Performance

& Accountability 

Report

FISCAL YEAR 2020

Architect of the Capitol

SERVE

PRESERVE

INSPIRE
Websites and 

Media Platforms

VISIT THE ARCHITECT OF THE CAPITOL AT WWW.AOC.G O V

The Architect of the Capitol (AOC) maintains an official presence on social 

media. Visit www.aoc.gov/social or the following media platforms:

RELATED WEBSITES:

U.S. Botanic Garden: www.usbg.gov

U.S. Capitol Visitor Center: www.visitthecapitol.gov

THOLOS MAGAZINE

Tholos is the AOC’s quarterly online employee magazine, which spotlights the staff that 

work around the clock to support the AOC’s mission to serve, preserve and inspire. The 

magazine is available at www.aoc.gov/what-we-do/publications/tholos-magazine.

THE AOC ON MOBILE DEVICES

In December 2020, the Performance and Accountability 

Report will be available in an e-reader version for Apple and 

Android tablets. 

The AOC mobile apps provide information about the 

agency and the Capitol campus for staff, visitors and the 

American public.

@ArchitectoftheCapitol @uscapitol

@uscapitol @uscapitol

@uscapitol @aochiring

@architect-of-the-capitol

Subscribe to the AOC RSS feed on Feedburner@architectofthecapitol

@uscapitol

 State Statues in the Capitol

 U.S. Capitol Grounds

 U.S. Capitol Rotunda

 U.S. Capitol Visitor Guide

The e-reader version of the report and the AOC apps are 

available in the Apple iTunes Store and the Android Google 

Play store. 
An Executive Summary of the AOC’s Financial and Performance Results

i

Figure 1 

Map of the Capitol Campus

FISCAL YEAR 2020

Performance and 

Accountability Highlights

ABOUT THE ARCHITECT OF THE CAPITOL

Who We Are: The Architect of the Capitol (AOC) cares for 

more than 18.4 million square feet of facilities, more than 

570 acres of grounds and thousands of works of art. The 

AOC’s employees work behind the scenes day and night to 

provide Congress and the Supreme Court with facilities 

and infrastructure to conduct their business. We inspire the 

public by providing tours and exhibits of the U.S. Capitol, 

the surrounding grounds and the U.S. Botanic Garden.

Established: The AOC traces its beginnings to 1793 and was 

formally established by congressional legislation in 1876.

Branch of Government: Legislative

Leadership: J. Brett Blanton, Architect of the Capitol

Number of Permanent Employees: 2,251 as of September 

30, 2020

FY 2020 Budget Authority: $728.5 million (includes $25 

million in supplemental funding)

Mission: Serve Congress and the Supreme Court, preserve 

America’s Capitol and inspire memorable visitor experiences.

Did You Know?

The AOC serves as steward for the U.S. Capitol 

Building, the U.S. Capitol Visitor Center, the 

House and Senate office buildings, the Library 

of Congress buildings, the U.S. Supreme Court 

Building, the U.S. Botanic Garden, the Capitol 

Power Plant and other surrounding grounds 

and facilities. The major facilities on the Capitol 

campus that fall under the AOC’s care are 

depicted in Figure 1. A virtual tour of the 

Capitol campus is available at www.capitol.gov.

To learn more about the Architect of the Capitol, watch our video, “We Are AOC”: www.aoc.gov/about-us/who-we-are.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

ii

Table 1

Summary of High-Level Key Performance Indicators

HIGH-LEVEL KEY PERFORMANCE 

INDICATOR

FY 2019 

TARGET

FY 2019 

ACTUAL

FY 2019 

RESULTS

FY 2020 

TARGET

FY 2020 

ACTUAL

FY 2020 

RESULTS

STRATEGIC GOAL: Maintain Awe-Inspiring Facilities

Energy and Sustainability 

Targets. Reduce energy intensity 

use, reduce potable water use, 

divert building occupancy waste, 

compost nonconstruction waste 

and divert construction and 

demolition debris.

5 of 5 

Component 

Targets Met

4 of 5 

Component 

Targets Met

Not Met

5 of 5 

Component 

Targets Met

4 of 5 

Component 

Targets Met

Not Met

New! Facility Condition Index. 

Reduce the percent of AOC major 

buildings in poor or fair condition.

New Measure 

for FY 2020 44.4% Not 

Applicable < 44.4% 48.1% Not Met

STRATEGIC GOAL: Provide Extraordinary Services

New! TripAdvisor Ratings.

Establish a baseline customer 

experience benchmark.

New Measure 

for FY 2020 4.5 Not Applicable ≥ 4.5 4.5 Met

Customer Satisfaction with 

Projects. Maintain high customer 

satisfaction with projects.

≥ 90.0% 95.9% Met ≥ 90.0% 95.0% Met

STRATEGIC GOAL: Foster an Innovative and Empowered Workforce

Employee Nonmandatory 

Training. Provide training 

to employees in skills and 

abilities applicable to their 

responsibilities.

> 33.3% 36.4% Met > 33.3% 30.0% Not Met

Injuries and Illnesses Rate.

Reduce the annual injuries and 

illnesses rate.

≤ 2.33% 2.23% Met ≤ 2.23% 1.67% Met

STRATEGIC GOAL: Operate as One Team, Dedicated to One Mission

Number of Days to Fill a 

Position. Average number of 

days to fill a position from the 

initial request to the date the 

employee is on board (recruiting 

action / direct hire).

< 150 Days

< 60 Days

115 Met

37 Met

Met < 150 Days

< 60 Days

113 Met

45 Met

Met

P E R F O R M A N C E R E S U LT S I N B R I E F 

In Fiscal Year (FY) 2020, the AOC tracked progress toward 

four strategic goals: (1) Maintain Awe-Inspiring Facilities, 

(2) Provide Extraordinary Services, (3) Foster an Innovative 

and Empowered Workforce and (4) Operate as One Team, 

Dedicated to One Mission. Eight strategic objectives, 

16 strategies and 42 key performance indicators (KPI) 

support the goals. Table 1 summarizes the high-level KPIs 

measuring the agency’s most critical actions taken in line 

with the Strategic Plan.

View the AOC’s FY 2020 performance highlights video: 

www.aoc.gov/PAR. Above The AOC led the legislative branch in preparing for and 

responding to the COVID-19 pandemic, including the early adoption of 

face coverings for employees who were required to work on-site.
An Executive Summary of the AOC’s Financial and Performance Results

F I N A N C I A L R E S U LT S I N B R I E F iii

As evidence of our commitment to financial accountability 

and transparency, in FY 2020 the AOC:

 Received its 16th consecutive unmodified (clean) audit 

opinion on its financial statements

 Received its ninth consecutive Certificate of Excellence 

in Accountability Reporting (CEAR) award from the 

Association of Government Accountants, plus a Best-inClass CEAR award for Ease of Accessibility to MultiMedia Information

 Prioritized the AOC’s COVID-19 mitigation 

efforts by ensuring funds were available for personal 

protective equipment (PPE), cleaning supplies and 

support contractors.

 Deployed a financial system integration with the 

U.S. Department of the Treasury’s Collection 

Information Repository (CIR), which reduces manual 

data entry and improves internal controls.

Table 2

Select Financial and Related Nonfinancial Data 

($ in millions)

 FY 2020 FY 2019

PERCENT 

CHANGE

Total Assets $3,498.7 $3,384.4 3%

Total Liabilities $403.7 $409.5 (1%)

Total Net Position $3,095.0 $2,975.0 4%

Earned Revenues $86.8 $69.1 26%

Total Net Cost of 

Operations $627.3 $609.5 3%

Total Appropriations 

(per Statement of 

Budgetary Resources)

$728.5 $749.8 (3%)

Facility Space 

Managed (sq. ft.)

