Office of Compliance: Background Information

Office of Compliance: Background Information

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November 16, 2017
Office of Compliance: Background Information
Establishment and Organization
 The Veterans Employment Opportunities Act of 1998
The Office of Compliance (OOC) was established by the
(P.L. 105-339; 2 U.S.C. 1316a).
Congressional Accountability Act of 1995 (CAA), which
was the first bill enacted in the 104th Congress. It was
Varying Coverage Across the Legislative Branch
introduced on January 4, 1995, and passed the Senate with
The CAA applies to employees of the House of
amendments by a vote of 98-1 on January 11 (S. 2). The
Representatives, the Senate, the Capitol Police, the
House passed the bill on January 17 with a vote of 390-0. It
Congressional Budget Office, the Office of the Architect of
was signed into law on January 23, 1995 (P.L. 104-1).
the Capitol, the Office of the Attending Physician, the
Office of Congressional Accessibility Services, and the
The OOC is led by an executive director, who is appointed
OOC. The CAA covers congressional employees working
by a five-member Board of Directors. The members of the
in district or state offices as well as those in Washington,
Board of Directors are appointed jointly by the Speaker of
DC.
the House of Representatives, the majority leader of the
Senate, and the minority leaders in both chambers. By law,
Certain entities may be exempt from specific provisions.
the OOC also has Deputy Executive Directors for the
Under the act, for example, some employing offices,
Senate and for the House, and a General Counsel.
including Member and committee offices, retain discretion
over certain workplace policies, such as work schedules and
Administering the CAA
vacation. These employing offices may also consider
The OOC administers the CAA, which applies certain
factors such as “(1) party affiliation; (2) domicile; or (3)
labor, civil rights, and workplace laws (or selected
political compatibility with the employing office” in
provisions of these laws) to the legislative branch,
employment decisions (2 U.S.C. §1432).
including:
Certain provisions may apply to the Government
 The Age Discrimination in Employment Act of 1967
Accountability Office (GAO) and the Library of Congress,
(P.L. 90-202, 29 U.S.C. 621 et seq.);
although these agencies may also be covered by these
employment-related laws directly, through other laws, or
 The Americans with Disabilities Act of 1990 (P.L. 101-
through internal procedures (CAA §230).
336, 42 U.S.C. 12101 et seq.);
Beyond the OOC
 Title VII of the Civil Rights Act of 1964 (P.L. 88-352,
In addition to the CAA, employment policies in the House,
42 U.S.C. 2000e et seq.);
Senate, and other legislative branch agencies and offices
may be influenced by additional standards or requirements
 The Employee Polygraph Protection Act of 1988 (P.L.
established by other laws or through internal processes.
100-347, 29 U.S.C. 2001 et seq.);
Similarly, these covered entities may have internal offices
 The Fair Labor Standards Act of 1938 (52 Stat. 1060, 29 that also provide resources and information to employing
U.S.C. 201 et seq.);
offices. In particular, the Office of House Employment
Counsel and the Senate Chief Counsel for Employment also
 The Family and Medical Leave Act of 1993 (P.L. 103-3, provide assistance and training to the House and Senate,
29 U.S.C. 2611 et seq.);
respectively, regarding employment laws and procedures.
 Chapter 71 (relating to federal service labor-
Funding of the OOC
management relations) of Title 5 of the U.S. Code;
Funding for the OOC is provided in the annual legislative

branch appropriations acts. Figure 1 provides information
The Occupational Safety and Health Act of 1970 (P.L.
on the budget authority of the OOC since its establishment.
91-596, 29 U.S.C. 651 et seq.);
The FY2017 funding level of $3.96 million supports

