Explanation of Changes Shown On Schedule C STATEMENTS OF APPROPRIATIONS This account has been frozen at the FY'98 level. OFFICE OF COMPLIANCE OFFICE OF COMPLIANCE December 3, 1997 The Honorable James T. Walsh Legislative Committee on Appropriations Dear Mr. Chairman: The Office of Compliance hereby transmits its budget estimate of $2,286,000 for fiscal year 1999 operations, for the Salaries and Expenses appropriation. Included is a budget justification with an overview of our authority and responsibilities, descriptions of the primary functions of the Office of Compliance, our major accomplishments of FY 1997, and plans for the remainder of FY 1998 and FY 1999. As you are aware, in previous fiscal years the Office has requested and received an additional appropriation, authorized by section 415 of the Congressional Accountability Act, and by sections 312, 305 and 309 of the Legislative Branch Appropriations Acts of 1996, 1997, and 1998, respectively. The latter sections appropriate “such sums as may be necessary" for awards and settlements under the CAA. I am requesting that this section be included in the FY 1999 appropriations bill, as well. In light of the importance of the mission of the Office of Compliance and our continuing efforts to minimize both staffing and non-personal services costs, I respectfully request your favorable consideration of the Office of Compliance's budget submission for FY 1999. Sincerely, Ricky Silberman ROOM LA 200, JOHN ADAMS BUILDING ● 110 SECOND STREET 8.E. ● WASHINGTON, D.C. 20540-1999 OFFICE OF COMPLIANCE OFFICE OF COMPLIANCE OVERVIEW OF FISCAL YEAR 1999 BUDGET REQUEST The Office of Compliance is requesting $2,286,000 for fiscal year 1999 operations, a 7 percent decrease from the agency's fiscal year 1998 appropriation with no increase in staff. The decrease primarily results from an analysis of the agency's actual expenditures during its first two years of operations, and includes: funding for 19 full-time equivalent positions (FTEs); funding for a 3 percent cost of living increase for staff, and a reduction of 7 percent in personnel benefits; a 17 percent reduction in other services, primarily for hearing officers, mediators, and court reporting services. As in prior budget requests, two assumptions were made in this request that could affect its finality. The first is that the Office of Compliance will remain co-located with the Library of Congress. The second assumes that the Office's workload will remain at current levels. This budget request takes into account the fact that GAO and Library of Congress employees will be covered under certain CAA provisions in FY 1999. However, should Congress decide that GPO, GAO and/or the Library are to fall under the purview of the Office of Compliance more comprehensively than they do at present, additional funding and staffing will be required. ADAMS BUILDIN ● 110 SECOND STREET S.E. WASHINGTON, D.C. 28849-1989 OVERVIEW OF THE OFFICE OF COMPLIANCE'S AUTHORITY AND RESPONSIBILITIES The Congressional Accountability Act of 1995 (CAA) established an independent Office of Compliance ("Office") in the federal legislative branch to administer and enforce the provisions of the CAA. In general, the CAA applies the rights and protections of eleven labor and employment statutes to covered employees within the legislative branch: the Fair Labor Standards Act of 1938, Title VII of the Civil Rights Act of 1964, the Americans with Disabilities Act of 1990, the Age Discrimination in Employment Act of 1967, the Family and Medical Leave Act of 1993, the Occupational Safety and Health Act of 1970, chapter 71 of title 5 of the U.S. Code (relating to federal service labor-management relations), the Employee Polygraph Protection Act of 1988, the Worker Adjustment and Retraining Notification Act, the Rehabilitation Act of 1973, and chapter 43 of title 38 of the U.S. Code (relating to veterans' employment and reemployment). On January 23, 1996, most 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. Additional provisions were applied on October 1, 1996 (labor management) and January 1, 1997 (OSHA and ADA public access). The section of the CAA relating to safety and health will be applied to the Library of Congress (Library) and the General Accounting Office (GAO) on December 30, 1997, as well. Under the CAA, the Office is charged with establishing and administering alternative dispute resolution procedures, including adjudicative hearings and appeals for covered legislative branch employees. The Office of the General Counsel is charged with enforcement of the sections of the CAA dealing with unfair labor practices, safety and health, and disability access. This includes investigation and prosecution of claims under these sections, and periodic inspections to ensure both health and safety, as well as disability access compliance. Additionally, the Office is charged with providing education and information to Members of Congress, other employing offices, and employees of the legislative branch. The primary functions and processes of the Office are presented below, along with major accomplishments of FY 1997, and plans for FY 1998 and FY 1999. THE DISPUTE RESOLUTION PROCESS Requests for Information, Counseling, and Mediation The Office provides covered employees in the legislative branch with a neutral, confidential, and efficient process for resolving disputes relating to employment rights and protections. 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 and the substantive rules. The Office responds to all inquiries on a confidential basis, and tracks both the number and the nature of the inquiries. Under the CAA, employees must request counseling and mediation under the auspices of the Office of Compliance before filing a formal complaint. The Office provides counseling and mediation in a neutral, confidential setting. During the 30-day counseling period, the counselor evaluates the alleged violation, advises the employee of his or her rights and responsibilities under the CAA, and facilitates resolution of the problem. If the counseling does not resolve the employee's concerns, the Office provides neutral, trained mediators to assist the parties in resolving the dispute. The period for mediation is generally 30 days, but may be extended at the request of the parties. Adjudication After counseling and mediation, if the dispute remains unresolved, the employee may choose either to pursue the claim through the adjudicative hearing process under the auspices of the Office, or file suit in Federal District Court. An employee who elects the adjudicative procedures of the Office files a formal complaint with the Office. The Executive Director appoints an independent Hearing Officer to consider the case and render a written decision, which may be appealed to the Office's Board of Directors. The Board of Directors issues written decisions, which may then be appealed to the U.S. Court of Appeals for the Federal Circuit. The administrative hearing process offers speedier resolution and confidentiality, while offering the same remedies as civil action. |