More than 

18.4 million

More than 

18.4 million —%

Grounds Managed 

(acres)

More than 

570 

More than 

570 —%

Permanent Employees 

at Fiscal Year-End 2,251 2,236 1%

Table 3

Independent Auditor’s Internal Control Findings

CATEGORY FY 2020 FY 2019

Material Weaknesses None None

Significant Deficiencies None None

Figure 2

Summary of Total Assets

As of September 30, 2020, the AOC’s property, plant and 

equipment represented more than two-thirds of the 

agency’s total assets.

Figure 3

Summary of Total Liabilities

 

As of September 30, 2020, the AOC’s contingent and 

environmental liabilities amounted to nearly 20 percent of 

total liabilities.

Figure 4

Trend in Total Appropriations 

 

In FY 2020, the AOC’s appropriations included $25 million 

of supplemental funding via the Coronavirus Aid, Relief, 

and Economic Security Act.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

iv

A backlog in deferred maintenance and capital renewal projects is one of the most significant management challenges identified in the AOC’s 

Performance and Accountability Report.

FORWARD-LOOKING INFORMATION IN BRIEF

The AOC has identified the following as the agency’s most 

significant challenges for FY 2021 and beyond:

Backlog in Deferred Maintenance and Capital Renewal 

Projects. Resource constraints have deferred maintenance 

and delayed important capital renewal work, causing 

deterioration of buildings and grounds. Significant 

investments are needed for preservation and to ensure 

the future safety of building occupants and visitors. As of 

September 30, 2020, the AOC estimated the backlog at 

$1.78 billion.

Campus Security. The AOC is responsible for supporting 

the U.S. Capitol Police and providing security functions 

around the Capitol campus. The AOC continues to focus 

on meeting security requirements while also ensuring that 

safety, preservation and accessibility needs are met.

Energy Stewardship and Sustainability. The AOC targets 

energy use reductions on an annual basis. This fiscal year, 

the AOC completed its first full year of the Capitol Power 

Plant’s cogeneration system operations. This program, along 

with the Refrigeration Plant Revitalization Program and 

planned upgrades to the Library of Congress facilities, will 

enable further energy efficiencies.

Management of Concurrent Construction Projects.

The AOC is concurrently undertaking multiple major 

construction, renewal and restoration projects. To ensure 

success, the AOC must establish that each project is 

delivered safely, is high quality and remains on time and 

within budget, while creating minimal disruptions to the 

agency’s clients.

Attracting and Retaining a Skilled and Engaged Workforce.

The AOC requires a skilled and engaged workforce to achieve 

its mission and deliver services to stakeholders. The AOC’s 

human capital strategy includes attrition management and 

efforts to attract and retain talented staff.

Workplace Safety and Health. The AOC is responsible for 

ensuring that safety and health standards are met for those 

who work at or visit the Capitol campus. The AOC does this 

while addressing operational needs, applicable regulations and 

challenging working conditions that are unique to Capitol Hill.

The AOC’s Office of Inspector General identified additional 

management opportunities and performance challenges 

facing the organization: auditability and documentation to 

support decisions, lack of whistleblower protection, property 

accountability and surplus property disposal, duplication 

of effort without a working capital fund, identifying and 

managing waste and holding personnel accountable for waste, 

and records retention and access.

The AOC Performance and Accountability Highlights

provides a summary of the AOC’s FY 2020 Performance 

and Accountability Report, following the Citizen-Centric 

Reporting model established by the Association of 

Government Accountants. The full report is available 

online at: www.aoc.gov/par

For more information about the Architect of the Capitol, 

visit our website at: www.aoc.gov.

This report 

is issued 

with data as 

of November 

23, 2020.
TABLE OF CONTENTS v

Websites and Media Platforms...........(Inside Front Cover) 

Fiscal Year 2020 Performance and 

Accountability Highlights ............................................. i

About the Architect of the Capitol ............................................ i

Performance Results in Brief .......................................................ii

Financial Results in Brief ..............................................................iii

Forward-Looking Information in Brief ...................................iv

Message From the Architect of the Capitol .....................vi

Performance and Accountability Report ....................... viii

About This Report ....................................................................... viii

About the Cover .......................................................................... viii

How This Report is Organized ...................................................ix

Certificate of Excellence in 

Accountability Reporting ...............................................ix

Section I: Management’s Discussion and Analysis .......1

Overview ...........................................................................................1

History of the AOC ..........................................................................1

Mission and Vision of the AOC ...................................................2

Organizational Structure of the AOC .......................................4

Enterprise Risk Management at the AOC ..............................11

Summary of Key Risks ..................................................................11

Performance Highlights .............................................................12

Financial Highlights .................................................................... 28

Financial Management Systems Framework ...................... 38

Financial Systems Strategy: Achieving the AOC’s Mission 

with Improved Financial Management .................... 39

COVID-19 Financial Impact ........................................................41

Management Assurances and 

Other Financial Compliances ..................................... 42

Federal Managers’ Financial Integrity Act of 1982 ..... 42

Architect’s Statement of Assurance ............................... 43

Summary of Financial Statement Audit Material 

Weaknesses and Nonconformances ........................ 44

Other Financial Compliances ............................................. 44

Forward-Looking Information ................................................. 46

The Year in Photos ..................................................................... 54

Section II: Performance Information ................................ 57

Introduction .................................................................................. 57

Data Validation and Verification ............................................. 58

Strategic Goal 1: Maintain Awe-Inspiring Facilities .......... 60

Strategic Goal 2: Provide Extraordinary Services .............. 66

Strategic Goal 3: Foster an Innovative and 

Empowered Workforce .................................................. 70

Strategic Goal 4: Operate as One Team, 

Dedicated to One Mission ............................................ 78

Supplement: COVID-Related Activities .................................81

Section III: Financial Information ...................................... 89

Introducing the Principal Financial Statements ................ 89

Message from the Acting Chief Financial Officer .............. 90

Inspector General Transmittal ................................................. 92

Independent Auditor’s Report ................................................ 94

Independent Auditor’s Report on Internal Control over 

Financial Reporting ......................................................... 97

Independent Auditor’s Report on Compliance ................. 99

Architect of the Capitol’s Response to the 

Inspector General .......................................................... 100

Financial Statements ................................................................ 102

Notes to the Financial Statements ....................................... 106

Required Supplementary Information ............................... 128

Combining Schedule of Budgetary Resources .......... 128

Deferred Maintenance and Repairs ............................... 130

Heritage Assets ..................................................................... 131

Section IV: Other Information ........................................... 143

Overview ....................................................................................... 143

The Inspector General’s Statement of Management 

Opportunities and Performance Challenges ....... 144 

Summary of Financial Statement Audit and 

Management Assurances ............................................ 149

Payment Integrity ...................................................................... 150

Real Property Capital Planning ............................................. 151

Energy and Sustainability Program 

Management Report ............................................................ 152

Small Business Accomplishments Report ......................... 156

Human Capital Management Report .................................. 157

Appendices ................................................................................. 165

Appendix A: Architects of the Capitol ................................ 165

Appendix B: Major Facilities Under the AOC’s Care........ 166

Appendix C: The AOC Jurisdictions’ 

Key Accomplishments and Priorities ...................... 168

Appendix D: Major Stone Repair and 

Preservation Projects ........................................................176

Appendix E: Major Exhibitions and Programs .................. 178

Appendix F: U.S. Capitol Campus Visitation Statistics ..... 180 

Appendix G: Reimbursable Accounts Summary ............. 181

Appendix H: Key Performance Indicators .......................... 182

Appendix I: Glossary ................................................................. 184

Appendix J: Abbreviations and Acronyms ........................ 187

Appendix K: Acknowledgements ......................................... 190

We Would Like to Hear From You ....... (Inside Back Cover)

Capitol Highlights

J. Brett Blanton Sworn in as the

12th Architect of the Capitol .................................... 6

Grounds Management Program 

for the Capitol Campus .............................................18

200th Anniversary of the U.S. Botanic Garden ............22

Heritage Asset Conservation ........................................36

Senate Committee Room Renovation .......................49

A Prospective Partnership .............................................50

Thomas Jefferson Building Roof Replacement ......62

The AOC Supports the Lying in State 

Ceremonies for Three Historic 

Public Servants ............................................................68

Self-Inspections Improve Workplace Safety ............72

Using Photography for Historic Preservation .......138

Infographics

The AOC’s Core Values ....................................................... 3

Getting to Know the AOC................................................. 5

Legislative Branch Financial 

Management System...................................................39

Human Capital by the Numbers ................................162
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

v i MESSAGE FROM THE ARCHITECT OF THE CAPITOL

J. Brett Blanton

Architect of the Capitol

I am pleased to present the Architect of the Capitol’s (AOC) 

Fiscal Year (FY) 2020 Performance and Accountability 

Report (PAR). This annual report reflects our commitment 

to providing transparency and accountability in all that we 

do. It includes the results of this year’s independent financial 

statement audit, assesses our agency’s operational progress 

and identifies our future opportunities and challenges.

