A new rights and protections brochure containing summaries of the three laws applied by the CAA after January 23, 1996 was mailed to all covered employees. On a monthly basis, the Office mailed its two rights and protection brochures to all new covered employees. The Office of Compliance revised procedural rules were published in booklet format. In addition, several Office publications advising employees of their rights and notifying them of upcoming elections were developed, and they were translated into Spanish for one of the union elections held in fiscal year 1997. An interactive telephone information line directed callers to recorded information (this data was included in the annual report to Congress), or to an Office staff member who discussed claims and provided resource referrals.

Plans for fiscal year 1998 and fiscal year 1999

In fiscal year 1998, for the first time, approximately 8,300 employees of the General Accounting Office and the Library of Congress will be covered under certain sections of the CAA. The Office will prepare, publish and distribute new written materials to meet its congressional mandate to "educate and inform" this specific group of covered employees. Employees will be mailed a separate rights and protections brochure, a special edition of the Guide to the Congressional Accountability Act resource manual will be produced for GAO and the Library, and informational posters will be printed and distributed to GAO and the Library for posting.

The CAAnews, with additional information on the CAA and the Office of Compliance, will continue to be published on a quarterly basis and mailed to covered employees' residences.

The "Guide to the Congressional Accountability Act" manual will be distributed to new members of the 106th Congress and updated as needed. Throughout the year, new employees covered under the CAA will be mailed employee rights and protections brochures.

In fulfilling its statutory responsibilities, the education and information program will continue to update, reprint and distribute existing materials and produce new publications, fact sheets, posters and updates for more than 28,000 covered employees and employing offices (a 40 percent increase in covered employees from fiscal year 1997).

REGULATION WRITING

The CAA requires the Executive Director, subject to Board approval, to adopt rules governing the procedures of the Office. The CAA further requires the Board to adopt, subject to Congressional approval, substantive regulations implementing sections of the CAA that apply rights and protections of the Fair Labor Standards Act, the Family and Medical Leave Act, the Employee Polygraph Protection Act, the Worker Adjustment and Retraining Notification Act, Titles II and III of the Americans with Disabilities Act, the Occupational Safety and Health Act, and the Federal Service Labor-Management Relations Statute.

Accomplishments in fiscal year 1997

The regulations for the implementation of two of the laws made applicable by the CAA, i.e., OSHA and Titles II and III of the ADA, were finalized and adopted by the Board in December, 1996. The Office developed amendments to extend those provisions of its substantive regulations that relate to the CAA sections made applicable to GAO and the Library of Congress, and proposed them in September of 1997. (The Board subsequently adopted these amendments in October, and they are currently awaiting Congressional approval.) Amendments to the procedural rules to include GAO and the Library were also developed, and the Notice of Proposed Rulemaking was signed by the Executive Director on September 30 and published for comment in the Congressional Record on October 1, 1997. As a result of the submission of the Library of Congress, the Office has published a further notice of proposed rulemaking requesting further comment on the issues raised by the Library. Plans for fiscal year 1998 and fiscal year 1999

The Board's substantive regulations will be periodically reviewed and updated to take into account any amendments made to the executive agency regulations on which the Board's regulations are based. In the first such update, signed on October 31, 1997, the Board adopted amendments to update its regulations implementing section 215 (Occupational Safety and Health).

Further, if Congress amends the CAA to expand the Office's responsibilities with respect to GAO and the Library of Congress, or to give the Office responsibilities with respect to GPO, amendments to the Board's substantive regulations and to the Executive Director's procedural rules will be needed. The nature, extent, and timing

of these amendments would depend on the terms of the statutory amendments by which the Office's expanded responsibilities are established.

STUDIES AND REPORTS

Section 230 of the CAA mandates a study on the application of the rights, protections, and procedures under the eleven employment and labor laws in the CAA to the General Accounting Office, the Government Printing Office, and the Library of Congress and their employees. Section 102(b)(2) of the CAA requires the Board to submit a report to Congress on the applicability to the legislative branch of any employment laws not contained in the CAA, beginning on December 31, 1996, and every two years thereafter.

Sections 210(f)(2) and 215(e)(2) of the CAA require the General Counsel of the Office to submit, at least once every Congress, a report to Congress and the Office of the Architect of the Capitol containing the results of the periodic inspections required by the CAA. This study, discussed in the Inspections, Technical Assistance, and Investigations section above, must also outline the steps necessary to remedy a violation, describe the consequences of each violation, and estimate the cost and time needed to correct the violation.

