporated where appropriate.

    In his written comments, the Architect stated that he is *dedicated to
    preserving and enhancing the national treasures entrusted to my agency*s
    care, and to providing high quality service to the Congress and our other

    clients.* He further stated *the GAO testimony provided in April 2002 and
    our discussions with GAO regarding the report resulted in our advancing
    improvement efforts at the [AOC].* The Architect generally agreed with our

    findings, conclusions, and recommendations and indicated that AOC is
    developing an implementation plan to adopt recommended management changes
    and that three themes* strategic planning, communications, and performance
    management* will be the primary focus of its immediate

    efforts. The Architect disagreed with our statement that AOC*s 5- year
    Safety Management Plan was drafted independent of its broader strategic
    planning effort. Although we believe that this statement was true at the
    time of our review, AOC has subsequently made efforts to improve the
    alignment between its draft strategic and worker safety plans. Therefore,
    we deleted this statement. We performed our work in Washington, D. C.,

    from November 2001 through September 2002 in accordance with generally
    accepted government auditing standards.

    Major contributors to this report are listed in appendix III.

    Strategic Management Framework Needed to

    Chapt er 2

    Achieve Transformation The Office of the Architect of the Capitol (AOC)
    recognizes that because of the nature of the challenges and demands it
    faces, change will not come quickly or easily. AOC therefore must ensure
    that it has the policies, procedures, and people in place to effectively
    implement the needed

    changes. That is, to serve the Congress, central AOC management needs the
    capability to define goals, set priorities, ensure follow- through,
    monitor progress, and establish accountability. The themes we discuss in
    this chapter focus on building the capability to lead and execute
    organizational transformation. Therefore, as a first priority, AOC needs
    to establish a management and accountability framework by, among other
    things,

     demonstrating top leadership commitment to organizational
    transformation;

     involving key congressional and other stakeholders in developing its
    strategic plan;

     using its strategic plan as the foundation for aligning its activities,
    core processes, and resources to support mission- related outcomes;

     establishing a communications strategy to foster change and create
    shared expectations and build involvement;

     developing annual goals and a system for measuring performance; and
    strategically managing its human capital to drive transformation and to

    support the accomplishment of agency goals. AOC Needs to Undergo

    Across the federal government, fundamental questions are being asked
    Organizational

    about what government does; how it does it; and in some cases, who should
    do the government*s business. The answers to these questions are
    Transformation

    driving agencies to transform their organizational cultures. This
    organizational transformation entails shifts from

     processes to results,  stovepipes to matrixes,  hierarchical to
    flatter and more horizontal structures,  an inward focus to an external
    (customer and stakeholder) focus,

     micro- management to employee empowerment,  reactive behavior to
    proactive approaches,  avoiding new technologies to embracing and
    leveraging them,  hoarding knowledge to sharing knowledge,  avoiding
    risk to managing risk, and  protecting turf to forming partnerships. AOC
    confronts many of these same issues. For example, to serve its clients,
    AOC is organized along jurisdictional lines* stovepipes that are not fully
    matrixed. In this environment, AOC faces the challenge of how best to
    marshal its jurisdiction- based resources to address the strategic
    planning, performance management, human capital, project management, and
    other functional issues that cut across the organization. AOC also faces
    the challenge of how to shift from reacting to problems as they arise to
    getting in front of the problems to address root causes, while still
    responding to

    the day- to- day service needs of its clients. Change is always risky, but
    continuing to address problems with only short- term tactical solutions
    can be even riskier* AOC needs to develop the capacity to identify the
    risks to achieving its goals and manage them before crises occur.

    Making such fundamental changes in AOC*s culture will require a longterm,
    concerted effort. The experiences of successful major change management
    initiatives in large private and public sector organizations

    suggests that such initiatives can often take at least 5 to 7 years until
    they are fully implemented and the related cultures are transformed in a
    sustainable manner. As a result, it is essential to establish action-
    oriented implementation goals over the long term and a time line with
    milestone

    dates to track the organization*s progress towards achieving those
    implementation goals. 1

    The nature and scope of the changes require the sustained and inspired
    commitment of the top leadership. Top leadership attention is essential to
    overcome organizations* natural resistance to change, marshal the
    resources needed to implement change, and build and maintain the

    organizationwide commitment to new ways of doing business. On September 9,
    2002, the Comptroller General convened a roundtable of executive branch
    leaders and management experts to discuss the Chief Operating Officer
    concept and how it might apply within selected federal departments and
    agencies as one leadership strategy to address certain systemic federal
    governance challenges. 2 There was general agreement in the roundtable on
    a number of overall themes concerning the need for

    agencies to do the following:  Elevate attention on management issues and
    organizational

    transformation. The nature and scope of the changes needed in many
    agencies require the sustained and inspired commitment of the top
    political and career leadership.  Integrate various key management
    functions and transformation

    responsibilities. While officials with management responsibilities often
    have successfully worked together, there needs to be a single point within
    agencies with the perspective and responsibility* as well as authority* to
    ensure the successful implementation of functional management and, if
    appropriate, transformation efforts.

     Institutionalize accountability for addressing management issues and
    leading transformation. The management weaknesses in some agencies 1 For
    GAO products discussing the elements of successful transformation in more
    detail, see U. S. General Accounting Office, Highlights of a GAO Forum on
    Mergers and Transformation: Lessons Learned for a Department of Homeland
    Security and Other Federal Agencies GAO- 03- 293SP (Washington, D. C.:
    November 14, 2002), Homeland

    Security: Critical Design and Implementation Issues, GAO- 02- 957T
    (Washington, D. C.: July 17, 2002), Managing for Results: Using Strategic
    Human Capital Management to Drive Transformational Change, GAO- 02- 940T
    (Washington, D. C.: July 15, 2002), and FBI Reorganization: Initial Steps
    Encouraging but Broad Transformation Needed, GAO- 02- 865T (Washington, D.
    C.: June 21, 2002).

    2 U. S. General Accounting Office, Highlights of a GAO Roundtable: The
    Chief Operating Officer Concept: A Potential Strategy to Address Federal
    Governance Challenges, GAO- 03- 192SP (Washington, D. C.: Oct. 4, 2002).

    are deeply entrenched and long- standing and will take years of sustained
    attention and continuity to resolve. In addition, making fundamental
    changes in agencies* cultures will require a long- term effort.

    In our April 2002 statement, we noted that we were exploring options to
    strengthen AOC*s executive decision- making capacity and accountability,
    including creating a Chief Operating Officer (COO) position, which could
    be responsible for major long- term management and cultural transformation
    and stewardship responsibilities within AOC. On July 25,

    2002, the Senate passed S. 2720, the Legislative Branch Appropriations
    Act, 2003, in which it established a Deputy Architect of the Capitol/ COO.
    This official was to be responsible for the overall direction, operation,
    and management of AOC. In addition to developing and implementing a
    longterm

    strategic plan, including a comprehensive mission statement and an annual
    performance plan, the bill requires that the Deputy Architect be
    responsible for proposing organizational changes and new positions needed
    to carry out AOC*s mission and strategic and annual performance goals.
    Regardless of whether the Congress decides to pursue a COO position for
    AOC, concerted efforts will be needed to elevate, integrate, and
    institutionalize responsibility for transformation at AOC.

    Successful Organizations In our prior work, we have concluded that for
    strategic planning to be done

    Align Their Activities, Core well, organizations must involve their
    stakeholders and align their

    Processes, and Resources to activities, core processes, and resources to
    support mission- related

    Support Mission- Related outcomes. We found that leading results- oriented
    organizations

    consistently strive to ensure that their day- to- day activities support
    their Outcomes

    organizational missions and move them closer to accomplishing their
    strategic goals. In practice, these organizations see the production of a
    strategic plan* that is, a particular document issued on a particular day*
    as one of the least important parts of the planning process. This is
    because they believe strategic planning is not a static or occasional
    event. It is, instead, a dynamic and inclusive process. If done well,
    strategic planning is continuous and provides the basis for everything the
    organization does each day. Therefore, it is important for an organization
    to go through the strategic planning process first, and then align the
    organization to accomplish the objectives of that plan. Figure 1 shows how
    an agency*s strategic plan serves as the foundation for other strategic
    management

    initiatives, such as organizational realignment; performance planning,
    management, and reporting; and improvements to the capacity of the
    organization to achieve its goals.

    Figure 1: Strategic Plan for Aligning AOC*s Activities, Core Processes,
    and Resources to Support AOC*s Mission- Related Outcomes

    Strategic plan

    for serving the Congress

    Annual Planning

     Annual performance plan

    Organizational

     Budget request

    structure

    (resource allocation)

    Accountability Capacity

     Performance measurement  Strategic human capital

     Performance and management

    accountability report  Financial management

     Performance management  Information technology

    management Source: GAO.

    Since 1997, AOC and a number of its subsidiary offices and jurisdictions
    have attempted to implement strategic planning processes. In 1997, the
    Architect led the first effort to produce an AOC- wide strategic plan that
    laid out AOC*s mission, vision, core values, strategic priorities, and
    goals and objectives. Similarly, a number of business units within AOC,
    such as the Human Resources Management Division, the Office of Inspector
    General, and the House Office Buildings jurisdiction have developed their
    own strategic plans, and the Capitol Buildings jurisdiction is developing
    a new master plan for the Capitol, but these plans do not flow directly
    from, and therefore are not necessarily consistent with, an AOC- wide
    plan. According to AOC officials, turnover in key planning staff and
    inability to

    reach agreement on how to measure performance led AOC management to
    discontinue the AOC- wide strategic planning effort. Subsequently, in 2001
    AOC shifted to a scaled- back strategic planning approach that focused on
    tasks to be completed in a number of key priority areas: (1) develop a
    process and establish realistic goals and priorities, (2) improve employee
    support by, for example, addressing space and equipment needs and

    improving communication about where the organization is going, (3) improve
    safety, (4) improve project delivery, and (5) focus on quality assurance.
    In our April 2002 statement, we stated that AOC needed to refocus and
    integrate its strategic planning efforts to identify and implement
    mission- critical goals for key results.

    Consistent with the preliminary observations in our April 2002 statement,
    AOC renewed its organizationwide strategic planning process. AOC formed a
    task force of senior managers to develop a *straw* strategic plan that
    outlines AOC*s mission; vision; core values; and long- term, mission-
    critical goals for fiscal years 2003 through 2007. When completed, AOC*s
    strategic plan should provide the starting point and serve as a unifying
    framework

    for AOC*s various business unit and jurisdictional planning efforts. The
    plan will also position AOC to answer questions such as what fundamental
    results does AOC want to achieve, what are its long- term goals, and what
    strategies will it employ to achieve those goals.

    AOC Needs to Involve Key Successful organizations we studied ensure that
    their strategic planning

    Congressional and Other fully considers the interests and expectations of
    their stakeholders. Among Stakeholders in Developing

    the stakeholders of AOC are the appropriations and oversight committees
    Its Strategic Plan

    and individual members of the Congress and their staffs, the management
    and staff of the Supreme Court, the Library of Congress, and the

    Congressional Budget Office, AOC employees, and, of course, the American
    public.

    AOC strategic planning efforts have not yet involved such outreach. To
    date, AOC*s task force of senior managers has developed a straw 5- year
    strategic plan that outlines AOC*s mission, vision, core values, and high
    level goals and objectives for the four strategic focus areas its has
    identified: strategic management and business initiatives, human capital,

    facilities management, and project management. 3 Consistent with our
    constructive engagement with AOC, we have provided several best practice
    briefings to the agency*s leadership as requested. A senior GAO executive
    in GAO*s Office of External Liaison briefed the Architect of the Capitol
    and

    other AOC senior managers on October 8, 2002, on our continuing process to
    update and revise our strategic plan. The briefing emphasized the need for
    continual stakeholder involvement. As a result, according to AOC, it
    recently defined its key stakeholders and a methodology for obtaining
    their feedback on the strategic plan.

    In moving forward with its strategic planning efforts, it will be critical
    that AOC fully engage its stakeholders and obtain their buy- in to provide
    a strong foundation for any organizational or operating changes that may
    be needed to implement the plan. In contrast to previous strategic
    planning initiatives, AOC needs to move beyond a focus on actions to be
    completed

    quickly to a broader focus on the mission- critical, long- term goals
    needed to serve the Congress. Thus, stakeholder involvement will be
    especially important for AOC to help it ensure that its efforts and
    resources are targeted at the highest priorities. Just as important,
    involving stakeholders in strategic planning efforts can help create a
    basic understanding among the stakeholders of the competing demands that
    confront most agencies, the limited resources available to them, and how
    those demands and

    resources require careful and continuous balancing. An AOC- Wide

    An effective communications strategy is a key success factor for
    Communications Strategy

    organizations undergoing transformation. In a September 24, 2002, forum
    Will Help Achieve MissionCritical convened by the Comptroller General on
    mergers and transformation Goals

    issues, there was consensus among the participants that communication is
    essential to organizational transformation. As we discussed in our April

    3 Architect of the Capitol, Draft Strategic Plan, Fiscal Years 2003- 2007
    (reflects comments from AOC Management Council meeting held June 18,
    2002).

    2002 statement, for successful implementation of strategic planning and
    change management, AOC must develop a comprehensive communications
    strategy for its internal and external customers. The Architect of the
    Capitol agrees that improving communications is one of his top priorities.

    As AOC continues to develop its strategic plan, it should consider how it
    can build such a communications strategy to help to achieve the
    organization*s mission. It is also important for AOC to assess ways that
    it can measure the success of this strategy.

    AOC continues to strengthen its internal communications by broadening
    participation in a series of regular meetings among its senior managers
    for decision making and routine sharing of information. For example, AOC
    has expanded participation in its management council meetings (biweekly
    meetings of AOC*s senior managers to address agency business issues and
    priorities) to include jurisdictional superintendents and office
    directors.

    In our April 2002 statement, we noted that AOC could strengthen its
    internal communications by developing a communications strategy that would
    help AOC*s line employees understand the connection between what they do
    on a day- to- day basis and AOC*s goals and expectations, as well as seek
    employee feedback and develop goals for improvement. We further stated
    that one way of implementing such a strategy is to conduct routine
    employee feedback surveys and/ or focus groups. In addition, we continue
    to believe that AOC could benefit from knowledge sharing to encourage and
    reward employees who share and implement best practices across the various
    jurisdictions, teams, and projects.

    The need for an organizationwide communications strategy is borne out by
    the results of the focus groups that we conducted with AOC employees and
    supervisors from June through July 2002. When we analyzed the results of
    the focus groups, several themes became apparent. 4 One of the themes
    cited by focus group participants involved supervisory communications and
    employee relations* specifically, that communications from supervisor to
    employee is insufficient. AOC plans to followup on our

    efforts by seeking employee feedback through focus groups and surveys. In
    a May 23, 2002, memorandum from the Architect to AOC*s employees
    announcing the focus groups we conducted, the Architect stated that AOC

    4 Crosscutting themes were found in majority view comments that were
    common across the jurisdictions, skills sets, and shifts we selected and
    represented the most pervasive issues coming out of the focus groups.

    planned to gather the views of employees from the jurisdictions that we
    did not cover. Moreover, in its draft strategic plan, AOC noted that
    employee surveys is one strategy it plans to use to help achieve the human
    capital strategic goal of attracting, developing, and retaining diverse,
    satisfied, and highly motivated employees.

    AOC must continue to improve its external communications and outreach by
    (1) further developing congressional protocols, (2) improving its
    accountability reporting, and (3) continuing to measure customer
    satisfaction with its services organizationwide. In our April 2002
    statement, we encouraged AOC to consider developing congressional
    protocols, which would help ensure that AOC deals with its congressional
    customers using clearly defined, consistently applied, and transparent
    policies and procedures. After working closely with the Congress and after
    careful pilot testing, we implemented congressional protocols in 1999. In
    response to our preliminary observations concerning the need for such
    protocols at AOC, on June 17, 2002, GAO*s Director of Congressional
    Relations and her staff briefed the Architect of the Capitol and AOC*s
    senior managers on lessons learned from GAO*s development of congressional
    protocols. They

    shared key lessons and success factors from our experiences in developing
    the protocols* that it is a time- consuming process that involves (1) the
    personal commitment and direction from the agency head, (2) senior
    management participation and buy- in, and (3) continuous outreach to and
    feedback from external stakeholders. As a result of our preliminary
    observations and our best practices briefing, AOC drafted an initial set
    of congressional protocols modeled after our congressional protocols. AOC
    noted that these protocols need to be finalized and distributed. In doing
    so, and consistent with the approach for AOC*s strategic plan, AOC needs
    to continually involve its stakeholders in developing these protocols.

    Although AOC is not required to comply with the 1993 Government
    Performance and Results Act (GPRA) because it is a legislative branch
    agency, we believe that AOC could adopt the reporting elements of GPRA to
    strengthen accountability and transparency by annually reporting program
    performance and financial information. For example, although GAO is a
    legislative branch agency, since fiscal year 1999, we have annually
    produced performance and accountability reports as well as our future
    fiscal year performance plan. Such results- oriented accountability
    reporting would help AOC communicate what it has accomplished, as well as
    its plans for continued progress to its external stakeholders.

    In tandem with AOC*s efforts to gather internal feedback from its
    employees, we noted in April 2002 that AOC*s communications strategy
    should also include tools for gauging customer satisfaction with its
    services. Customer feedback is an expectation for AOC*s senior managers
    and conducting client surveys is one proposed method in AOC*s draft
    strategic plan to achieve the strategic objective related to facilities
    management. In June 2002, AOC made a concerted effort to gather the views
    of some of its clients through a building services customer satisfaction
    survey for the Senate, House, Capitol building, and Library of Congress
    jurisdictions, which it plans to conduct annually. The Architect of the
    Capitol indicated to the survey participants that he will use the results

    of the survey to initiate service improvements based on the priorities
    they identify. AOC surveyed a total of 1,883 congressional staff members
    and received 275 responses. The results of the survey were shared with the
    jurisdictions* superintendents. AOC plans to report the results to the

    congressional leadership and members of the Congress and to the Library of
    Congress. In response, the jurisdictional superintendents are developing
    *action plans* to address areas of concern that were raised in the
    surveys. Continued AOC efforts to routinely measure customer satisfaction
    AOCwide with both its congressional customers as well as other customers,
    such as visitors to the Capitol Hill complex, will help AOC identify its
    service quality strengths, performance gaps, and improvement
    opportunities.

    AOC Should Develop Another key action AOC needs to take is developing
    annual performance

    Annual Goals and Measure goals that provide a connection between the long-
    term strategic goals in

    Performance the strategic plan and the day- to- day activities of managers
    and staff

    members. Measuring performance allows an organization to track the
    progress it is making toward its goals, gives managers crucial information
    on which to base their organizational and management decisions, and
    creates powerful incentives to influence organizational and individual
    behavior.

    AOC*s draft strategic plan for 2002 through 2007 describes a number of
    strategic objectives and outcomes for each of its four focus areas. For
    example, under Facilities Management, AOC has as a strategic objective to
    *provide safe, healthy, secure, and clean facilities to our clients.* One
    of the outcomes described for this focus area is *satisfied visitors and
    occupants.* The draft plan also lists a performance goal methodology. In
    the case of Facilities Management, the methodology is *client surveys,* as
    we discussed above. According to the draft plan, AOC*s strategic plan is
    to be

    supplemented by more detailed functional plans that are developed along
    the same planning time line. These plans are to contain the tactical level
    actions, performance targets, and milestone data necessary to carry out

    agency- level strategies. The draft plan states that AOC will use both
    quantitative and qualitative performance goals and measures to demonstrate
    progress toward its strategic goals and objectives.

    As AOC moves forward in developing its performance goals and measures, it
    should consider the practices of leading organizations we have studied
    that were successful in measuring their performance. Such organizations
    generally applied two practices. First, they developed measures that were
    (1) tied to program goals and demonstrated the degree to which the desired
    results were achieved, (2) limited to the vital few that were considered
    essential to producing data for decision making, (3) responsive to
    multiple priorities, and (4) responsibility linked to establish
    accountability for results. Second, the agencies recognized the cost and
    effort involved in gathering and analyzing data and made sure that the
    data they did collect

    were sufficiently complete, accurate, and consistent to be useful in
    decision making. Developing measures that respond to multiple priorities
    is of particular importance for programs operating in dynamic environments
    where mission requirements must be carefully balanced. This is the case
    for AOC where the role of protecting and preserving the historic
    facilities under its control may occasionally conflict with its role of
    providing maintenance and renovation services to occupants who use the
    facilities to conduct congressional business. For example, according to
    AOC officials, following elections, new members of the Congress may ask
    AOC to modify office suites containing historic architectural features. In
    those cases, AOC must balance the members* needs for functional office
    design with its responsibility for protecting the architectural integrity
    of the rooms. Consequently, AOC, like other organizations, must weigh its
    mission requirements against its priorities. AOC could better gauge its
    success by first employing a balanced set of measures that encompasses its
    diverse responsibilities and requirements, such as maintaining historic
    facilities and satisfying customers and then benchmarking its results both
    internally* across its jurisdictions* as well as against other leading
    organizations with comparable facility management operations.

    AOC Should Revisit Link Once AOC has reached agreement with its
    stakeholders on its strategic

    between Its Performance plan, AOC should revisit both its senior executive
    and employee

    Management Systems and performance management systems to strengthen
    individual accountability

    Mission- Critical Goals in Its to organizational goals and performance.
    AOC also has not yet aligned and cascaded its performance expectations
    with its mission- critical goals at all Strategic Plan

    levels of the organization. As our September 2002 report on managing
    senior executive performance using balanced expectations noted, leading
    organizations use their performance management systems to achieve results,
    accelerate change, and facilitate communication throughout the

    year so that discussions about individual and organizational performance
    are integrated and ongoing. 5 Thus, effective performance management
    systems can be (1) strategic tools for organizations to drive internal
    change and achieve external results and (2) ways to translate
    organizational priorities and goals into direct and specific commitments
    that senior executives will be expected to achieve during the year. As we
    have

    reported in the past, another critical success factor for creating a
    resultsoriented culture is a performance management system that creates a
    *line of sight* showing how individual employees can contribute to overall
    organizational goals.

    In June 2002, AOC implemented a senior executive performance management
    system* informed by our human capital policies and flexibilities and
    structured around the Office of Personnel Management*s Executive Core
    qualifications* based on six performance requirements:

    results- driven, leading change, leading people, equal employment
    opportunity, business acumen, and building coalitions and communications.
    The senior executive performance management system is based on a balanced
    measures approach* an approach to performance measurement that balances
    organizational results with customer, employee, and other perspectives. As
    a part of this system, AOC instructed its senior executives to incorporate
    the agency*s strategic goals and responsibilities into their performance
    requirements and individual commitments for subsequent evaluation by the
    Architect. 6 The resultsdriven performance requirement for AOC*s senior
    executives provides the basis for results- oriented accountability. The
    senior executive performance

    5 U. S. General Accounting Office, Results- Oriented Cultures: Using
    Balanced Expectations to Manage Senior Executive Performance, GAO- 02- 966
    (Washington, D. C.: Sept. 27, 2002). 6 AOC Performance Review Process for
    Employees Serving at the Pleasure of the Architect,

    Order 430- 2, June 15, 2002, p. 3.

    management system* once aligned with the strategic goals and objectives in
    AOC*s strategic plan, will serve as an important means for helping AOC to
    achieve its desired organizational results.