It is an honor to serve as the 12th Architect of the 

Capitol. I hope to maintain the legacy of my accomplished 

predecessors and usher in a new era for the AOC. The 

AOC traces its origins to 1793 and serves as caretaker 

for more than 18.4 million square feet of facilities, more 

than 570 acres of grounds and thousands of works of art 

and architecturally significant assets. The stewardship of 

these assets is the foundation of the AOC’s mission: to 

serve Congress and the Supreme Court, preserve America’s 

Capitol and inspire memorable experiences.

This fiscal year was marked by unique challenges. There were 

a number of unexpected events that required immediate and 

interjurisdictional action, including operational support for 

the congressional impeachment hearings and response to 

the global COVID-19 pandemic. I am particularly proud of 

the AOC’s swift and proactive response to the outbreak of 

COVID-19. The AOC led in the federal legislative branch 

in preparing for and responding to the pandemic. We were 

the first legislative branch agency to mandate face coverings 

for employees and also the first to implement a robust 

contact tracing program for limiting community spread of 

the virus. Through the Coronavirus Aid, Relief, and Economic 

Security (CARES) Act, we were provided $25 million 

in supplemental funding to procure personal protective 

equipment and cleaning supplies. To prepare the agency for 

the “new normal,” the AOC developed a return-to-work 

plan, created a training video to inform employees about 

operational changes, developed employee and supervisor 

toolkits, created social distancing signage and more. 

Together, we ensured the vital safety and protection of the 

Capitol campus, the congressional community and our staff.

The AOC Strategic Plan

In our strategic plan, the first two strategic goals keep 

us focused on our mission: (1) Maintain Awe-Inspiring 

Facilities and (2) Provide Extraordinary Services. The last 

two goals support our core values: (3) Foster an Innovative 

and Empowered Workforce and (4) Operate as One Team, 

Dedicated to One Mission. Together, the strategic goals chart 

a path for us to leverage our core competencies and achieve our 

vision as a trusted partner of Congress and the Supreme Court. 

Our FY 2020 accomplishments, by strategic goal, include:

Maintain Awe-Inspiring Facilities

Many of this year’s major construction projects were 

critical to restoring our historic facilities after decades of 

degradation from weather and aging. The AOC continued 

Phase 2 of the renewal of the historic Cannon House Office 

Building, including the introduction of a robust change 

order process to minimize time delays and premium costs. In 

addition, we continued our ambitious program to restore and 

preserve the deteriorating stone and metal features on many 

of the agency’s most treasured assets, including projects 

for the U.S. Capitol Building, Thurgood Marshall Federal 

Judiciary Building, Russell Senate Office Building, the 

Senate Underground Garage and Senate Park.

The AOC’s cogeneration system at the Capitol Power 

Plant, which generates electricity and steam for the Capitol 

campus, is already providing significant energy savings. 

Largely due to this initiative, the agency achieved a 50.8 

percent energy reduction on the Capitol campus — meeting 

our FY 2025 target five years ahead of schedule. At the 

same time, the agency is conducting a utility master plan 

to improve system resilience and reduce greenhouse gas 

emissions. We also began work under a public-private energy 

savings performance contract to finance and install energy 

efficient systems, lighting and controls for the facilities 

managed by our Library Buildings and Grounds jurisdiction.

Provide Extraordinary Services

This strategic goal addresses the agency’s core functions as 

a support organization to Congress and the Supreme Court 

and a provider of visitor services for the public. Before and 

during the shutdown and closures related to COVID-19, 

the agency coordinated multiple events, including providing 
vii

support for the lying in state ceremonies of Representative 

Message from the Architect of the Capitol

Elijah Cummings, Representative John R. Lewis and 

Supreme Court Justice Ruth Bader Ginsberg, and line 

management and wayfinding during the impeachment 

vote and trial. The U.S. Botanic Garden (USBG) hosted a 

yearlong celebration of its 200th anniversary, featuring an 

in-depth exhibition, creative outdoor sculpture, engaging 

social media outreach and educational online public 

programs. When the U.S. Capitol Visitor Center (CVC) 

and USBG were temporarily closed to the public due to 

COVID-19, their programs were moved online where 

possible and additional online offerings were created. In 

addition, our first podcast series, “Shaping History: Women 

in Capitol Art,” was launched this fiscal year. The CVC also 

continued a major redesign and renovation to Exhibition 

Hall, its 16,000 square-foot exhibition space, to update 

interpretive material and content, gallery and lighting 

design, programming and communications. Exhibition Hall 

is projected to reopen in FY 2022.

Foster an Innovative and Empowered Workforce and 

Operate as One Team, Dedicated to One Mission

The AOC’s adaptability through the COVID-19 emergency 

speaks volumes about the quality of our personnel. Thanks 

in large part to their extraordinary dedication, the AOC was 

able to maintain ongoing essential projects throughout these 

trying circumstances. By maximizing telework and rotating 

shifts, we continued to provide essential services, while also 

protecting employee health and safety and maintaining a 

robust ability to recall staff when necessary.

As our workload increases, we need to ensure we hire and 

retain qualified professionals. This fiscal year, we conducted 

training on the new e-Builder project management system 

and implemented a new suitability program for our 

personnel. We also continued implementing an Integrated 

Safety Management System (ISMS) to standardize safety 

practices throughout the agency. Further efforts included 

new recruitment initiatives for skilled tradespeople, such as 

a prospective partnership plan with the American College of 

the Building Arts in Charleston, South Carolina.

Future Challenges and Priorities

With changes in leadership come new ideas, new philosophies 

and new vision. As the AOC nears the end of its FY 

2017-2021 Strategic Plan, we have begun developing a 

new course of action for the future that targets large-scale 

transformational and infrastructural needs. By developing 

a vision through data-driven analytics and a risk-based 

approach to project oversight, we will create the next strategic 

plan. To this end, the AOC began work on a plan to reenvision the Capitol campus for the next century — Vision 

2100. This document will set the stage for the 20-Year Master 

Plan and inform the agency’s next strategic plan.

Looking ahead, the AOC’s most significant challenge 

and top enterprise-level risk continues to be our deferred 

maintenance and capital renewal backlog — estimated at 

$1.78 billion. To address this risk, we have begun developing 

a comprehensive enterprise asset management program. The 

program will collate data from existing systems, inspections 

and asset surveys in order to optimize projects and invest in 

preventive maintenance. This will enable us to correct course 

while looking into the future with decision-quality data to 

drive both budgetary and project management decisions.

In recent years, there have been leadership challenges that 

contributed to our difficulty in attracting and retaining 

a skilled workforce. Operationally, we must continue to 

prioritize our critical centralized services and personnel 

that directly support our front-line operations. At the same 

time, the AOC is working to identify and foster a new 

generation of talented trades workers. Our agency’s human 

capital strategy focuses on improving talent acquisition, 

training and succession planning. To realize this human 

capital strategy, we will also transform the organizational 

culture. Changing the culture will take time, but it must 

begin with a mandate for transparency, accountability and 

responsiveness. This fiscal year, with the support of our 

Diversity, Inclusion and Dispute Resolution professionals, 

we took steps to ensure that the AOC enhances its status as 

a fair and equitable workplace. Small actions will yield big 

results in developing the respect and trust we all expect as 

members of the AOC team.

