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, we recommended  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;   strengthen accountability for results by developing annual goals,  measuring performance, and strategically managing human capital to  support achieving those goals and measures, such as creating a line of  sight by linking AOC’s senior executive and employee performance  management system; and  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, such  as providing opportunities for employee feedback. AOC is taking the first steps towards improving its management  infrastructure and internal control, though in some cases, additional steps  need to be taken to fully address the findings of our January 2003 report. However, while  AOC has established three action plans to address our recommendation  and begun efforts to implement them, none of the individual action items  associated with the three action plans has been completed, and many are  not scheduled for completion until fiscal years 2006 and 2007. While AOC has made progress since our  January 2003 report, much work remains to address unplanned action  items and complete ongoing planning and implementation efforts. In response, AOC is developing a new IT portfolio management process,  referred to as its investment framework, which it plans to implement in  fiscal year 2004. In  building on this foundation, AOC needs to take additional steps to help it  execute the more mature investment management processes provided for  in our investment management guide. Moreover, AOC is taking steps to develop and use an EA. Specifically, we recommended that the Architect of the  Capitol  improve the overall approach to worker safety in identifying  performance measures, clearly defining policies and procedures for  reporting hazards, establishing a consistent system for conducting  investigations and followup, establishing a safety training curriculum,  assigning clear responsibility for tracking worker safety employee  training, clarifying the role of the Office of the Attending Physician  (OAP) in helping AOC to meet its safety goals, and establishing a senior  management work group to routinely discuss worker compensation  issues;   improve its overall approach to project management by developing a  Capitol Hill complex master plan and completing building condition  assessments, developing a transparent process to prioritize agency  capital projects, developing tools to effectively communicate priorities  and progress of projects, clearly defining project-management-related  measures, and aligning project management staff and resources with  mission-critical goals; and   improve its overall approach to its recycling program by developing a  clear mission and goals, developing a performance measurement system  to support accomplishing its recycling program, and examining the  roles, responsibilities, and accountability of its recycling program staff. AOC is making progress in addressing long-standing areas of concern,  though much remains to be done. For example, to address our concern  regarding the lack of clearly defined and documented policies and  procedures for reporting hazards, AOC has plans to develop a Hazard  Assessment and Control policy, but it is not expected to be fully  implemented across all jurisdictions until May 2006. AOC has also made some progress toward adopting a more strategic  approach to its recycling program. For example, consistent with our  recommendations, AOC is taking steps to clarify the mission of the  recycling program and establish program goals as part of its environmental  program plan. Moreover, greater effort will  have to be made if more timely improvements are to occur. As AOC works to establish its strategic management and accountability  framework, improve its management infrastructure, and address long- standing areas of concern, it must continue to demonstrate that progress is  being made on each of our recommendations to help it sustain the  momentum needed to accomplish its organizational transformation,  particularly in improving communications with employees and  stakeholders and improving its management of information technology. It has developed and begun to implement three  broad-based action plans that are intended to accomplish AOC’s goal of  institutionalizing financial management best practices that support the  effective delivery of programs and services. GAO Analysis: AOC is making progress in addressing our  recommendation. Until AOC completes the implementation of this policy and  subsequent analysis across all jurisdictions, it will not be able to develop a  comprehensive picture of AOC hazards. AOC expects this  system to be operational by fiscal year 2005. 35.
Why GAO Did This Study

The Office of the Architect of the Capitol (AOC) plays an important role in supporting the effective functioning of Congress and its neighboring institutions. In January 2003, GAO conducted a comprehensive management review of AOC's operations and made 35 recommendations to help AOC establish a strategic management and accountability framework, improve its management infrastructure and internal control, and address longstanding concerns. In February 2003, the Conference Report mandated GAO to monitor progress being made on the implementation of the 35 management review recommendations.

What GAO Found

As discussed in GAO's January 2003 report, many of AOC's management problems were long-standing and its organizational transformation would take time to fully accomplish. Not surprisingly, AOC's efforts in addressing these initial management review recommendations is very much a work in progress. Initial steps are being taken, but a great deal more needs to be done. Moreover, greater effort will have to be made if more timely improvements are to occur. Sustained commitment and assertive involvement of AOC's leadership is key to addressing AOC's long-standing weaknesses and instilling lasting change. AOC is taking the first steps in the development of its management and accountability framework, such as improving planning and organizational alignment through its draft strategic plan. AOC is also strengthening individual accountability for organizational goals through its senior executive performance management systems, but more progress can be made by aligning its employee performance management system with mission-critical goals. AOC needs to take additional steps to strengthen agencywide communications by providing opportunities to gather employee feedback sooner than fiscal year 2005 and by conducting a pilot of its congressional protocols. AOC is making some progress in improving its management infrastructure and internal control. AOC is addressing initial concerns about the lack of consistent human capital policies and procedures. Also, AOC has developed three broad-based action plans to achieve its strategy of institutionalizing financial management best practices. However, while efforts on individual action items associated with the three action plans have begun, many are not scheduled for completion until fiscal years 2006 and 2007. Much work remains to address unplanned action items and complete ongoing efforts in improving financial management. AOC is developing a new IT portfolio management process or investment framework, which it plans to implement in fiscal year 2004 and is also taking steps to develop and use EA. However, while AOC is generally implementing the kind of IT management reforms recommended, GAO makes additional recommendations to ensure that mature investment management and EA processes are developed and implemented. Finally, AOC is addressing GAO's concern about worker safety by developing a hazard assessment and control policy, but this policy is not expected to be fully implemented in all jurisdictions until May 2006. Until AOC completes this policy implementation and its subsequent analysis in all jurisdictions, it will not be able to develop a comprehensive picture of AOC hazards. AOC is also taking steps to establish a project priority framework for better project management and accountability. Also, AOC has made some progress toward adopting a more strategic approach to recycling taking steps to clarify the mission of the program and establishing goals as part of its environmental program plan.