Annual
Report of the Office of Compliance 2003
February 2004
TABLE OF CONTENTS
Office of Compliance Mission
I. About this Report
II. Overview
III. OSHA, ADA, and Unfair Labor
Practice Proceedings
Total Requests for Information and Assistance
Action Under Section 210
Action Under Section 215
Action Under Section 220
IV. Total Contacts with the Office of Compliance
Summary of Office Contacts in 2003
Contacts by Section of the Law
Contacts by Issue
V. Dispute Resolution Proceedings
Counseling
Mediation
Complaints
VI. Additional Statistics on Proceedings
Total Requests for Counseling by Office/Organization
Requests for Counseling by Section of the Law
Issues Raised by Employees Seeking Counseling
Basis of Complaints
VII. Labor Management Relations
Action Under Section 220
About the Office of Compliance
EIGHTH ANNUAL REPORT
TO CONGRESS
ANNUAL REPORT OF THE OFFICE
OF COMPLIANCE
JANUARY 1, 2003 -DECEMBER 31, 2003
OFFICE OF COMPLIANCE MISSION
The Office of Compliance advances safety, health,
and workplace rights in the U.S. Congress and the Legislative Branch.
Established as an independent agency by the Congressional Accountability
Act of 1995, the Office educates employees and employing offices
about their rights and responsibilities under the Act, provides
an impartial dispute resolution process, and investigates and remedies
violations of the Act.
I. About this Report
Section 301(h) of the Congressional Accountability
Act (CAA) requires that the Office of Compliance (OOC):
". . . 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 results 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 annual report provides a brief overview
of the activities and successes of the OOC over the previous year.
In keeping with Section 301(h), this report also provides statistics
concerning the contacts and proceedings initiated by covered employees.
Due to the CAA’s strict confidentiality requirements, the
case handling information provided in this report is of a statistical
nature only.
II. Overview
The Office of Compliance ended 2003 as an organization
in the latter stages of transition. While still focused on its core
missions – education and training, occupational safety and
health enforcement, and dispute resolution – the OOC is progressing
beyond the early years of its initial formation. Building on its
past successes, the OOC is offering enhanced services to its regulated
community.
Fundamental to the ongoing
transition was the initiation in 2003 of a new strategic planning
process for the OOC. The Office leadership, working with the entire
staff, is in the final stages of developing a strategic plan to
guide the OOC for the next five years. This plan provides overarching
goals for the whole organization, as well as a framework for a detailed
work plan to guide staff in accomplishing OOC initiatives.
The OOC instituted a number of other changes
in 2003. A new employee evaluation process was implemented to provide
greater feedback to staff on goals and results, and a comprehensive
review of the OOC’s use of information technology was put
into motion. An internal task force is studying all aspects of the
OOC’s computer systems in order to determine how best to leverage
current and emerging technologies to improve efficiency and outreach
to the regulated community.
The OOC’s five member Board of Directors
also began several major new initiatives during the past year that
will continue into 2004. The Board authored changes to OOC procedural
rules, and has also begun the process of drafting comprehensive
regulations to implement the rights and protections of the Veterans
Employment Opportunities Act. Stakeholder input will be sought on
these draft regulations prior to their implementation.
EDUCATION AND OUTREACH
The education and outreach program in 2003 implemented
the OOC’s effort to educate the Congressional community in
more expansive ways. While maintaining the successful efforts of
the past, a comprehensive program to clarify the image of the OOC
and make the educational products more user-friendly was begun in
2003 and will continue into 2004. The goal of this effort is to
ensure understanding and complying with the CAA is easier for covered
employees and employers.
One of the early successes in this effort was
the launch of a completely redesigned web site, www.compliance.gov.
Designed to improve online access to information about the CAA and
to meet new disability access standards, the site now offers employees
plain English summaries of their CAA rights, a description of the
dispute resolution process, and a complete catalog of OOC publications
and forms. The web site is updated regularly with new content and
special focus sections on particular aspects of the CAA.