Conclusion 

The AOC takes pride in its stewardship of its public 

funds. For the 16th consecutive year, the agency received 

an unmodified or “clean” opinion on our consolidated 

financial statements. In addition, we are pleased to share 

that the independent auditor’s report for this fiscal year 

noted no material weaknesses or significant deficiencies. 

For the ninth consecutive year, we received a Certificate of 

Excellence in Accountability Reporting from the Association 

of Government Accountants for our annual PAR. As 

shown in the Statement of Assurance found in this report’s 

Management’s Discussion and Analysis (Page 43), I 

provide my assurance that the financial and performance data 

presented in this report is complete, reliable and accurate.

This report provides a comprehensive overview of the 

successes that the AOC achieved in FY 2020 and the 

challenges we face going forward. We thank Congress for its 

trust, support and investment in our agency. Finally, at the 

conclusion of my first year at the AOC, I have been inspired 

by the resilience, ingenuity and dedication of our hardworking employees. Together, we can forge a bright future 

on the Capitol campus.

Sincerely,

J. Brett Blanton

Architect of the Capitol

November 20, 2020 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

viii Performance and 

Accountability Report

“A regular Statement and Account of the Receipts and Expenditures 

of all public Money shall be published from time to time.”

(U.S. Constitution, Article I, Section 9)

ABOUT THIS REPORT

The Architect of the Capitol (AOC) provides financial 

management and program performance information to 

Congress and the American people through its annual 

Performance and Accountability Report (PAR). The Fiscal 

Year (FY) 2020 report details how the AOC accounts for 

the public funds and property under its care, and includes a 

comprehensive record of the agency’s recent successes and 

challenges in executing its mission for the reporting period. 

The AOC is a legislative branch agency and, therefore, is not 

bound by the financial management and reporting statutes 

established for the executive branch. Nonetheless, the AOC 

referenced the following federal legislation and related guidance 

for the establishment of its financial management practices:

 Federal Managers’ Financial Integrity Act of 1982

 Chief Financial Officers Act of 1990

 Government Performance and Results Act (GPRA) of 1993

(as amended by the GPRA Modernization Act of 2010)

 Government Management Reform Act of 1994

 Federal Financial Management Improvement Act of 1996

 Reports Consolidation Act of 2000

 Accountability of Tax Dollars Act of 2002

 Payment Integrity Information Act of 2019

 Office of Management and Budget (OMB) Circular 

A-136 Revised, Financial Reporting Requirements 

 OMB Circular A-11, Preparation, Submission and 

Execution of the Budget

 OMB Circular A-123, Management’s Responsibility for 

Enterprise Risk Management and Internal Control

Throughout the report, Capitol Highlights spotlight 

major construction projects, important events and agency 

accomplishments. Infographics, charts, tables and 

photographs help to increase visual appeal and provide 

further insight. The report also includes URLs and links 

to online videos, websites and social media platforms to 

engage the reading audience and allow the reader to access 

additional information about the AOC.

The report is available for download or online viewing 

in standard PDF and interactive digital versions on the 

AOC’s website at: www.aoc.gov/par. In addition, the AOC 

publishes innovative e-reader versions of the report for Apple 

and Android tablets, which are available in the App Store 

and the Google Play store, respectively.

ABOUT THE COVER

The Architect of the Capitol is the dedicated steward 

of the iconic buildings and grounds of the Capitol 

campus, which is exemplified by the Dome of the 

U.S. Capitol Building. This 

image captures one of 

the most beautiful scenes 

in our nation’s capital as, 

each morning at sunrise, 

the softly radiant glow 

of the Dome illuminates 

Capitol Hill.
HOW THIS REPORT IS ORGANIZED i x

The FY 2020 PAR details the AOC’s financial and 

performance operations, accomplishments and challenges. 

The report provides information for the fiscal year beginning 

October 1, 2019 and ending September 30, 2020. The 

report begins with highlights of the agency’s financial and 

performance results and a message from the 12th Architect 

of the Capitol, J. Brett Blanton, which are followed by the 

four main sections of the report and its appendices.

Section I: Management’s Discussion and 

Analysis (MD&A) 

The MD&A presents an overview of the AOC’s FY 2020 

performance and financial achievements. The section includes 

information on the AOC’s history, mission, organizational 

structure, key risks and financial management systems. This 

fiscal year, the MD&A also includes a summary of the 

financial impact of COVID-19 and the budgetary resources 

the AOC received under the Coronavirus Aid, Relief, and 

Economic Security (CARES) Act. The section concludes with 

the Architect’s Statement of Assurance on internal controls 

and the agency’s forward-looking information. 

Section II: Performance Information 

The Performance Information section includes an analysis of 

the AOC’s annual performance results. The section identifies 

the strategic planning framework, describes how the AOC 

verifies and measures performance data and summarizes its 

strategic goals, objectives, key performance indicators (KPI) 

and the related strategies. For this fiscal year, the section also 

includes a supplement highlighting the AOC’s COVID-19 

response activities.

Section III: Financial Information 

This section details the AOC’s FY 2020 financial 

information and provides comparable data for FY 2019. It 

contains a message from the Acting Chief Financial Officer, 

the Office of Inspector General’s transmittal letter of audit 

results and the independent auditor’s reports. In addition, 

it contains the audited financial statements and required 

supplementary information. 

Section IV: Other Information 

The Other Information section presents the Office of 

Inspector General’s Statement of Management Opportunities 

and Performance Challenges and a summary of the AOC’s 

financial statement audit. It also includes management 

assurances, payment integrity and mandatory congressional 

reports on the AOC’s energy and sustainability, small business 

and human capital management programs. 

Appendices 

The appendices provide additional data on the agency and 

this report, including a listing of the major facilities under 

the AOC’s care, a summary of the accomplishments and 

priorities for each AOC jurisdiction, U.S. Capitol campus 

visitation statistics and a glossary of key terms.

CERTIFICATE OF EXCELLENCE IN ACCOUNTABILIT Y REPORTING

In August 2020, the AOC received the Association of Government Accountants’ (AGA) prestigious Certificate of 

Excellence in Accountability Reporting (CEAR) award for the FY 2019 Performance and Accountability Report. This was 

the ninth consecutive year the AOC has received the award for its annual PAR. The report also received a Best-in-Class 

award for Ease of Accessibility to Multi-Media Information.

The AGA, in conjunction with the Chief Financial Officers Council and OMB, created the CEAR program to enhance 

financial and program accountability. The CEAR award represents the highest form of recognition in federal government 

financial reporting. The AGA presents the annual award to federal organizations for producing informative, high-quality 

reports that provide clear insight into their agency’s spending and program performance. 

This fiscal year, the AOC 

also received a Certificate of 

Excellence in Citizen-Centric 

Reporting from the AGA for 

its FY 2019 Performance and 

Accountability Highlights. 

The AGA noted that the 

AOC’s highlights report “sets 

the standard” for citizencentric reporting.
01

SECTION
SECTION 1 Management’s Discussion and Analysis

1

OVERVIEW

The Management’s Discussion and Analysis (MD&A) 

provides a brief overview of the report and includes the most 

important matters regarding the work and responsibilities of 

the AOC. This section includes:

History of the AOC — information on the AOC’s origin 

and history.

Mission and Vision of the AOC — description of the 

mission, vision, core values and customer service philosophy.

Organizational Structure of the AOC — information 

about the organizational structure and leadership.

Enterprise Risk Management at the AOC — overview of 

the AOC’s enterprise risk management (ERM) program.

Summary of Key Risks — listing of the key enterprise risk 

factors.

Performance Highlights — summary of the strategic goals, 

objectives, data validation and verification processes and 

performance results.

Financial Highlights — analysis of the audited financial 

statements and a description of the sources and uses of the 

AOC’s funds.