    In June 2000, AOC implemented a performance management system* Performance
    Communication and Evaluation System *for its General Schedule (up to GS-
    15) and Wage Grade employees (non- bargaining- unit employees). According
    to the Director of HRMD, approximately 875 bargaining unit and trades
    employees* about 38 percent of AOC*s workforce* were not covered by these
    systems. As a next step, AOC should align its employee performance
    management system with its senior executive system to strengthen
    individual accountability to organizational

    goals and performance. For example, as we discuss later in the report,
    although the incentive to focus on safety has been built into the
    performance appraisal system for employees, it is not addressed in the
    senior executive performance evaluation system. While AOC supports this
    concept, AOC*s senior officials stated that they must balance the need to
    move forward in aligning these systems with the need to provide continuity
    in the employee performance management system currently in place.

    A Competency- Based The establishment and integration of organizational
    competencies into

    Approach Can Help AOC performance management systems is another mechanism
    to create

    Meet Its Human Capital accountability for achieving mission- critical
    goals. Competencies, which

    Goals and Objectives define the skills or supporting behaviors that
    employees are expected to

    exhibit as they effectively carry out their work, can provide a fuller
    picture of an individual*s performance. Competencies can also help form
    the basis for an organization*s selection, promotion, training,
    performance management, and succession planning initiatives. Our August
    2002 report on other countries* performance management initiatives found
    that the United Kingdom, Australia, and New Zealand are using competencies
    in their public sector organizations to provide a fuller assessment of

    individual performance. 7 GAO has also introduced a competency- based
    performance management system for analysts and specialists, driven by a
    best practice review of multidisciplinary professional service
    organizations in both the private and public sectors.

    7 U. S. General Accounting Office, Results- Oriented Culture: Insights for
    U. S. Agencies from Other Countries* Performance Management Initiatives,
    GAO- 02- 862 (Washington, D. C.: August 2002).

    AOC should consider developing core and technical competencies as the
    basis for its performance management systems. Agencywide core and
    technical competencies can serve as guidance for employees as they strive
    to meet organizational expectations. The core competencies should be

    derived from AOC*s strategic plan and workforce planning efforts and
    reflect its core values. 8 All employees should be held accountable for
    achieving core competencies as AOC moves to transform its culture. As we
    reported in April 2002, AOC has added to its professional workforce by

    hiring new jurisdictional superintendents, deputy superintendents, budget
    and accounting officers, a Chief Financial Officer, a Director of
    Facilities Planning and Programming, and worker safety specialists. As AOC
    works toward developing a cadre of managerial and professional employees,
    the development of specific technical competencies can assist the agency
    in creating and developing a successful leadership and managerial team.

    AOC has made progress in establishing supervisory, management, and
    executive competencies. AOC*s Human Resources Management Division (HRMD)
    has also developed a competency model for its professional and
    administrative staff. HRMD intends to use this competency model to
    *reinforce its strategic focus * and outline the workforce requirements
    necessary to develop a highly competent cadre of human resources staff
    dedicated and committed to providing high- quality, timely and responsive
    human resources services to managers and employees of the AOC.* 9 As AOC*s
    efforts move forward, it will identify opportunities to refine and/ or
    develop technical competencies in other managerial and professional areas
    critical to achieving its mission, including project management, worker
    safety, financial management, and information technology. AOC can draw
    from best practices guidance and professional associations and
    certifications to assist it in developing these technical competencies.
    Some tools available to identify appropriate competencies are offered by
    the Joint Financial Management Improvement Program for financial

    management, and the Project Management Institute for project management.

    After AOC has established its core and technical competencies, it can use
    these competencies as the basis for the performance requirements of its

    8 AOC*s core values are professionalism, respect and diversity, integrity,
    loyalty, stewardship, teamwork, and creativity. 9 Office of the Architect
    of the Capitol, HRMD*s Model for Success, (Washington, D. C.: October
    1999).

    performance management systems for both senior executives and employees.
    The combination of a competency- based performance management system
    linked to mission- critical goals could provide AOC with a world- class
    mechanism for holding its workforce accountable for achieving its mission.

    AOC Needs to Determine AOC does not currently collect and analyze
    workforce data in a Agency Workforce Needs

    comprehensive way that would allow it to determine its workforce needs and
    Assess Progress by

    and to measure its progress in achieving its human capital strategic goals
    Collecting and Analyzing

    and objectives. The ability to collect and analyze data will greatly
    enhance AOC*s ability to acquire, develop, and retain talent, while
    allowing it to Workforce Data

    effectively plan for the needs of its workforce. High- performing
    organizations use data to determine key performance objectives and goals
    that enable them to evaluate the success of their human capital
    approaches. Reliable data also heighten an agency*s ability to manage risk
    by allowing managers to spotlight areas for attention before crises
    develop and identify opportunities for enhancing agency results.
    Collecting and analyzing data are fundamental building blocks for
    measuring the effectiveness of human capital approaches in support of the
    mission and goals of an agency. AOC needs to develop a fact- based,
    comprehensive approach to the collection and analysis of accurate and
    reliable information across a range of human capital activities. AOC
    recognizes the need to comprehensively collect and analyze workforce data
    and has requested about $1 million in its fiscal year 2003 budget for an
    automated system to assist it in recruitment, classification, workforce
    management, and succession planning. Appropriate data sources and
    collection methods are necessary to measure

    progress in meeting AOC*s human capital goals and objectives. For example,
    in order for AOC to determine if it is meeting equal employment
    opportunity (EEO) and diversity requirements* one of its strategic
    objectives* it must first establish a reliable data gathering method. We
    found that AOC does not have comprehensive procedures in place to track

    its progress to assess whether it is achieving its goal of a diverse
    workforce. Based on reliable data, AOC can then monitor its progress in
    meeting EEO requirements and develop appropriate intervention strategies
    if it is not.

    Strategic Workforce AOC can benefit from strategically identifying its
    current and future

    Planning Would Help AOC workforce needs and then creating strategies to
    fill any gaps. AOC

    Identify Workforce Needs recognizes the need to conduct workforce
    planning; however, it has not yet

    and Develop Strategies to initiated this effort. According to the
    principles embodied in our Model of

    Strategic Human Capital Management, effective organizations Fill Gaps

    incorporate human capital critical success factors, such as integration
    and alignment, and data- driven human capital decisions as strategies for
    accomplishing their mission and programmatic goals and results. 10
    Strategic workforce planning and analysis is one such approach that can

    help AOC to effectively align its resources with agency needs. Workforce
    planning efforts linked to strategic program goals and objectives can help
    the organization to identify such needs as ensuring a diverse labor force,
    succession planning for scarce skill sets, and other competencies needed
    in the workforce. For example, in AOC*s draft strategic plan, human
    capital is one of the four strategic planning focus areas. The strategic
    goal associated with the human capital focus area is to attract, develop,
    and retain diverse, satisfied, and highly motivated employees with the
    skills, talents, and knowledge necessary to support the agency*s mission.
    AOC established several strategic objectives to achieve this goal. One of
    the objectives is to develop a human capital plan designed to acquire,
    develop, and retain a talented workforce while integrating and aligning
    human capital approaches, equal opportunity requirements, and
    organizational

    performance. Specifically, an effective strategic workforce planning
    effort will entail

     determining how many employees AOC needs to accomplish its mission-
    critical goals;

     assessing the skills and competencies of the employees currently
    available to do this work (develop an employee skills and competencies
    inventory);

     determining gaps in the number, skills, and competencies of the
    employees needed to do this work;

    10 U. S. General Accounting Office, A Model of Strategic Human Capital
    Management, GAO02- 373SP (Washington, D. C.: March 2002).

     developing a training and recruitment plan for filling the gap,
    including a focus on the diversity and EEO goals of the organization;

     creating a succession plan to address workforce gaps created by
    employees exiting the organization; and

     evaluating the contribution that the results of these strategic
    workforce planning efforts make to achieving mission- critical goals.

    AOC does not currently have workforce planning efforts under way, although
    it does recognize the need to strategically plan for its workforce and has
    requested funding for four positions in its fiscal year 2003 budget to
    create an organization and workforce management team within the Office of
    the Architect. 11 The purpose of this proposed team is to conduct
    workforce planning and analysis. The team would work collaboratively with
    AOC*s HRMD, Office of the Chief Financial Officer, and other agency
    managers to focus on skill mix, resource needs, and succession planning.

    Conclusions AOC faces many challenges as it seeks to better serve the
    Congress. This report lays out a complex agenda for organizational
    transformation at AOC that includes developing the capacity to lead and
    execute change and becoming a more results- oriented, matrixed, client-
    focused, and proactive

    organization. AOC has indicated that it is committed to the long- term
    effort necessary to improve its service to the Congress and has already
    begun to make some improvements in areas such as strategic planning,
    client outreach, and accountability of senior management for achieving
    results. To make lasting improvements, AOC must continue on this path by

     demonstrating top leadership commitment to long- term change;
    involving key congressional and other stakeholders in developing its
    strategic plan;  using its strategic plan as the foundation for aligning
    activities, core

    processes, and resources to support mission- related outcomes; 11 AOC, FY
    2002 Budget Estimates, January 2002.

     establishing a communications strategy to foster change and create
    shared expectations and build involvement;

     developing annual goals and a system for measuring performance; and
    strategically managing its human capital to drive transformation and to

    support the accomplishment of agency goals. AOC*s needs to improve its
    executive decision- making capacity and accountability in order to help
    (1) elevate attention on management issues and transformation, (2)
    integrate various key management and transformation efforts, and (3)
    institutionalize accountability for addressing management issues and
    leading transformation.

    One option for addressing the transformation issues that AOC faces is to
    create a COO or similar position that would be accountable for achieving
    change at AOC.

    Making such fundamental changes in AOC*s culture will require a longterm,
    concerted effort. In developing a management improvement plan to address
    the recommendations in this report, it is essential that AOC work

    with key congressional and other stakeholders to establish action-
    oriented implementation goals over the long term, and a time line with
    milestone dates to track the organization*s progress towards achieving
    those implementation goals.

    Recommendations for In order to adopt the elements of the management and
    accountability

    Agency Action framework* strategic planning, organizational alignment,

    communications, performance measurement, and strategic human capital
    management* and build on efforts under way at AOC, we recommend that the
    Architect of the Capitol

     improve strategic planning and organizational alignment, by involving
    key congressional and other external stakeholders in AOC*s strategic
    planning efforts and in any organizational changes that may result from
    these efforts;

     develop a comprehensive strategy to improve internal and external
    communications, by

     providing opportunities for routine employee input and feedback,
    completing the development of congressional protocols by involving

    stakeholders,  improving annual accountability reporting through annual
    performance planning and reporting, and

     continuing to regularly measure customer satisfaction AOC- wide; and
    strengthen performance measurement and strategic human capital

    management, by  developing annual goals and measuring performance,
    creating a *line of sight* by linking AOC*s senior executive and

    employee performance management systems to mission- critical goals,

     establishing agencywide core and technical competencies and holding
    employees accountable for these competencies as a part of the performance
    management system,  developing the capacity to collect and analyze
    workforce data, and  identifying current and future workforce needs and
    developing

    strategies to fill gaps. In developing a management improvement plan to
    address the recommendations in this report, we also recommend that the
    Architect of the Capitol establish action- oriented implementation goals
    over the long term and a time line with milestone dates to track the
    organization*s progress towards achieving those implementation goals. The
    Architect should work with key congressional and other stakeholders to
    develop this

    plan.

    Matters for The Congress should consider ways in which to elevate,
    integrate, and

    Congressional institutionalize accountability for addressing management
    issues and leading organizational transformation at AOC. One option would
    be to

    Consideration create a statutory COO or similar position for AOC to
    improve its executive

    decision- making process and accountability. To help ensure that AOC
    implements its management improvement plan, the Congress should consider
    requiring AOC to provide periodic status reports on the implementation of
    its plan, including progress made and milestones not met, and any
    adjustments to the plan in response to internal or external developments.

    Agency Comments In his comments on this chapter, the Architect agreed with
    our recommendations and discussed the current efforts AOC has under way in

    response, including the development of a plan to implement our
    recommendations. For example, AOC is currently conducting an agencywide
    strategic planning effort* with stakeholder involvement* focused on
    developing mission- critical goals and action plans for missioncritical
    programs, such as facilities management, project management, and human
    capital. AOC has also formed a team to develop a comprehensive
    communications strategy to improve its internal and external
    communications. To strengthen transparency and accountability, as we
    recommended AOC plans to produce an annual performance plan that outlines
    the specific actions, milestones, and performance measures planned to
    achieve its goals for that year and an annual accountability report on
    progress achieved. In the area of strategic human capital management, AOC
    stated that it would implement our recommendations in a phased approach
    that will entail firmly establishing its overall strategy before aligning
    individual performance management programs to that strategy. AOC plans to
    explore the benefits of expanding the use of core

    and technical competencies agencywide, but wants first to ensure that the
    use of competencies is appropriate for all occupations and jurisdictions.
    The Architect*s comments are reprinted in appendix II.

    Management Infrastructure and Controls Needed to Support Organizational

    Chapt er 3

    Transformation Initiatives The effectiveness with which the Office of the
    Architect of the Capitol (AOC) can use the management reforms discussed in
    chapter 2* strategic planning, organizational alignment, performance
    management, improved internal and external communications, and strategic
    human capital management* to achieve organizational transformation will
    depend in part on its ability to focus on management improvement in its
    day- to- day operations. A key factor in helping an agency to better
    achieve its mission and program outcomes and identify and manage risks
    while leveraging opportunities is to implement appropriate internal
    control. 1 Internal

    control is a major part of managing an organization. It comprises the
    plans, methods, and procedures used to meet missions, goals, and
    objectives and, in doing so, supports performance- based management.
    Internal control also serves as the first line of defense in safeguarding
    assets and preventing and detecting errors and fraud. In short, internal
    control, which is synonymous with management control, helps government
    program managers achieve desired results through effective stewardship of
    public resources. Effective internal control also helps in managing change
    to cope with shifting environments and evolving demands and priorities. As
    programs change and as agencies strive to improve operational processes
    and implement new technological developments, management must continually
    assess and evaluate its internal control to assure that the control
    activities being used are effective and updated when necessary. Other
    aspects of AOC*s management infrastructure will also require

    continued management attention to support its new focus on achieving
    reforms in mission- critical areas of facilities management, project
    management, strategic planning, and human capital management. AOC will
    need to further develop and consistently apply transparent human capital
    policies and procedures in the areas of leave, awards, and overtime and
    examine discrepancies in job classification and pay levels across the
    agency. AOC must continue improving its approach to budgeting and
    financial management to support effective and efficient program
    management. Finally, AOC will need to adopt an agencywide approach to
    information technology (IT) management to position itself to optimize the

    contribution of IT to agency mission performance. 1 U. S. General
    Accounting Office, Standards for Internal Control in the Federal
    Government, GAO/ AIMD- 00- 21. 3.1 (Washington, D. C.: November 1999).

    Standards for Internal AOC has made a number of important and positive
    efforts to improve its

    Control Can Provide a internal control. For example, in response to our
    1994 report that AOC*s

    personnel management system did not follow many generally accepted Strong
    Foundation for

    principles of modern personnel management, AOC developed and
    Organizational

    implemented basic personnel policies and procedures that are designed to
    meet the guidelines set forth by the Architect of the Capitol Human
    Transformation

    Resources Act and the Congressional Accountability Act of 1995 (CAA). 2
    More recently, AOC has been developing standard policies and procedures to
    address various worker safety hazards. In the area of financial
    management, AOC has contracted for the development of AOC- wide accounting
    policies and procedures. For information security, in March 2002, AOC
    completed a partial risk assessment of its systems environment focusing on
    systems controlled by its Office of Information Resource Management
    (OIRM), and used that assessment to develop a security plan to address the
    identified vulnerabilities. These efforts are helping AOC to construct a
    sound foundation on which to build a high- performing organization.

    However, Standards for Internal Control in the Federal Government reflects
    a broader approach to control that addresses, for example, how an agency
    demonstrates its commitment to competence, how it assures effective and
    efficient operations, how it communicates the information needed
    throughout the agency to achieve all its objectives, and how it monitors
    performance. As AOC moves forward in addressing the management reforms we
    discuss in this report, it should consider how adopting these standards
    for internal control could provide a strong foundation for
    institutionalizing the organizational transformation under way.

    Internal control should provide reasonable assurance that the objectives
    of the agency are being achieved in the following categories:

     effectiveness and efficiency of operations, including the use of the
    entity*s resources;

    2 See Pub. L. No. 103- 283, July 22, 1994, Sec. 312, Architect of the
    Capitol Human Resources Act.

     reliability of financial reporting, including reports on budget
    execution and financial statements and other reports for internal and
    external use; and

     compliance with applicable laws and regulations. A subset of these
    objectives is the safeguarding of assets. Internal control should be
    designed to provide reasonable assurance regarding prevention of or prompt
    detection of unauthorized acquisition, use, or disposition of an agency*s
    assets.

    Internal Control Is a Internal control is not one event, but a series of
    actions and activities that

    Continuous, Built- in occur throughout an entity*s operations and on an
    ongoing basis. Internal

    Component of Operations control should be recognized as an integral part
    of each system that

    management uses to regulate and guide its operations rather than as a
    separate system within an agency. In this sense, internal control is
    management control that is built into the entity as a part of its
    infrastructure to help managers run the entity and achieve their aims on
    an ongoing basis.

    People are what make internal control work. The responsibility for good
    internal control rests with all managers. Management sets the objectives,
    puts the control mechanisms and activities in place, and monitors and
    evaluates the control. However, all personnel in the organization play
    important roles in making it happen.

    Framework for Internal Five standards provide a general framework for the
    minimal level of quality

    Control acceptable for internal control in government and provide the
    basis against

    which internal control is to be evaluated:  Control environment.
    Management and employees should establish

    and maintain an environment throughout the organization that sets a
    positive and supportive attitude toward internal control and conscientious
    management. For example, as AOC implements its new strategic planning
    process, it will need to demonstrate a positive and supportive attitude
    toward performance- based management by using the plan as the basis for
    all its programmatic decisions.

     Risk assessment. Internal control should provide for an assessment of
    the risks the agency faces from both external and internal sources. For

    example, as part of AOC*s ongoing strategic planning process, AOC needs to
    continually assess the risks to achieving its objectives, analyze the
    risks, and determine what actions should be taken.

     Control activities. Internal control activities help ensure that
    management*s directives are carried out. The control activities should be
    effective and efficient in accomplishing the agency*s control

    objectives. As AOC identifies areas for management improvements, it also
    needs to define the policies, procedures, techniques, and mechanisms it
    will use to enforce management*s directives. For example, as AOC works to
    improve its information systems acquisition management to standardize its
    acquisition processes, it will need to establish control activities to
    ensure the processes are applied consistently and correctly for each
    acquisition project.

     Information and communications. Information should be recorded and
    communicated to management and others within the entity who need it and in
    a form and within a time frame that enables them to carry out their
    internal control and other responsibilities. For example, as

    AOC develops new performance and financial information to support program
    management, the information needs to be communicated in a way that meets
    users needs and time frames.

     Monitoring. Internal control monitoring should assess the quality of
    performance over time and ensure that the findings of audits and other
    reviews are promptly resolved. For example, as AOC develops new
    performance and financial information, it should ensure that this
    information is both useful to and used by program managers for purposes of
    managing program performance.

    Strengthening Human AOC is working towards transforming its culture and
    instituting regularized

    Capital Policies, personnel policies, procedures, and processes, but there
    are still areas for

    improvement. In addition to internal control standards, we have found that
    Procedures, and

    there are key practices that can assist agencies in effectively using
    human Processes capital flexibilities. In broad terms, human capital
    flexibilities represent the policies and procedures that an agency has the
    authority to implement in managing its workforce to accomplish its mission
    and to achieve its goals. These practices include educating managers and
    employees on the availability and use of flexibilities, streamlining and
    improving administrative processes, and building transparency and
    accountability into the system.

    Comments from a majority of our focus group participants indicate that
    supervisors are not perceived to have applied awards, overtime, and leave
    policies consistently; that there was supervisory favoritism; and that
    grade and pay levels are not consistent across jurisdictions and shifts.
    AOC has been addressing these concerns by developing a comprehensive leave
    policy and a strategy for communicating this policy, reviewing perceived
    inequities in job classification, and issuing specific guidelines and
    procedures for its employee awards program. AOC should continue to develop
    consistent and transparent human capital policies and procedures

    and communicate them. AOC has various offices and an employee council
    engaged in improving employee relations. AOC*s senior managers could
    benefit from comprehensively collecting and analyzing data from these

    groups to allow it to determine its employee relations needs, and to
    measure its progress in achieving its strategic human capital goals and
    objectives. AOC has recently established its Office of the Ombudsperson,
    but should realign the office*s reporting relationship directly to the
    Architect to ensure that it is adhering to professional standards of
    independence.

    AOC Should Continue to Effective organizations establish clear and
    consistent human capital

    Develop and Communicate policies and procedures with clearly stated
    expectations for both Consistent Human Capital

    employees and supervisors and ensure that there is accountability for
    Policies and Procedures

    following these procedures accordingly. According to internal control
    standards, such consistent procedures help to create a control environment
    that encourages employee trust in management.

    A majority of our focus group participants perceived that supervisors
    applied awards, overtime, and leave policies inconsistently and that there
    was supervisory favoritism. For example, some employees stated that
    supervisors determine on their own when an employee is entitled to sick or
    annual leave and are not consistent when allowing some employees to take

    off time from work. Others remarked that there were varying procedures for
    signing into work and grace periods for lateness were not consistently
    applied for every employee. Several employees commented that access to
    working overtime was uneven and felt as if only favored employees had the
    opportunity to work overtime. In addition, several employees believe that
    favoritism resulted in uneven and unfair distribution of work, and that
    hiring and promotions frequently are not based on qualifications and
    experience but on personal connections.

