OFFICE
OF COMPLIANCE SECTION 301( H) REPORT TO CONGRESS
JANUARY
1, 1997 - DECEMBER 31, 1997
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 Office of Compliance (Office), an independent agency in the
legislative branch of government, was established in the CAA to
administer and enforce the Act and provide a process for the timely
and 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 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 second annual report provides information
for the period from January 1, 1997 through December 31, 1997. The
report begins with a summary of the authority and responsibilities
of the Office of Compliance.
OFFICE OF COMPLIANCE AUTHORITY & 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.)
SECOND ANNUAL REPORT
JANUARY 1, 1997 - DECEMBER 31, 1997
NUMBER OF CONTACTS RECEIVED BY THE OFFICE OF COMPLIANCE:
1439
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.
1439 requests for information
from covered employees, employing offices, the public, unions, and
the press were made by phone and in person from January 1, 1997
through December 31, 1997. Contacts were as follows:
Employees |
501 |
Employing offices |
263 |
Public |
69 |
Unions |
12 |
Press |
11 |
Recorded information line |
583 |
REASONS FOR EMPLOYEE CONTACTS
501 covered employees
contacted the Office asking questions under the following sections:
(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)
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 |
211 |
202 |
Rights and protections under the Family and Medical Leave
Act of 1993 |
50 |
203 |
Rights and protections under the Fair Labor Standards Act
of 1938 |
105 |
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 |
1 |
206 |
Rights and protections relating to veterans' employment and
reemployment |
0 |
207 |
Prohibition of intimidation or reprisal |
14 |
210 |
Rights and protections under the Americans with Disabilities
Act of 1990 relating to public services and accommodations;
procedures for remedy of violations |
1 |
215 |
Rights and protections under the Occupational Safety and Health
Act of 1970; procedures for remedy of violations |
4 |
220 |
Application of chapter 71 of title 5, United States Code,
Relating to Federal service labor-management relations |
29 |
N/A |
Questions regarding the general application of the CAA |
87 |
N/A |
Questions on matters which were not cognizable under the CAA |
11 |
The 501 employee contacts were for information
regarding:
Assignments |
11 |
Belo contracts |
4 |
Benefits |
1 |
Compensatory time off |
10 |
Compensation |
13 |
Demotion |
4 |
Discipline |
15 |
Evaluation |
3 |
Exemptions under the Fair Labor Standards Act |
23 |
General questions regarding statutory requirements |
120 |
Harassment |
37 |
Hiring |
28 |
Hours of work |
9 |
Interns |
2 |
Layoff |
1 |
Leave |
50 |
Leave eligibility |
4 |
Notice posting |
1 |
Overtime pay |
30 |
Promotion |
13 |
Reasonable accommodations |
15 |
Reassignment |
5 |
Recordkeeping |
3 |
Reinstatement |
5 |
Rulemaking |
1 |
Scheduling |
10 |
Termination |
44 |
Terms and conditions of employment |
38 |
Requests for written materials |
26 |
NUMBER OF PROCEEDINGS INITIATED BY COVERED EMPLOYEES:
152
Pursuant to title IV
of the CAA, the Office of Compliance provides dispute resolution
in the form of counseling and mediation. A proceeding under the
CAA is initiated by an individual employee' s request for counseling
alleging a violation of the CAA.1
152 formal requests for counseling were filed
by employees from the following employing offices:
The Architect of the Capitol |
77 |
Capitol Guide Service |
0 |
Capitol Police |
42 |
Congressional Budget Office |
2 |
House of Representatives (non-member or committee offices) |
8 |
House of Representatives (member offices) |
8 |
Senate (non-Senator or committee offices) |
11 |
Senate (member offices) |
4 |
These 152 requests for
counseling alleged violations under the following sections of the
Congressional Accountability Act: (please see note above
regarding aggregate numbers)
Section |
Description |
Cases |
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 |
134 |
202 |
Rights and protections under the Family and Medical Leave
Act of 1993 |
4 |
203 |
Rights and protections under the Fair Labor Standards Act
of 1938 |
30 |
207 |
Prohibition of intimidation or reprisal |
24 |
Workplace issues raised
by employees requesting counseling under the CAA fell into the following
categories: (please see note above regarding aggregate numbers)
Assignments |
23 |
Classification |
2 |
Compensatory time off |
1 |
Compensation |
63 |
Demotion |
1 |
Discipline |
10 |
Harassment |
19 |
Hiring |
11 |
Hours of Work |
27 |
Layoff |
1 |
Leave |
5 |
Overtime Pay |
28 |
Promotion |
16 |
Reasonable accommodations |
13 |
Reinstatement |
1 |
Retirement |
1 |
Termination |
27 |
Terms and conditions of employment |
7 |
RESULTS OF THE PROCEEDINGS
Counseling
Of the 152 counseling
requests received between January 1, 1997 and December 31,
1997, and the 29 counseling requests pending
on January 1, 1997,
- 13 cases closed
during or after counseling, but before mediation
- 1 was settled
- 12 sought no further action
- 11 cases were
pending at the end of 1997
- 157 requests
for mediation were filed
Mediation
157 mediation requests
were received between January 1, 1997 and December 31, 1997. In
addition, on January 1, 1997 there were 5
cases pending in mediation, and 8
cases which had completed mediation
and were in the open period for filing a complaint. Of those 170
cases,
- 139 cases closed
during or after mediation:
- 62 cases were settled
- in 20 cases, no further action
was taken by the covered employee after mediation ended
- 57 civil actions were filed
in District Court
- 11 cases were
pending in mediation on December 31, 1997
- 14 cases had
completed mediation and were in the time period when a complaint
could be filed
- 6 complaints
were filed after mediation ended
Complaints and Hearings
If the dispute remains unresolved after counseling
and mediation, an employee may elect to file a civil action in the
district courts of the United States or to file a complaint with
the Office. If a complaint is filed with the Office, a Hearing Officer
is appointed to hear the case and issue a decision.