Financial Management Systems Framework — explanation 

of the financial management systems in use for financial and 

budget management at the AOC.

Financial Systems Summary: Achieving the AOC’s 

Mission With Improved Financial Management — 

explanation of the strategies for improving financial 

management and the activities of the agency’s financial 

management team in support of the AOC’s mission.

COVID-19 Financial Impact — summary of the financial 

impact of the COVID-19 pandemic on the AOC, including 

a discussion of the budgetary resources provided.

Management Assurances and Other Financial 

Compliances — management’s assessment and assurance 

on internal controls under the Federal Managers’ Financial 

Integrity Act of 1982, and the AOC’s conformity with other 

financial laws and regulations.

Forward-Looking Information — highlights of the most 

significant challenges identified by management and the 

efforts taken to address those challenges.

HISTORY OF THE AOC

1790–1800

The AOC’s origins date to the founding of the 

federal capital. The Residence Act of 1790 established 

Washington, D.C. as the seat of the national 

government and authorized a Board of Commissioners to 

“provide suitable buildings for the accommodation of 

Congress.” The commissioners hired Pierre L’Enfant to develop 

a city plan and Andrew Ellicott to survey the boundaries of the 

100-square mile federal district. In 1792, Dr. William 

Thornton’s depiction of a grand, two-winged structure topped 

by a central dome won a public competition for the design of 

the U.S. Capitol Building. Construction of the U.S. Capitol 

began shortly thereafter when President George Washington 

ceremoniously set the building’s cornerstone in 1793.

1801–1900

In 1802, Congress consolidated the duties of the 

Board of Commissioners into a single 

superintendent, the Commissioner of Public 

Buildings, who was responsible for the care of the U.S. 

Capitol Building — which at the time housed Congress, the 

Left The Rayburn Garage Interior Rehabilitation project will replace 

structural concrete and waterproofing joints to extend the life of the 

underground garage for 50 years. Phase 3 construction is currently 

underway and is on schedule for completion in early FY 2021.

Management’s 

Discussion

and Analysis
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

2 Library of Congress, the Supreme Court, the district courts 

and other offices — and its grounds. Following the 1814 

burning of the U.S. Capitol by British troops, the building 

was restored and expanded to accommodate the needs of 

Congress. During the 1850s and 1860s, a new position, the 

Architect of the Capitol Extension, oversaw the cast-iron 

dome construction and the addition of the north and south 

extensions to the U.S. Capitol. In 1867, Congress combined 

the responsibilities of the Commissioner of Public Buildings 

and the Architect of the Capitol Extension. Between 1874 

and 1892, the grounds surrounding the U.S. Capitol 

expanded based on the grand design of noted American 

landscape architect Frederick Law Olmsted. During this 

expansion, in 1876, Congress established the Architect of 

the Capitol as a permanent office under the legislative 

branch of the federal government.1

1901–2000

The AOC’s mission responsibilities continued to 

expand throughout the 20th century. The agency 

assumed responsibility for the operation and 

maintenance of the Library of Congress’ Thomas Jefferson 

Building and facilities belonging to the U.S. Botanic 

Garden, including the Conservatory and the surrounding 

gardens. Beginning with the Cannon House Office Building 

(completed in 1908), the AOC oversaw new construction on 

Capitol Hill to support the needs of Congress, the Supreme 

Court2

 and the Library of Congress. In total, the AOC 

oversaw construction of three House office buildings, three 

Senate office buildings, the Supreme Court of the United 

States, the Thurgood Marshall Federal Judiciary Building, 

the Library of Congress’ John Adams Building and James 

Madison Memorial Building, the Capitol Power Plant’s 

generator building and main boiler plant and various other 

support facilities. 

2001–Present

The 21st century began with the construction of 

the U.S. Capitol Visitor Center (completed in 

2008), the largest expansion to the U.S. Capitol 

Building in its history. In 2011, the AOC received 

responsibility for Union Square, a 13-acre site between the 

U.S. Capitol and the National Mall, which increased the 

land portfolio under the AOC’s stewardship to more than 

570 acres. In 2017, Congress transferred stewardship 

responsibility for the O’Neill House Office Building to the 

AOC. In 2018, the AOC completed construction on the 

cogeneration facility at the Capitol Power Plant. Although 

most of the AOC’s managed facilities are located on or near 

Capitol Hill, the AOC also maintains support facilities in 

locations beyond the limits of the District of Columbia.3

1 Appendix A provides information on the 12 individuals who have 

served as Architect of the Capitol, beginning with Dr. Thornton, who 

is honored as the first Architect of the Capitol for his winning design of 

the U.S. Capitol.

2 The AOC shares facility management responsibilities with the Marshal 

of the Supreme Court. 

3 Off-site support facilities include the Packard Campus for Audio-Visual 

Conservation in Culpeper, Virginia, and the Library of Congress Book 

Storage Modules in Fort Meade, Maryland.

January 16, 2020 marked the beginning of a new era for the 

agency as J. Brett Blanton was confirmed as the 12th 

Architect of the Capitol.

Figure 1 (Page i) provides a map of the major facilities on 

the Capitol campus under the AOC’s stewardship. Figure 

5 charts the growth of the AOC’s responsibilities from the 

construction of the U.S. Capitol Building to the present day. 

Appendix B includes a list of the major facilities under the 

AOC’s care.

MISSION AND VISION OF THE AOC

Who We Are

Serving Congress and the Supreme Court, the AOC is 

the builder and steward of the landmark buildings and 

grounds on the Capitol campus. The AOC is responsible 

for more than 18.4 million square feet of buildings, more 

than 570 acres of grounds and thousands of treasured works 

of art. With more than 2,200 dedicated employees, the 

AOC works tirelessly behind the scenes day and night to 

provide Congress and the Supreme Court with the facilities 

and infrastructure to conduct their business. During a 

typical year, the Capitol campus is home to thousands of 

daily occupants and hosts millions of visitors from around 

the world. 

Mission

To serve Congress and the Supreme Court, preserve

America’s Capitol and inspire memorable experiences.

Vision

We are a trusted partner of Congress and the Supreme 

Court. The AOC employees are an exceptional team, 

acclaimed for superior service, recognized as trusted 

stewards and renowned for enriching people’s lives.

Core Values

AOC employees demonstrate five core organizational 

values: teamwork, integrity, professionalism, pride and 

safety (TIPPS). See Infographic: The AOC’s Core Values 

on Page 3.

Customer Service Philosophy

The work of AOC employees affects the lives of thousands 

of people every day. Through our focus on responsiveness, 

ownership and courtesy, we demonstrate our commitment to 

delivering extraordinary customer service to our colleagues 

and external stakeholders.

 Responsiveness: We immediately acknowledge our 

customers and their needs. We ensure they receive a 

timely resolution.

 Ownership: We provide a personalized and proactive 

service. We anticipate needs and implement solutions.

 Courtesy: We treat others as we want to be treated. 

Everyone is a very important person.
SECTION 1 Management’s Discussion and Analysis

3

Figure 5

Growth in Major Facilities Under the AOC’s Care

 

 

Note: This figure tracks the square footage for all of the AOC’s owned and leased buildings. Only the major facilities are named in the figure, 

although the square footage of smaller buildings is also included in the display.

Infographic

The AOC’s Core Values
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

4 O R G A N I Z A T I O N A L S T R U C T U R E 

OF THE AOC

The Architect of the Capitol

The Architect of the Capitol is both the name of the U.S. 

legislative branch agency responsible for the maintenance 

and upkeep of the Capitol campus, as well as the title of the 

leader of the agency.4

 Appointed by the president and subject 

to Senate confirmation, the Architect of the Capitol serves a 

10-year term. Responsibilities of the AOC are far-reaching 

and cover management and oversight of operations and 

facilities maintenance for the entire Capitol campus. The 

AOC also oversees the care of all works of art in the U.S. 