A thorough redesign and updating of all educational
brochures was completed in 2003, and the Office of Compliance Bulletin
was transformed into a quarterly publication to provide quick information
on individual topics of interest to Legislative Branch staff. Bulletin
topics in 2003 included Section 508 compliance and emergency action
plans. Three special editions of the Bulletin were published in
conjunction with the U.S. Capitol Police. The OOC’s newsletter,
CAA News, was reintroduced with a completely new style and mailed
to the homes of over 20,000 covered employees as required by the
CAA.
The past year also included the OOC’s launch
of the new eResources initiative, aimed at making access to information
about the CAA more readily accessible in electronic form. eResources
offers a new suite of online tools to aid in complying with the
CAA and electronic distribution of the Bulletin and other informational
materials.
OFFICE OF THE GENERAL COUNSEL
The Office of the General Counsel gained new
leadership in 2003. Peter Ames Eveleth was appointed as the new
General Counsel by Office of Compliance Board of Directors Chair
Susan S. Robfogel. Mr. Eveleth will serve a five-year term, and
replaces Gary Green, whose term expired in December 2002. The General
Counsel has independent investigatory and enforcement authority
for certain violations of the Act, including public services and
accommodations under the Americans with Disabilities Act; occupational
safety and health; and labor management relations and unfair labor
practices. The General Counsel also represents the OOC in all judicial
proceedings brought under the CAA.
As has been the case in recent years, the General
Counsel’s Office experienced
a significant increase in its caseload during 2003. With respect
to OSHA-related cases, the General Counsel received 40 requests
for safety and health inspections, an increase of 67% from the previous
year’s 24 requests, and more than twice the number received
in 2001. On the basis of these requests, 39 inspections were initiated.
Many of these inspections involved significant health and safety
issues, such as asbestos removal, effectiveness of chemical-biological
respirators, and appropriateness of the use of elevators for evacuating
disabled employees during fire emergencies. [For a full description
of caseload statistics, please see Section III]
The General Counsel’s staff also provided
advice and assistance to several employing offices during the year,
including health and safety advice and assistance to the U.S. Capitol
Police. One such project involved the development of a fire safety
hazard recognition presentation. Another involved an extensive research
effort resulting in analysis and recommendations on CBRN (Chemical-Biological-Radiological-Nuclear)
escape masks. The General Counsel’s Office intends to develop
additional training tools for the Capitol Police related to health
and safety, as resources allow.
The General Counsel’s Office is working
cooperatively with the regulated community in order to increase
voluntary compliance and foster best practices in health and safety
management. As part of this effort, the OOC began planning in 2003
for the first-ever Capitol Hill-wide health and safety conference
for all Legislative Branch employing offices. The conference, to
be held in February 2004, is designed to lay the groundwork for
organization-wide health and safety programs within Congressional
employing offices.
In keeping with the overall OOC strategy to make
better use of technology, the General Counsel’s Office began
work in 2003 to acquire or design new software programs in order
to more effectively and efficiently deal with a rising caseload.
A new case management system developed in-house is in the final
stages of design and testing, and software designed to aid in the
reporting and tracking of inspections and citations is being considered
for acquisition and installation in 2004.
OFFICE CONTACTS AND THE DISPUTE RESOLUTION
SYSTEM
The OOC continues to receive a substantial number
of contacts from covered employees and employers. The OOC’s
newly redesigned web site received over 53,000 hits during 2003,
numbers that demonstrate that it continues to be a useful means
for covered employees, employing offices, and the general public
to access information on the CAA. Two hundred forty-five (245) employees
from throughout the Legislative Branch contacted the Office for
advice and assistance during the year, and contacts by employing
offices rose to 33, an increase of 22% from 2002 levels. [For a
full description of total contacts with the Office, please see Section
IV]
The number of cases in the OOC’s dispute
resolution system grew in the past year compared to 2002 levels.
Requests for counseling jumped by 35%, growing from 82 cases in
2002 to 111 cases in 2003. Cases in mediation also increased over
last year’s level, and new appeals to the Board increased
by a dramatic 60%. In fact, the Board issued more decisions on review
from Hearing Officer determinations in 2003 than in any year since
the establishment of the Office. [For a full description of caseload
statistics, please see Section V and VI]
To deal with the increasing caseload, the OOC
undertook a review of its case management system and case processing
database. The Office also held its first focus group session with
mediators in 2003. Five of the OOC’s contract mediators attended
the sessions to discuss and assess how the dispute resolution process
established by the CAA is working in Congress. The Office is planning
similar sessions for the attorney bar and employing offices.
