SPECIAL PROJECTS-LIS

The Legislative Information System (LIS) is a mandated system (2 U.S.C. 123e) with the objective of providing desktop access to the content and status or all Senate legislative information and supporting documents. The Special Projects office manages the project, oversees the Senate's outside contractor, KPMG Peat Marwick, and coordinates LIS training for Senate users.

One of the early accomplishments in the LIS project was the 1997 implementation of an Amendment Tracking System (ATS). This system enables the Bill Clerk to scan floor amendments as they are received at the desk. Within twenty minutes, Senators and staff can view the text of an amendment from their personal computers. During the past year, this system had two major enhancements implemented. These enhancements offer status and statements of purpose when provided by the sponsors and enable users to perform detailed searches for particular amendments by amendment number, bill number, date introduced, or sponsor. System reliability was improved and a method was implemented for easier printing of the entire amendment (a frequently requested requirement). During the coming year, the Amendment Tracking System will be interfaced with the new Document Management System that is being implemented as a core component of LIS.

An anecdote related by a staffer tells how ATS has proven to be timely, accurate, and authoritative: The staffer had received a copy of an amendment via fax from one of the policy groups, but when the staffer printed it from the LIS Amendment Tracking System, it was clear that the faxed version was already out of date. (On their way to delivering amendments to the clerks, Senators sometimes make handwritten changes.) ATS provided a scanned photographic reproduction of the amendment copy as the Senator filed it.

This last year, the focus of the LIS was on analyzing and reviewing systems_requirements, on the review of related projects and initiatives at the Senate and other agencies, and on gathering information integral to the implementation of the LIS. Considerable progress was made in 1998 toward the goal of producing bills and resolutions using the Standard General Mark-up Language (SGML). At the direction of the Committee on Rules and Administration and the Committee on House Administration, the Secretary and the Clerk are developing a common standard for document exchange. SGML, widely used for commercial publishing, is the standard being developed for exchanging legislative information.

The Secretary and Clerk held two document analysis workshops in 1998 with representatives from the Senate, House, and legislative branch agencies in attendance. The first workshop was held to define the structure of bills and resolutions, the first step in the development of the Bill Document Type Definition (DTD). Using the findings from the workshop, Mulberry Technologies completed the Bill DTD in July 1998. The second workshop was held in late 1998 to identify the structure of conference reports and to begin the conference report DTD development process. The contractor completed the analysis of the workshop and the Senate and House Data Managers are reviewing it.

Concurrent with the DTD development process, the Secretary's Office, supported by KPMG, completed an evaluation of SGML Editing Environments that could be deployed in the Senate for the creation of SGML documents. The results of that evaluation may be further analyzed in conjunction with the House before a decision on SGML editors is finalized.

Efforts for the current year will focus on determining implementation strategies. Through participation in the Legislative SGML Coordinating Committee and the Legislative SGML Technical Committee, this Office continues to work closely with the House of Representatives to ensure that LIS is compatible with the House information systems for purposes of data exchange.

Also in 1998, a new Committee Scheduling application was developed and implemented, replacing the old, difficult to use system. The committee scheduling capability enables the Daily Digest Office to better schedule committee and subcommittee meetings and to allow all Senate users to retrieve information about committee meetings and hearings. Reports available from the new system include: Today's Meetings/Hearings, Scheduled Meetings/Hearings, Member's Individual Schedules, Specific Committee Schedules and Conflicts, and Combined Schedules for Members of a Specific Committee. The web-browser implementation provides convenient access from all Senate user PC's. In the coming year, the Committee Scheduling application will be interfaced with the new Document Management System. The LIS Document Management System (DMS) development began in August 1998. The DMS is to provide a central repository for all Senate information including legislation and support documentation. The system will collect, manage, store, retrieve, and report various types of data by providing accessibility, management,

and tracking of information in various formats. The LIS DMS, by transmitting data to the Library of Congress retrieval system, will serve a wide user base, often with different, and sometimes unique, sets of requirements: clerks of the Secretary of the Senate, Senate Library, Senate members and staff, legislative branch agencies— House, CRS, and LOC, Government Printing Office, and the public. The primary objective of Phase I, initiated in 1998 and to be completed in June, 1999, is to deliver a Year 2000 functional replacement for the existing LEGIS system with the ability to support document attributes, external interfaces, legacy data conversion, and reporting. Phase II, also to be completed in 1999, is to incorporate textural data and ad hoc reporting in the DMS. Interfaces to the Senate Amendment Tracking System and the Committee Scheduling System are to be established.