approximately 22 “full-time equivalent” employees (FTEs).
The Rehabilitation Act of 1973 (P.L. 93-112, 29 U.S.C.
701 et seq.);
 Chapter 43 (relating to veterans’ employment and
reemployment) of Title 38 of the U.S. Code;
 The Worker Adjustment and Retraining Notification Act
(P.L. 100-379, 29 U.S.C. 2101 et seq.); and,
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Office of Compliance: Background Information
Figure 1. OOC Budget Authority, FY1996-FY2017
30 days and no more than 90 days after
in millions
mediation concludes.
4. Additional sections address appeals and
judicial review.
Awareness of the OOC Among Legislative Branch
Employees: An Ongoing Issue
Employee awareness of the OOC and its role and
responsibilities has been of periodic interest to Congress.
In 2004, GAO issued a report on the management and
effectiveness of the OOC, as required in both the FY2003
House and conference reports on the legislative branch
appropriations bill (H.Rept. 107-576 and H.Rept. 108-10).

Among the GAO’s recommendations are improvements to
Source: CRS examination of current and prior appropriations acts
education and information distribution efforts and assessing
and supporting materials.
awareness among legislative branch employees and
Notes: Includes supplementals, rescissions, and the FY2013
employers concerning OOC programs and activities (GAO-
sequester. In nominal dollars, not adjusted for inflation.
04-400).
Rulemaking
In 2008, the OOC conducted a survey of legislative branch
employees to evaluate their understanding of employment
The OOC board is directed to issue regulations for the
rights under the CAA.
implementation of the CAA provisions. The act requires “3
separate bodies of regulations” that apply separately to:
The ability of the OOC to send certain notifications or
information regarding the CAA to employees
“(i) the Senate and employees of the Senate;
electronically, rather than through the mail to their
(ii) the House of Representatives and employees of
residences, was addressed in a FY2008 report (H.Rept. 110-
the House of Representatives; and
198) and the FY2015 appropriations act (P.L. 113-235).
(iii) all other covered employees and employing
OOC Recommendations and Reports to Congress
offices” (2 U.S.C. §1384).
Pursuant to Section 102(b) of the CAA, the OOC Board of
Prior to adoption, the board prepares a general notice of
Directors issues a biennial report to Congress with
proposed rulemaking, similar to notices required under
recommendations to improve the implementation of the
Section 553(b) of Title 5 of the U.S. Code. Instead of
CAA. Since the initial report in 1996, these
publication in the Federal Register, however, the notice is
recommendations have encompassed a variety of themes,
transmitted to the Speaker of the House and President pro
including the application of additional laws to the
tempore of the Senate for publication in the Congressional
legislative branch, the adoption by Congress of pending
Record. A 30-day period for comments follows publication.
regulations, additional authorities for the OOC, and ways to
train and more broadly inform the covered community
The OOC webpage, https://compliance.gov/, contains links
regarding its rights and responsibilities. The report for the
to proposed rules and rulemaking comments.
115th Congress contains four recommendations, including
approving pending regulations related to the Family and
Dispute Resolution Process
Medical Leave Act, Titles II and III of the Americans with
The “procedure for consideration of alleged violations,”
Disabilities Act, and the Uniformed Services Employment
including the accompanying time periods, are established
and Reemployment Rights Act; requiring anti-
within the CAA (2 U.S.C. §1401 et seq.) and include the
discrimination training; extending whistleblower protection
following sequence of steps:
to the legislative branch; and applying the Wounded
Warriors Federal Leave Act of 2015 to the legislative
1. 2 U.S.C. Section 1402 establishes the 30-
branch.
day period for counseling, which can be
reduced. The request shall be made no
The OOC also produces biennial reports related to
later than 180 days after the alleged
legislative branch compliance with standards established
violation.
under the Occupational Safety and Health Act (CAA
2. 2 U.S.C. Section 1403 establishes the
§215(e)) and the Americans with Disabilities Act (CAA
mediation process and its 30-day period,
§210(f)).
which may be extended.
3. 2 U.S.C. Section 1404 allows the covered
Ida A. Brudnick, Specialist on the Congress
employee to either file a complaint with
IF10775
the OOC or file a civil action, no less than

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Office of Compliance: Background Information

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