III. OSHA, ADA, and Unfair
Labor Practice Proceedings
The Office of the General Counsel is responsible
for matters arising under three sections of the CAA: Section 210
- Public Services and Accommodations under the Americans with Disabilities
Act of 1990; Section 215 - Occupational Safety and Health Act of
1970; and Section 220 - Unfair Labor Practices under chapter 71,
of title 5, United States Code.
The General Counsel’s Office experienced
a significant increase in its caseload in 2003.
TOTAL REQUESTS FOR INFORMATION AND ASSISTANCE
Requests for information and assistance grew
from a total of only 53 in 2002 to 235 in 2003. The requests for
information and technical assistance were made under the following
sections of the law:
Section |
Description |
Requests |
210 |
Public Services and Accommodations under the Americans with
Disabilities Act of 1990 |
10 |
215 |
Occupational Safety and Health Act of 1970 |
200 |
220 |
Unfair Labor Practices under chapter 71, of title 5, United
States Code |
25 |
ACTION UNDER SECTION 210: PUBLIC SERVICES
AND ACCOMMODATIONS
Section 210 of the CAA protects qualified individuals
with disabilities from discrimination with regard to access to public
services, programs, activities, or places of public accommodation
in covered locations and offices. These protections extend to both
employees and members of the public. Offices of the Senate and the
House of Representatives; joint committees of Congress; the Capitol
Police; the Congressional Budget Office; Office of the Architect
of the Capitol; the Office of the Attending Physician; the Office
of Compliance; and the Capitol Guides Service all must comply with
Section 210's requirements in their dealings with employees and
the public.
Individuals who feel their rights under this
provision have been violated can file a charge of discrimination
with the General Counsel of the Office of Compliance. This charge
must be filed within 180 days of the alleged discrimination. After
a charge is filed, the General Counsel will conduct an investigation.
If the investigation reveals that a violation has occurred, the
General Counsel may either request mediation to resolve the dispute
or file a formal complaint with the Office of Compliance.
Action Under Section 210 |
Totals |
Charges Filed |
1 |
Cases Closed |
1 |
Cases Pending as of December, 31, 2003 |
1 |
ACTION UNDER SECTION 215: OCCUPATIONAL
SAFETY AND HEALTH
Section 215 of the CAA requires that Legislative
Branch workplaces be free of recognized hazards that might cause
death or serious injury. Both employing offices and employees must
comply with all applicable occupational safety and health standards.
An employing office may be responsible for correcting a violation
even if it does not have an employment relationship with the covered
employees who are exposed to the hazard.
Upon receipt of a written request for inspection,
the General Counsel of the Office of Compliance inspects and investigates
places of employment under the jurisdiction of employing offices.
Inspection findings are then assembled in a written report. Where
appropriate, the General Counsel issues a citation, or a notification
where the entity has failed to correct a violation for which a citation
was issued.
Due to increased security and safety and health
concerns on Capitol Hill, the largest single expansion in caseload
for the General Counsel’s Office in 2003 came in the area
of occupational safety and health. Requests for inspections rose
from 24 to 40, a 67% increase over 2002 levels, and more than twice
the number received in 2001.
During 2003, the General Counsel’s Office
was also required to catch up on a backlog of requests for inspections
that were delayed as a result of involvement in conducting the 2002
biennial inspections. Because of the increased level of requests,
open safety and health cases rose from 32 at the beginning of 2003
to 54 cases at the end of the year. Nonetheless, 18 inspection cases
were closed in 2003, compared to only four closures in 2002. In
six instances in 2003, the General Counsel issued citations to employing
offices.
Action Under Section 215 |
Totals |
Requests for Inspection Filed |
40 |
Citations Issued |
6 |
Cases Closed |
18 |
Cases Pending as of December, 31, 2003 |
32 |
Requests for inspections can be broken down into
four main categories: health hazards; fire safety; physical hazards;
and emergency response.1 Each inspection is a multi-part
effort involving opening and closing conferences with the affected
employing offices; conducting research on the hazards found; taking
environmental samples and having them analyzed; explaining to employing
offices what the regulations and codes require; preparing comprehensive
reports of the results of the inspections, the violations found,
and the steps required for abatement; and following up with the
employing offices to assure that the violations have been abated.