For 1999, the strategic focus of LIS development must be on becoming Year 2000 compliant. The decision to develop the DMS system to replace the existing LEGIS was made; therefore, the DMS production release must take place as scheduled to allow adequate time for thorough system testing in a production environment and to allow sufficient time for end to end testing with external system interfaces.

The LIS Project management meets weekly at Project Office and Project Managers meetings and performs the coordination and integration of LIS projects. To ensure user inputs into the LIS, Project management meets regularly with House and Senate user groups.

LIS Communications

While the LIS project is well under way, and large portions of the system have been successfully introduced to users throughout the Senate, LIS is still a work in progress. The announcement and promotion of change activities associated with LIS must be carefully organized. It is not only critical that changes to the system be announced quickly and effectively, but also that the appropriate messenger and communications vehicle be identified well in advance. The LIS communications plan attempts to address these issues by pinpointing the LIS systems that will be enhanced during the second and third years of LIS implementation and outlining a clear and concise means of communicating necessary information to key users. Two key components of the communications plan are the establishment of the LIS User Group and the production of informational materials and marketing tools.

The LIS User Group collects requirements and priorities of Senate offices to ensure that enhancements to LIS meet the needs of as broad a range of Senate researchers as possible. This group will also be used as a test group to provide feedback on enhancements to the system before they are introduced to the Senate as a whole. The requirements and feedback provided by this User Group will be recorded and factored into decisions the Project Plan proceeds.

The Project Office is seeking the active involvement of a broad spectrum of Senate staff (Legislative Directors, Legislative Assistants, Press Secretaries, and Systems Administrators) to make a commitment to participate in this LIS User Group through the completion of LIS implementation.

LIS informational materials and marketing tools are designed to ensure that Senate staff know what resources are available. These materials are continually updated and distributed to a wide range of staffers throughout the Senate. The Office of the Secretary has already developed several "Quick Cards" to provide users with key information on how to use the Amendment Tracking, Committee and Subcommittee Scheduling and the Roll Call Vote Tracking systems.

These cards have proven to be effective tools and, though they will need to be continually updated, will remain in circulation. As enhancements are made to the system, the need to create additional "Quick Cards" may also become apparent.

LIS Training

The Legislative Information System and Document Management System (LIS/ DMS) are intended to serve varied groups of users, many with unique requirements. The primary objective of LIS training is to prepare Senate staff to test, use, maintain, and support the LIS/DMS.

Following establishment of the Senate Office of Education and Training and recruitment of an LIS trainer, an instructional needs analysis was completed in October, 1998. Several audiences were identified for LIS/DMS training: Senate clerks, system administrators, including Secretary of the Senate Information Systems/Computer staff as well as Sergeant at Arms application development personnel, Help Desk personnel, Enterprise IT personnel, and end users. A training plan submitted in November, 1998, summarized the instructional analysis, described instructional methods and training resources, and outlined the training curriculum for each audience. In addition, the training plan included recommendations for vendor-supplied

technical training for developers and those involved in supporting and maintaining the LIS/DMS.

Since each audience has distinct needs, the training approach is highly customized. The curriculum includes labs and practical exercises to reinforce skills and the use of realistic scenarios to enable authentic assessment. Reference materials and other resources are being prepared to assist staff after training has occurred. Two training guides, one for system administrators and another for the Senate clerks, will be available for reference. The training team is also developing on-line help for the LIS/DMS. While the training guides and training sessions are geared toward roles, the on-line help focuses of specific system functions and screens.

The initial training session for Senate clerks is scheduled for March, 1999, and is to prepare the clerks for their role in user unit and system testing. A second training session is scheduled in May, 1999, to prepare for User Acceptance testing and system production. This session will cover any system changes implemented after user testing and serve as a refresher course before actual production begins. Each session contains two components, one for common system functions and a second customized component for each office, focusing on office-specific tasks relating to the LIS/DMS. During the initial production period, onsite help will be provided by the LIS trainer in the Office of Education and Training to help ease the transition from LEGIS to the LIS/DMS.

Training for the system administrator group is scheduled for May, 1999. Each group involved in the technical administration of the LIS/DMS_will participate in the training modules appropriate for the responsibilities they will assume with the new system.

End user training is currently offered once a month to Members and member office staff through the Office of Education and Training. This class is based on the LIS website on www.congress.gov. Modifications to the existing LIS user interface will be incorporated into future classes.

It might be noted here that although every effort is being made toward a comprehensive training program, many end users have reported that the LIS is so "user-friendly" and the published materials are so helpful that they do not feel the need to take time from the job to attend training sessions.