Accomplishments in fiscal year 1997

The section 102(b) and section 230 studies were submitted to Congress in fiscal year 1997. The Board is conducting an additional study to examine in-depth those sections of the laws applied to the legislative branch by the CAA that were not originally applied in the CAA, and make recommendations, as necessary. This study was begun in fiscal year 1997, and it will be issued prior to December 31, 1998.

Plans for fiscal year 1998 and fiscal year 1999

Section 102(b) requires that the Board submit a report to Congress every two years, on whether and to what degree federal employment and public disability access laws apply to the legislative branch, and whether such laws that do not apply should be made applicable. At a minimum, the December 1998 report will address those federal laws that were enacted or amended since the issuance of the December 1996 report. The Board may also consider whether to focus in-depth on one or several categories of laws that do not now apply to the legislative branch as part of the 1998 or subsequent biennial studies. It may then make recommendations to Congress to apply additional provisions of law to the legislative branch.

The reports required by sections 210(f)(2) and 215(e)(2) of the CAA will be submitted by the General Counsel, at least once every Congress, to Congress and the Office of the Architect of the Capitol; these reports will contain the results of the periodic inspections required by the CAA.

ADMINISTRATIVE AND FINANCIAL IMPROVEMENTS

Accomplishments in fiscal year 1997

The Office developed and distributed to all staff a Financial Directive on procurement procedures that ensures that appropriate checks and balances are maintained on expenditures of appropriated funds, and that such expenditures comply with Financial Acquisition Regulations (FAR). All contracts and contracting procedures were also standardized to comply with the Financial Directive and FAR.

The Executive Director approved the Vision, Goals and Strategies statement prepared by the Legislative Branch Financial Managers Council and endorsed by the House Appropriations Committee in its report on the Legislative Branch Appropriations Bill. Preliminary steps were taken to comply with its tenets, including crossservicing disbursements and other financial services with the Library. In addition, a five-program budget structure was developed and implemented that facilitates both tracking expenditures and accurately projecting future costs, devised as a first step to eventual compliance with FASAB cost accounting standard 4, i.e., “Managerial Cost Accounting Concepts and Standards for the Federal Government." Finally, in partnership with the Library, an auditable consolidated financial statement is currently being prepared using fiscal year 1997 data.

To prepare for Year 2000 system demands, the Office started to upgrade its equipment and software during fiscal year 1997. Previous equipment had been obtained from the former Office of Technology Assessment, and it was inadequate to make the transition to year 2000 data, and unable to run 32-bit Windows 95 software. The Office procured a new Compaq server for its local area network that is equipped with RADE technology (i.e., technology by which data files are redundantly stored on multiple hard drives) to protect against data loss, and began to replace its 486

computers with pentium computers. The Office's furniture and equipment inventory was completely updated, as well.

The Office also developed and installed external e-mail as well as dial-up connectivity with the Architect of the Capitol. These system enhancements are via stand-alone computer, in order to continue to protect the strict confidentiality required by section 416 of the CAA. The Office of the General Counsel developed its own data entry and database management application for the OSHA and ADÁ questionnaire data, using Access software.

In order to ensure consistency with statutory timeframes, efficiently manage and report to Congress as mandated, the Office's extensive computerized case-tracking system was completed. This system generated the first report to Congress on the use of the Office by legislative branch employees, as mandated by section 301(h) of the CAA.

Building on the early accomplishments of the Office, several cost-containing measures we initiated in this fiscal year. Printing costs were reduced significantly by having the Office's publications published through contracts negotiated by the Government Printing Office; a group contract rate was negotiated with Westlaw Publications, which significantly reduced the costs anticipated in last year's budget for this purpose; the Office replaced the large Kodak copier we had procured earlier with three small Kodak copiers at no additional expense, facilitating more in-house copying and resulting in considerable savings.

Plans for fiscal year 1998 and fiscal year 1999

The Office has entered into a partnership with the Library of Congress Financial Services Division to prepare a consolidated financial statement for fiscal year 1997. This agreement was included in our Interagency Agreement with the Library for fiscal year 1998, and it is the Office's next step in implementing the Vision, Goals and Strategies of the Legislative Branch Financial Managers Council.