Capitol Building under the direction of the Joint Committee 

on the Library, including the maintenance and restoration 

of murals, outdoor sculptures and architectural elements 

throughout the Capitol campus. The Architect of the Capitol 

serves as a member of the Capitol Police Board and the 

Congressional Accessibility Services Board, as well as an 

ex-officio member of the United States Capitol Preservation 

Commission and the National Building Museum. 

Additionally, the Architect of the Capitol is a member of the 

District of Columbia Zoning Commission, the President’s 

Advisory Council on Historic Preservation, the National 

Capital Memorial Advisory Commission, the Art and 

4 Throughout this report, “AOC” refers to the agency and “Architect of 

the Capitol” refers to the individual appointed to lead the agency. 

Advisory Committee to the Washington Metropolitan 

Area Transit Authority and the National Institute for 

the Conservation of Cultural Property. The Architect of 

the Capitol also serves as the acting director of the U.S. 

Botanic Garden. Appendix A provides a complete list of the 

individuals who have served as the Architect of the Capitol.

The AOC’s Organizational Structure

The AOC manages 10 jurisdictions, each funded by a 

separate appropriation. In addition, the AOC receives 

funds under the Capital Construction and Operations 

appropriation to support multiple functional areas within 

the agency. These include specialized construction, 

curatorship, design, energy and sustainability, facilities 

planning, financial management, historic preservation, 

project management, safety, fire and environmental 

programs, technical support and management and 

administrative support. This organizational structure and 

funding arrangement provides the AOC with economies 

of scale that increase efficiency and reduce operating costs. 

Figure 6 presents the AOC’s organization chart. The AOC’s 

organizational directory is online at: www.aoc.gov/aboutus/organizational-directory. 

Employees are the AOC’s greatest asset and form the 

foundation of the agency. As of September 30, 2020, the 

AOC’s workforce included more than 2,200 permanent 

employees along with temporary and seasonal staff. The 

Figure 6

The AOC Organization Chart as of September 30, 2020

 

Note: The AOC provides administrative support to the Office of Attending Physician, represented by a dotted line on the organization chart.
SECTION 1 Management’s Discussion and Analysis

5

AOC relies on its diverse workforce to care for and preserve 

the Capitol campus and provide extraordinary services 

to the agency’s clients and visitors. AOC artisans use a 

combination of cutting-edge techniques and centuriesold trade skills to preserve the historic artifacts that 

exist throughout the Capitol campus. The AOC staff 

includes architects, carpenters, custodians, electricians, 

engineers, gardeners, laborers, masons, mechanics, 

painters and plasterers, planners, plumbers, sheet metal 

workers, upholsterers, woodcrafters and other craftspeople. 

Figure 7 shows the distribution of the AOC’s employees 

by jurisdiction. The AOC offices are primarily based 

in Washington, D.C., with off-site support facilities in 

Maryland and Virginia. The Infographic: Getting to Know 

the AOC displays notable information about the agency and 

the U.S. Capitol.

Figure 7

Permanent Employees by AOC Location

 

Infographic

 

 

 

 

 

 

 

 

 

 

 

 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

6 AOC JURISDICTIONS

This section summarizes the responsibilities for each 

AOC jurisdiction and the offices funded under the Capital 

Construction and Operations appropriation. For financial 

statement purposes, the AOC jurisdictions are considered 

responsibility segments and are the components used 

for reporting on the Statement of Net Costs. For more 

information, see Appendix B, which lists the major facilities 

under the AOC’s stewardship and Appendix C, which 

highlights each jurisdiction’s FY 2020 accomplishments and 

FY 2021 priorities.

Capital Construction and Operations

The AOC’s Capital Construction and Operations appropriation 

funds the position of the Architect of the Capitol, along 

with the offices that provide essential construction, central 

management and operational and professional support. The 

central offices included in the Capital Construction and 

Operations responsibility segment are:

Chief Administrative Officer: The Chief Administrative 

Officer (CAO) provides administrative and business support 

and includes the Acquisition and Material Management 

Division, Curator Division, Human Capital Management 

Division, Information Technology Division, Office Services 

Division and Policy Program Office. The Curator Division, 

which is responsible for the care and conservation of the 

architectural, fine and decorative arts under the AOC’s 

stewardship, also manages the agency’s Photography Branch 

and Records Management and Archives Branch. 

Chief Financial Officer: The Chief Financial Officer (CFO) 

ensures sound financial stewardship and analyzes the financial 

implications of program decisions. CFO activities include 

accounting operations, budget formulation and execution, 

enterprise risk management and internal control, financial 

reporting, financial systems management and fiscal policy.

Chief Operating Officer: The Chief Operating Officer 

(COO) is responsible for the overall direction, operation 

and management of the AOC, including strategic planning, 

implementing the agency’s mission and strategic goals, 

providing overall organization management, promoting 

reform and measuring results. 

Communications and Congressional Relations:

Communications and Congressional Relations is responsible 

for strategic communication initiatives, legislative affairs 

and media and community relations. The office oversees 

communications to members of Congress and their staffs, 

as well as to external parties such as the press, government 

agencies and the public. The office also creates a variety of 

resources for agency stakeholders including graphics, videos, 

publications and web content.

Diversity, Inclusion and Dispute Resolution: The Diversity, 

Inclusion and Dispute Resolution office supports the 

agency’s commitment to providing a work environment 

free of discrimination and harassment. The office oversees 

agency efforts to promote an inclusive, respectful and 

Capitol Highlights

J . B R E T T B L A N T O N 

S W O R N I N A S T H E 

1 2 T H A R C H I T E C T 

OF THE CAPITOL

On January 16, 2020, J. Brett Blanton was sworn 

in as the 12th Architect of the Capitol by Supreme 

Court Chief Justice John Roberts Jr. Mr. Blanton was 

nominated to become the Architect of the Capitol by 

President Donald Trump on December 9, 2019 and, 

shortly thereafter, he was confirmed by the U.S. Senate.

As the Architect of the Capitol, Mr. Blanton brings over 

25 years of experience in civil engineering, facilities 

operations, construction management and capital 

planning. Describing himself as a “leader of change,” 

his incoming objectives at the AOC are to champion 

the agency’s commitment to a culture of transparency, 

accountability and responsiveness, to attract and retain a 

skilled workforce and to implement data analytics to drive 

both budgetary and project management decisions.

Before this appointment, Mr. Blanton served as 

the deputy vice president for engineering at the 

Metropolitan Washington Airports Authority, where 

he led all capital planning, design and construction at 

the Reagan National and Dulles International airports. 

Mr. Blanton also served in the Navy for 22 years, where 

he became a commander in the Civil Engineer Corps 

and oversaw some of the largest infrastructure projects 

undertaken by the Department of the Navy. He is a 

licensed professional engineer and a certified energy 

manager. With his background, Mr. Blanton is uniquely 

qualified to usher in a new era for the AOC, while 

honoring the vision of his predecessors and preserving 

America’s Capitol for future generations.
SECTION 1 Management’s Discussion and Analysis

7

civil workplace and enables supervisors and employees to 

proactively deal with conflict resolution.

General Counsel: The General Counsel provides legal 

counsel on matters involving construction and service 

contracts, occupational safety and health matters, labor 

management and employee relations, environmental issues, 

new and proposed legislation, insurance and liability, and 

property acquisition management. The General Counsel 

serves as the AOC’s supervising ethics office. 

Inspector General: The Architect of the Capitol Inspector 

General Act of 2007 established the Office of the Inspector 

General (OIG) as a statutory office within the AOC to 

promote the integrity, efficiency and effectiveness of agency 

operations and programs. The OIG conducts independent 

audits and investigations, reviews existing and proposed 

legislation and regulations, and recommends policies to 

detect and prevent fraud, waste and abuse. 

Planning and Project Management: Planning and Project 

Management (PPM) provides consolidated services to the 

AOC, including long-range facility planning, architectural 

and engineering design, historic preservation, project 

management and program management. The office conducts 

Capitol campus master planning, building performance 

audits, retro-commissioning and facility condition 

assessments. PPM manages an energy and sustainability 

program, provides project-funded, in-house construction 

services and supports critical campus systems, including 

electrical distribution, emergency generators, cable television, 

legislative clocks and the AOC’s building automation system. 