Inspections by Category |
Totals |
Health Hazards |
8 |
Fire Safety |
12 |
Physical Hazards |
11 |
Emergency Response |
11 |
(Note: aggregate numbers for inspections
do not match total requests for inspection because individual requests
for inspection can involve more than one category)
Requests for inspection increased in two areas:
physical hazards and emergency response.
ACTION UNDER SECTION 220: UNFAIR LABOR
PRACTICES
Section 220 of the Congressional Accountability
Act (CAA) prohibits unfair labor practices by both employing offices
and labor organizations. The General Counsel of the Office of Compliance
is responsible for processing charges that allege an unfair labor
practice. If a person believes that an unfair labor practice has
been committed, he or she must file a complaint with the General
Counsel, who will then conduct a thorough investigation of the charge.
If the General Counsel believes that an unfair labor practice has
occurred, he will file and prosecute a complaint.
Twenty-two (22) unfair labor practice charges
were filed during 2003. This represents a 22% increase over 2002
when 18 charges were filed. Seventeen cases were closed by settlement
or were dismissed in 2003.
Action Under Section 220 |
Totals |
Unfair Labor Practice Charges |
22 |
Complaints Issued |
0 |
Board Decisions Issued |
0 |
Cases Closed |
1 |
Cases Pending as of December, 31, 2003 |
1 |
IV. Total Contacts With
the Office of Compliance
Employees and employing offices covered under
the CAA may contact the OOC in person to receive informal advice
and information on the procedures of the Office and learn about
the rights, protections, and responsibilities afforded them under
the CAA.
Alternative means of contact are also available
so that individuals can get information about the CAA anonymously.
An automated telephone information line allows callers to listen
to general information about the CAA and the Office of Compliance.
There were 161 calls made to the information line during the period
covered by this report. The OOC’s website is another resource
to employees and employers for information on the CAA and the OOC.
The OOC website homepage received over 53,000 “hits”
during the year.
SUMMARY OF OFFICE CONTACTS IN 2003
During 2003, the OOC received 376 contacts by
covered employees, employing offices, unions, and the public requesting
information. Contacts were made both by phone and in person. (These
figures do not include contacts with the staff of the General Counsel’s
office, visits to the OOC web site, or calls to the telephone information
line.)
Employees |
245 |
Employing offices |
33 |
Public |
5 |
Unions |
93 |
Total |
376 |
CONTACTS BY SECTION OF THE LAW
Employees contact the Office for a variety of
reasons. They may have questions concerning the application of particular
provisions of the law, or they may wish to discuss matters they
believe constitute a violation of the CAA. Each individual contact
may involve several distinct portions of the law.
In 2003, the 245 covered employees who contacted
the OOC discussed the following sections of the law:
Section |
Description |
Contacts |
201 |
Rights and protections under title VII of the Civil Rights
Act of 1964, the Age Discrimination in Employment Act of 1967,
the Rehabilitation Act of 1973, and title I of the Americans
with Disabilities Act of 1990 |
101 |
202 |
Rights and protections under the Family and Medical Leave
Act of 1993 |
28 |
203 |
Rights and protections under the Fair Labor Standards Act
of 1938 |
16 |
204 |
Rights and protections under the Employee Polygraph Protection
Act of 1988 |
1 |
205 |
Rights and protections under the Worker Adjustment and Retraining
Notification Act |
0 |
206 |
Rights and protections relating to veterans' employment and
reemployment |
5 |
207 |
Prohibition of intimidation or reprisal |
24 |
210 |
Rights and protections under the Americans with Disabilities
Act of 1990 relating to public services and accommodations;
procedures for remedy of violations |
0 |
215 |
Rights and protections under the Occupational Safety and Health
Act of 1970; procedures for remedy of violations |
9 |
220 |
Application of chapter 71 of title 5, United States Code Relating
to Federal service labor-management relations |
0 |
--- |
Questions regarding the general application of the CAA |
8 |
--- |
Questions on matters not cognizable under the CAA |
56 |
(Note: aggregate numbers will not necessarily
match category totals as a single contact may involve more than
one issue or alleged violation.)