    AOC has been addressing employees* concerns by developing a comprehensive
    leave policy and a strategy for communicating this policy. According to
    AOC*s Director of HRMD, AOC has drafted an agencywide

    comprehensive leave policy* which it expects to issue in November 2002*
    and is developing a strategy to communicate this policy internally. The
    issuance of a comprehensive agencywide leave policy is one way in which
    employees* perceptions of inconsistent treatment by supervisors could be
    diminished. The policy could also provide a mechanism to hold supervisors
    and senior managers accountable for its fair and consistent application.
    Inconsistencies in grade and pay levels across jurisdictions and shifts
    was

    another area of concern noted by a majority of the focus group
    participants. The perception expressed in focus groups was that employees
    in other AOC jurisdictions in similar positions and in other federal
    agencies were classified at higher grade levels, even though their job
    duties were similar. AOC*s HRMD Director told us that the division is
    aware that many

    AOC employees are concerned about possible misclassification and has
    received many requests from employees to review job classifications. 3
    According to AOC*s Employment and Classification Branch Chief, most of

    the employees who have raised concerns about how their jobs are classified
    have been upgraded. As a result, AOC is engaged in an ongoing initiative
    to review certain position descriptions that have not been updated for
    some time across jurisdictions and to reclassify them, if needed.

    Employee rewards and recognition programs are an important human capital
    flexibility that is intended to provide appropriate motivation and
    recognition for excellence in job performance and contributions to an
    agency*s goals. In our December 2002 report on the effective use of human
    capital flexibilities, we report that agencies must develop clear and
    transparent guidelines for using flexibilities and then hold managers and
    supervisors accountable for their fair and effective use, and that agency
    managers and supervisors must be educated on the existence and use of
    flexibilities. 4 The Architect*s Awards Program, which is AOC*s employee
    rewards and recognition program, is in its second year of operation. 3 AOC
    generally uses Office of Personnel Management General Schedule
    Qualifications

    Standards for position classification. 4 U. S. General Accounting Office,
    Human Capital: Effective Use of Flexibilities Can Assist Agencies in
    Managing Their Workforces, GAO- 03- 2 (Washington, D. C.: December 2002).

    However, several implementation issues remained to be resolved. For
    example, a majority of the focus group participants felt that the program
    is not applied consistently across the jurisdictions and shifts for all
    employees. Some focus group participants also mentioned that they were

    promised awards by their supervisors for their good work on projects but
    never received them. Other views expressed by some members of the focus
    groups were that awards might be distributed, but only to certain members
    of a project team, even though everyone in the unit had worked on the same
    project or that supervisors did not always want to fill out the paperwork
    needed to make an award. In March 2002, AOC issued a policy containing
    responsibilities and

    procedures, for the administration of the employee rewards and recognition
    program. 5 However, as borne out by our focus group results, supervisors
    may be applying this policy inconsistently. AOC can strengthen and gain
    support for this program by holding managers and supervisors accountable
    for the fair and effective use of its rewards and recognition program as a
    useful tool for motivating and rewarding employees.

    AOC Management Should In April 2002, we stated that to improve labor-
    management relations, we

    Comprehensively Collect would explore the relationships between AOC*s
    various offices engaged in

    and Analyze Data from addressing employee relations. Several AOC offices
    and one employee Employee Relations Groups

    group provide employees with assistance in resolving disputes or in
    dealing with other employment- related issues. These offices not only work
    to resolve disputes, but are also in a position to alert management to
    systemic problems and thereby help correct organizationwide issues and
    develop strategies for preventing and managing conflict.

     The Equal Employment Opportunity and Conciliation Program Office was
    created to include an affirmative employment program for employees and
    applicants and procedures for monitoring progress by AOC in ensuring a
    diverse workforce. 6 The office serves to promote a nondiscriminatory work
    environment and works to resolve employment concerns informally. 7

    5 AOC*s Human Resources Manual, Order 451- 1, March 14, 2002. 6 See Pub.
    L. No. 103- 283, July 1994, Sec. 312, Architect of the Capitol Human
    Resources Act. 7 AOC Draft Memo from Acting EEO Director, AOC EEO/ CP
    Annual Report, fiscal year 2000.

     AOC*s Office of the Ombudsperson, formerly called the Employee Advocate,
    was staffed in 2002 and provides advice and counsel to nonbargaining- unit
    employees concerning employment policies, employment practices, or other
    employment- related matters. 8  The AOC Employee Advisory Council (EAC),
    created in 1995, has

    renewed its efforts to ensure its role of providing a voice for AOC
    employees on workplace and safety issues, and is another avenue for non-
    bargaining- unit employees to bring their concerns to management. The EAC
    consists of AOC employees, and its purpose is to help address AOC policy,
    procedures, work products and methods, and other issues that relate to the
    overall efficiency and safety of the agency, as well as the fair treatment
    of employees. 9 It is not clear whether there is a coordinated approach to
    tracking

    agencywide patterns of employee relations issues among these offices and
    the EAC. If this information were to be collected and analyzed by AOC*s
    senior managers, it could provide a useful source of information to alert
    management of the status of employee relations. The advantages of an
    agencywide tracking method need to be balanced in a way so as not to
    compromise employee confidentiality. As discussed in chapter 2, AOC has
    established a strategic human capital goal and corresponding objectives
    related to acquiring, developing, and retaining a talented and diverse
    workforce. We believe that AOC senior managers could benefit from
    gathering and analyzing these data, in conjunction with results from the
    additional employee focus groups that AOC plans to conduct, to help
    determine how well it is meeting its human capital strategic goal and
    objectives.

    8 H. R. Conf. Rep. No. 106- 796 at 41 (2000). 9 AOC Memo, March 7, 2002,
    on EAC.

    In assessing the functions of these employee relations groups, we also
    assessed the Ombudsperson position at AOC to determine whether it adhered
    to the standards of practice for ombudsmen established by professional
    organizations. Ombudsmen provide an informal option to deal pragmatically
    with conflicts and other organizational climate issues. In April 2001, we
    reported that ombudsmen are expected to conform to professional standards
    of practice that revolve around the core principles of independence,
    neutrality, and confidentiality. 10 In our discussion with the AOC
    Ombudsperson, she stated that she was familiar with the standards for
    ombudsmen and that she provided services confidentially and neutrally.
    According to AOC officials, the AOC Ombudsperson reports to the
    Administrative Assistant to the Architect of the Capitol or his or her
    authorized designate, but not directly to the Architect. In our April 2001
    report, the Ombudsman Association Standards of Practice define
    independence as functioning independent of line management, with the

    ombudsman having a reporting relationship with the highest authority in an
    organization. In addition, the American Bar Association*s ombudsman
    standards for independence discuss that the ombudsman*s office must be and
    appear to be free from interference in order to be credible and effective.
    If the Ombudsperson were to directly report to the Architect and not
    through another senior manager, the core principle of independence would
    be strengthened. Continue Improving

    AOC faces significant challenges in building sound budget and financial
    Financial Management

    management functions into the culture of the organization. Accurate and
    reliable budget formulation and execution and reliable financial
    accounting to Support Program

    and reporting are important basic functions of financial control and
    Management

    accountability and provide a basis for supporting good program management.
    In the past, AOC has lacked reliable budgets for both projects and
    operations and has lacked internal policies and procedures to effectively
    monitor budget execution. In addition, AOC has lacked accounting policies
    and procedures needed to properly account for and report financial
    information especially in accounting for, controlling, and reporting
    assets, including inventory. Moreover, AOC has not prepared auditable
    financial statements.

    10 U. S. General Accounting Office, Human Capital: The Role of Ombudsmen
    in Dispute Resolution, GAO- 01- 466 (Washington, D. C.: April 13, 2001).

    A Chief Financial Officer (CFO) position was established at AOC, which the
    Architect filled in January 2002, in response to direction from the
    Subcommittee on Legislative Branch, Senate Committee on Appropriations
    that AOC begin essential financial management reforms. 11 The new CFO is a
    member of the Architect*s Senior Policy Committee and, in carrying out his
    role in establishing a foundation of financial control and accountability
    at AOC, he is responsible for the activities of the Budget Office, the
    Accounting Office, and the Financial Systems Office. Among his first
    actions, the new CFO assembled a financial management team with the
    experience needed to establish a strong foundation of financial control
    and accountability by filling key budget and accounting officer positions.

    As discussed in our executive guide on best practices in financial
    management, 12 a solid foundation of control and accountability requires a
    system of checks and balances that provides reasonable assurance that an
    entity*s transactions are appropriately recorded and reported, its assets

    protected, its policies followed, and its resources used economically and
    efficiently for the purposes intended. The CFO, who has endorsed the
    executive guide as a road map for making improvements to financial
    management at AOC, has recognized the need for this foundation of
    financial control and accountability as well as the challenges his
    organization faces in establishing such checks and balances AOC- wide.
    Those challenges include

     developing and implementing effective budget formulation and execution
    policies and procedures that govern capital projects and operating
    activities AOC- wide,

     developing and implementing formal financial accounting and reporting
    policies and procedures and related operating procedures,

     developing and implementing internal controls and monitoring the
    reliability of financial information and safeguarding of assets,

     implementing and operating the new financial management system, and 11
    S. Rep. No. 107- 37, at 29 (2001). 12 U. S. General Accounting Office,
    Executive Guide: Creating Value Through World- class Financial Management,
    GAO/ AIMD- 00- 134 (Washington, D. C.: April 2000).

     preparing auditable comprehensive entitywide financial statements. In
    response to these challenges, the CFO has set a goal for AOC to prepare
    auditable AOC- wide financial statements for the first time for fiscal
    year 2003 and has made measurable progress in this and other areas in
    establishing a sound foundation of control and accountability at AOC. For
    example, some of the financial management team*s achievements to date
    include

     deploying phase two of the new accounting system AOC- wide, including
    continuing system support and periodic training;

     revising budget formulation guidance to include requirements for
    specific minimum detail needed to justify capital projects requested and
    support construction cost estimates;

     conducting an AOC- wide budget execution review to evaluate the
    effectiveness of AOC*s budget execution;

     conducting an AOC- wide inventory to establish a basis for closing
    accounting records for fiscal year 2002 and a establishing a beginning
    balance for fiscal year 2003;

     developing a basis for valuing and classifying certain AOC assets,
    including property and equipment; and

     contracting for the development of AOC- wide accounting policies and
    procedures needed to establish internal control and prepare first- time
    financial statements. A significant factor in the achievements to date is
    the experience the new financial team brings to AOC in carrying out the
    fundamentals of sound financial management and the fact that the
    initiatives fall under the direct control of the CFO. However, much work
    remains to be done on an AOCwide basis. Going forward, the CFO faces
    challenges, including

     having program managers routinely provide critical project justification
    and cost information and obligation plans;

     establishing AOC- wide accounting and control procedures, such as
    controls over the receipt and use of inventory; and

     finding a way to interface financial information with the AOC Project
    Information Center system.

    Implementing these and other financial- control and accountability-
    related initiatives will require the buy- in and support of key non-
    financial managers and staff. As the finance team seeks to build a
    foundation of financial accounting and control into the organization*s
    culture, top management must demonstrate a commitment to making and
    supporting the needed changes throughout the organization. As noted in our
    executive guide, leading organizations identified leadership as the most
    important factor in successfully making cultural changes.

    AOC Could Benefit IT can be a valuable tool in achieving an organization*s
    mission objectives.

    from an Agencywide Our research of leading private and public sector
    organizations shows that

    these organizations* executives have embraced the central role of IT to
    and Disciplined

    mission performance. 13 More specifically, these executives no longer
    Approach to IT

    regard IT as a separate support function, but rather view and treat it as
    an Management

    integral and enabling part of business operations. As such, they have
    adopted a corporate, or agencywide, approach to managing IT under the
    leadership and control of a senior executive, who operates as a full
    partner with the organization*s leadership team in charting the strategic
    direction and making informed IT investment decisions. Complementing a
    centralized leadership of IT management, leading

    organizations have also implemented certain institutional or agencywide
    management controls aimed at leveraging the vast potential of technology
    in achieving mission outcomes. These management controls include using

    a portfolio- based approach to IT investment decision making, using an
    enterprise architecture, or blueprint, to guide and constrain IT
    investments, following disciplined IT system acquisition and development
    management processes, and proactively managing the security of IT assets.

    AOC currently relies heavily on IT in achieving its mission objectives. 14
    As an example, AOC uses the Computer Aided Facilities Management system to
    request and fulfill work orders for maintenance of the Capitol and the

    13 U. S. General Accounting Office, Maximizing the Success of Chief
    Information Officers: Learning From Leading Organizations, GAO- 01- 376G,
    (Washington, D. C.: February 2001). 14 AOC has budgeted $13 million for IT
    systems in fiscal year 2003.

    surrounding grounds. In addition, it uses the Records Management system to
    archive architectural drawings pertaining to the U. S. Capitol, Library of
    Congress, Botanic Garden, and other buildings. According to AOC*s Chief
    Administrative Officer, the agency*s reliance on IT will increase in the
    future.

    Despite the importance and prevalence of IT at AOC, the agency*s current
    approach to managing IT is not consistent with leading practices, as is
    described in the following five sections. Until AOC embraces the central
    role of IT to mission performance and implements an agencywide and
    disciplined approach to IT management, it is not positioned to optimize
    the contribution of IT to agency mission performance.

    AOC Needs a Senior Our research of private and public sector organizations
    that effectively

    Executive with Agencywide manage IT shows that these organizations have
    adopted an agencywide

    Responsibility and approach to managing IT under the leadership of a chief
    information officer

    or comparable senior executive, who has the responsibility and authority
    Authority for IT

    for managing IT across the agency. 15 According to the research, these
    Management

    executives function as members of the leadership team and are instrumental
    in developing a shared vision for the role of IT in achieving major
    improvements in business processes and operations to effectively optimize
    mission performance. In this capacity, leading organizations also provide
    these individuals with the authority they need to carry out their diverse
    responsibilities by providing budget control and management support for IT
    programs and initiatives.

    Currently, AOC does not have a senior- level executive who is responsible
    and accountable for IT management and spending across the agency, and AOC
    does not centrally oversee IT, according to AOC*s OIRM Director. Rather,
    budget and acquisition authority is vested in each AOC organizational
    component that is acquiring a given IT asset. With such a decentralized
    approach to IT management and spending, AOC does not have an individual
    focused on how IT can best support the collective needs of the agency, and
    thus is not positioned to effectively leverage IT as an agencywide
    resource.

    15 GAO- 01- 376G.

    AOC Should Have an If managed wisely, IT investments can vastly improve
    mission

    Agencywide, PortfolioBased performance. If not, IT projects can be risky,
    costly, and unproductive

    Approach to IT investments. Our best practices guide, based on research of
    private and

    Investment Management public sector organizations that effectively manage
    their IT investments,

    outlines a corporate, portfolio- based approach to IT investment decision
    making that includes processes, practices, and activities for continually
    and consistently selecting, controlling, and evaluating competing IT
    investment options in a way that promotes the greatest value to the
    strategic interest of the organization. 16

    The first major step to building a sound IT investment management process
    is to be able to measure the progress of existing IT projects to identify
    variances in cost, schedule, and performance expectations, and take
    corrective action, if appropriate, and to establish basic capabilities for
    selecting new IT proposals. To do this, the organization needs to
    establish and implement processes and practices for (1) operating an IT
    investment board responsible for selecting, controlling, and evaluating IT
    investments and that includes both senior IT and business representatives,
    (2) providing effective oversight for ongoing IT projects throughout all
    phases of their

    life cycle, (3) identifying, tracking, and managing IT resources, (4)
    ensuring that each IT project supports the organization*s business needs,
    and (5) establishing criteria for selecting new IT proposals. The second
    major step toward effective IT investment management requires that an
    organization continually assess proposed and ongoing projects as an
    integrated and competing set of investment options. That is, the
    organization should consider each new investment part of an integrated

    portfolio of investments that collectively contribute to mission goals and
    objectives. To do this, the organization needs to establish and implement
    processes and practices for (1) developing and implementing criteria to
    select investments that will best support the organization*s strategic
    goals, objectives, and mission, (2) using these criteria to consistently
    analyze and prioritize all IT investments, (3) ensuring that the optimal
    IT investment portfolio with manageable risks and returns is selected and
    funded, and

    16 U. S. General Accounting Office, Information Technology Investment
    Management: A Framework for Assessing and Improving Process Maturity,
    Version 1, GAO/ AIMD- 10. 1.23 (Washington, D. C.: May 2000).

    (4) overseeing each IT investment within the portfolio to ensure that it
    achieves its cost, benefit, schedule, and risk expectations.

    AOC has not satisfied the components of either of these two major steps,
    and as a result does not currently have an agencywide, portfolio- based
    approach to IT investment management. For example, AOC has not developed
    the processes and established the key management structures, such as an
    investment review board, needed to manage and oversee IT investments.
    However, according to the OIRM Director, he has several

    activities under way to facilitate the agency*s movement to such an
    approach, should AOC choose to do so. These include

     developing an IT capital planning and investment guide that is to define
    key elements of a portfolio- based approach to IT investment management
    and acquiring an automated tool to facilitate its implementation,

     introducing new IT budget categories and collecting corresponding fiscal
    year 2004 budget information to track and control IT investments, 17 and

     reassessing the role of its Information Technology Standards and
    Architecture Committee, including how and when the committee reviews
    projects, what projects are reviewed, and what information is provided to
    the committee. 18 Because the OIRM Director could not provide us with
    drafts or more detailed information on these activities, characterizing
    them as under development, we could not determine the extent to which
    these activities address the basic tenets of effective IT management.
    However, these

    17 These categories are as follows: Infrastructure*- IT systems, including
    networks and personal computers, that have an IT cost focus and are
    necessary for daily operation and maintenance; Utility*- IT systems,
    including payroll and billing, that do not have a business focus, but are
    mission- critical; Enhancement* IT systems that have a business focus,
    such as supply chain management; and Frontier* IT systems, including e-
    commerce and customer tracking, that improve business performance.

    18 The Information Technology Standards and Architecture Committee
    currently sets IT policy relating to software and hardware standards and
    reviews agencywide IT projects for conformance with architecture
    standards.

    activities are currently limited because they are confined to OIRM, which
    is not positioned to implement effective IT investment management on its
    own. Achieving an agencywide, portfolio- based approach to IT investment
    management needs the full support and participation of AOC*s senior
    leadership. Until this occurs, AOC will continue to be limited in its
    ability to effectively leverage IT to achieve mission goals and
    objectives. AOC Needs to Establish the

    Our experience with federal agencies has shown that attempting to
    Management Foundation to

    modernize IT environments without an enterprise architecture to guide and
    Effectively Develop an

    constrain investments often results in systems that are duplicative, not
    well Enterprise Architecture

    integrated, unnecessarily costly to maintain and interface, and
    ineffective in supporting mission goals. Managed properly, architectures
    can clarify and help optimize the interdependencies and interrelationships
    among related corporate operations and the underlying IT infrastructure
    and applications that support them. The development, implementation, and
    maintenance of architectures are recognized hallmarks of successful public
    and private organizations that effectively leveraged IT in meeting their

    mission goals. An enterprise architecture* as defined in federal guidance,
    and as practiced by leading public and private sector organizations* acts
    as a blueprint and defines, both in logical terms (including business
    functions and applications, work locations, information needs and users,
    and the interrelationships among these variables) and in technical terms
    (including IT hardware, software, data communications, and security) how
    the organization operates today, how it intends to operate tomorrow, and a
    road map for transitioning between the two states. 19 This guidance also
    defines a set of recognized key practices (management structures and
    processes) for developing and implementing an enterprise architecture.
    Among other things, these practices include the following:

     The head of the enterprise should recognize that the enterprise
    architecture is a corporate asset for systematically managing
    institutional change by supporting and sponsoring the architecture

    effort and giving it a clear mandate in the form of an enterprise policy
    statement. Such support is crucial to gaining the commitment of all

    19 Chief Information Officers Council, A Practical Guide to Federal
    Enterprise Architecture, version 1.0 (Washington, D. C.: February 2001).

    organizational components of the enterprise, all of which should
    participate in developing and implementing the enterprise architecture.

     The enterprise architecture effort should be directed and overseen by an
    executive body, empowered by the head of the enterprise, with members who
    represent all stakeholder organizations and have the authority to commit
    resources and to make and enforce decisions for their respective
    organizations.

     An individual who serves as the chief enterprise architect, and reports
    to either a chief information officer or comparable senior executive,
    should lead the enterprise architecture effort and manage it as a formal
    program. A formal program entails creating a program office, committing
    core staff, implementing a program management plan that details a work
    breakdown structure and schedule, allocating resources

    and tools, performing basic program management functions (e. g., risk
    management, change control, quality assurance, and configuration
    management), and tracking and reporting progress against measurable goals.

     The enterprise architecture should conform to a specified framework. AOC
    does not have an enterprise architecture or the management foundation
    needed to successfully develop one. Thus far, AOC*s architecture
    activities are confined to OIRM, and they consist of meeting with peer
    agencies, such as the U. S. Capitol Police, to learn about their
    architecture development experiences, and selecting a framework to use in
    developing the architecture. OIRM officials also told us that they are
    finalizing an approach for developing the architecture. AOC has much to do
    and accomplish before it will have either the means

    for developing an architecture or the architecture itself. Central to what
    remains to be done is AOC*s executive leadership providing a clear mandate
    for the architecture and for managing its development consistent with
    recognized best practices and federal guidance. To do less risks producing
    an incomplete architecture that is not used to effectively guide and
    direct business and technology change to optimize agencywide performance.

    AOC Should Define and Our experience with federal agencies has shown that
    the failure to

    Implement Institutional implement rigorous and disciplined acquisition and
    development processes

    Processes for Acquiring and can lead to systems that do not perform as
    intended, are delivered late, and

    Developing IT Systems cost more than planned. The use of disciplined
    processes and controls

    based on well- defined and rigorously enforced policies, practices, and
    procedures for system acquisition and development can reduce that risk.
    Such processes for managing system acquisition/ development are defined in
    various published models and guides, such as Carnegie Mellon University*s
    Software Engineering Institute*s Capability Maturity Model SM . 20
    Examples of key processes from this model include the following:
    Requirements management describes processes for establishing and

    maintaining a common and unambiguous definition of requirements among the
    acquisition team, the system users, and the software development
    contractor. Requirements management includes documenting policies and
    procedures for managing requirements, documenting and validating
    requirements, and establishing baselines

    and controlling changes to the requirements.  Test management describes
    processes for ensuring that the

    software/ system performs according to the requirements and that it
    fulfills its intended use when placed in its intended environment. Test
    management includes developing a test plan, executing the plan,
    documenting and reporting test results, and analyzing test results and
    taking corrective actions.

     Configuration management describes processes for establishing and
    maintaining the integrity of work products throughout the life cycle
    process. Configuration management includes developing a configuration
    management plan; identifying work products to be maintained and
    controlled; establishing a repository or configuration

    management system for tracking work products; and approving, tracking, and
    controlling changes to the products.

     Quality assurance describes processes for providing independent
    verification of the requirements and processes for developing and
    producing the software/ system. Quality assurance includes developing a

    20 Carnegie Mellon Software Engineering Institute, Software Acquisition
    Capability Maturity Model, version 1.03, (March 2002), and Software
    Capability Maturity Model,

    version 1.1 (February 1993).

    quality assurance plan, determining applicable processes and product
    standards to be followed, and conducting reviews to ensure that the
    product and process standards are followed.