Complaints
6 complaints were
filed between January 1, 1997 and December 31, 1997 and 2
complaints were pending on January 1, 1997
Basis of Complaints
The complaints filed during 1997 involved the
following issues:
- alleged harassment and discrimination in terms
and conditions of employment based upon race and religion and
in reprisal for opposition to practices made unlawful by the CAA:
2 complaints
- alleged retaliation against an employee for
having initiated a proceeding under the CAA: 2
complaints
- alleged discriminatory discharge based on
race: 1 complaint
- alleged discriminatory discipline and termination
based upon age and race and in reprisal for having taken family
and medical leave: 1 complaint
Action Taken on Complaints
Any party aggrieved by a Hearing Officer's decision
may file a petition for review of the decision by the Board of Directors
of the Office.
HEARINGS
- 3 Hearing Officer
decisions were issued
- 4 cases were
settled before the hearings concluded
- 1 complaint
was pending with a hearing scheduled for early 1998
APPEALS
- 4 petitions
for review of Hearing Officer decisions covering 11 cases were
filed with the Board (in addition, 2 petitions were pending on
January 1, 1997)
- 1 Hearing Officer
decision was not appealed and became the final decision of the
Office
BOARD ACTION
- 3 Board decisions
were issued in 1997 covering 10 cases
- 3 petitions
for review of Hearing Officer decisions were pending on December
31, 1997
JUDICIAL REVIEW
- 1 petition for
review was filed
- no court decision
was issued
LABOR-MANAGEMENT RELATIONS
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.
January 1, 1997 - December 31, 1997
- 3 representation petitions
were filed
- 1 pre-election investigatory
hearing was held
- 2 Board decisions and Directions of Election
were issued
- 1 election agreement
was entered into by the parties and approved by the Executive
Director on behalf of the Board
- 3 elections
were conducted and one case required a run-off election. As a
result of the elections, 3 different labor
organizations were certified as the bargaining representatives
of employees in the three units in which the elections were conducted
- 2 petitions
were pending on December 31, 1997: a representation petition filed
by a labor organization seeking to represent a unit of approximately
35 employees, and a unit clarification petition seeking to include
additional employees in a bargaining unit certified in 1997
THE OFFICE OF THE GENERAL COUNSEL
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.
JANUARY 1, 1997 - DECEMBER
31, 1997
REQUESTS FOR INFORMATION AND TECHNICAL
ASSISTANCE
Section |
Description |
Cases |
210 |
Public Services and Accommodations under the Americans with
Disabilities Act of 1990 |
60 |
215 |
Occupational Safety and Health Act of 1970 |
89 |
220 |
Unfair Labor Practices under chapter 71, of title 5, United
States Code |
23 |
|
Total Requests |
172 |
REQUESTS FOR INSPECTION, CHARGES FILED
WITH THE GENERAL COUNSEL
Section 210 |
Cases filed |
0 |
|
Cases closed |
0 |
|
Cases pending as of December 31, 1997 |
0 |
Section 215 |
Requests for inspections filed |
22 |
|
Cases closed |
10 |
|
Cases pending as of December 31, 1997 |
12 |
Section 220 |
Unfair Labor Practice charges filed |
18 |
|
Cases closed |
10 |
|
Cases pending as of December 31, 1997 |
8 |
|
|
|