ADMINISTRATIVE OFFICES

DISBURSING OFFICE

FRONT COUNTER-ADMINISTRATIVE AND FINANCIAL SERVICES

The Front Counter is the main service area of all general Senate business and financial activity. It is the receiving point for most incoming expense vouchers, payroll actions, and employee benefits related forms, and is the initial verification point to ensure that paperwork received in the Disbursing Office conforms to all applicable Senate rules, regulations, and statutes.

The Front Counter is the first line of service provided to Senate Members, Officers, and employees. All new Senate employees (permanent and temporary) who will be working in the Capitol Hill Senate offices are administered the required oath of office and personnel affidavit and provided verbal and written detailed information regarding their pay and benefits. Authorization is certified to new and state employees for issuance of their Senate I.D. card. Cash advances are issued to Senate staff authorized for official Senate travel and travelers' checks are available for a nonprofit basis to assist the traveler. Numerous inquiries are handled daily, ranging from pay, benefits, taxes, laws, and Senate regulations in our commitment to provide the highest degree of customer service. Senate entities, in the course of official duties, receive cash and checks as part of their daily business. These funds are submitted through the front counter, become part of the accountability of the Senate for federally appropriated funds, and are processed through the general ledger system.

General Activities

The Front Counter: Issued approximately 1,500 cash advances for official Senate travel; received more than 18,000 checks from Senate entities; administered oath and personnel affidavits to more than 3,500 new Senate staff; and maintained brochures for 18 Federal health carriers and distributed approximately 4,000 brochures to staff during the annual FEHB open season.

CENTRAL HUMAN RESOURCES DEPARTMENT

During 1998, the Senate Disbursing Office initiated a plan to merge the functions and responsibilities of the Payroll Section and Employee Benefits Section into one

department that supports the central human resource needs of the Senate. The Central Human Resource Administration (HR) is to maintain and administer payroll processing, retirement, health insurance, life insurance, and other central human resource programs to provide responsive, personal attention to Members and employees on a non-biased and confidential basis.

The Senate's internal organizational structure is decentralized among 160 offices. Each of these offices are separate accounting locations and are the statutory appointing authority of their staff as well as the certifying officer to obligate funds. Flexibility to manage human resources at the distributed location best serves the Senate. Office specific and personal employee data not required for payroll purposes is maintained at the distributed office level.

The Disbursing Office staff in these sections are experienced in their respective fields and have extensive background knowledge of the other sections involved. To best utilize their skills for the Senate's benefit, and in order to provide a stimulating work environment for staff, cross training the staff and rotating them on a monthly basis between functions, was determined to be the best direction. After training is finished, the Disbursing Office will be able to provide eleven central HR counselors who will have comprehensive knowledge of all areas related to payroll, retirement, life and health insurance, the Thrift Savings Plan (TSP), social security, employment verification and investigation, and other central HR related benefits.

PAYROLL SECTION

The Payroll Section maintains the Human Resources Management System and is responsible for the following: processing, verifying, and warehousing all payroll information submitted to the Disbursing Office by Senators for their personal staff, by Chairmen for their committee staff, and by other elected officials for their staff; issuing salary payments to the above employees; maintaining the Automated Clearing House (ACH) FEDLINE facilities for the normal transmittal of payroll deposits to the Federal Reserve; distributing the appropriate payroll expenditure and allowance reports to the individual offices; issuing the proper withholding and agency contributions reports to the Accounting Department; and transmitting the proper Thrift Savings Plan (TSP) information to the National Finance Center (NFC), while maintaining earnings records for distribution to the Social Security Administration, and maintaining taxable earnings records of employees for W-2 statements, which are prepared by this section. The Payroll Section is also responsible for the payroll portion of the Report of the Secretary of the Senate.

General Activities

Calendar Year 1998 started out with the processing of more than 800 Federal Employees' Health Benefits (FEHB) forms, along with 600 Thrift Savings Plan (TSP) open season forms, and just over 4,000 cost-of-living increases, all of which became effective on January 1, 1998. The second open season for TSP produced an additional 600 forms that became effective July 1, 1998.

The U. S. Capitol Police (USCP) transferred from the Senate to the National Finance Center (NFC) payroll system March 1, 1998. Although nearly 700 officers were transferred off the Senate Payroll/Personnel system, two months of salary records were maintained on the Payroll/Personnel system to issue W-2's for Calendar Year 1998. The members of the USCP payroll personnel team have remained in close contact with the Disbursing Office for guidance on operational procedures. It should be noted that the reporting of salaries and positions of their Officers and employees are still being reported in the Report of the Secretary of the Senate. The Payroll Section worked with the Human Resources Division of the Sergeant at Arms to restructure and reorganize the employees under their jurisdiction. The new structure provided better methods for monitoring employee costs within their jurisdiction. When the format was completed, the Payroll Section provided the Sergeant at Arms with a data information file that greatly helped the movement of employees within the Payroll/Personnel system. The new structure became effective June 1, 1998.