     Risk management describes processes for identifying potential problems
    before they occur and adjusting the acquisition to mitigate the chances of
    the problems occurring. Risk management includes developing a project risk
    management plan; identifying and prioritizing potential problems;
    implementing risk mitigation strategies, as required; and tracking and
    reporting progress against the plans.

     Contract tracking and oversight describes processes for ensuring that
    the contractor performs according to the terms of the contract. Contract
    tracking and oversight includes developing a plan for tracking contractor
    activities, measuring contractor performance and conducting periodic
    reviews, and conducting internal reviews of tracking and oversight
    activities. OIRM has defined some of these key processes, but it has not
    defined

    others, and some that are defined are not complete. Moreover, the
    processes that have been defined have not been adopted and implemented
    agencywide. In 1995, OIRM developed its Information Systems Life Cycle
    Directive that defines policies and procedures for software development

    and acquisition. This directive fully addresses the tenets of two key
    process areas* requirements management and test management* and partly
    addresses the tenets of two other areas* quality assurance and
    configuration management. For example, for quality assurance, the
    directive includes the need to conduct quality assurance reviews to ensure
    that product and process standards are followed; however, it does not

    address the need to first identify the process and product standards to be
    followed or the development of a quality assurance plan. Similarly, for
    configuration management, the directive includes requirements for
    developing and executing a plan; identifying work products to be
    maintained and controlled; and tracking, controlling, and releasing work

    products and items. However, it does not include requirements for a
    repository or for a configuration management system that supports tracking
    and controlling changes to work products. Finally, the directive does not
    address two key process areas* risk management and contract tracking and
    oversight.

    The OIRM Director told us that OIRM plans to improve its directive and
    acquire tools to facilitate its implementation. These efforts, if properly

    However, the Security Officer has since resigned and the position is
    vacant. Moreover, because the Security Officer was the only staff member
    dedicated to these tasks, the OIRM Director stated that AOC has yet to
    begin addressing the tasks outlined in the security plan. Currently, AOC
    is attempting to hire a new security officer and plans to hire an
    information

    systems security specialist. Until AOC addresses the elements of an
    effective security program, it will not be in a position to effectively
    safeguard its data and information assets.

    Conclusions The effectiveness with which AOC can use the elements of the
    management and accountability framework* strategic planning,
    organizational alignment, improved internal and external communications,
    performance management, and strategic human capital management* to achieve
    organizational transformation will depend in part on its ability to

    focus on management improvement in its day- to- day operations. A key
    factor in helping AOC to better achieve its mission and program outcomes
    and identify and manage risks while leveraging opportunities is to
    implement and strengthen appropriate internal controls. As it transforms

    the agency, AOC will need to ensure that it adopts management controls by
    (1) further developing and consistently applying transparent human capital
    policies and procedures, (2) continuing to improve its approach to

    budgeting and financial management to support effective and efficient
    program management, and (3) adopting an agency wide approach to IT
    management to position itself to optimize the contribution of IT to agency
    mission performance.

    Recommendations for In order to continue to develop a management
    infrastructure and

    Agency Action strengthen appropriate management controls, we recommend
    that the

    Architect of the Capitol take the following actions: Strengthen AOC*s
    human capital policies, procedures, and processes by  continuing to
    develop and implement agencywide human capital

    policies and procedures, and holding management and employees accountable
    for following these policies and procedures;

     assessing ways in which AOC management could better gather and analyze
    data from the various employee relations offices and EAC while maintaining
    employee confidentiality; and

     establishing a direct reporting relationship between the Ombudsperson
    and the Architect, consistent with professional standards.

    Continue to improve AOC*s approach to financial management by developing
    strategies to institutionalize financial management practices that will
    support budgeting, financial, and program management at AOC. Such
    strategies could include developing performance goals and measures and
    associated roles aimed at increasing the accountability of non- financial
    managers and staff, such as jurisdictional superintendents, program
    managers, and other AOC staff* whose support is critical to the success of
    AOC*s financial management initiatives* and ensuring that these staff

    receive the training needed to effectively carry out their roles and
    responsibilities.

    Adopt an agencywide approach to IT management by doing the following:
    Establishing a chief information officer, or comparable senior executive,

    with the responsibility, authority, and adequate resources for managing IT
    across the agency, who is a full participant in AOC*s senior
    decisionmaking processes, and has clearly defined roles, responsibilities,
    and accountabilities.

     Developing and implementing IT investment management processes with the
    full support and participation of AOC*s senior leadership. Specifically,
    the Architect must develop a plan for developing and implementing the
    investment management processes, as appropriate, that are outlined in our
    IT investment guide. 22 At a minimum, the plan

    should specify measurable tasks, goals, time frames, and resources
    required to develop and implement the processes. The Architect should
    focus first on the management processes associated with controlling
    existing IT projects and establishing the management structures to
    effectively implement an IT management process. 22 GAO/ AIMD- 10. 1.23.

     Developing, implementing, and maintaining an enterprise architecture to
    guide and constrain IT projects throughout AOC. The Architect should
    implement the practices, as appropriate, as outlined in the Chief
    Information Officer Council*s architecture management guide. 23 As a first
    step, the Architect should establish the management structure for
    developing, implementing, and maintaining an enterprise architecture by
    implementing the following actions:  developing an agencywide policy
    statement providing a clear

    mandate for developing, implementing, and maintaining the architecture;

     establishing an executive body composed of stakeholders from AOC
    mission- critical programs offices to guide the strategy for developing
    the enterprise architecture and ensure agency support and resources for
    it; and

     designating an individual who serves as a chief enterprise architect to
    develop policy and lead the development of the enterprise architecture,
    and manage it as a formal program.

     Requiring disciplined and rigorous processes for managing the
    development and acquisition of IT systems, and implementing the processes
    throughout AOC. Specifically, these processes should include the
    following:

     quality assurance processes, including developing a quality assurance
    plan and identifying applicable process and product standards that will be
    used in developing and assessing project processes and products;

     configuration management processes, including establishing a repository
    or configuration management system to maintain and control configuration
    management items;

     risk management processes, including developing a project risk
    management plan, identifying and prioritizing potential problems,

    23 Chief Information Officers Council, A Practical Guide to Federal
    Enterprise Architecture, version 1.0 (Washington, D. C.: February 2001).

    implementing risk mitigation strategies, as required, and tracking and
    reporting progress against the plans; and

     contract tracking and oversight processes, including developing a plan
    for tracking contractor activities, measuring contractor performance and
    conducting periodic reviews, and conducting internal reviews of tracking
    and oversight activities.

     Establishing and implementing an information security program.
    Specifically, the Architect should establish an information security
    program by taking the following steps:

     designate a security officer and provide him or her with the authority
    and resources to implement an agencywide security program;  develop and
    implement policy and guidance to perform risk assessments continually;

     use the results of the risk assessments to develop and implement
    appropriate controls;

     develop policies for security training and awareness and provide the
    training; and

     monitor and evaluate policy and control effectiveness. 24 Agency
    Comments In his comments on this chapter, the Architect generally agreed
    with our

    recommendations and discussed the relevant efforts AOC has under way in
    the areas of human capital policies, financial management, and IT
    management. For example, the Architect stated that AOC has formed a team
    including representatives from all key offices and employee groups to

    explore the development of a confidential process to track employee
    relations issues agencywide. In the area of financial management, the
    Architect underscored a number of initiatives under way, including the
    piloting of financial management training for line managers and staff and
    indicated that AOC*s implementation plan will include a strategy for
    incorporating financial management best practices throughout AOC.

    24 GAO/ AIMD- 98- 68.

    Finally, the Architect stated that IT is a key enabler of AOC*s strategy
    for organizational improvement and that OIRM will work closely with the
    Senior Policy Committee to establish an agencywide approach to IT
    management. The Architect cautioned that fully implementing the
    information technology framework that we laid out will take considerable
    time, but that AOC*s implementation plan will include a more specific
    approach to developing and implementing this framework. The Architect*s
    comments are reprinted in appendix II.

    Strategic Management Framework Important for Addressing Long- standing
    Worker Safety,

    Chapt er 4

    Project Management, and Recycling Issues In the preceding chapters, we
    discussed the need for the Office of the Architect of the Capitol (AOC) to
    put in place the management and accountability framework needed for
    organizational transformation* leadership, strategic planning,
    organizational alignment, communications, and performance measurement* and
    the management infrastructure of

    financial, information technology, and other controls that support the
    transformation. The management and accountability framework needed for
    transformation and the management infrastructure of financial, information
    technology, and other controls cut across AOC*s programs and

    influence its performance in all areas critical to achieving its mission.
    Improvements in these areas can also ameliorate the performance of program
    areas of long- standing concern to AOC*s employees and congressional
    stakeholders* worker safety, project management, and recycling. In recent
    years, AOC has had among the highest worker injury rates in the federal
    government. Furthermore, AOC*s annual appropriations for capital projects
    have increased substantially in recent years, placing AOC at greater risk
    of project delays and cost overruns. Finally, high rates of contamination
    of recyclable materials continue to detract from accomplishing the
    environmental goals of AOC*s recycling programs. AOC has made recent
    progress in all these areas. However, significant

    opportunities exist to build on this progress to bring about significant,
    lasting performance improvements. For example, the Architect has declared
    that safety is the agency*s number one priority and established a target
    for reducing injuries. Nonetheless, relating safety to other pressing
    priorities and developing a clear strategy for how working safely will
    become the cultural norm, is still a work in progress at AOC. Similarly,
    AOC has adopted industry best practices for project management, but
    implementation is uneven and hampered by weaknesses in leadership,
    performance and financial management, priority setting, communication, and
    strategic management of human capital. Finally, although AOC has recently
    made improvements to the House and Senate recycling programs,
    contamination of recycled materials remains high, and the goals for the
    overall program remain unclear.

    AOC*s Worker Safety Worker safety at AOC has been the subject of
    congressional scrutiny for the

    Efforts Are Substantial, past several years because AOC had higher injury
    and illness rates than

    many other federal agencies and substantially higher rates than the
    federal but AOC Needs to

    government as a whole, as seen in table 1. Develop a Strategic Approach to
    Achieve a Safer Workplace

    Table 1: Federal Agencies with the Highest Injury and Illness Rates,
    Fiscal Years 1999 through 2001 1999 2000 2001 Agency Rate Agency Rate
    Agency Rate

    All federal government 3.91 All federal government 3.95 All federal
    government 3.98 Immigration and Naturalization 14.14 Architect of the
    Capitol 17. 90 Presidio Trust 14.97 Service Architect of the Capitol 14.11
    Immigration and Naturalization

    14. 04 Immigration and Naturalization Service Service 13.44 Bureau of
    Engraving and

    12.76 U. S. Mint 13. 47 Architect of the Capitol 11.02 Printing National
    Park Service 12.16 Bureau of Indian Affairs 12.69 National Park Service
    10.92

    U. S. Mint 10.52 Bureau of Engraving and 12. 28 U. S. Mint 10. 38 Printing
    Source: U. S. Department of Labor, Occupational Safety and Health
    Administration (OSHA).

    Note: Job related injuries and illnesses per 100 employees as recorded
    under the Federal Employees* Compensation Act program.

    The Architect responded to these concerns by declaring safety the agency*s
    top priority and undertaking a number of initiatives that correspond to
    the components of an effective safety program, as identified by safety
    experts and federal safety agencies. These core components include
    management commitment, employee involvement, identification, analysis and
    development of controls for problem jobs, education and training, and
    medical management. Key among AOC*s activities is the planned development
    and implementation, by 2005, of about 43 specialized safety programs on
    topics ranging from handling asbestos to working safely in confined
    spaces. These programs are designed to help AOC comply with federal safety
    and health regulations. Fifteen of these specialized programs

    have been approved; none have yet been fully implemented across all of
    AOC*s jurisdictions.

    AOC*s efforts are commendable and AOC employees who participated in our
    focus groups noted positive changes in worker safety. As a next step, AOC
    needs to integrate the safety goals in its draft Safety Master Plan with
    AOC*s strategic goals in its overall strategic plan, and to develop
    performance measures to assess its progress in achieving these goals. The
    Director of AOC*s Safety, Fire, and Environmental Programs, who oversees
    AOC*s workplace safety program, has acknowledged that the two strategic
    planning efforts must be further integrated. Also, AOC has established
    mechanisms to foster employee involvement, such as encouraging employees
    to report job- related injuries and hazards. Building on these

    efforts, AOC needs to establish a formal mechanism for reporting to ensure
    complete reporting of hazards. AOC*s approach to identifying, analyzing,
    and developing controls for problem jobs is inconsistent and does not

    ensure that all workplace hazards are being addressed. Moreover, AOC has
    provided a significant amount of training to its employees, but the
    training activities could be better linked to AOC*s safety goal of
    changing its workplace culture to increase staff awareness, commitment,
    and involvement in safety and health. Finally, AOC*s medical management
    activities could be better coordinated with the worker safety program, so
    that information about workplace injuries and illnesses could be more
    widely shared and used to better target prevention efforts.

    Effective Safety and Health Safety experts and federal safety agencies
    agree that, to build an effective

    Programs Depend on a Set safety program, organizations must take a
    strategic approach to managing

    of Core Components workplace safety and health. This objective is
    generally accomplished by establishing a safety program built upon a set
    of six core program

    components, which, together, help an organization lay out what it is
    trying to achieve, assess progress, and ensure that safety policies and
    procedures are appropriate and effective. The six core components of an
    effective safety and health program are (1) management commitment, (2)
    employee involvement, (3) identification of problem jobs, (4) analysis and
    development of controls for problem jobs, (5) education and training, and
    (6) medical management. Table 2 lists these components, along with a
    description of the key activities upon which each component is built.

    Table 2: Components of an Effective Safety and Health Program and How They
    Are Demonstrated Component a Supporting activities

    Management  Establish goals for the program, collect reliable data, and
    evaluate results. commitment  Establish program responsibilities of
    managers and employees for safety and health in the workplace and hold
    them accountable for carrying out those responsibilities.

     Communicate to the staff the program*s importance. Employee involvement
     Establish mechanisms to get employees involved in the program, such as
    creating committees or teams to receive information on problem jobs or
    areas.

     Establish procedures for employees to report job- related fatalities,
    injuries, illnesses, incidents, and hazards; ensure that employees are not
    discouraged from reporting job- related fatalities, injuries, illnesses,
    incidents, and hazards.

     Establish regular channels of communication with employees regarding
    worker safety issues. Identification of  Follow up on employee reports of
    fatalities, injuries, illnesses, incidents, and hazards. problem jobs
    Review injury logs or other data to identify problem areas.

     Conduct inspections of the workplace to identify incidents and hazards
    causing injuries, illnesses, or fatalities. Analysis and

     Through investigation or other analysis, identify hazards present in
    problem jobs. development of controls

     Develop controls for problem jobs by brainstorming with employees or
    other methods. for problem jobs

     Follow up to ensure that hazards are abated and controls are effective.
    Education and training  Provide general awareness training to all
    employees so they can recognize hazards and risks; learn procedures for
    reporting job- related fatalities, injuries, illnesses, incidents, and
    hazards; and become familiar with the program.  Provide targeted training
    to specified groups of employees because of the jobs they hold, the
    hazards they face, or their roles in the program.

    Medical management b  Encourage early reporting of symptoms and ensure
    that employees do not fear reprisal or discrimination.  Ensure a prompt
    evaluation by a medical provider.  Provide employees who have work-
    related medical conditions with restricted or light duty employment.

    Sources: OSHA, Safety and Health Program Management Guidelines, Issuance
    of Voluntary Guidelines, Federal Register 54: 3904- 3916 (Washington, D.
    C.: Jan. 26, 1989) and U. S. General Accounting Office, Private Sector
    Ergonomics Programs Yield Positive Results, GAO/ HEHS- 97- 163
    (Washington, D. C.: Aug. 27, 1997). a Different terminology is often used
    to describe these components. For example, identification of problem jobs
    is sometimes referred to as hazard identification and assessment. Analysis
    and development of controls for problem jobs is sometimes referred to as
    hazard prevention and control. The terms used here are identical to those
    used in our prior work. b An organization may have a medical management
    program without necessarily having a safety and

    health program.

    Our April 2002 statement assessed AOC*s efforts in implementing the first
    four components. Since that time, we have assessed AOC*s activities in the
    remaining two areas: education and training and medical management. We
    also met with DuPont Safety Resources 1 and the Department of Defense to

    discuss best practices in worker safety. Management Commitment:

    AOC has undertaken a number of actions that demonstrate its commitment
    Safety Program*s

    to worker safety. As a next step, it needs to develop safety program goals
    Importance Has Been

    that are integrated with broader agency goals. In an effort to highlight
    the Communicated, but Goals

    importance of worker safety, the Architect proclaimed safety to be the
    agency*s top priority in fiscal year 2001, and established the goal of
    Need to Be Integrated with reducing total injuries and illnesses by 10
    percent each year through fiscal Agency Goals and

    year 2005. As we reported in April 2002, AOC further demonstrated its
    Performance Measures

    commitment by devoting additional resources to safety, such as increasing
    Need to Be Developed

    staffing levels in its central safety office and assigning safety staff to
    seven of its eight jurisdictions. Additionally, AOC has consulted with the
    Department of Labor*s Occupational Safety and Health Administration (OSHA)
    2 on how to record illnesses and injuries and with the congressional
    Office of Compliance on how to comply with OSHA requirements. AOC has also
    contracted with DuPont Safety Resources to provide a baseline

    assessment of AOC*s safety activities and to provide best practices
    briefings for AOC senior executives and safety specialists for adopting a
    safety culture, including key components of an effective safety and health
    program. AOC has also contracted with the Department of Health and Human
    Services* Public Health Service (PHS), 3 which is developing AOC*s

    1 DuPont Safety Resources is a part of DuPont*s Safety and Protection
    business segment, which provides consulting and training services on
    worker safety, contractor safety, ergonomics, and asset effectiveness to
    public and private sector customers. 2 OSHA was established under the
    Occupational Safety and Health Act of 1970 to *Assure so far as possible
    every working man and woman in the Nation safe and healthful working

    conditions.* This mandate involves the application of a set of tools by
    OSHA (e. g., standards development, enforcement, and compliance
    assistance), which enable employers to maintain safe and healthful
    workplaces.

    3 According to the PHS, it is one of the nation*s seven uniformed services
    and consists of approximately 6,000 officers, who serve under the
    leadership of the U. S. Surgeon General. Its mission is to provide highly
    trained and mobile health professionals who carry out

    programs to promote the health of the nation, understand and prevent
    disease and injury, assure safe and effective drugs and medical devices,
    deliver health services to federal beneficiaries, and furnish health
    expertise in times of war or other national or international emergencies.

    43 specialized safety programs, providing safety training, and identifying
    hazards associated with AOC job tasks. AOC is developing a 5- year Safety
    Master Plan that, when completed, is to be used as a road map to identify
    its safety goals and philosophy, establish priorities, assign
    responsibilities, and identify project and funding needs. AOC employees
    who participated in our focus groups also noted positive changes in
    communicating worker safety. Many participants felt that AOC takes safety-
    related incidents seriously and that there has been an increased emphasis
    on safety. To achieve a safer workplace, AOC needs to integrate the safety
    goals in its

    draft Safety Master Plan with the strategic goals in its draft Strategic
    Plan. The Director of AOC*s Safety Program has acknowledged that as a next
    step, the two strategic planning efforts must be integrated. Private
    sector best practices indicate that an organization needs safety goals
    that are consistent and integrated with other organizational goals. Safety
    goals should be well integrated into the organizational culture so that it
    becomes second nature for employees to perform all tasks safely, and so
    that there is little tolerance for unsafe work practices.

    AOC has not yet developed performance measures to assess progress in
    achieving these safety goals. AOC officials have indicated that the
    development and implementation of the 43 specialized safety programs is
    their primary focus, and they plan to implement all of these programs by
    fiscal year 2005. Although 15 of these programs have been written and
    approved by the Architect, the standard operating procedures that are
    needed to fully implement these programs in the jurisdictions have not
    been approved. AOC*s draft Safety Master Plan currently provides
    information about the development and expected approval dates for the
    remaining programs, but does not provide other milestones or performance
    measures for the full implementation of these programs in the
    jurisdictions, including the anticipated time frames for developing and
    approving the standard operating procedures. Identifying interim
    milestones would help AOC assess its progress in achieving its fiscal year
    2005 completion target and underscore for AOC employees and external
    stakeholders the

    importance AOC places on worker safety.

    The only performance measure that AOC has developed for assessing the
    worker safety program is a 10 percent reduction in injuries. This measure
    was based on a general sense of how much of a reduction would be
    achievable overall and how high the goal should be to motivate
    improvements. As we reported in April 2002, AOC is measuring its progress
    in achieving this reduction using the number of claims for compensation
    for workplace injuries and illnesses under the Federal Workers*
    Compensation Program. However, it provides an incomplete picture of the
    overall level of safety because the number of claims in any organization
    can

    be affected by factors not directly related to safety, such as poor morale
    among employees or a lack of knowledge about how or when to file a claim.
    Also, the use of these data as a measure of safety program performance is
    not directly comparable to key measures used in the private sector, which
    uses *OSHA recordables* to assess worker safety. 4 We reported in April
    2002 that AOC had begun to collect these data on a limited basis. Since
    that time, AOC has begun to develop a more standardized

    approach to collect and track OSHA recordables. AOC is also trying to
    formalize partnerships with the Office of Compliance and OSHA to provide
    technical assistance that could facilitate standardizing these data.
    Moreover, AOC employees at all levels need to be held accountable for

    achieving the safety goals. For example, the first goal in AOC*s draft
    Safety Master Plan* providing a safe and healthful environment through the
    identification and elimination of hazards* has as an objective to ensure
    that all facilities, processes, and equipment include safety
    considerations in their design, development, and implementation to
    eliminate hazards. Yet, at this stage, AOC has not fully linked employee
    performance with the achievement of these safety goals and objectives. For
    example, there was a recurring observation made by focus group
    participants that time constraints to complete jobs and supervisory
    pressure adversely affect attention to safety. Although the incentive to
    focus on safety has been built

    into the performance appraisal system for employees, it is not addressed
    for senior managers and does not apply to employees who do not participate
    in AOC*s performance appraisal system.