CONTACTS BY ISSUE
Employees typically contact the Office with questions
concerning the application of the CAA to specific work issues. The
245 employee contacts during the covered period raised the following
issues:
Issue |
Contacts |
Assignments |
11 |
Benefits |
10 |
Classification |
1 |
Comp Time |
2 |
Compensation |
10 |
Demotion |
9 |
Discipline |
24 |
Disparate Treatment |
3 |
Evaluation |
1 |
General questions regarding statutory requirements |
3 |
Harassment |
40 |
Health |
2 |
Hiring |
2 |
Hostile work environment |
1 |
Inspections (referred to General Counsel) |
1 |
Leave |
31 |
Overtime pay |
16 |
Promotion |
8 |
Reasonable accommodation |
17 |
Reinstatement |
1 |
Selection |
10 |
Termination |
49 |
Terms and conditions of employment |
40 |
V. Dispute Resolution Proceedings
The OOC administers a dispute resolution program
for the effective and efficient resolution of disputes that arise
under the CAA. An individual with a question concerning the application
of the CAA may contact the Office to discuss their concerns confidentially.
Individuals frequently contact the Office seeking informal advice
and information on their rights, protections, and responsibilities
under the CAA and the procedures of the OOC in pursuing those rights.
In order to initiate a claim alleging a violation
of the CAA, a covered employee must request counseling from the
Office of Compliance. Counseling must be requested within 180 days
of the alleged violation and lasts 30 days. During counseling, the
counselor discusses with the employee the dispute resolution procedures,
the circumstances that gave rise to the request, and informs the
employee of his or her rights under the CAA. The counselor is not
a representative, but can help the employee understand how the law
works and clarify facts and issues.
Confidential counseling is designed to promote
the efficient and effective resolution of claims brought under the
CAA. During the counseling period, the counselor may explore other
means of resolving a dispute with the employee. Occasionally, an
employee is involved in a dispute that is not actually unlawful
discrimination, but is simply the result of poor management or differing
communication styles. When that occurs, the employee and the counselor
may discuss alternative ways to resolve the dispute.
If a matter is not resolved during the confidential
counseling period, an employee who wishes to proceed with their
claim must file a request for mediation within 15 days of receipt
of the notification of end of counseling. Mediation provides the
opportunity for a neutral third party to work with both the employee
and employing office to resolve disputes before a formal complaint
is filed. The goal of mediation is to facilitate an early and fair
resolution of disputes. Mediation may resolve a dispute in several
ways. Sometimes, an explanation or an apology is all that is needed
to resolve a workplace dispute. An agreement to promote an employee,
pay back wages, or provide a letter of reference can often resolve
other matters.
If a dispute is not resolved during the mediation
process, the employee may elect to either pursue an administrative
hearing with the Office of Compliance by filing a formal complaint,
or file a civil action in the United States District Court for the
District of Columbia or in the District Court where the employee
resides. This election must take place no later than 90 days, nor
sooner than 30 days, following receipt of the notification of the
end of the mediation period.
Once a formal complaint is filed with the OOC,
an independent Hearing Officer is assigned to conduct a hearing
to determine the facts and issue a written decision. Any party dissatisfied
with the final decision of the Hearing Officer may petition for
review of the decision by the five-member Board of Directors of
the Office of Compliance within 30 days after the Hearing Officer’s
decision. Upon review, the Board issues a written decision along
with its reasons. A party dissatisfied with the decision of the
Board may file a petition for review of the Board’s decision
with the U.S. Court of Appeals for the Federal Circuit.
COUNSELING
A total of 113 cases were in counseling during
the report period. This figure includes 111 requests for counseling
and 2 cases pending in counseling from the previous year.