The letter writing capability of the Office's case tracking application will be upgraded in fiscal year 1998 to be compatible with Windows 95 and the new 32-bit Paradox and WordPerfect software. Pentium computers will be procured and installed for staff who have not yet received the Office's upgraded software and hardware, thus ensuring that the Office is prepared for the challenge of the year 2000. The Office's employee manual will be revised to incorporate additional information, including the Office's flexiplace, travel and e-mail policies and procedures.

AWARDS AND SETTLEMENTS APPROPRIATION

Section 415 of the CAA established “an account of the Office in the Treasury of the United States for the payment of awards and settlements *** under this Act," and further authorized to be appropriated "such sums as may be necessary to pay such awards and settlements." Section 415 stipulated that awards and settlements under the CAA should only be paid from that account, which is to be separate from the operating expenses_account of the Office of Compliance established under section 305 of the CAA. The Executive Director approves all such awards.

The Legislative Branch Appropriations Acts of 1996, 1997, and 1998 have appropriated funds for awards and settlements under the CAA. Section 305 of the fiscal year 1998 appropriation bill contained the following language:

Such sums as may be necessary are appropriated to the account described in subsection (a) of section 415 of Public Law 104-1 to pay awards and settlements as authorized under such subsection.

Awards and settlements are paid by means of a disbursement process designed to safeguard the confidentiality of the settlements and the parties involved. Only one non-Office employee (who has signed a confidentiality agreement) has access to information about claimants.

In fiscal year 1997, a total of $39,429 was awarded and disbursed under six settlements made under section 415 of the CAA. To date in fiscal year 1998, a total of $73,700 has been awarded and disbursed under 11 settlements.

OFFICE OF COMPLIANCE'S BUDGET REQUEST FOR FISCAL YEAR 1999

The Office of Compliance's fiscal year 1999 budget request of $2,286,000 reflects a $193,000 (-7 percent) decrease from the fiscal year 1998 appropriation of $2,479,000.

Staffing levels are projected at the same level as in fiscal year 1998. However, additional staff would be required, should Congress decide to expand the coverage of employment and safety laws in the CAA for employees of the General Accounting Office, the Government Printing Office, and the Library of Congress.

Employee benefit ratios for the Office continue to be lower than those experienced by most federal agencies for several reasons. More employees are covered by the FERS retirement system than are covered by CSRS, and neither workers' compensation payments nor payments to retirees have been made to date. For these reasons, $27,000 less is requested for employee benefits than in fiscal year 1998.

A decrease of $8,000 is requested for travel in fiscal year 1999 based upon fiscal year 1997 actual expenditures. The request for rent, communication and utilities is $21,000 less than in fiscal year 1998 as a result of the agreement negotiated with Westlaw Publishing. Virtually all online services Westlaw provides are covered within a group rate under this agreement.

In the fiscal year 1999 request, a total of $114,150 is requested for mediators, $19,000 more than the actual fiscal year 1997 expenditures of $95,150. This request is higher because the number of mediations requested in the last half of fiscal year 1997 was much higher than in the first half, which indicates a trend which is expected to result in an increased workload in this area.

Based on actual expenditures, we are requesting a total of $90,780 for hearing officers, and $23,180 for the services of court reporters. Although these costs are slightly higher than the actual costs for fiscal year 1997 of $75,780 and $19,200, respectively, they are about half of the fiscal year 1998 budget request for these services. They are projected to increase in response to the trend in requests for mediation discussed above.

The Office is requesting an increase of $7,000 for supplies primarily for materials needed to fulfill our statutory mandate for education and information. Every report as well as all new and revised regulation must be produced and distributed for all Members of Congress, and other employing offices. As discussed above, provisions of the CAA now apply to 8,300 additional employees of GPO and the Library, all of whom will receive publications as well.

Since its inception, the Office has been located in the Adams building of the Library of Congress. Pursuant to an agreement with the Library, the space was expanded to accommodate our initial operations. On the basis of this occupancy, no additional funding for moving expenses, rent, utilities, or system and phone wiring has been included in this request. If the Office is required to relocate in fiscal year 1999, additional funding will be sought in a supplemental request.

CONCLUSION

In the two years since this Office was established much has been accomplished. As of January 1, 1998, the Office is fully operational, all regulations have been approved by the Board, procedures are established, and all systems are up and running. Whereas in the past we have had to rely largely on conjecture, this year's budget request is based on almost two years of experience with what our actual workload is, and what it costs to do the job efficiently and effectively. The effectiveness of the alternative dispute resolution process that Congress envisioned and set forth in the CAA has now been documented. All of this speaks not only to the good work of the Office, but, more importantly, to the commitment of Congress to the important principles of the Congressional Accountability Act.