    We also reported in April 2002 that AOC needed to clearly define roles,
    responsibilities, and authorities of safety personnel at the central and

    4 An OSHA recordable is any work- related injury or illness that results
    in death, loss of consciousness, days away from work, restricted work
    activity or transfer, or medical treatment beyond first aid.

    jurisdictional levels. According to the central and jurisdictional safety
    staffs, AOC has now clearly defined their respective roles and
    responsibilities. However, it is still unclear how they are being held
    accountable for achieving the safety program*s goals. The central safety
    office staff are responsible for the overall management of the 43
    specialized programs, and they rely on the jurisdictional safety
    specialists to develop

    the specific procedures necessary for AOC to fully implement these
    programs. The jurisdictional safety specialists report to jurisdictional
    superintendents and not to the Director of Safety, Fire, and Environmental
    Programs, and they have other safety responsibilities and tasks, such as
    training and investigating accidents and injuries. Because jurisdictional
    safety specialists must focus on safety priorities as established by
    superintendents and line managers in their jurisdictions, they have
    limited

    time to spend on developing procedures to implement the specialized safety
    programs.

    Employee Involvement: AOC has a number of mechanisms to obtain employee
    involvement in its

    AOC Has Established safety program and encourages employees to report
    injuries and hazards. Mechanisms for

    AOC now needs to establish a formal reporting mechanism in order to
    Involvement, but Complete

    provide assurance that these safety data are complete. AOC has established
    employee safety committees at both the jurisdictional and senior Reporting
    of Hazards Is Not

    management levels. The jurisdictional committees, referred to as Assured

    Jurisdictional Occupational Safety and Health committees, include
    frontline employees and jurisdictional specialists who perform a variety
    of activities ranging from training to accident investigations. The senior
    management committee, referred to as the Safety, Health, and Environmental
    Council, or SHEC, consists of superintendents and AOC safety staff. This
    committee meets quarterly and addresses various topics on an ad hoc basis.
    As we reported in April 2002, establishing these committees is a positive
    step toward achieving employee involvement. In its baseline assessment of
    AOC, DuPont Safety Resources cited these mechanisms as a strength of the
    agency*s worker safety program.

    Employee involvement also includes establishing procedures for employees
    to report job- related illnesses, injuries, incidents, and hazards and
    encouraging them to do so. In April 2002, the Architect issued a
    memorandum encouraging employees to report all injuries and illnesses,
    regardless of severity. Many of the focus group participants indicated
    that they generally felt comfortable reporting injuries, incidents, and
    hazards. However, there were participants in some focus groups who
    indicated that they were hesitant to report hazards because they were not
    sure how

    seriously their supervisors would treat these reports. Many participants
    commented that they did not feel protected from safety and health hazards.
    For example, some participants said that they were not adequately prepared
    to deal with hazardous substances. In that respect, policies and

    procedures for reporting accidents should also apply to hazards and other
    conditions that may lead to accidents. The recent implementation of a
    performance appraisal system that holds frontline employees under this
    system accountable for observing and promptly reporting safety issues to
    supervisors is a very encouraging step. If effectively implemented, this
    appraisal system will also help ensure that employees will be encouraged

    to report hazards, that supervisors will take those reports seriously, and
    that senior managers will be accountable for acting on these reports.

    Identification, Analysis, and AOC has a number of procedures in place to
    identify the underlying

    Development of Controls hazards that make jobs dangerous and to develop
    remedies for those

    for Problem Jobs: AOC*s hazards. However, these efforts are inconsistent
    and do not ensure that

    Inconsistent Approach Does corrective actions are taken to eliminate
    hazards and prevent future

    injuries and illnesses. A comprehensive, consistently implemented system
    Not Ensure a Risk- Based

    is critical to providing AOC with the assurance that its efforts are risk
    Approach to Addressing

    based* targeted directly toward identifying and abating those factors
    Workplace Hazards

    leading to the most severe and frequent incidents, accidents, and hazards.
    We reported in April 2002 that AOC has provided some assurance that
    accidents are being investigated and hazards addressed by placing safety
    specialists in several jurisdictions. Yet, there is no consistent AOC-
    wide system for conducting investigations and follow- up to ensure that
    workers across the jurisdictions are receiving the same level of
    protection. In the absence of an AOC- wide system, we found that some of
    the jurisdictions have (1) developed their own specific procedures for
    conducting investigations, (2) involved different staff members in the
    investigations, and (3) developed their own forms to gather accident or
    incident data. However, there were a few focus group participants who
    questioned whether sufficient controls existed to ensure that supervisors
    acted on all reports, particularly those that are not documented. We found
    that only two of AOC*s eight jurisdictions have procedures for tracking
    hazard reports and the follow- up actions taken to address those reports,
    even when there has not been an accident. In the absence of consistent
    AOC- wide processes for conducting investigations, we found generally ad
    hoc or infrequent efforts to use existing information from either the
    internal workers* compensation database or from other sources to look for
    common problem areas to identify potentially hazardous jobs.

    Because AOC has not yet established an agencywide procedure to ensure that
    all jurisdictions perform at least a basic level of investigation and data
    gathering, it does not have the means for assuring that actual and
    potential causes of accidents will be abated. DuPont Safety Resources also
    found that AOC could improve its investigation process, and in 1998, the
    Office of Compliance recommended that AOC develop a system to routinely
    investigate accidents or hazardous situations and to ensure that hazards
    are corrected.

    AOC has recognized the need to have better information on problem jobs and
    is beginning to make several improvements in this area. For example, AOC
    has contracted with PHS to conduct agencywide job hazard analyses.

    Eventually, this information on job hazards will be integrated with the
    agency*s Computer Aided Facility Management System, although AOC has not
    set a date for when this will be accomplished. Also, AOC has procured a
    data system* the Facility Management Assistant system* that it plans to
    use for recording and monitoring the results of inspections. According to
    AOC safety officials, this system should help safety personnel identify
    potential problem areas. However, this system is not scheduled for full
    implementation until later in fiscal year 2003. Finally, as a part of its
    longterm

    effort to develop its 43 specialized safety programs, AOC has included at
    least 2 programs, scheduled to be implemented by the end of fiscal year
    2005 that will address *Mishap Prevention and Reporting* and *Hazard
    Abatement and Inspections,* but these programs have yet to be developed or
    approved. In the meantime, at the recommendation of DuPont Safety
    Resources, AOC has convened several work groups composed of safety

    and other relevant staff to help improve accident and near- miss reporting
    and investigations, which we hope will guide AOC*s efforts to develop an
    agencywide system for conducting investigations and follow- up.

    Education and Training: AOC has adopted a compliance- based approach to
    providing safety training

    Activities Could Be More to its employees. However, this type of training
    is not sufficient, in itself, to

    Supportive of Improving the achieve AOC*s long- range goal of instilling
    safety as a basic organizational

    Safety Culture; value. In fiscal year 2001 alone, AOC reported that it
    provided over 13, 000 hours of formal training to its employees. Most of
    this training is driven by

    Effectiveness Evaluated in federal safety and health regulations, which
    provide the basis for AOC*s 43

    Achieving a Safer specialized safety programs. This safety training,
    covering such topics as

    Workplace asbestos management, is offered by or through AOC*s HRMD. AOC
    safety

    specialists and supervisors have also provided informal training* such as
    general safety awareness talks* to frontline staff in the jurisdictions.
    These

    efforts were acknowledged in our focus groups, as almost all of the focus
    group participants reported receiving safety training in the last 12
    months.

    In addition to helping AOC achieve compliance, training should support
    AOC*s safety goal of changing workplace culture to increase staff
    awareness, commitment, and involvement in safety and health. Comments from
    DuPont Safety Resources* representatives and some AOC safety specialists
    suggest that in order to change the safety culture, AOC could target its
    safety awareness training so that it better motivates employees at all
    levels to incorporate safety into all aspects of their work. Many focus
    group participants reported that they did not understand how some of the
    training provided was pertinent to their work. Once AOC has gathered the
    safety data it needs to help it assess the areas of highest risk for
    hazards, injuries, accidents, and illnesses, AOC*s safety training could
    also be

    targeted to address these high- risk areas. A comprehensive approach to
    evaluate the effectiveness of training includes assessments of changes in
    employee behaviors and how the training influences organizational results.
    While AOC performs quality control assessments for each course offered, it
    has not evaluated the overall effectiveness of its training activities to
    determine if they are helping AOC achieve a safer workplace and improving
    the safety culture. In this regard, as noted above, the majority of the
    formal training provided is required by federal safety and health
    regulations, and although AOC routinely obtains feedback from employees
    and subject matter experts on the quality of individual courses, there is
    little effort to evaluate whether

    these courses are having an impact on AOC employees* work habits, so it is
    not clear to AOC if this training is effective in achieving this
    objective.

    AOC safety and HRMD staffs have not yet established a systematic process
    to identify training needs for individual employees to help ensure the
    safety program*s success. Instead jurisdictional safety specialists,
    working with HRMD, are developing this training on an ad hoc basis. For
    example, according to the House jurisdiction safety specialist,
    supervisors needed

    additional skills to fully understand their role in the safety program.
    The House jurisdiction worked through HRMD and the National Safety Council
    of Maryland to deliver this type of training to supervisors in the House.

    Also, the procedures and responsibilities for monitoring training
    requirements for the safety program are not well defined. Currently, the
    HRMD staff, the central safety office staff, jurisdictional safety
    specialists, and frontline supervisors share responsibilities for
    monitoring safety

    training. HRMD maintains a central record of AOC- sponsored training
    courses and employees* training attendance but does not identify when
    employees need training. As a result, jurisdictional safety specialists
    and frontline supervisors must determine when employees need required
    training and ensure that they receive such training. For example,

    jurisdictional safety specialists are tracking this information themselves
    using individual systems, thus leading to inconsistencies across
    jurisdictions and potentially duplicative record- keeping activities.
    AOC*s draft Safety Master Plan refers to a *tickler* 5 that, once
    developed, is to be included in the central training system and will
    identify training needs for individual employees. This tool, in addition
    to a system that inventories employees* certifications and licenses,
    should be valuable in helping AOC employees stay abreast of their safety
    training needs and requirements.

    Medical Management: AOC*s medical management activities are carried out by
    several offices

    Activities Can Be Better with no central coordination, so valuable
    information about workplace

    Coordinated with AOC*s injuries and illnesses is not routinely shared or
    best used to target

    Safety Program So prevention efforts. Overall, AOC*s medical management
    activities are Potentially Useful

    aimed at reducing the incidence and severity of work- related injuries and
    illnesses and controlling workers* compensation costs, which have
    Information Can Be

    changed little over the last several years. (See figure 2). AOC has
    partnered Routinely Shared

    with the congressional Office of the Attending Physician (OAP) to conduct
    OSHA- mandated medical examinations for AOC employees exposed to hazardous
    substances, while HRMD has developed a return- to- work program that
    offers modified- duty assignments to enable recovering employees to return
    to work as soon as practical. HRMD also provides

    active outreach to AOC employees to keep them informed about their rights
    and duties with respect to the federal workers compensation program. In
    addition, HRMD follows up on reports of program abuses through private
    investigations and ongoing contact with the Department of Labor*s Office
    of Workers* Compensation Programs.

    5 A file that serves as a reminder and is arranged to bring matters to
    timely attention.

    Merriam- Webster*s Collegiate Dictionary, 10th Edition (Springfield, MA),
    1977.

    Figure 2: AOC Workers* Compensation Payments, Fiscal Years 1997 through
    2002 3,500,000

    Dollars in millions 3,000,000 2,500,000 2,000,000 1,500,000 1,000,000

    500,000 0

    1997 1998 1999 2000 2001 2002 Fiscal year

    Compensation payment Medical payments Source: Department of Labor's Office
    of Workers' Compensation Programs and AOC.

    Although these activities generally support AOC*s safety program, we have
    observed a lack of clarity regarding the roles of the many offices
    involved in these efforts. Medical management activities typically involve
    a number of separate entities, including human resources staff, health
    care providers, occupational health and safety experts, employees, and
    managers. To be effective, these activities require a high level of
    coordination among these entities. However, the lack of clarity at AOC has
    led to a limited exchange of important information that could be used to
    improve the safety

    program*s performance.

    In particular, the role of OAP could be more clearly defined and expanded,
    in accordance with the 1998 Memorandum of Understanding between AOC and
    OAP. 6 OAP provides primary care and emergency, environmental, and
    occupational health services in direct support of members of the Congress,
    their staffs, pages, visiting dignitaries, and tourists. 7 As specified in
    the Memorandum of Understanding, OAP conducts OSHA- mandated medical
    examinations for AOC employees exposed to hazardous

    substances, provides first aid for many AOC employees, and approves
    modified- duty assignments for recovering AOC employees. 8 However, the

    Memorandum of Understanding allows a broader role for OAP in providing
    medical expertise, which could potentially include providing valuable data
    on the hazards causing injuries and illnesses at AOC, providing trend
    information on the results of medical examinations, and helping AOC
    standardize reporting procedures. According to the Director of AOC*s
    Safety, Fire, and Environmental Programs, as many as 30 percent of AOC*s
    reported injuries are probably not serious enough to warrant medical
    treatment. However, it is difficult to determine the severity of reported
    injuries without better injury data, underscoring the need for
    standardized reporting procedures. OAP could be instrumental in helping
    AOC develop these procedures.

    AOC central safety staff and HRMD could coordinate more to facilitate the
    exchange of information to further control workers* compensation costs. In
    particular, HRMD staff uses injury data primarily for processing workers*
    compensation claims, but the central safety office does not systematically
    or routinely analyze these data to better understand and address the
    causes

    of injuries and illnesses. Also, superintendents do not routinely receive
    data on the costs associated with injuries in each jurisdiction, so they
    are not fully aware of them. Having these data would help AOC hold these
    managers accountable for reducing these costs. Furthermore, although

    6 Memorandum of Understanding Between the Office of the Architect of the
    Capitol and the Office of the Attending Physician, signed December, 1998,
    effective date: January 4, 1999. 7 OAP was established in 1928 and employs
    about 37 staff, 17 of whom are nurses employed by AOC. OAP also treats
    justices of the Supreme Court and maintains a liaison with military

    and civilian hospitals to facilitate necessary referrals of patients
    requiring hospitalization. 8 Medical surveillance examinations are
    required by OSHA for employees whose jobs expose them to known hazards,
    such as arsenic or benzene. These examinations are conducted at scheduled
    intervals, that is, yearly, in order to detect health problems in exposed
    employees early enough to prevent or limit the progression of a work-
    related disease by limiting further exposure and by offering timely
    medical intervention.

    HRMD encourages supervisor involvement in identifying and overseeing
    modified- duty assignments that would enable AOC to engage injured workers
    in productive work to reduce injury costs, some jurisdictional staff

    we spoke with generally do not feel it is their responsibility to do so.
    One way to ensure that information is fully disclosed and analyzed is to
    provide a regular forum, such as a work group of superintendents, HRMD
    staff, OAP staff, and safety specialists, to discuss new and ongoing
    claims. This strategy has been adopted by the Department of Defense (DOD)
    and has proved to be useful in managing workers* compensation claims and
    costs, according to DOD officials who specialize in this area. By focusing
    management attention on workers* compensation claims and costs, AOC

    may provide a clearer incentive for staff at all levels to be more
    actively involved in modified- duty assignments and in other safety
    activities. Conclusions AOC has taken significant steps toward
    implementing the necessary components of an effective worker safety and
    health program, and the level

    of effort it has devoted to worker safety is unquestionable. However,
    achieving a safer workplace at AOC will depend in part on AOC*s ability to
    integrate the safety goals in its draft Safety Master Plan with the
    strategic goals in its draft Strategic Plan to bring about long- term
    cultural change so that there is little tolerance for unsafe work
    practices. AOC*s potential to realize success is greater if it develops
    safety goals and measures that are fully integrated with AOC*s other
    agencywide goals; this is the best way to

    ensure that management and employees are clear about where safety stands
    in relation to the many other work priorities AOC faces every day. For
    example, in order to ensure that AOC achieves its fiscal year 2005
    completion target for the 43 specialized safety programs, we believe that
    identifying interim milestones and measures would help AOC assess its
    progress in achieving its target.

    AOC could also benefit from having clearly defined and documented policies
    and procedures for reporting hazards, much like those that exist for
    injuries and illnesses, for this is the best way to ensure that AOC fully
    understands problem areas. There is also merit to having consistent
    procedures for conducting investigations and follow- up, so AOC will be
    assured that potential hazards are being addressed consistently in all
    jurisdictions.

    Regarding its safety training and medical management activities, AOC has
    made initial efforts to incorporate the knowledge and skills of various
    offices to help the safety program. Nonetheless, there are untapped

    resources within AOC that could be better utilized to help the safety
    program achieve its goals. For example, training that is more directly
    linked to AOC*s goal of adopting a safety culture, as well as more
    effective assessments of that training, will help AOC achieve its goals
    more efficiently. Also, AOC could benefit from a clearer definition of
    responsibilities for tracking and recording training that is received. AOC
    could also make better use of OAP*s resources. There are a number of
    additional functions OAP can provide for AOC that we believe are

    consistent with the current Memorandum of Understanding, such as providing
    valuable data on the hazards causing injuries and illnesses at AOC. We
    also believe that a senior- management group that routinely discusses
    workers* compensation claims and costs will help highlight these issues to
    all managers, and ultimately make managers more accountable for reducing
    these costs. By taking advantage of these opportunities, AOC could ensure
    that these medical management activities are better linked to the goals of
    the safety program and the overall mission of the agency.

    Recommendations for To enhance AOC*s ongoing efforts to establish a
    strategy for the worker

    Agency Action safety program by establishing safety program goals that are
    fully

    integrated with AOC*s agencywide goals, we recommend that the Architect of
    the Capitol

     identify performance measures for safety goals and objectives, including
    measures for how AOC will implement the 43 specialized safety programs and
    how superintendents and employees will be held accountable for achieving
    results;

     establish clearly defined and documented policies and procedures for
    reporting hazards similar to those that apply to injury and illness
    reporting;

     establish a consistent, AOC- wide system for conducting investigations
    and follow- up;  establish a safety training curriculum that fully
    supports all of the goals

    of the safety program and further evaluate the effectiveness of the
    training provided;

     assign clear responsibility for tracking and recording training received
    by AOC employees, including maintaining an inventory of employees*
    certifications and licenses;

     clarify and explore the possibility of expanding the role of OAP in
    helping AOC meet its safety goals, consistent with the broad
    responsibilities laid out in the 1998 Memorandum of Understanding between
    AOC and OAP; and

     establish a senior management work group that will routinely discuss
    workers* compensation cases and costs, and develop strategies to reduce
    these injuries and costs.

    AOC Has Identified AOC is responsible for the maintenance, operation,
    preservation, and

    Best Practices for development of the buildings and grounds primarily
    located within the

    Capitol Hill complex. The historic nature and high- profile use of many of
    Project Management,

    these buildings create a complex environment in which to carry out this
    but Implementation Is mission. As a part of that mission, AOC is
    responsible for making all

    Uneven necessary capital improvements within the complex, including major

    renovations and new construction. Over the next few years, four
    highprofile capital projects are expected to cost over a half billion
    dollars: the $265 million Capitol Visitors* Center project, the $122.3
    million Supreme Court Modernization project, the $81.8 million West
    Refrigeration Plant Expansion project, and a combined $72 million for the
    House and Senate Perimeter Security projects initiated following the
    events of September 11, 2001.

    The magnitude of AOC*s recent projects and the recent growth in annual
    appropriations highlights the importance of managing this large portfolio
    of projects according to leading industry practices. As shown in figure 3,
    AOC*s annual appropriations for capital projects has increased over the
    last 10 years from $23.6 million in fiscal year 1994 to $190.3 million in
    fiscal year 2003. AOC*s capital appropriations peaked in fiscal year 2001
    at $279 million due to a $244 million emergency supplemental appropriation

    following the terrorist attacks* over a 700 percent increase above the
    original capital appropriation. The growth in capital appropriations is
    most evident in the last 5 years: the average capital appropriation from
    fiscal years 1999 through 2003 was $186.5 million, while the average
    capital appropriation over the previous 5 years was $35.6 million.

    Figure 3: AOC Annual Appropriations for Capital Projects from Fiscal Years
    1994 through 2003

    300 Dollars in millions

    278.6

    250

    237.0

    200

    190.3 154.3

    150 100

    72.0 61.1 50

    47.9 23.6 27.9

    17.3

    0 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 Fiscal year

    Source: AOC. Notes: The fiscal year 2003 capital project appropriation is
    the amount requested by AOC. Annual appropriations for capital projects do
    not include appropriations related to the Supreme Court jurisdiction.

    AOC*s Office of the Chief of Design and Construction (OCODC) is
    responsible for the planning, design, and construction of capital projects
    vital to achieving the agency*s mission. The office also provides
    technical assistance to AOC jurisdictions as they handle their day- to-
    day operations. The office is divided into separate divisions that provide
    the direct and indirect services that are required throughout a project*s
    life cycle: (1) Architecture Division, (2) Engineering Division, (3)
    Construction

    Management Division, and (4) Technical Support Division. The office also
    has a Planning and Programming Division, which is not currently staffed,
    and there is a proposal for a separate Project Management Division.

    As of May 2002, OCODC had a total of 128 full time equivalents, excluding
    Davis- Bacon workers assigned to the Construction Branch. Responsibility
    for the management of individual projects, including schedule, budget,
    scope, and quality, primarily falls to architects and engineers who are
    assigned as project managers. However, AOC jurisdiction staff can also be
    assigned as project managers for capital projects within their
    jurisdictions. As of July 2002, AOC had 83 individuals* 58 from the Office
    of Design and Construction and 25 from AOC jurisdictions* listed as
    project managers in

    some capacity. The majority, however, are not dedicated solely to the task
    of project management. AOC supplements its staff by contracting for many
    of the design, construction, and construction management services. AOC
    divides capital projects into four categories:  small capital projects*
    those valued at less than $250, 000 and estimated

    to take an average of 1 year to complete;  medium capital projects* those
    valued from $250,000 to $5 million and

    estimated to take an average of 3 years to complete;  large capital
    projects* those valued at more than $5 million and

    estimated to take an average of 5 years to complete; and,  large capital
    projects with construction managers* those valued at more than $20 million
    and estimated to take an average of more than 5 years to complete.

    As of June 2002, AOC*s workload consisted of 30 small capital projects, 94
    medium capital projects, 12 large capital projects, and, 4 large capital
    projects with construction managers. This does not include hundreds of
    other projects, such as floor plan redesigns, sketches, and
    jurisdictionfunded projects that are a core part of OCODC
    responsibilities.

    AOC Has Recognized the AOC recognizes that a disciplined project
    management process can help it

    Need to Improve Its Project complete capital projects on schedule, on
    budget, within scope, and of the

    Planning and Delivery highest quality. In 1999, AOC initiated several
    reviews of its project

    Processes planning and delivery processes by independent consultant firms.
    The goal

    of the reviews was to streamline the agency*s processes and staff
    organization based upon *best practices* drawn from AOC and industry, as
    well as to address a management concern that a lack of continuity in
    project management resulted in a loss of effectiveness and efficiency in

    overall project delivery. As a result of these initiatives, AOC sought to
    create a consistent process to which all projects and project managers
    adhere, create a system where project managers are dedicated to individual
    projects from *cradle- to- grave** that is, from a project*s initiation to
    its completion, and increase the use of consultants to reduce the burden
    on inhouse staff.