Results:
12 cases were closed during or after counseling,
but before mediation. Of these:
- 2 Cases were settled
- 10 Cases no further action was taken by the
employee after the mediation period ended
88 Requests for mediation were filed
13 Cases remain in counseling and will continue
into 2004
MEDIATION
A total of 111 cases reached mediation during
the report period. This figure includes 88 new requests for mediation
filed during the report period, 5 cases pending at the beginning
of this report period, and 18 cases that had completed mediation
but were still within the time period for filing a complaint on
January 1, 2003.
Results:
41 Cases closed during or after mediation.
Of these:
- 13 Cases were settled
- 21 Sought no further action after the mediation
period ended
- 7 Cases resulted in the employee electing
to file suit in District Court
21 Cases were pending in mediation at
the end of this report period and will continue into 2004
37 Cases completed mediation and are still within
the time period to file a complaint at the end of the 2003 report
period
12 Complaints were filed after mediation ended
COMPLAINTS
The 20 complaints active during this report period,
which includes 12 new complaints filed and 8 that were pending from
the previous report period, had the following outcomes:
Hearings:
7 Hearing Officer decisions were issued
3 Cases were settled or otherwise resolved before
the hearings concluded
10 Complaints were pending on December 31, 2003,
awaiting a decision by the Hearing Officer
Appeals:
5 Petitions for review of Hearing Officer decisions
were pending on December 31, 2002
8 Petitions for review of Hearing Officer decisions
were filed with the Board
Board Action:
9 Board decisions were issued
4 Petitions for review of a Hearing Officer
decision were pending on December 31, 2003
Judicial Review:
6 Petitions for review were filed
6 Petitions for review were pending on December
31, 2003
VI. Additional Statistics
on Proceedings
TOTAL REQUESTS FOR COUNSELING BY OFFICE/ORGANIZATION
Office/Organization |
Totals |
Architect of the Capitol |
29 |
Capitol Guide Service |
1 |
Capitol Police |
41 |
Congressional Budget Office |
0 |
House of Representatives (not Member offices) |
7 |
House of Representative (Member offices only) |
11 |
Senate (not Member offices) |
15 |
Senate (Member offices only) |
4 |
Office of the Attending Physician |
2 |
Office of Compliance |
1 |
Total |
111 |
REQUESTS FOR COUNSELING BY SECTION OF THE
LAW
The 111 requests for counseling alleged violations
under the following sections of the Congressional Accountability
Act:
Section |
Description |
Contacts |
201 |
Rights and protections under title VII of the Civil Rights
Act of 1964, the Age Discrimination in Employment Act of 1967,
the Rehabilitation Act of 1973, and title I of the Americans
with Disabilities Act of 1990 |
118 |
202 |
Rights and protections under the Family and Medical Leave
Act of 1993 |
7 |
203 |
Rights and protections under the Fair Labor Standards Act
of 1938 |
3 |
206 |
Uniformed Services Employment and Reemployment Rights |
1 |
207 |
Prohibition of Intimidation or Reprisal |
74 |
(Note: aggregate numbers will not necessarily
match category totals as a single contact may involve more than
one section or subsection of the CAA, and/or more than one issue
or alleged violation)
ISSUES RAISED BY EMPLOYEES SEEKING COUNSELING
Workplace issues raised by employees requesting
counseling under the CAA fell into the following categories:
Assignments |
8 |
Benefits |
1 |
Compensation |
3 |
Demotion |
5 |
Discipline |
23 |
Harassment |
28 |
Hiring |
14 |
Hostile work environment |
30 |
Leave |
5 |
Overtime pay |
1 |
Promotion |
26 |
Reasonable accommodation |
11 |
Termination |
21 |
Terms and conditions of employment |
33 |
(Note: aggregate numbers will not necessarily
match category totals as a single contact may involve more than
one issue or alleged violation.)