The annual Integral Conference was held in San Diego, California in August. The Conference was used to study and review the upgrade to the 9.5 system. Special attention was paid to organizations using both 9.5 and the OS/390 system to produce payrolls. It was noted that organizations who had not chosen to upgrade to the 9.2 or 9.3 systems were now upgrading to Integral's 9.5 system because of its superior Y2K concept. It was noted that organizations that had chosen the Client/Server as a processing system were again reviewing mainframe operations to regain functionality and increase processing speed. Both concepts are limited by the Client/ Server systems. The Integral Conference for 1999 will be held August 22-25, 1999 in New Orleans, Louisiana.

During the summer, the Payroll Section made use of interns to microfilm payroll check registers for the period January 1, 1990-December 31, 1995. As a result of this project, we removed 50 boxes of paper from the office and valuable payment records were permanently stored on microfilm.

The Section has been working with the members for the FAMIS project to create a cost accounting structure for the payrolls. Over 900 new department/location numbers were created in the system to be able to report at a lower level within an office to more accurately allocate costs of the offices. An extract of payroll cost was created to automatically post payroll information into FAMIS. Payroll supplied the system accountants with office expenditure reports to assist in the verification of system totals.

Year 2K Project Activities

The Year 2000 Project for the conversion of the Payroll/Personnel system has progressed to the acceptance testing stage. On March 1, 1999, the Information Technology Department of the Office of the Sergeant at Arms released the Integral 9.5 version of the program to the Human Resources Division of the Disbursing Office for review and extensive acceptance testing.

The Y2K upgrade of the Payroll/Personnel system acceptance testing was scheduled to occur after 1998 year-end work for payroll reporting was completed and after the massive amount of payroll actions generated by a new Congress was completed. It was also decided, in order to mitigate risk, that the Y2K payroll project not coincide with the higher profile and significantly greater effort underway with the Financial Management Information System (FMIS) mandate. The program plan further provided for up to six months of acceptance testing and parallel processing with final implementation to occur no later than October 1, 1999.

The Payroll/Personnel project to update the current system began in April of 1997. The first phase of the project required the members of the programming team to begin to convert the Senate specific files to a Y2K compliant format. There are two Senate specific (built in-house) systems. The Office Allowance system, which controls payroll expense distribution, and the History DataBase system, which maintains employees' service and retirement histories. Both segments of this phase of the project were completed by February 1998.

The second phase of the project was to install Integral's Y2K compliant version of the Payroll/Personnel system. Integral expanded its programming format to both accommodate converting the six-digit dating system to an eight-digit dating system, and allow for future expansions and upgrades of its system. In the upgrade package, Integral supplies step by step instructions and the system's programming has been thoroughly beta tested before being released to its customers. The Senate has always made it a practice to install a product only after other customers have used it for at least six months and have some of the bugs worked out. Once the program was installed and verified, consultants and Senate programmers began to convert 9.3 Integral files and retrofit Senate modifications. By following a strict upgrade schedule, the programmers involved completed their conversion by December 31, 1998. At this point the IT team converted the online employee data and ran a trial payroll. Finally a comparison of the two systems was made, and in every case the payroll data matched dollar for dollar.

The final phase of acceptance testing begins in March 1999, checking the operating functionality and input load testing. The Disbursing Office team in charge of testing has been involved in almost a dozen conversions and two major implementation projects, and are experts in both the Integral and Senate programs. Once completed, both the 9.3 and 9.5 systems will be parallel tested for certification of accuracy. The Disbursing Office is confident that the Y2K 9.5 version of the Payroll/Personnel system will be operational on or before the October 1, 1999 deadline. The OS/390 processing system will provide the needed Y2K compatible production system.

EMPLOYEE BENEFITS SECTION

The Employee Benefits Section (EBS) primary responsibilities are administration of Senate employees' health and life insurance and retirement programs for the Senate. The Section's work includes research and verification of prior Senate or other federal service for new appointees. EBS prepares these forms for payroll input and after they are returned, verifies the accuracy of the information when the Official Personnel Folder is received. Employment verifications for loans, the Bar, the Federal Bureau of Investigation, the Department of Defense, and for outside insurance are completed in EBS. Unemployment claim forms are completed, and employees are counseled. Department of Labor billings for unemployment paid to Senate employees are checked in EBS and submitted by voucher to the Accounting Section to