Safety, Fire and Environmental Programs: Safety, Fire and 

Environmental Programs (SFEP) is responsible for leading 

AOC efforts to provide a world-class safety culture, reduce 

injuries and incidents and ensure that the AOC complies 

with safety, fire and environmental regulations. The office 

establishes safety, environmental and fire prevention and 

protection policy, coordinates emergency planning and 

preparedness and conducts oversight. It serves as the AOC’s 

point of contact with regulatory agencies for occupational 

safety and health, fire protection and environmental matters.

Office of Attending Physician: The Office of Attending 

Physician, comprised of several health units throughout 

the Capitol campus, provides primary care, emergency, 

environmental and occupational health services in support of 

the congressional community, the Supreme Court, dignitaries 

and visitors to the Capitol campus. The AOC provides 

administrative support to the Office of Attending Physician.

Capitol Building

The Capitol Building jurisdiction is entrusted with the 

care and stewardship of the U.S. Capitol Building, one 

of the most iconic and historically significant buildings 

The AOC supported several high-profile events on the Capitol campus, including Supreme Court Justice Ruth Bader Ginsburg’s lying in repose under the 

portico at the Supreme Court of the United States (above) and lying in state at the U.S. Capitol Building in September 2020.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

8

Figure 8

Timeline of Special Events at the U.S. Capitol Building, Fiscal Year 2020

in the world and the centerpiece of the Capitol campus. 

The jurisdiction is responsible for providing a variety of 

services that include: carpentry, construction, custodial, 

electrical, elevator, heating and air conditioning, insulation, 

labor, masonry, painting, plumbing and sheet metal. The 

jurisdiction manages the Capitol Flag Program, which 

allows citizens to request a flag that has been flown over the 

U.S. Capitol through their congressional offices. It supports 

special events held on the Capitol campus (see Figure 8) and 

manages facility maintenance at the U.S. Capitol Visitor 

Center. The jurisdiction also supports programs related to 

occupational safety and health, sustainability, recycling 

and energy management, fire detection and protection 

management. For more information: www.aoc.gov/aboutus/organizational-directory/capitol-building-jurisdiction.

Capitol Grounds and Arboretum

The Capitol Grounds and Arboretum jurisdiction is 

responsible for maintaining and preserving the historic 

landscape designed by Frederick Law Olmsted. The grounds 

encompass 286 acres of landscape and infrastructure across 

Capitol Hill, including Union Square, the 13-acre site 

situated between the U.S. Capitol Building’s West Front 

and the National Mall, and includes approximately 8 

miles of roadways, 17 acres of parking lots and 16 miles of 

sidewalks. The jurisdiction provides professional grounds 

management services that include: horticultural activities, 

vehicle and equipment maintenance, sustainable irrigation 

practices and masonry and preservation of historically 

and architecturally significant landscape elements and 

memorials. In 2017, the grounds earned recognition as a 

Level II-accredited arboretum consisting of an ordered 

living asset collection of over 4,600 trees. The jurisdiction 

provides snow removal and trash collection across the 

campus. In addition, the jurisdiction supports major events 

including the presidential inauguration, lying in state 

ceremonies, National Police Officer Memorials, Capitol 

Christmas Tree selection and display and concerts for 

Memorial Day, Fourth of July and Labor Day. For more 

information: www.aoc.gov/about-us/organizationaldirectory/capitol-grounds-arboretum-jurisdiction.

Capitol Police Buildings, Grounds and Security

The Capitol Police Buildings, Grounds and Security is 

managed by the AOC‘s Office of Security Programs and is 

responsible for the maintenance, care and operation of the 

buildings, grounds and security enhancements of the U.S. 

Capitol Police and other facilities. It provides centralized 

security and resilience operations for the Capitol campus, 

manages the AOC’s internal security programs and perimeter 

security, coordinates interagency emergency preparedness 

and supports the U.S. Capitol Police in protecting, policing 

and providing security for the congressional community and 

its visitors. For more information: www.aoc.gov/about-us/

organizational-directory/capitol-police-buildingsgrounds-security-jurisdiction.

Capitol Power Plant

This jurisdiction manages year-round power plant operations, 

providing and distributing steam and chilled water to heat 

O

C

T

O

B

ER 1, 2

019 BEGIN

NING OF FIS

C

AL Y

E

A

R

OCTOBER 2019 NOVEMBER 2019 DECEMBER 2019 JANUARY 2020 FEBRUARY 2020 MARCH 2020

Oct 24 

Lying in State of 

Congressman 

Elijah Cummings

Nov 19 

Unveiling of the 

Official Portrait for 

Former Speaker 

John Boehner

Dec 4 

Capitol Christmas 

Tree Lighting 

Ceremony

Dec 18–19 

Provided Support 

for the Debate and 

Vote on the Articles 

of Impeachment in 

the U.S. House of 

Representaives

Jan 15 

Congressional 

Gold Medal 

Ceremony Honoring 

Stephen Gleason

Jan 16 

Swearing-in of 

J. Brett Blanton as 

the 12th Architect of 

the Capitol

Jan 22–Feb 5 

Provided Support for the Impeachment Trial 

and Final Vote in the U.S. Senate

Feb 4 

State of the Union

Mar 4 

Women’s History 

Month Reception 

Honoring

 Dolores Huerta

Mar 12 

Friends of Ireland 

Luncheon
SECTION 1 Management’s Discussion and Analysis

9

and cool the U.S. Capitol Building and 22 other facilities on 

and around the Capitol campus. The Capitol Power Plant 

jurisdiction also maintains an administration building and 

the utility tunnel distribution and metering system. The 

Capitol Power Plant operates on a reimbursable basis to 

noncongressional facilities and procures electricity from 

commercial suppliers. In support of the AOC’s long-term 

energy program, the Capitol Power Plant is the site of the 

newly constructed Cogeneration Plant and the multiphase 

Refrigeration Plant Revitalization construction project. For 

more information: www.aoc.gov/about-us/organizationaldirectory/capitol-power-plant-jurisdiction.

House Office Buildings

The House Office Buildings jurisdiction is responsible 

for the operation, maintenance and preservation of more 

than 5 million square feet of facility space, including 

the Cannon, Ford, Longworth, O’Neill and Rayburn 

House office buildings, underground garages, annexes and 

subways. Providing oversight for daily domestic care, repairs 

and maintenance at these facilities, the jurisdiction also 

performs client services, preventive maintenance, building 

inspector surveys, compliance issues abatement, energy 

savings initiatives and safety inspections. The use of office 

and committee space for the members of the U.S. House 

of Representatives and the biennial office move process 

for House members are also duties of this jurisdiction. For 

more information: www.aoc.gov/about-us/organizationaldirectory/house-office-buildings-jurisdiction.

Library Buildings and Grounds

The Library Buildings and Grounds jurisdiction is 

responsible for the life-cycle operation, maintenance, 

development and stewardship of the Library of Congress 

facilities and surrounding grounds. The jurisdiction’s real 

property assets span 4.4 million square feet of space and 

include: the Jefferson, Adams and Madison buildings 

on Capitol Hill; the Packard Campus for Audio-Visual 

Conservation in Culpeper, Virginia; the Library Collections 

Storage Facilities on the 100-acre campus at Fort Meade, 

Maryland; and other leased facilities. For more information: 

www.aoc.gov/about-us/organizational-directory/librarybuildings-grounds-jurisdiction.

Senate Office Buildings

This jurisdiction oversees the office and committee space for 

the United States Senate. It is responsible for the daily care, 

maintenance, repair and operations of more than 3 million 

square feet of facility space, including the Dirksen, Hart 

and Russell Senate office buildings, restaurants, an employee 

child care center, a congressional page school and dormitory 

and subway systems. The jurisdiction also manages leased 

facilities housing off-site Senate support organizations and 

coordinates the office move process for senators and staff. For 

more information: www.aoc.gov/about-us/organizationaldirectory/senate-office-buildings-jurisdiction.