BASIS OF COMPLAINTS
There were a total of 20 complaints in process
during this report period, including 12 new complaints filed and
8 complaints pending at the beginning of the reporting period from
2002. The basis of complaints during 2003 included:
Basis:
- Alleged denial of reasonable accommodation
based on disability and harassment in retaliation for opposing
practices made unlawful by the CAA
- Alleged discrimination based on race and
denial of Family and Medical Leave Act rights
- Alleged denial of reasonable accommodation
because of disability and retaliation for opposing practices made
unlawful by the CAA
- Alleged unfair terms and conditions of employment
based on race and national origin, and denial of Fair Labor Standard
Act rights
- Alleged harassment and retaliation for opposing
practices made unlawful by the CAA
- Alleged harassment and termination of employment
based on race, sex, religion, and national origin
- Alleged unfair discipline and unfair terms
and conditions of employment in retaliation for opposing practices
made unlawful by the CAA
- Alleged denial of reasonable accommodation
and termination in retaliation for opposing practices made unlawful
by the CAA
- Alleged denial of promotion and unfair terms
and conditions of employment in retaliation for opposing practices
made unlawful by the CAA
- Alleged denial of promotion based on race
- Alleged harassment and termination
based on race, gender, and retaliation for opposing practices
made unlawful by the CAA
VII. Labor Management Relations
The Office administers section 220 of the CAA,
a provision that extends to covered employees the right to form,
join or assist a labor organization.
A labor organization seeking to be the exclusive
representative of employees must file a petition, supported by a
‘showing of interest’ for a representation election
with the Office of Compliance. If the labor organization receives
a majority of the votes cast in a valid election, it will be certified
as the exclusive representative of the employees in the bargaining
unit. The labor organization then has the right to bargain with
the employing office over certain terms and conditions of employment
for employees in the bargaining unit.
The Office carries out the Board’s investigative
authorities under section 220 of the CAA, involving issues concerning
the appropriateness of bargaining units for labor organization representation,
the duty to bargain, and exceptions to arbitrators’ awards
ACTION UNDER SECTION 220: LABOR-MANAGEMENT
RELATIONS
2 Petitions were filed in 2003 by labor organizations
to amend the certification of representative in covered collective
bargaining units
1 Negotiability appeal filed by a labor organization
was decided by the Board of Directors. In the matter, the Board
held the labor organization’s disputed bargaining proposal
was negotiable under the CAA
ABOUT THE OFFICE OF COMPLIANCE
The Congressional Accountability Act was enacted
to bring the rights and protections of twelve civil rights, labor,
and workplace safety laws to over 30,000 covered Legislative Branch
employees and employing offices. The CAA applies rights and protections
of 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 uniformed services 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); and the Veterans Employment Opportunities Act.
The Office of Compliance was created by the CAA
as an independent agency in the Legislative Branch to administer
and enforce the Act. The OOC educates employees and employing offices
about their rights and responsibilities under the Act, provides
an impartial dispute resolution process, and investigates and remedies
violations of the Act.
The CAA established the Office of Compliance
with a five-member Board of Directors who serve on a part-time basis.
The OOC has four statutory appointees: the Executive Director, Deputy
Executive Director for the Senate, Deputy Executive Director for
the House, and the General Counsel.
The Office of the General Counsel within the
Office of Compliance enforces the provisions of CAA 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 and represents the OOC in all judicial
proceedings brought under the CAA.
TO OBTAIN COPIES OF THE REPORT
The fastest and easiest way to obtain copies
of OOC reports is through the Internet. The Office of Compliance
Web site, www.compliance.gov, contains reports,
studies, and other OOC products.
To request Office of Compliance publications
by mail or by telephone, please direct requests to:
Office of Compliance
Room LA-200, John Adams Building
110 Second Street S.E.
Washington, D.C. 20540-1999
(202) 724-9250 Telephone
(202) 724-9260 24 hour recorded information line
(202) 426-1912 TDD
(202) 426-1913 FAX
Office of Compliance materials are available
in alternative formats upon request.
CONTACT INFORMATION
Office of Compliance
Room LA-200, John Adams Building
110 Second Street S.E.
Washington, D.C. 20540-1999
www.compliance.gov
(202) 724-9250 Telephone
(202) 724-9260 24 hour recorded information line
(202) 426-1912 TDD
(202) 426-1913 FAX
2003 REPORT PREPARED BY
William W. Thompson, II
Executive Director
Peter Ames Eveleth
General Counsel
Jonathan J. Orr
Director of Communications and Legislative Affairs
Teresa James
Director of Counseling
Alma Candelaria
Deputy Executive Director for the House
Paul M. Coran
Deputy Executive Director for the Senate
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