    According to AOC, the best practices process took a year to develop and a
    year to implement. The policies and procedures are codified in various
    manuals produced and updated by AOC since 1999, two of which have recently
    been finalized. 9 Since then, AOC has continued to review its best
    practices initiatives. For example, the consulting firm CenterLine
    Associates is assessing how the best practice standards and procedures
    have been applied across five capital projects. 10 The effort is expected
    to identify improvements that can be incorporated into AOC standards,
    policies, and procedures, as well as identify areas to be covered in
    future project- delivery training sessions. AOC is also implementing a
    formal process for planning and budgeting for its capital projects,
    adapted from

    the DOD*s military construction budgeting process, that is intended to
    clearly define requirements and priorities, and requires that requests be
    reviewed, validated, and approved before submission to the Congress. This
    formal process augments the policy requiring a 100 percent complete design
    before AOC requests construction funds. As AOC moves forward with its
    project management initiatives and

    consistent with the strategic management framework discussed in chapter 2,
    AOC needs to ensure that it has the overall infrastructure in place to
    effectively implement and take full advantage of the best practices that
    are designed to improve project planning, design, and construction

    management: 9 The manuals include the AOC Project Managers Manual, which
    defines the roles and responsibilities of the project manager (Final,
    October 2002); the A/ E Design Manual, which defines the requirements and
    deliverables from architectural and engineering consultants hired by AOC
    (Final, July 2002); the PIC User Guide, which details how project- related
    information should be entered into the Project Information Center system
    (Interim,

    November 2001); and the AOC Design Standards, which defines design
    practice and quality levels for facilities constructed for AOC (Draft,
    October 2002).

    10 The five projects undergoing review are the Rayburn House Office
    Building Sprinkler/ Telecom project, the Cannon House Office Building
    Garage Repairs project, the Dirksen Senate Office Building Infrastructure
    Modernization project, the Fort Meade Book Storage Facility Module I
    project, and the Relocation of the House Page Dormitory project.

     top leadership commitment,  master planning for the Capitol Hill
    complex,  transparent process to prioritize projects,  strategy and
    tools to communicate,  outcome- oriented goals and performance measures,
     proper alignment of staff and resources, and  strategic human capital
    management. Without these elements, AOC and the Congress have no assurance
    that the project management initiatives are being employed to their
    fullest potential. Consequently, AOC cannot be assured that the capital
    projects it is managing can be completed on schedule, on budget, and
    within scope and are of high quality and meet the needs of their
    customers.

    Top Leadership Commitment As with other critical management issues, the
    sustained commitment of top leadership will be vital to the success of
    AOC*s project management initiatives. On an ongoing basis, AOC leadership
    must set the clear expectation that staff adhere to the established best
    practice policies and procedures and then hold project management staff
    and contractors accountable for meeting this expectation. However, several
    project managers stated that they rely more heavily on their own
    experiences than on the specific policies and procedures laid out in the
    project manager

    manuals. One AOC official with project management responsibilities
    specifically noted, with respect to the best practices, that he did not
    know *if any of it was required,* but that if something was required he
    would be doing it.

    AOC officials responsible for overall project management can also show
    leadership by initiating a shift in the way AOC supervises its projects
    from solely focusing on crisis management to more active oversight.
    Several senior OCODC officials noted that their principal supervisory role
    is to resolve problems faced by project management staff. Interaction
    between project managers and senior management then is often limited to
    times when they *kick problems upstairs.* This reactionary approach leaves
    open the possibility that other risks or opportunities exist that are not
    being addressed. We are not suggesting, however, that AOC supervisors
    engage in

    micromanagement of the project managers* day- to- day activities. Rather,
    more active supervision would help ensure that project managers are held
    accountable for following best practices, achieving measurable results or
    outcomes, meeting the needs of clients, and communicating routinely with
    project stakeholders* both internal and external.

    Master Planning for the Capitol AOC*s best practice initiatives are
    intended to begin with a planning

    Hill Complex process that incorporates four sets of plans: a 20- year
    master plan, a 10year

    facility assessment, a 5- year capital spending plan, and a 1- year
    jurisdiction plan. All capital projects are supposed to be consistent with
    those planning efforts, except for projects requested by individual
    members of the Congress outside of the normal budget cycle. However, AOC
    does not yet have a master plan or a facility assessment plan, nor does

    AOC have formalized capital spending or jurisdiction plans. In July 2001,
    at the direction of the Senate Committee on Appropriations, AOC contracted
    with the National Academy of Sciences (National Academy) to hold a
    planning workshop to determine the scope of a Capitol Hill complex Master
    Plan. 11 Based on the results of the workshop, which was held September 23
    through 24, 2002, AOC will develop a request for proposal for the master
    plan. While these initial efforts are positive steps, the overall effort
    has been slow to take shape given that the workshop took place over a year
    after the Senate*s directive. Moreover, as stated in chapter 2, AOC needs
    to tie its various long- term planning initiatives, including the master
    planning effort, to the agencywide strategic planning effort and obtain
    stakeholders* input throughout the process. This message was

    reinforced by participants in the National Academy*s workshop, who
    explained that the master plan must be guided by a vision statement for
    the Capitol Hill complex, which is developed with stakeholder input and
    consistent with AOC*s strategic plan.

    11 S. Rep. No. 107- 37 at 29 (2001).

    A key component of a master plan is building condition assessments (BCA),
    which are systematic evaluations of an organization*s capital assets. Such
    assessments will help AOC to *evaluate deferred maintenance and funding
    requirements; plan a deferred maintenance reduction program; compare
    conditions between facilities; establish baselines for setting goals and
    tracking progress; provide accurate and supportable information for
    planning and justifying budgets; facilitate the establishment of funding
    priorities; and develop budget and funding analyses and strategies.* 12 A
    number of AOC executives agreed that BCAs are a necessary first step to a
    comprehensive preventive maintenance program. However, according to

    AOC officials, AOC has never completed formal condition assessments of the
    facilities it is responsible for maintaining. Senior AOC and jurisdiction
    executives also stated that preventive maintenance of AOC*s assets has
    never been a major focus. According to AOC officials, AOC*s recent pilot
    effort to conduct an assessment of the Capitol Building was unsuccessful
    due to miscommunication of expectations between the agency and the
    contractor performing the assessment. Without BCAs, the agency has no
    assurance that it has fully documented the Capitol Hill complex*s

    preventive maintenance needs and cannot develop an overall plan with which
    to address those needs. As a result, AOC is unable to assure the Congress
    that the facilities in the Capitol Hill complex will be effectively and
    efficiently maintained and preserved consistent with the historic and
    high- profile nature of those facilities.

    AOC recently formed a condition assessment team with representatives from
    each of the larger jurisdictions to develop a detailed statement of work
    that specifies exactly what is required of a BCA contractor. When
    conducted, the BCAs must be carried out consistently across all
    jurisdictions to help ensure that all assets are evaluated in the same
    manner and that AOC- wide priorities can be set and trade- offs made. The
    project

    manager focus group participants also pointed out that the BCAs will
    require substantial involvement from employees of many of the
    jurisdictional shops who will be asked to provide technical information,
    logistical support, and other forms of assistance to the assessment teams.

    Therefore, AOC must also plan for and set aside resources required by AOC
    jurisdictions for the effort. According to the National Research Council,
    12 National Research Council, Stewardship of Federal Facilities: A
    Proactive Strategy for

    Managing the Nation*s Public Assets (Washington, D. C.: National Academy
    Press, 1998), p. 43.

    using a risk- based approach, the initial assessments should focus on
    life, health, and safety issues and on critical building system components
    needed to operate effectively. 13

    AOC also needs staff dedicated to ensuring that the master plan and
    building condition assessments are successfully completed. AOC officials
    told us they had hired a new Director of Facilities Planning and
    Programming in early December 2002. AOC officials stated that they are in
    the process of hiring an assistant planner and an assistant programmer.
    Because these individuals and the office would be the champions for the

    master planning and building condition assessment efforts, it is important
    that AOC fully staff the office with qualified individuals.

    Transparent Process to Prioritize An agencywide strategic plan and a
    complexwide master plan will help

    Projects AOC determine priorities and then communicate them both
    internally to

    employees and externally to clients. In the absence of a strategic plan
    and a master plan to help determine overall priorities, AOC does not have
    a transparent process to prioritize its current projects. In the near
    term, a transparent process that incorporates stakeholder input would
    allow AOC to prioritize projects in a well documented manner. In the long
    term, AOC would be able to integrate the guidance of the strategic plan
    and master plan within a transparent priority setting process.

    AOC assigns a priority designation for each of the projects in its
    appropriations request* 1- A, 1- B, 1- C, and 2- A, 2- B, and so on
    through 3- C at the lowest end of the priority scale. These priorities are
    further categorized as Life Safety, Americans with Disabilities Act,
    Security, Cyclical Maintenance, Improvement, and Technology- Management
    Systems. According to an OCODC official, each jurisdiction prioritizes
    capital projects and safety programs on a building- by- building basis for
    the coming fiscal year. Priorities are determined based on the subjective
    decisions made by jurisdiction officials and not on predefined criteria.
    The priorities are then converted into the 1- A, 1- B, etc., priority
    designations by the Budget Office staff.

    However, based on our review, it is not clear that project managers use
    this prioritization scheme to guide their day- to- day activities. The
    only

    13 National Research Council, Stewardship of Federal Facilities: A
    Proactive Strategy for Managing the Nations*s Public Assets (Washington,
    D. C.: National Academy Press, 1998), p. 96.

    practical, day- to- day prioritization of projects we found being used was
    a *hot projects* list. Projects were placed on the list by a group of
    senior OCODC officials who based their decisions on two undefined,
    subjective criteria: (1) time sensitivity and (2) high dollar volume.
    According to one AOC official, however, the process for placing priority
    projects onto the list is neither formal nor consistently applied. In
    fact, the official stated that the current hot project list needs to be
    updated to reflect fiscal year 2003 projects.

    We also found a general consensus among AOC officials and project managers
    that prioritization of projects is a major weakness at the agency. Many
    lamented that AOC is unable to manage client requests for projects
    effectively. More specifically, AOC lacks a process that can communicate,
    both internally and externally, the trade- offs in prioritizing one
    project over

    another or how individual projects fit within a broader AOC framework. The
    confusion about overall agency priorities has also led to confusion about
    what individual priorities should be. Strategy and Tools to

    Upon establishing priorities, AOC must then incorporate the Communicate

    communication of priorities and progress of projects within an agencywide
    communications strategy. Internally, that means AOC needs to communicate
    its priorities to staff and provide details on how related projects are
    linked to one another. However, we found that AOC lacks the project
    management tools necessary to assist in doing these tasks. For example,
    officials responsible for overall project management use the Project
    Information Center (PIC) system to prioritize work and ascertain the
    progress of individual projects. However, PIC is not capable of producing
    a unified document that shows schedules of active projects, their
    interrelationships, and required staffing. Without a resource- loaded
    master project planning document, it is difficult to determine the effect
    of priority changes and to quantify project manager staffing requirements.

    AOC also needs to communicate the agency*s overall priorities to its
    clients and report progress on projects of importance to clients. The
    strategic and master planning efforts and BCAs discussed above will assist
    AOC in determining its project priorities. As discussed in chapter 2, an
    effort to establish congressional protocols could also help the agency
    determine how those priorities should be communicated, as well as how
    individual project priorities will be reported.

    AOC has made strides in communicating with its clients on the progress of
    projects. For example, AOC has developed a web site that includes a

    Capitol Hill complex map of several ongoing projects. However,
    opportunities exist for additional progress in how AOC communicates with
    clients and reports progress to the Congress. Also, at the direction of
    the Senate Committee on Appropriations, AOC has begun issuing quarterly
    capital project reports on the status of all ongoing capital projects. 14
    However, the reports we reviewed described the status of all ongoing
    capital projects without highlighting those projects that were behind
    schedule, over budget, or otherwise of interest to clients. AOC needs to

    begin to incorporate stakeholder feedback to better structure this
    reporting mechanism. For example, in our April 2002 statement, we
    discussed the possibility of using a *reportable events* approach to
    accountability reporting that is based on predefined, risk- based events
    that would trigger a report to the Congress and prompt immediate
    attention. 15

    However, the information reported is only as good as the information
    entered into the PIC system, which is the source of all project- related
    information. We have found that the data produced by the system and
    reported out by AOC are questionable because project managers do not
    consistently update the information in PIC. For example, a majority of the
    participants in the project manager focus group said they failed to
    consistently put information into the system because they viewed PIC as an
    administrative burden that provided no direct benefit to their own day-
    today

    activities. Additionally, our case studies showed that the project
    managers do not always keep PIC completely updated. For example, the
    Senate Recording Studio project had a current working estimate listed in
    PIC that was nearly double the amount appropriated for the project.
    Although we were told that the estimate was outdated, the information had
    not been updated in the PIC system. AOC officials recognize the inadequate
    data entry into PIC. In response, an OCODC official has recently met with

    all of AOC*s project managers to reinforce the importance of keeping PIC
    updated and to instruct them on how and what needs to be entered. While
    this is a positive step designed to improve the documentation of project
    information, AOC would benefit from more routine, systematic reviews of
    PIC data to uncover pervasive problems and their root causes.

    14 S. Rep. No. 107- 37 at 28 (2001). 15 GAO- 02- 632T.

    Outcome- Oriented Goals and As we discussed in chapter 2, AOC needs to
    work with its stakeholders to

    Performance Measures for determine its long- term strategic goals for
    project management and

    Project Management develop annual performance goals that provide a
    connection between longterm

    goals and the day- to- day activities of its managers and their staff.
    This effort will enable AOC to track its progress, provide critical
    information for decision making, and create incentives for individual
    behavior by providing a basis for individual accountability. In its draft
    strategic plan, AOC has identified facilities management and

    project management as two *focus areas,* and defined strategic goals for
    each focus area. However, AOC has not yet clearly defined the
    outcomeoriented goals and performance measures in each focus area. For
    example, as an outcome within the project management focus area, AOC lists
    *Projects and related services are executed and delivered on time and on
    budget.* To further clarify its goals, AOC could define terms such as
    *projects and related services* and establish quantitative performance
    measures for outcomes such as *on time* and *on budget.* Because AOC lacks
    specific measures, it is unclear whether AOC will be able to assess its
    current performance baseline, or how AOC will seek to improve. For
    example, it is unclear to internal and external AOC stakeholders if AOC*s
    goal is to improve on time delivery by a percentage point, or if it is to
    achieve some undefined standard. As AOC moves forward and establishes
    goals and measures for project management, it will be in a better position
    to consider how to balance competing needs, such as client satisfaction
    and quality against the need to meet deadlines and stay within budgets.

    Alignment of Project In June 2002, AOC officials responsible for overall
    project management

    Management Staff and identified several changes that were needed to
    improve the delivery of Resources to Achieve MissionCritical

    capital projects. Primarily, AOC recognized that the current *soft matrix*
    Goals

    approach of assigning mostly architects and engineers as project managers
    who are assisted by task leaders from various sub- disciplines was
    ineffective because, according to an AOC report on a proposed staff
    realignment within the Office of the Assistant Architect, there was no
    *clear objective, no supervisory authority that can exercise
    accountability

    over the Project Managers, and no clear lines of communication.* 16 AOC
    officials responsible for project management proposed to senior AOC
    executives the creation of a new and independent Project Management
    Division, led with strong leadership, to *improve accountability, enforce

    16 AOC, Office of the Assistant Architect, Proposed Reorganization, June
    6, 2002.

    organizational discipline, focus on client service needs, and tailor the
    skills of existing staff to necessary tasks.*

    The proposed staff realignment, which is in its early stages of
    implementation, is a good step within the framework of implementing best
    practices, particularly the concept of dedicated, cradle- to- grave
    project managers. However, AOC must ensure that this and other interim
    steps ultimately support the agency in meeting mission- critical goals and
    objectives as it develops the agencywide strategic plan. Moving forward

    with this realignment will require AOC to determine which individuals have
    the skills to be dedicated projects managers, as well as to identify the
    specific projects they should manage. Officials within OCODC recognize
    that not all of the architects and engineers who are currently assigned as
    project managers have the requisite skills for the job. With qualified
    staff, however, the realignment will ultimately address accountability
    issues by clarifying roles and responsibilities and creating true cradle-
    to- grave project management staff. Many of the project managers in our
    focus group stated that they are currently being asked to wear *too many
    hats,* which often distracts them from their primary duty to manage
    projects, and

    wanted AOC to move more quickly to a dedicated project management staff
    environment. We also observed that the initially slow progress of the
    Relocation of the Senate Recording Studio project and the Coal Handling
    Modernization project improved once dedicated project managers were
    assigned. However, a missing component of the realignment proposal is the
    role of

    supervisors in the new project management division. AOC has not yet
    defined who will supervise the project managers, the number of supervisors
    that will be needed, nor the approach they will take with respect to
    supervision. AOC needs to evaluate all of these issues and integrate the
    role of day- to- day supervisors into the new Project Management Division.

    Strategic Human Capital As discussed in chapter 2, strategic human capital
    management can

    Management transform an agency into a results- oriented organization by
    aligning

    employee performance with goals and by providing tools to better plan its
    workforce needs. AOC has taken initial steps to address the strategic
    workforce analysis criteria set forth in chapter 2, by identifying its
    project management workforce needs in its staff realignment proposal. That
    plan detailed tactical approaches to reassigning current project
    management staff and determining where additional staff would be placed
    within a restructured OCODC. Consistent with the strategic human capital

    challenges it faces in other areas, AOC has opportunities to strengthen
    its efforts for its project management workforce as well. Developing a set
    of core technical competencies for project management and implementing a
    training and development program for those competencies are two areas
    requiring particular attention.

    AOC has not developed project management- specific technical competencies
    that define for what project managers will be held accountable. Defined
    competencies are important for ensuring that the right people are employed
    in the right positions and that they are routinely held accountable for
    their work. As a basis for developing these competencies, AOC can refer to
    standards developed by leading professional organizations. For example,
    the Project Management Institute (PMI) has published A Guide to the
    Project Management Body of Knowledge (PMBOK) that organizes the components
    of project management into nine knowledge areas: project integration
    management, project scope management, project time management, project
    cost management, project quality management, project human resources
    management, project communications management, project risk management,
    and project procurement management. Other entities have successfully used
    these knowledge areas as the basis for developing technical competencies.
    For example, the Australian government uses PMBOK as the basis for its
    National Competency Standards for Project

    Management. As a next step, AOC could identify and implement training
    programs that are linked to the core and technical competencies required
    of project managers. Doing so is an essential component of building an
    effective and professional project management staff. To date, it is
    unclear whether AOC*s

    training fully supports the implementation of best practices throughout
    the agency. For example, some project manager focus group participants
    noted that they were not given initial orientation that familiarized them
    with AOC,

    including services provided by other offices, or that familiarized them
    with their ultimate client* the Congress. And if AOC is to effectively
    implement best practices, newly hired project managers must be trained in
    the policies

    and procedures and all project managers must receive ongoing best practice
    training as policies and procedures are revised. We found that neither of
    the project managers for the case studies we reviewed was provided best
    practice training when they were first hired, and one was not provided a
    copy of the project manager manual. AOC officials also stated that they
    have not yet provided updated best practices training sessions for

    project managers, although they said they plan to use the ongoing best
    practices assessments mentioned above to tailor such training.

    Finally, AOC should require professional development certification and
    training, although this may not need to be provided internally by AOC. PMI
    administers a globally accepted and recognized professional certification
    program for project managers, which requires a specific level of education
    and experience, adherence to a code of professional conduct, successful
    completion of an examination, and ongoing continuing education
    requirements.

    Conclusions As AOC moves forward with its project management initiatives,
    several elements are critical to the thorough implementation of best
    practices that

    are designed to improve project planning, design, and construction
    management. Project management could be improved by demonstrating top
    leadership commitment to change, planning, establishing outcomeoriented
    goals, and strategically managing human capital to achieve those goals. A
    Capitol Hill complex- wide master planning effort, including building
    condition assessments, will help AOC establish long- term priorities.
    Similarly, a transparent process to prioritize agency capital projects
    will help AOC clarify its short- term (1 to 5 years) focus. As a part of a
    broader communication strategy, effective reporting mechanisms will help
    AOC convey these long- and short- term priorities, as well detail the
    progress of projects to stakeholders. Clearly defining project-
    managementrelated measures will also help AOC achieve mission- critical
    strategic and annual performance goals. Finally, the alignment of project
    management staff and resources in accordance with best practices policies
    and procedures will help institutionalize those practices and help AOC
    meet mission- critical goals. Without these elements, AOC and the Congress
    have no assurance that the project management initiatives are being
    employed to their fullest potential. Consequently, AOC cannot be assured
    that the capital projects it is managing can be completed on schedule, on
    budget, and within scope and are of high quality and meet the needs of
    their customers.

    Recommendations for To improve project management* project planning,
    design, and

    Agency Action construction* at AOC, we recommend that Architect of the
    Capitol

     develop a Capitol Hill complex master plan and complete condition
    assessments of all buildings and facilities under the jurisdiction of AOC;

     develop a process for assigning project priorities that is based on
    clearly defined, well documented, consistently applied, and transparent
    criteria;

     develop tools to effectively communicate priorities and progress of
    projects, as a part of a broader communication strategy;

     define project- management- related performance measures to achieve
    mission- critical strategic and annual performance goals; and

     align project management staff and resources with AOC*s missioncritical
    goals.

    AOC Needs to Build on Programs that separate and collect recyclable
    materials from the waste

    Current Efforts by stream produce numerous benefits. It is estimated that
    recycling 1 ton of

    paper saves 17 mature trees, 3.3 cubic yards of landfill space, 7,000
    gallons Adopting a Strategic

    of water, 380 gallons of oil, 4,100 kilowatt hours of energy, and 60
    pounds of Approach to Recycling

    air pollutants. Recently, AOC has taken several steps to improve the
    effectiveness of its office recycling programs; however, it could increase
    the benefits derived from its recycling program by taking a more strategic
    approach. Such an approach would include revisiting and clarifying
    recycling mission and goals as part of an AOC planned environmental
    strategy, measuring and monitoring performance against goals to gauge and
    improve program effectiveness, and reexamining the roles and
    responsibilities of the recycling program staff to ensure accountability
    for achieving recycling goals. We provide observations on how AOC could
    improve recycling results by organizationally replicating its own and

    others* best practices. AOC Has Taken Steps to

    AOC is responsible for implementing recycling programs for much of the
    Improve Effectiveness of

    Capitol Hill complex. Consistent with the preliminary observations in our
    Recycling Programs

    April 2002 statement, AOC, both centrally and at the jurisdiction level,
    has taken recent steps to improve the overall effectiveness of its
    recycling programs. Some of the steps include

     adopting a consultant*s recommendation to simplify the Senate*s
    recycling program to improve participation and increase effectiveness,
    developing a draft set of performance indicators and starting to collect

    data,  increasing recycling promotion and education efforts,  surveying
    recycling clients in the House to determine if the program is

    meeting their needs, and  sharing information on recycling promotion and
    education strategies among the House and Senate recycling program
    managers.

    AOC*s Recycling Program Office recycling programs can have a variety of
    environmental and

    Has Made Limited Progress financial benefits. A typical goal is reducing
    to the extent possible the

    in Achieving Typical amount of solid waste sent to landfills. Another
    typical goal is generating as

    Recycling Goals much revenue as possible from the sale of the recyclable
    materials

    collected. A key to achieving either goal is making the recycling program
    as easy as possible for employees to use. Generally, the less sorting,
    decision making, and walking required by individual participants, the more

    successful the program will be. Although the two goals of waste reduction
    and revenue generation are not mutually exclusive, the relative importance
    placed on these goals generally affects the design of the recycling
    program implemented.

    Specifically, a recycling program with the goal of generating revenue,
    commonly referred to as a source separation program, is more complicated,
    expensive, and difficult to implement than a program designed for waste
    reduction. This is because separating a greater variety of recyclable
    materials at the source requires more resources for educating clients and
    the recycling staff, collecting the recyclable materials, and monitoring
    for compliance. The complexity of source separation, unfortunately, also
    increases the likelihood of contamination of the recyclable materials
    collected (potentially recyclable materials are mixed together with other
    categories of recyclables or wet waste), reducing their

    value and increasing the volume of waste sent to landfills. Given the
    complexity and potential performance problems with a source separation
    program, an organization needs to analyze the costs and benefits of such a
    program compared to other, simpler options to determine whether such a
    program will be cost- effective.

    High levels of contamination have prevented the House and Senate recycling
    programs from substantially achieving either waste reduction or revenue
    generation. AOC*s recycling contractor does not pay for high- grade (e.
    g., white copy) paper with greater than 5 percent contamination or mixed-
    grade (e. g., glossy or colored) paper with greater than 10 percent
    contamination. From fiscal years 2001 through 2002, AOC did improve its
    recycling results. According to General Services Administration (GSA)
    data, the rate of contamination of recyclable paper products collected

    dropped from 70 percent in fiscal year 2001 to 55 percent in fiscal year
    2002 in the House jurisdiction and from 60 percent to 37 percent in the
    Senate jurisdiction. However, although AOC avoided the cost of disposing
    of the waste, the contaminated materials generated no revenue. The
    recycling contractor may sort and recycle some of this contaminated waste,
    but some potentially recyclable materials may be too contaminated and will
    ultimately go to a landfill.

    During fiscal year 2002, the Senate jurisdiction implemented a
    consultant*s recommendation to change from a source separation to a
    simpler combined- paper recycling program. According to the consultant*s
    report, simplifying the program by reducing the amount of source
    separation required could both increase revenue and decrease the
    contamination

    levels. In contrast, the House jurisdiction continues to operate a more
    complex source- separation program. Similar to the conclusions made in the
    review of the recycling program operations for the Senate program, a
    recently completed consultant study of the House program made the point
    that a mixed- paper program is easier to administer and usually leads to
    increased participation, decreased contamination, and less collection
    time. However, the consultant*s report did not recommend making any
    changes to the House*s program at this time because it found the existing
    program to be *user- friendly* and accepted. Nonetheless, given the high
    rates of contamination in the House recycling program, AOC needs to
    closely monitor contamination to determine if a simpler program design is
    warranted.

    AOC Needs to Revisit and AOC*s goals for its recycling programs are
    unclear. AOC has not

    Clarify Recycling Mission documented any mission and goals for its
    recycling programs. We found

    and Goals as Part of Its various references* albeit indirect and
    inconsistent* to AOC recycling

    Planned Environmental goals. For example, a 1999 audit by the AOC
    Inspector General, indicated that AOC is pursuing the goal of waste
    reduction. A similar goal is indicated

    Strategy in the position description of the AOC Resource Conservation
    Program

    Manager. In contrast, the position descriptions for the House and Senate

    recycling program managers state that these managers are responsible for,
    among other things, increasing the financial returns of their programs. If
    AOC*s goal is to generate as much revenue as possible through a source
    separation program, then based on the high rate of contamination it will
    need to design a program that is much more aggressive in terms of the
    education, training, and equipment it provides to participants and the
    collection staff. However, if the goal is reducing the volume of waste
    sent to landfills, then AOC should implement a simpler program, requiring
    as little separation as possible to increase participation and compliance
    as was done in the Senate. In addition, AOC has made some effort to expand
    its recycling program to other facilities within the Capitol Hill complex,
    such as the Botanic Garden, the Page Dormitory, and* in response to our
    recent suggestion* the Capital Power Plant. Furthermore, according to AOC
    officials, AOC recycles fluorescent lamps, batteries, scrap metal, and
    some computer equipment and has required its contractors to recycle their
    construction debris. However, it has no formal plans to expand its
    recycling programs to include other types of recyclable materials, such as
    waste from its own landscaping or construction activities. Incorporating
    these materials into its overall recycling program could improve AOC*s
    overall performance in reducing waste sent to landfills. However, AOC
    management stated that adequate resources are not presently available to
    carry out such expanded recycling programs, although it has requested
    funding for an additional position in fiscal year 2003 to assist the
    recycling

    program manager, allowing for further expansion of the recycling program.
    AOC recycling program staff recently discussed their view that the mission
    of their recycling programs ought to be primarily reducing waste sent to
    landfills rather than maximizing recycling revenues. AOC management stated
    that it would be important to obtain input from congressional stakeholders
    before making any changes to the mission or goals of the

    program. Furthermore, clarifying the goals of the program is something AOC
    management would address only as part of the long- term environmental
    management plan for the Capitol Hill complex that it plans to undertake
    after completing its Safety Master Plan. Consistent with the communication
    strategy we outline in this report, AOC will need to seek input from its
    stakeholders to determine the most appropriate mission and goals for its
    recycling program( s). Whether the resulting program is Capitol Hill
    complex- wide or is tailored to meet the specific requirements of the
    House or Senate, AOC needs to clarify whether the primary focus of the
    recycling program is to reduce the total amount of waste sent to
    landfills, to generate a desired level of revenue, or both.

    AOC Needs to Develop a As discussed in our April 2002 statement, to
    support the accomplishment of

    Performance Measurement, AOC*s recycling mission and goals, a performance
    measurement system Monitoring, and Evaluation

    should (1) show the degree to which the desired results were achieved,
    System That Supports

    (2) be limited to the vital few measures needed for decision making, (3)
    be responsive to multiple priorities, and (4) establish accountability for
    Accomplishment of

    results. Also, as part of its responsibility for handling waste from
    Recycling Mission and

    government facilities, including recyclable materials, the GSA has Goals

    developed a guide that describes a number of steps an agency can take to
    measure and monitor recycling efforts that could be useful to AOC in
    developing its system. These steps are listed in table 3.

    Table 3: Ten Steps Identified by GSA for Best Administering a Recycling
    Program Steps Purpose and example

    1. Determining the building profile Purpose: To ascertain the types of
    materials to be recovered in a recycling program and identify any special
    restrictions or requirements. Example: Does the storage space have
    sprinklers or will special containers be required? 2. Determining the
    waste stream size Purpose: To manage and reduce a building*s waste stream;
    data on the total size of the

    waste stream are compiled. Example: Obtain monthly reports showing the
    amount of waste hauled.

    3. Analyzing the waste stream Purpose: To determine the quantity of
    various types of recyclable materials included in the waste stream.
    Example: Develop an estimate of the quantity of recyclable material
    collected daily.

    4. Determining the amount recycled Purpose: To show how much is being
    diverted from the waste stream. Example: The recycling contractor provides
    a monthly report showing the amounts and types of materials recycled.

    5. Tracking the information Purpose: To determine the percentage of the
    total waste stream diverted by recycling. Example: Data are entered on a
    regular basis, for example, monthly, and totaled at the end of the fiscal
    year.

    6. Reporting the information Purpose: To report status of the program to
    management and to offices participating in the program. Example: Reports
    to offices keep employees informed about how their efforts are helping the
    environment and measuring progress and goals.

    7. Reducing the waste stream Purpose: To determine whether trash includes
    recyclable materials that are improperly discarded and opportunities to
    recycle other materials (e. g., construction debris, discarded/ leftover
    carpeting, or scrap metal). Example: Meet with office representatives to
    ascertain their container needs and find out what types of waste they
    generate.

    8. Assessing the program Purpose: To determine how well the program is
    working. Example: Observe whether employees understand how the program
    works or what modifications might be necessary.

    (Continued From Previous Page)

    9. Educating employees Purpose: To provide employees with reasons for
    recycling and a description of how the program works; to reduce the
    container contamination by giving detailed instructions on what is and is
    not acceptable.

    Example: An environmental team consisting of building management and
    participating offices would promote and educate employees. 10. Monitoring
    and evaluating program Purpose: To be aware of fluctuations in the volume
    of recycled materials collected in an

    effort to identify the cause and determine whether associated waste
    disposal costs can be reduced. Example: Periodically review waste disposal
    costs and assess whether the program implemented has had an impact.
    Source: U. S. General Services Administration, Recycling Program Desk
    Guide (Washington, D. C.: March 2001).

    In response to the Senate Committee on Appropriations* requirement for
    quarterly updates on the recycling program in the Senate, AOC developed a
    performance measurement system that it is using to monitor both the Senate
    and the House recycling programs. 17 Initially, the indicators on which
    AOC collected data included, among other things, a two- digit increase in
    tonnage recycled, revenue generated from the sale of recyclables, market
    prices for various recycled materials, customer satisfaction, education of
    participating offices, results of desk side

    container inspections, status of equipping offices with recycling
    containers, rate of office participation, and training of recycling
    collection staffs.

    Consistent with the preliminary observations in our April 2002 statement,
    AOC significantly reduced the number of indicators it is collecting and
    reporting to two: total tonnage collected by type of material and total
    tonnage contaminated. This more focused approach to measuring the
    effectiveness of its program is noteworthy. As AOC revisits its program
    mission, goals, and design, it will have opportunities to reexamine and
    refine its performance measurement efforts to ensure that it has the right
    set of performance measures to support program monitoring and decision
    making.

    The absence of AOC recycling program goals does not allow measures to be
    linked to a desired level of performance and thus AOC cannot demonstrate
    the extent to which performance is achieved. For example, AOC seeks to
    decrease contamination rates for recyclable materials collected, but does
    not state a goal for a desired level of contamination against which to
    measure progress. As shown in table 3, steps 2 and 3, AOC should determine
    how much waste the Capitol Hill complex generates

    17 S. Rep. No. 107- 37 at 10 (2001).

    overall and analyze how much of that waste could be recycled. AOC
    officials have told us that they plan to conduct such an analysis as part
    of its future, long term environmental management plan and use the
    information to form the basis of AOC*s overall waste reduction goals.
    Furthermore, AOC should develop its performance measurement system

    with input from recycling program staff members to ensure that the data
    gathered will be sufficiently complete, accurate, and consistent to be
    useful in decision making. As AOC clarifies its goals and performance
    measures for its recycling program, it will likely identify opportunities
    to create a balanced set of measures that respond to multiple priorities,
    such as increasing customer satisfaction while also achieving recycling
    performance goals. Consistent with our preliminary observations, AOC

    recycling program staff has begun surveying its clients to obtain feedback
    on their satisfaction with the program. This performance information could
    be a useful addition to the set of measures AOC is currently collecting
    and monitoring.

    After establishing its mission and goals and building a performance
    measurement system, the next key step for AOC is to put performance data
    to work. As shown in table 3, steps 4 through 8 and step 10 provide
    guidance on ways to monitor and evaluate program performance. AOC has
    proposed a quarterly monitoring system. Such monitoring of performance

    against goals will enable AOC program managers to identify where
    performance is lagging, investigate potential causes, and identify actions
    designed to improve performance.

    Reexamine Roles, The roles and responsibilities of AOC*s recycling program
    staff members

    Responsibilities, and have evolved in recent years, without the guidance
    of a clearly defined

    Number of AOC Recycling mission and goals. In revisiting its recycling
    program mission and goals,

    Program Staff Members AOC should also reexamine the roles and
    responsibilities of its program

    staff members to ensure that they are performing the right jobs with the
    necessary authority. AOC recently changed the responsibilities of its
    recycling program management positions to incorporate a greater focus on
    program planning and evaluation. However, according to these staff
    members, much of their time is spent in day- to- day program
    implementation activities, leaving little time to fulfill their expanded
    roles.

    The AOC Resource Conservation Manager, originally responsible for only the
    AOC hazardous waste program, currently is responsible for planning and
    developing policies and programs for an AOC- wide approach to waste

    management, analyzing waste removal programs, developing and presenting
    briefing and training materials on agency recycling efforts, and serving
    as the administrator and technical representative for the recycling
    collection contract. However, according to the Resource Conservation
    Manager, about half of her effort is devoted to hazardous waste management
    activities. She has little time and no staff to carry out the broad,
    agencywide planning and evaluation activities required by the position.

    In fiscal year 2001, AOC replaced its recycling coordinator position with
    a Recycling Program Manager position in the House and Senate
    jurisdictions. These positions are responsible for working with other
    Capitol Hill complex recycling specialists to carry out agencywide
    recycling, planning and developing recycling policies and programs,
    reviewing program effectiveness and monitoring implementation (e. g.,
    compliance inspections), and analyzing the financial returns of waste
    recycling contracts. However, the House Recycling Program Manager told us
    that her current focus has been primarily on implementation activities,
    such as

    providing recycling equipment to offices, limiting the time available to
    focus on other responsibilities, such as program monitoring and
    evaluation. However, according to this manager, the recent hiring of an
    assistant to focus on operations will allow her to devote more time to
    recycling program management activities.

    As previously stated, AOC needs to provide a results- oriented basis for
    individual accountability. With respect to recycling, AOC has neither
    established clear goals nor assigned accountability for achieving results.
    Because program implementation occurs in the House and Senate
    jurisdictions, AOC needs to incorporate its desired recycling goals into
    its performance management system and cascade those goals down through the
    jurisdictions to the individuals responsible for program implementation.

    Overlapping responsibilities for planning, education, monitoring, and
    evaluation between the Resource Conservation Manager and jurisdiction
    recycling program managers raise questions about the appropriate number

    of staff members and mix of responsibilities needed to carry out AOC*s
    recycling programs at the central and jurisdictional levels. For example,
    the jurisdiction recycling managers focus primarily on the implementation
    of the recycling program, including equipping offices, educating
    participants, and collecting recyclable materials. Furthermore, the AOC
    Resource Conservation Manager has little time and no staff to carry out
    broad

    management and oversight responsibilities. As a result, little capacity
    exists to carry out the planning, development, monitoring, and evaluation
    of AOC*s recycling programs on an AOC- wide basis.

    Conclusions Although the Architect of the Capitol has managed an office
    recycling program in the House and Senate jurisdictions for more than a
    decade, high

    levels of contamination present in the materials collected has prevented
    it from fully realizing either the environmental or financial benefits
    that it could have achieved. Adopting a more strategic approach to
    recycling* clarifying AOC*s recycling mission and goals to assess whether
    it has the right program design, organization, and implementation
    strategies in place to achieve desired results, measuring and monitoring
    performance against goals, and reexamining the roles and responsibilities
    of the recycling program staff to ensure accountability for achieving
    recycling goals* could improve the environmental results of the program.
    AOC officials have indicated that the recycling program will be included
    in an overall environmental master plan that it will develop in 2003. We
    agree with this approach and believe that developing a clear mission
    statement for the recycling program and using that statement as a basis
    for establishing reasonable performance goals, developing a set of
    performance measures, and aligning the organization to hold managers
    accountable for results,

    would help AOC further improve its recycling program results.
    Recommendations for

    In order adopt a strategic approach to recycling, we recommend that the
    Agency Action

    Architect of the Capitol take the following actions:  Develop a clear
    mission and goals for AOC*s recycling program with

    input from key congressional stakeholders as part of its proposed
    environmental master plan. AOC may want to establish reasonable goals
    based on the total waste stream* information it plans to obtain as part of
    its long term environmental management plan* that could potentially be
    recycled.

     Develop a performance measurement, monitoring, and evaluation system
    that supports accomplishing AOC*s recycling mission and goals.  Examine
    the roles and responsibilities of AOC*s recycling program staff to ensure
    that they are performing the right jobs with the necessary

    authority, and holding the staff accountable for achieving program and
    agency results through AOC*s performance management system.

    Agency Comments In his comments on this chapter, the Architect generally
    agreed with our recommendations and discussed the relevant efforts AOC has
    under way in

    the areas of worker safety, project management, and recycling. In the area
    worker safety, in addition to initial efforts to target areas that have
    the potential for danger to life and health, the Architect stated that AOC
    is in the process of developing program policies for incident reporting
    and investigation, inspection, and hazard abatement and control. AOC
    disagreed with our statement that its 5- year Safety Management Plan was
    drafted independent of the broader strategic planning effort. Although we
    believe this statement was true at the time of our review, AOC has
    subsequently made efforts to improve the alignment between its draft
    strategic and worker safety plans. Therefore, we deleted this statement.
    The Architect stated that AOC*s implementation plan will focus on

    strategic, long- term planning, training, and continuous improvement in
    worker safety. The Architect stated that AOC plans to address our
    recommendations in the area of project management as another focus of its
    implementation plan. Current initiatives include developing and scheduling
    training for project managers; conducting condition assessments of the
    Senate, House, and Capitol buildings this fiscal year, and of other
    Capitol Hill complex buildings in subsequent fiscal years; and developing
    a 5- year capitol improvement plan and the scope of work for a 20- year
    master plan of the Capitol Hill complex.

    In the area of recycling, the Architect stated that AOC is committed to
    defining clear goals for its recycling program and will establish a
    dedicated environmental function. AOC*s implementation plan will discuss
    its approach to establishing program goals, integrating environmental
    concerns into AOC*s overall strategy, and ensuring that measures reflect
    goals and are linked to performance of key activities.

    The Architect*s comments are reprinted in appendix II.

    Appendi xes Employee and Supervisor Focus Groups*

    Appendi x I

    Objectives, Scope, and Methodology To obtain additional perspectives on
    the areas examined as part of our review and as an initial effort to
    support the subsequent collection of routine employee feedback, we used
    focus groups to gather employee and supervisor perceptions, opinions, and
    attitudes about working at the Office of the Architect of the Capitol
    (AOC). Focus group interviews are a form of qualitative research in which
    a specially trained leader, a moderator, meets with a small group of
    people (usually 8 to 10) who are knowledgeable about the topics to be
    discussed. This appendix describes our objectives, scope, and methodology
    for the focus groups and lists the specific questions used to conduct the
    focus groups.

    Objectives, Scope, and For our focus groups at AOC, we were interested in
    obtaining

    Methodology (1) employees* views of what aspects of working at AOC were
    going well or

    needed improvement, (2) whether employees had the resources needed to
    perform their jobs, and (3) employees* perspectives on AOC*s worker safety
    program. We developed the overall approach to conducting the focus groups,
    including the development and pretesting of the focus group guide and
    questions and the selection of participants. We contracted with Booz|
    Allen| Hamilton to facilitate 15 focus groups sessions and provide a
    moderator, note taker, and analyses of the sessions.

    We conducted 13 of these focus groups with employees from the House and
    Senate Office Building jurisdictions, Capitol Power Plant, Senate
    Restaurants, and the Construction Management Division. We selected
    employees from these parts of AOC in accordance with our specific review
    areas of worker safety and project management and also because they
    contained some of the largest employee populations. We attempted to assure
    that each group consisted of employees from the

    same jurisdiction and shift and worked in trades versus nontrades
    occupational categories, for example, a group comprising plumbers and
    electricians versus a group comprising custodians and laborers. In
    composing groups of employees from trade shops, we allocated our sample
    roughly proportional to the number of employees in each shop with the
    restriction that at least one employee from each shop within each
    jurisdiction be selected for participation. There was one session that was
    not composed in this manner due to scheduling difficulties and the
    disparate number of employees within certain jurisdictions on certain
    shifts. This session comprised employees from the evening shift from both
    the House and the Senate jurisdictions.

    Once the composition of each focus group was defined, we randomly selected
    12 to 14 employees from a list of those employees who worked in the
    jurisdiction, shift, and occupational categories that defined the group.

    We invited a few more employees than would usually constitute a focus
    group to adjust for the possibility that there would be some employees who
    would not be interested in participating or would be unable to attend.

    The other two focus groups comprised randomly selected employee
    supervisors from the House and Senate jurisdictions. We held one focus
    group with supervisors of employees in trade shops and the other focus
    group with supervisors of nontrade employees. In all, we invited 200
    employees to attend 15 focus groups and 127 employees participated.

    A Booz| Allen| Hamilton facilitator and a note taker were present during
    each of these 15 focus group sessions along with a GAO observer. AOC
    management was not present during any session. During each session, the
    facilitator let participants know that we were conducting a general
    management review of AOC, and that they were randomly selected by GAO

    to participate. The GAO representative assured participants that all
    comments would be kept confidential and consolidated into one larger
    report without identification, so no one individual or jurisdiction could
    be identified.

    We also administered an anonymous paper exit survey at the end of each
    session to gauge whether employees felt comfortable speaking during the
    session and make additional comments. The exit survey asked participants
    whether they felt free to speak openly during the session. Only 7
    participants of the 115 participants returning the exit surveys marked the
    *no* response.

    To obtain a better understanding of project management at AOC, we also
    conducted one additional focus group with full- time, day- to- day AOC
    project managers. For this focus group, we asked about what is working
    well at AOC in project management and where there might be areas for
    improvement. We also discussed (1) the project management process at AOC,
    (2) the project management environment, and (3) resources and tools
    utilized in performing project management duties at AOC.

    We randomly selected 10 project managers from the Office of Design and
    Construction and 4 project managers from the AOC jurisdictions. Eight
    project managers participated in the focus group* 5 from the Office of

    Design and Construction and 3 from AOC jurisdictions. We facilitated the

    session. The project manager*s focus group followed the same set of
    general guidelines as described above. All project manager participants
    responding to the survey said they felt comfortable speaking freely in the
    session.

    The focus group results discussed in this report are summary descriptions
    reflecting the range of views and perceptions held by employees,
    supervisors, or project managers. A rough gauge of the significance of
    these views can be discerned in the extent to which certain opinions or
    perceptions are repeatedly expressed or endorsed by many participants from
    multiple groups. Although the randomly selected participants are, in part,
    representative of employees in those AOC components where they work, 1 the
    descriptive nature of the responses and the relatively small sample sizes
    do not permit the development of reliable, quantitative estimates that are
    generalizable to these AOC components.