OFFICE OF COMPLIANCE SECTION 301(h) REPORT TO CONGRESS JANUARY 23, 1996DECEMBER 31, 1996

INTRODUCTION

The Congressional Accountability Act (CAA) generally applies provisions of eleven federal labor and employment laws to over 20,000 covered congressional employees and employing offices. The CAA establishes the Office of Compliance (Office), an independent agency in the legislative branch of government, to administer and enforce the CAA and provide a process for speedy, confidential resolution of workplace disputes. Section 301(h) of the CAA requires that the Office of Compliance:

*

compile and publish statistics on the use of the Office by covered employees, including the number and type of contacts made with the Office, on the reason for such contacts, on the number of covered employees who initiated proceedings with the Office under this Act and the result of such proceedings, and on the number of covered employees who filed a complaint, the basis for the complaint, and the action taken on the complaint."

This first report provides the information for the period from January 23, 1996 through December 31, 1996. Future reports will be issued soon after the end of each calendar year, beginning in January 1998. The report begins with a summary of the authority and responsibilities of the Office of Compliance.

OFFICE OF COMPLIANCE AUTHORITY AND RESPONSIBILITIES

The CAA establishes the Office of Compliance with a Board of five members, who serve on a part-time basis, and four statutory appointees: the Executive Director, Deputy Executive Director for the Senate, Deputy Executive Director for the House, and the General Counsel. The Office is charged with providing alternative dispute resolution procedures, as well as adjudicative hearings and appeals, for covered legislative branch employees and education and information on the CAA to members of Congress, other employing offices, and employees of the legislative branch. The Board is required to adopt substantive regulations for implementation of certain provisions of the CAA. The Executive Director is required to adopt rules governing the procedures of the Office. The Office of the General Counsel enforces the provisions of sections 210 and 215, relating to health and safety and public access requirements, including investigation and prosecution of claims under these sections, and periodic inspections to ensure compliance. Additionally, the General Counsel investigates and prosecutes unfair labor practices under section 220 of the CAA.

The CAA applies the rights and protections of provisions of the following eleven labor and employment statutes to covered employees within the legislative branch: title VII of the Civil Rights Act of 1964, the Age Discrimination in Employment Act of 1967, title I of the Americans with Disabilities Act of 1990, the Rehabilitation Act of 1973, the Family and Medical Leave Act of 1993, the Fair Labor Standards Act of 1938, the Employee Polygraph Protection Act of 1988, the Worker Adjustment and Retraining Notification Act, chapter 43 of title 38 of the U.S. Code (relating to veterans' employment and reemployment), the Americans with Disabilities Act of 1990 relating to public services and accommodations, the Occupational Safety and Health Act of 1970, and chapter 71 of title 5 of the U.S. Code (relating to federal service labor-management relations).

On January 23, 1996, key provisions of the law took effect covering the House of Representatives, the Senate, the Capitol Guide Service, the Capitol Police, the Congressional Budget Office, the Office of the Architect of the Capitol, the Office of the Attending Physician, the Office of Compliance, and their employees. On October 1, 1996, section 220, the labor management section of the CAA took effect, as did the OSHA and ADA sections on January 1, 1997.

USE OF THE OFFICE OF COMPLIANCE

Section 301(h) of the Congressional Accountability Act mandates that the Office of Compliance: compile and publish statistics on the use of the Office by covered employees, including the number and type of contacts made with the Office, on the reason for such contacts, on the number of covered employees who initiated proceedings with the Office under this Act and the result of such proceedings, and on the number of covered employees who filed a complaint, the basis for the complaint, and the action taken on the complaint."

The following statistics provide this data on the use of the Office by covered employees from January 23, 1996, when the CAA generally took effect, to December 31, 1996. (Given the statutory time frames, proceedings initiated in 1996 may still be in the dispute resolution process as of December 31, 1996.)

Number and Types of Contacts Received: 1,677

Employees and employing offices may, at any time, seek informal advice and information on the procedures of the Office and the rights, protections, and responsibilities afforded under the CAA. The Office responds to all inquiries on a confidential basis.

1,677 requests for information from covered employees, employing offices, the public, unions, and the press were made by phone and in person from January 23, 1996 to December 31, 1996. Contacts were made by: