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 				 

******************************************************************
** This file contains an ASCII representation of the text of a  **
** GAO Product.                                                 **
**                                                              **
** No attempt has been made to display graphic images, although **
** figure captions are reproduced.  Tables are included, but    **
** may not resemble those in the printed version.               **
**                                                              **
** Please see the PDF (Portable Document Format) file, when     **
** available, for a complete electronic file of the printed     **
** document's contents.                                         **
**                                                              **
******************************************************************
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)

GAO*s Mission The General Accounting Office, the investigative arm of
Congress, exists to support Congress in meeting its constitutional
responsibilities and to help improve

the performance and accountability of the federal government for the
American people. GAO examines the use of public funds; evaluates federal
programs and policies; and provides analyses, recommendations, and other
assistance to help Congress make informed oversight, policy, and funding
decisions. GAO*s commitment to good government is reflected in its core
values of accountability, integrity, and reliability.

Obtaining Copies of The fastest and easiest way to obtain copies of GAO
documents at no cost is

through the Internet. GAO*s Web site (www. gao. gov) contains abstracts
and fulltext GAO Reports and

files of current reports and testimony and an expanding archive of older
Testimony

products. The Web site features a search engine to help you locate
documents using key words and phrases. You can print these documents in
their entirety, including charts and other graphics.

Each day, GAO issues a list of newly released reports, testimony, and
correspondence. GAO posts this list, known as *Today*s Reports,* on its
Web site daily. The list contains links to the full- text document files.
To have GAO e- mail this

list to you every afternoon, go to www. gao. gov and select *Subscribe to
GAO Mailing Lists* under *Order GAO Products* heading.

Order by Mail or Phone The first copy of each printed report is free.
Additional copies are $2 each. A check or money order should be made out
to the Superintendent of Documents. GAO

also accepts VISA and Mastercard. Orders for 100 or more copies mailed to
a single address are discounted 25 percent. Orders should be sent to:

U. S. General Accounting Office 441 G Street NW, Room LM Washington, D. C.
20548

To order by Phone: Voice: (202) 512- 6000 TDD: (202) 512- 2537 Fax: (202)
512- 6061

To Report Fraud, Contact:

Waste, and Abuse in Web site: www. gao. gov/ fraudnet/ fraudnet. htm

E- mail: fraudnet@ gao. gov Federal Programs

Automated answering system: (800) 424- 5454 or (202) 512- 7470 Public
Affairs Jeff Nelligan, Managing Director, NelliganJ@ gao. gov (202) 512-
4800

U. S. General Accounting Office, 441 G Street NW, Room 7149 Washington, D.
C. 20548

                                       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

Page 12 GAO- 03- 231 Architect of the Capitol

Chapter 1

Chapter 1 Introduction

Page 13 GAO- 03- 231 Architect of the Capitol

Chapter 1 Introduction

Page 14 GAO- 03- 231 Architect of the Capitol

Chapter 1 Introduction

Page 15 GAO- 03- 231 Architect of the Capitol

Chapter 1 Introduction

Page 16 GAO- 03- 231 Architect of the Capitol

Chapter 1 Introduction

Page 17 GAO- 03- 231 Architect of the Capitol

Chapter 1 Introduction

Page 18 GAO- 03- 231 Architect of the Capitol

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

Page 24 GAO- 03- 231 Architect of the Capitol

Chapter 2 Strategic Management Framework Needed to Achieve Transformation

Page 25 GAO- 03- 231 Architect of the Capitol

Chapter 2 Strategic Management Framework Needed to Achieve Transformation

Page 26 GAO- 03- 231 Architect of the Capitol

Chapter 2 Strategic Management Framework Needed to Achieve Transformation

Page 27 GAO- 03- 231 Architect of the Capitol

Chapter 2 Strategic Management Framework Needed to Achieve Transformation

Page 28 GAO- 03- 231 Architect of the Capitol

Chapter 2 Strategic Management Framework Needed to Achieve Transformation

Page 29 GAO- 03- 231 Architect of the Capitol

Chapter 2 Strategic Management Framework Needed to Achieve Transformation

Page 30 GAO- 03- 231 Architect of the Capitol

Chapter 2 Strategic Management Framework Needed to Achieve Transformation

Page 31 GAO- 03- 231 Architect of the Capitol

Chapter 2 Strategic Management Framework Needed to Achieve Transformation

Page 32 GAO- 03- 231 Architect of the Capitol

Chapter 2 Strategic Management Framework Needed to Achieve Transformation

Page 33 GAO- 03- 231 Architect of the Capitol

Chapter 2 Strategic Management Framework Needed to Achieve Transformation

Page 34 GAO- 03- 231 Architect of the Capitol

Chapter 2 Strategic Management Framework Needed to Achieve Transformation

Page 35 GAO- 03- 231 Architect of the Capitol

Chapter 2 Strategic Management Framework Needed to Achieve Transformation

Page 36 GAO- 03- 231 Architect of the Capitol

Chapter 2 Strategic Management Framework Needed to Achieve Transformation

Page 37 GAO- 03- 231 Architect of the Capitol

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

Page 65 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 66 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 67 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 68 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 69 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 70 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 71 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 72 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 73 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 74 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 75 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 76 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 77 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 78 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 79 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 80 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 81 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 82 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 83 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 84 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 85 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 86 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 87 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 88 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 89 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 90 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 91 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 92 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 93 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 94 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 95 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 96 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 97 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 98 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 99 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 100 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 101 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 102 GAO- 03- 231 Architect of the Capitol

Chapter 4 Strategic Management Framework Important for Addressing Long-
standing Worker Safety, Project Management, and Recycling Issues

Page 103 GAO- 03- 231 Architect of the Capitol

Page 104 GAO- 03- 231 Architect of the Capitol

Appendix I

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

Page 105 GAO- 03- 231 Architect of the Capitol

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

Page 106 GAO- 03- 231 Architect of the Capitol

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

Page 107 GAO- 03- 231 Architect of the Capitol

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

Page 112 GAO- 03- 231 Architect of the Capitol

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

Page 113 GAO- 03- 231 Architect of the Capitol

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

Page 114 GAO- 03- 231 Architect of the Capitol

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

Page 115 GAO- 03- 231 Architect of the Capitol

Page 116 GAO- 03- 231 Architect of the Capitol

Appendix II

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

Page 117 GAO- 03- 231 Architect of the Capitol

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

Page 118 GAO- 03- 231 Architect of the Capitol

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

Page 119 GAO- 03- 231 Architect of the Capitol

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

Page 120 GAO- 03- 231 Architect of the Capitol

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

Page 121 GAO- 03- 231 Architect of the Capitol

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

Page 122 GAO- 03- 231 Architect of the Capitol

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

Page 123 GAO- 03- 231 Architect of the Capitol

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. ***