    1 We do not know and cannot assess differences that might exist between
    the views of those invited participants who chose not to attend the
    session and those who did.

    Questions Used in Employee Focus Groups

    Employee Introductions: Please give your first name and how long you*ve
    worked at AOC. GAO is interested in finding out what is working well at
    AOC and where there might be areas for improvement. We*re going to cover
    three basic areas today:

    1) what it is like to work at AOC 2) whether you have the resources you
    need on the job, and 3) your perspectives on worker safety issues at AOC.
    1) GAO is interested in getting employee*s perspectives of what it is like
    to work at

    AOC. a. Working well: In your experience, what is working well at AOC? Why
    do you

    think these things are working well? b. Needs fixing: What do you think
    needs to be fixed at AOC? What would you

    suggest be done to fix these things? c. Communication: Do you get the
    information you need from your supervisor to

    do your job? Do employees and supervisors share job- related information
    freely? Do you feel comfortable giving input or ideas to management?

    d. Fairness and treatment of others: Do you believe the distribution of
    workload among employees is fair? If disputes and conflicts occur in the
    workplace, are they resolved fairly?

    2) We would now like to talk about the resources people need to perform
    their jobs well.

    a. Equipment, etc.: Do you have the equipment, materials, and supplies you
    need to do your job? If you do not have these resources, do you know why?
    If you could tell AOC management about resources that you need to do your
    job better, what would they be?

    b. Job- related training: Does AOC provide you with the training that you
    need to perform your job well? Are there training needs that aren*t being
    met at AOC? For example, do you think your co- workers or supervisors need
    additional training? What areas would you recommend?

    c. Supervision: Do employees receive the help they need to do their jobs
    from supervisors? If there are conflicts on the job, do supervisors to
    step in and resolve them?

    d. Teamwork: Do employees work well together within a work team? Do
    different work teams (e. g., paint shop and furniture shop) work well
    together? Do you have any suggestions on how to improve teamwork at AOC?

    3) We would now like to talk about worker safety. In the past few years,
    there has been a lot of attention focused on worker safety. a. Have you
    received safety training in the last 12 months? Has the safety

    training you received been helpful in preventing injuries? b. Do you feel
    protected from health and safety hazards on the job? c. If you or a
    coworker were to experience an illness or injury on the job, what

    would you do? Are you comfortable in reporting illnesses and injuries? d.
    If you were to see an unsafe condition or hazard on the job, what would
    you

    do? Are you comfortable in reporting unsafe conditions or hazards? e. When
    a safety- related incident occurs on the job, do you think AOC takes the

    incident seriously (i. e., does its best to deal with the situation)? [Ask
    for participants for examples.]

    CLOSING: Are there other issues not covered today that you would like AOC
    management to know about?

    Questions Used in Supervisor Focus Groups

    Employee Introductions: Please give your first name and how long you*ve
    worked at AOC. GAO is interested in finding out what is working well at
    the AOC and where there might be areas for improvement. We*re going to
    cover three basic areas today:

    1) what it is like to work at AOC, 2) whether you have the resources you
    need on the job, and 3) your perspectives on worker safety issues at AOC.

    1) GAO is interested in getting your perspectives of what it is like to
    work at AOC. a. Working well: In your experience, what is working well at
    AOC? Why do you

    think these things are working well? b. Needs fixing: What do you think
    needs to be fixed at AOC? What would you

    suggest be done to fix these things? c. Communication: Do you get the
    information you need from your supervisor to

    do your job? Do employees and supervisors share job- related information
    freely? Do you feel comfortable giving input or ideas to management?

    d. Teamwork: Do employees work well together within a work team? Do
    different work teams (e. g., paint shop and furniture shop) work well
    together?

    e. Coordination: Do you have any suggestions on how to improve project
    coordination at AOC? Do you have the authority to make decisions or
    changes needed to get the job done? For example, if a project has
    conflicting schedules, are you able to rearrange shop resources?

    f. Fairness and treatment of others: How easy or difficult is it to ensure
    work is distributed fairly among employees? Are you successful in
    resolving conflicts in the workplace with employees? What resources do you
    use to resolve conflicts (e. g., do you refer employees to other offices
    if a conflict cannot be resolved)? Do you feel you have the support you
    need to resolve conflicts?

    2) We would now like to talk about the resources people need to perform
    their jobs well.

    a. Equipment, etc.: Do you have the equipment, materials, and supplies
    your shop and your team needs to do your job? If you do not have these
    resources, do you know why? If you could tell AOC management about
    resources that you need to do your job better, what would they be?

    b. Job- related training: Does AOC provide you with the training that you
    need to perform your job well? Are there training needs that aren*t being
    met at AOC? What areas of training would you recommend for employees or
    yourself? For example, as a supervisor, how many of you have received
    training on how to supervise and manage employees?

    3) We would now like to talk about worker safety. In the past few years,
    there has been a lot of attention focused on worker safety. a. Has your
    shop or team received safety training in the last 12 months? Is the
    training appropriate for your shop or team?

    b. Who provides the safety training? Do the trainers have the knowledge to
    provide adequate training to your team? Has the safety training you*ve
    received been helpful in preventing injuries? c. As a supervisor, do you
    believe you are fully informed about the important

    safety issues for your team? d. Is the emphasis on safety too much, too
    little, or just right? Instead: Do you feel that your workload allows you
    to balance safety concerns? e. Are you comfortable in reporting illnesses
    and injuries? f. Do you think your team takes reporting safety issues
    seriously? g. When a safety- related incident occurs on the job, do you
    think AOC takes the

    incident seriously (i. e., does their best to deal with the situation)?
    [Ask for participants for examples.] CLOSING: Are there other issues not
    covered today that you would like AOC management to know about?

    Questions Used in Project Manager Focus Group

    Employee Introductions: Please give your first name and how long you*ve
    worked at AOC. GAO is interested in finding out what is working well at
    AOC in project management and

    where there might be areas for improvement. We*re going to cover three
    basic areas today:

    1) the project management process at AOC, 2) the project management
    environment, and 3) resources and tools you utilize in performing your
    duties at AOC.

    1) The Project Management Process at AOC GAO is interested in getting your
    perspectives on project management at AOC. First, we want to hear what is
    on your mind about what is working well and what is not. And then we want
    to ask you specifically about some recent changes and current plans that
    are relevant to project management at AOC.

    a. Working well: In your view, what project management processes are
    working well at AOC? Why do you think these things are working well?

    b. Needs improvement: Where do you think project management processes need
    to be changed or fixed? What would you suggest be done to improve these
    processes?

    Now we would like to get your perspectives on some specific project
    management improvement initiatives at AOC.

    c. Planning: By a show of hands, are you aware of the forthcoming planning
    initiatives, including the building condition assessments and the master
    plan for the Capitol Hill complex? How do you think the planning will
    affect your future workload, if at all? How

    will it affect your priorities, if at all? d. Best practices: By a show of
    hands, are you aware of what are being termed the *Best Practices*
    initiatives to improve project management at AOC?

    More specifically, are you aware of the following: 1. *Cradle- to- grave*
    management? 2. PIC reporting requirements? 3. The *1391* process? 4. Any
    other aspects of best practices?

    i. Do these *practices* affect your workload? If so, how (i. e., easier,
    more busy work)? ii. What works well about these components? What doesn*t
    work

    so well? Why? iii. How, if at all, would you improve these processes? 2)
    Project Management Environment

    We are also interested in learning more about various organizational
    processes as they pertain to project management at AOC.

    a. Priorities: (AOC- wide) As an agency, how well does AOC prioritize
    projects overall? And do you understand how those priorities are set? Are
    priorities clearly communicated to project managers?

    (Individual Project Manager) How do you set priorities for your own
    workload? With respect to your current workload, are you being asked to do
    too much? Too little? Please describe. b. Communication and team work:

    Here is a list of major stakeholders who contribute to or are interested
    in a projects completion. With respect to your relationship with each of
    the groups, (a) What is working well and (b) What needs fixing? - Clients
    (both internal and external)

    - Superintendents

    - Office of the CFO/ Budget Office

    - Procurement Office

    - Safety Office

    - Assistant Architect*s Office (in general)

    - Architecture Division

    - Engineering Division

    - Construction Management Division

    - Cost Estimators

    - Contractors

    - Consultants In your view, which groups are able to communicate/
    coordinate most effectively with you and each other in order to get a job
    completed? Least effectively? Why?

    Do you get the information you need, when you need it? If not, what
    information do you need and why is it not getting through?

    Do you have any suggestions on how to improve overall communication/
    coordination on project management?

    c. Decision making authority: As a project manager, it is implied that you
    have a certain degree of authority to keep a project moving. Do you feel
    that you have the right level of authority to ensure a project is
    completed on time, within scope, and under budget? If not, why?

    What would you like to see changed? d. Accountability: How are you held
    accountable for managing a project? Do you

    know how others who play key roles are held accountable? e. Supervision:
    Do you receive the help you need to do your job from supervisors? If there
    are conflicts on the job, do supervisors step in and resolve them? Do
    supervisors routinely review your work products and offer meaningful

    feedback on your performance? 3) Resources and Tools

    We would now like to talk about the resources and support you need to
    successfully manage projects.

    a. Resources: Do you have the equipment, materials, and tools you need to
    do your job? If not, what is needed? Do you know why a needed resource is
    not provided?

    Prompts:

    - Do you need a project management system to help manage the progress of a
    project?

    - Project Information Center system

    - Project Managers Manual

    - Design documents

    - Estimates

    - Budget information

    - Project Meetings including, team meetings, quarterly project meetings,
    and midyear budget review meetings Are the right people asked to attend
    the meetings? Are there meetings you*d like to have but don*t?

    b. Job- related training: Are there any areas of project management where
    being provided some training would help you do your job better?

    Has there been any project- management- related training that you wanted
    to take but were unable to do so? If so, please describe.

    c. Needs: If you could tell management about resources that you need to do
    your job better, what would they be?

    4) Summary of Issues a. Biggest issues: Considering our discussions today,
    what are the biggest issues

    project managers face? b. Consensus: From that list, is there one single
    issue that seems to be the most

    pressing facing all project managers?

    Focus Group Exit Survey Questions

    We have prepared a simple two- question exit survey for you to complete
    here before you leave. This survey is confidential. When completed, please
    place the survey in the box before you leave.

    PAPER EXIT SURVEY: 1) Did you feel free to speak openly about the issues
    discussed here today?

    Yes No (If no, please explain why.)

    2) Are there other issues that you would like to GAO to know about? Please
    fill in here.

    Comments from the Office of the Architect of

    Appendi x II the Capitol

    Appendi x III

    GAO Contacts and Staff Acknowledgements For further information about this
    statement, please contact J. Christopher Mihm at (202) 512- 6806.
    Individuals making key contributions to this statement included Thomas
    Beall, Justin Booth, Carole Cimitile, Kevin J. Conway, Elizabeth Curda,
    Deborah Davis, Terrell Dorn, Elena Epps,

    V. Bruce Goddard, David Merrill, Christina Quattrociocchi, Benjamin Smith
    Jr., Lori Rectanus, John Reilly, William Roach, Regina Santucci, Gary
    Stofko, Kris Trueblood, Sarah Veale, Michael Volpe, and Daniel Wexler.

    (450071)

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                                           A

    Principal Findings and Recommendations for Agency Action

    Strategic Management AOC has demonstrated a commitment to organizational
    transformation Framework Needed to

    through the management improvements it has planned and under way. AOC
    Achieve Transformation

    has recently (1) commenced a new strategic planning effort that focuses on
    developing mission- critical goals, (2) drafted congressional protocols
    patterned after GAO*s protocols, (3) conducted client surveys in the
    Capitol, House, Senate, and Library of Congress jurisdictions, and (4)
    implemented a senior executive performance evaluation system.

    To better serve the Congress, central AOC management needs to build the
    capability to define goals, set priorities, ensure follow- through,
    monitor progress, and establish accountability for results. Therefore, as
    a first priority, AOC needs to establish a management and accountability
    framework to help it lead and execute such organizational transformation.
    This framework includes (1) demonstrating top leadership commitment to
    organizational transformation, (2) involving key congressional and other
    stakeholders in developing an AOC- wide strategic plan, (3) using the
    strategic plan as the foundation for aligning activities, core processes,
    and resources to support mission- related outcomes, (4) establishing a

    communications strategy to foster transformation and create shared
    expectations and build involvement, (5) developing annual goals and a
    system for measuring performance, and (6) strategically managing AOC*s
    human capital to support the accomplishment of agency goals.

    Making such fundamental changes in AOC*s culture will require a longterm,
    concerted effort. Given the nature and scope of changes needed and under
    way at AOC, it can demonstrate that progress is being made along

    the way by establishing action- oriented implementation goals over the
    long term, and a time line with milestone dates to track the
    organization*s progress towards those achieving those implementation
    goals. To implement the management and accountability framework, GAO found
    that AOC needs to (1) elevate attention on management issues and
    organizational transformation, (2) integrate various key management and
    transformation efforts, and (3) institutionalize accountability for
    addressing management issues and leading organizational transformation.

                                           A

    implemented and adopted, could allow AOC to institutionalize disciplined
    processes for system development and acquisition management. Until AOC
    implements agencywide, disciplined processes for managing the development
    and acquisition of IT systems, it risks investing in systems that do not
    perform as intended, are delivered late, and cost more than planned.

    AOC Should Develop an Effective information security management is
    critical to AOC*s ability to

    Effective Information ensure the reliability, availability, and
    confidentiality of its information

    Security Program assets, and thus its ability to perform its mission. If
    effective information

    security practices are not in place, AOC*s data and systems are at risk of
    inadvertent or deliberate misuse, fraud, improper disclosure, or
    destruction* possibly without detection. Our research of public and
    private sector organizations recognized as having strong information
    security programs shows that their programs include (1) establishing a
    central focal point with appropriate resources, (2) continually assessing
    business risks, (3) implementing and maintaining policies and controls,
    (4) promoting awareness, and (5) monitoring and evaluating policy and
    control effectiveness. 21 AOC has taken important steps to establish an
    effective information

    security program, but much remains to be done. In May 2001, the OIRM
    Director established and filled an IT security officer position. The
    officer*s responsibilities include planning and coordinating security risk
    assessments, developing IT security policies, conducting security
    training, and evaluating the effectiveness of IT security policies and
    controls. In March 2002, the Security Officer completed a partial risk
    assessment of

    AOC*s systems environment focusing on systems that are controlled by OIRM,
    and used that assessment to develop a security plan to address the
    identified vulnerabilities. The plan contains steps to develop user access
    and network administrator account policies, as well as a security
    awareness and training program.

    21 U. S. General Accounting Office, Executive Guide: Information Security
    Management, Learning From Leading Organizations, GAO/ AIMD- 98- 68
    (Washington, D. C.: May 1998), and Information Security Risk Assessment:
    Practices of Leading Organizations, A Supplement to GAO*s May 1998
    Executive Guide on Information Security Management,

    GAO/ AIMD- 00- 33 (Washington, D. C.: November 1999).

                                           A

    Report to Congressional Requesters

    January 2003 ARCHITECT OF THE CAPITOL Management and Accountability
    Framework Needed for Organizational Transformation

    GAO- 03- 231

    a

    GAO United States General Accounting Office

    AOC is an agency working to transform itself and has planned management
    improvement efforts, such as a new strategic planning process, to help it
    make this transition. GAO found that without AOC establishing a management
    and

    accountability framework, it might have difficulty leading and executing
    its organizational transformation. Leading organizations undergoing
    transformation efforts draw from the following management and
    accountability components: (1) demonstrating top leadership commitment to
    organizational transformation, (2) involving key stakeholders in
    developing an

    organizationwide strategic plan, (3) using the strategic plan as the
    foundation for aligning activities, core processes, and resources to
    support mission- related outcomes, (4) establishing a communications
    strategy to foster transformation and create shared expectations and build
    involvement, (5) developing annual

    goals and a system for measuring performance, and (6) managing human
    capital and information technology strategically to drive transformation
    and to support the accomplishment of agency goals. To support its
    transformation initiatives and to cope with shifting environments

    and evolving demands and priorities, AOC also should continue to develop
    its management infrastructure and controls. Establishing this management
    and accountability framework and further developing its management

    infrastructure and controls can also help AOC improve performance in
    program areas of long- standing concern to AOC*s employees and
    congressional stakeholders* worker safety, project management, and
    recycling. AOC*s mission is to preserve and enhance the Capitol and
    related

    facilities

    www. gao. gov/ cgi- bin/ getrpt? GAO- 03- 231 To view the full report,
    including the scope and methodology, click on the link above. For more
    information, contact J. Christopher Mihm at (202) 512- 6806 or mihmj@ gao.
    gov. Highlights of GAO- 03- 231, a report to the

    Subcommittee on Legislative Branch, Senate Committee on Appropriations,
    and the Subcommittee on Legislative, House

    Committee on Appropriations

    January 2003

    ARCHITECT OF THE CAPITOL

    Management and Accountability Framework Needed for Organizational
    Transformation

    The Office of the Architect of the Capitol (AOC) plays an important role
    in supporting the effective functioning of the Congress and its
    neighboring institutions. With a budget of $426 million, AOC is
    responsible for the maintenance, renovation, and new construction of

    all buildings and grounds within the Capitol Hill complex. GAO was
    mandated by the Legislative Branch Appropriations Act, 2002, to conduct a
    comprehensive management review of AOC*s operations to help identify
    improvements in strategic

    planning, organizational alignment, and strategic human capital management
    to help AOC better achieve its mission and to address

    long- standing program issues. To address these objectives, GAO reviewed
    AOC*s legislative authority and internal documents, interviewed key AOC
    officials and senior managers, and conducted employee

    focus groups. GAO recommends that AOC establish a strategic management and
    accountability framework, including strong management infrastructure and
    controls, to drive its agency transformation effort and to address long-
    standing program issues.

    AOC generally agreed with our recommendations and is developing a plan to
    implement them.

    Page i GAO- 03- 231 Architect of the Capitol

    Contents

    Contents

    Page ii GAO- 03- 231 Architect of the Capitol

    Contents

    Page iii GAO- 03- 231 Architect of the Capitol

    Page 1 GAO-??-?? Document Name United States General Accounting Office

    Washington, D. C. 20548 Page 1 GAO-??-?? Document Name

    A

    Page 2 GAO-??-?? Document Name

    Page 3 GAO- 03- 231 Architect of the Capitol

    Executive Summary Page 4 GAO- 03- 231 Architect of the Capitol

    Executive Summary Page 5 GAO- 03- 231 Architect of the Capitol

    Executive Summary Page 6 GAO- 03- 231 Architect of the Capitol

    Executive Summary Page 7 GAO- 03- 231 Architect of the Capitol

    Executive Summary Page 8 GAO- 03- 231 Architect of the Capitol

    Executive Summary Page 9 GAO- 03- 231 Architect of the Capitol

    Executive Summary Page 10 GAO- 03- 231 Architect of the Capitol

    Executive Summary Page 11 GAO- 03- 231 Architect of the Capitol

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    Chapter 1

    Chapter 1 Introduction

    Page 13 GAO- 03- 231 Architect of the Capitol

    Chapter 1 Introduction

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    Chapter 1 Introduction

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    Chapter 1 Introduction

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    Chapter 1 Introduction

    Page 17 GAO- 03- 231 Architect of the Capitol

    Chapter 1 Introduction

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    Page 19 GAO- 03- 231 Architect of the Capitol

    Chapter 2

    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

    Page 20 GAO- 03- 231 Architect of the Capitol

    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

    Page 21 GAO- 03- 231 Architect of the Capitol

    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

    Page 22 GAO- 03- 231 Architect of the Capitol

    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

    Page 23 GAO- 03- 231 Architect of the Capitol

    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

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    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

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    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

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    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

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    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

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    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

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    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

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    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

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    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

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    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

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    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

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    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

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    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

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    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

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    Chapter 2 Strategic Management Framework Needed to Achieve Transformation

    Page 38 GAO- 03- 231 Architect of the Capitol

    Page 39 GAO- 03- 231 Architect of the Capitol

    Chapter 3

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 40 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 41 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 42 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 43 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 44 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 45 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 46 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 47 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 48 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 49 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 50 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 51 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 52 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 53 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 54 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 55 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 56 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 57 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 58 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 59 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 60 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 61 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 62 GAO- 03- 231 Architect of the Capitol

    Chapter 3 Management Infrastructure and Controls Needed to Support
    Organizational

    Transformation Initiatives Page 63 GAO- 03- 231 Architect of the Capitol

    Page 64 GAO- 03- 231 Architect of the Capitol

    Chapter 4

    Chapter 4 Strategic Management Framework Important for Addressing Long-
    standing Worker Safety, Project Management, and Recycling Issues

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    standing Worker Safety, Project Management, and Recycling Issues

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    Appendix I

    Appendix I Employee and Supervisor Focus Groups* Objectives, Scope, and
    Methodology

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    Appendix I Employee and Supervisor Focus Groups* Objectives, Scope, and
    Methodology

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    Appendix I Employee and Supervisor Focus Groups* Objectives, Scope, and
    Methodology

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    Appendix I Employee and Supervisor Focus Groups* Objectives, Scope, and
    Methodology

    Page 108 GAO- 03- 231 Architect of the Capitol

    Appendix I Employee and Supervisor Focus Groups* Objectives, Scope, and
    Methodology

    Page 109 GAO- 03- 231 Architect of the Capitol

    Appendix I Employee and Supervisor Focus Groups* Objectives, Scope, and
    Methodology

    Page 110 GAO- 03- 231 Architect of the Capitol

    Appendix I Employee and Supervisor Focus Groups* Objectives, Scope, and
    Methodology

    Page 111 GAO- 03- 231 Architect of the Capitol

    Appendix I Employee and Supervisor Focus Groups* Objectives, Scope, and
    Methodology

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    Appendix I Employee and Supervisor Focus Groups* Objectives, Scope, and
    Methodology

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    Appendix I Employee and Supervisor Focus Groups* Objectives, Scope, and
    Methodology

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    Appendix I Employee and Supervisor Focus Groups* Objectives, Scope, and
    Methodology

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    Page 116 GAO- 03- 231 Architect of the Capitol

    Appendix II

    Appendix II Comments from the Office of the Architect of the Capitol

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    Appendix II Comments from the Office of the Architect of the Capitol

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    Appendix II Comments from the Office of the Architect of the Capitol

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    Appendix II Comments from the Office of the Architect of the Capitol

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    Appendix II Comments from the Office of the Architect of the Capitol

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    Appendix II Comments from the Office of the Architect of the Capitol

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    Appendix II Comments from the Office of the Architect of the Capitol

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    Page 124 GAO- 03- 231 Architect of the Capitol

    Appendix III

    United States General Accounting Office Washington, D. C. 20548- 0001
    Official Business Penalty for Private Use $300 Address Service Requested

    Presorted Standard Postage & Fees Paid

    GAO Permit No. GI00
    *** End of document. ***