SEPTEMBER 30, 2020 END OF FISCAL YEAR

APRIL 2020 MAY 2020 JUNE 2020 JULY 2020 AUGUST 2020 SEPTEMBER 2020

Mid-March Through the End of the Fiscal Year 

Temporary Closure of Capitol Campus Due to COVID-19 Pandemic

Jul 27–28 

Lying in State of 

Congressman 

John Lewis

Sep 25 

Lying in State 

of Supreme 

Court Justice 

Ruth Bader Ginsburg
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

10

Supreme Court Building and Grounds

The Supreme Court Building and Grounds jurisdiction 

operates and maintains the Supreme Court of the United 

States and the Thurgood Marshall Federal Judiciary Building. 

As per legislation, the AOC is responsible for the structural 

and mechanical care and maintenance of the Supreme Court 

of the United States and its grounds. Appropriations for this 

purpose are provided to the AOC in the judiciary’s annual 

appropriation bill. The AOC performs its responsibilities for 

the operation and care of the Supreme Court of the United 

States under the direction of the Marshal of the Supreme 

Court. The AOC provides care and maintenance, minor 

construction and capital project support in the Thurgood 

Marshall Building to the Administrative Office of the U.S. 

Courts on a reimbursable basis. For more information: www.

aoc.gov/about-us/organizational-directory/supreme-courtbuildings-grounds-jurisdiction.

Did You Know?

The U.S. Botanic Garden was named one of 

the 10 “Best Botanical Gardens in the United 

States” according to the USA Today’s 

2020 Readers’ Choice Awards.

U.S. Botanic Garden

The U.S. Botanic Garden (USBG) jurisdiction oversees 

the maintenance, operation and construction of all USBG 

facilities, including the Conservatory, the Regional Garden, 

Pollinator Garden, First Ladies Water Garden, Rose Garden 

and the Bartholdi Fountain and Gardens. The jurisdiction’s 

responsibilities also include the administration building and 

a plant production and support facility with 34 greenhouse 

bays, outdoor nurseries and areas for storage and maintenance. 

The USBG is the steward of a diverse, living and documented 

plant collection and provides educational programs, tours, 

exhibits and consultations, as well as youth training. As a 

leader in plant conservation efforts, the USBG was a founder 

of the Sustainable SITES Initiative (SITES®

) program to 

encourage sustainable landscaping. The executive director of 

the USBG reports directly to the Architect of the Capitol. 

The Architect of the Capitol serves as acting director of 

the USBG and reports on its operations to Congress. For 

more information: www.aoc.gov/about-us/organizationaldirectory/botanic-garden-jurisdiction or www.usbg.gov.

U.S. Capitol Visitor Center

The U.S. Capitol Visitor Center (CVC) jurisdiction manages 

the U.S. Capitol Visitor Center. Completed in 2008, the 

facility serves as the main entrance for visitors to the U.S. 

Capitol Building. The facility offers a welcoming and 

educational atmosphere for visitors to learn about the unique 

characteristics of the House, the Senate and the legislative 

process, as well as the history and development of the 

architecture and art of the U.S. Capitol. It provides exhibits, 

a restaurant, two orientation theaters, a large auditorium 

and two gift shops to enhance the visitor experience. More 

than 25 million people from around the world have visited 

the CVC since its opening. For more information: www.aoc.

gov/about-us/organizational-directory/capitol-visitorcenter-jurisdiction or www.visitthecapitol.gov.

In FY 2021, the AOC launched a reorganization to enhance 

efficiency, decision-making and service delivery, in order to 

improve accountability and transparency across the agency. 

The new organizational structure will be discussed in next 

year’s report.

The AOC is responsible for the stewardship of heritage assets located throughout the Capitol campus. Above, a member of the AOC’s Senate upholstery 

team replaces the decorative fabric of an antique chair.
SECTION 1 Management’s Discussion and Analysis

E N T E R P R I S E R I S K M A N A G E M E N T 11

A T T H E A O C 

Strong risk management practices and internal controls 

help an entity run its operations efficiently and effectively, 

report reliable information about its operations and financial 

position, and comply with applicable laws and regulations. 

The Federal Managers’ Financial Integrity Act of 1982 (FMFIA) 

requires federal agencies to establish internal controls that 

provide reasonable assurance that agency objectives will be 

achieved. OMB Circular A-123 offers detailed guidance for 

management’s responsibility for reporting and internal control. 

While the guidance initially focused on internal control over 

financial reporting, OMB expanded the scope to consider 

both financial and operational issues. In FY 2017, OMB 

Circular A-123 was modified to include enterprise risk 

management in the FMFIA annual letter of assurance. OMB 

Circular A-123 provides guidance to federal managers on 

how to effectively manage risks. The guidance requires federal 

agencies to provide reasonable assurance that it has met the 

three internal control objectives: effectiveness and efficiency 

of operations; reliability of reporting for internal and external 

use; compliance with applicable laws and regulations.

At the AOC, senior leaders work with the risk management 

officer in establishing a governance structure to effectively 

implement a robust process of risk management and internal 

control and to develop an enterprise risk profile. Successful 

implementation requires a transparent culture that encourages 

individuals to openly communicate about potential risks and 

other concerns. The AOC determined the best approach to 

incorporate risk management into the agency’s long-standing 

risk-based business architecture, and developed a specific 

enterprise risk management implementation plan for OMB 

Circular A-123 that incorporated a governance approach 

under a risk management officer. 

In FY 2020, the Integrated Risk Management Division 

(IRMD) continued to mature its implementation approach 

and ERM processes. During the risk assessment process, 

IRMD introduced an enterprise wide survey to assist with the 

identification of the top enterprise level risks.

The risk management officer meets regularly with senior 

leaders to discuss top risks that may impact the achievement 

of the AOC’s strategic objectives. Specifically, senior leaders 

are informed of risks to critical programs, systems, projects 

and priorities, including response strategies. The IRMD 

presents at the agency’s management meetings, which bring 

together senior leaders from each jurisdiction and central 

offices on a regular basis to share best practices and discuss 

risks. IRMD continues to work with senior leaders to 

monitor and annually update the AOC’s risk profile. 

SUMMARY OF KEY RISKS

The AOC conducted a series of risk assessment and 

prioritization strategy sessions to determine and rank the 

agency’s enterprise level risks. In these senior leadership 

sessions, the AOC identified and prioritized 12 enterprise level 

risks. The AOC prioritized the risks based on the likelihood 

of realization and the potential impact to mission capability.5

Based on this process, the AOC identified four priority 

risks: deferred maintenance and capital renewal, funding 

for information technology operations, cybersecurity and 

construction project management. The AOC is developing risk 

mitigation plans for these four enterprise-level risks.

Risk: Deferred Maintenance and Capital Renewal

Risk statement: If the AOC is not resourced to adequately 

address its deferred maintenance and capital renewal 

backlog, then continued deferral will increase the effort, 

time and costs required to preserve buildings and heritage 

assets and/or prevent system failures.

Strategic goal alignment: Maintain Awe-Inspiring Facilities

Risk: Funding for Information Technology Operations

Risk statement: If the AOC does not receive adequate 

resources for information technology (IT), then the IT 

services and functions that the agency relies upon to meet 

its mission may be at risk of failure and the agency may 

not have the capacity to adequately support critical areas. 

This risk could also limit system growth opportunities and 

prevent the agency from meeting key staffing requirements 

necessary to maintain IT services and functions. 

Strategic goal alignment: Operate as One Team, Dedicated 

to One Mission

Risk: Cybersecurity

Risk statement: If the AOC Information Technology 

Division does not receive adequate resources to provide the 

systems and personnel oversight of a sound cybersecurity 

program, and provide more effective control of the 

decentralized IT components, the AOC is at an increased 

risk from external and internal cyberthreats that could result 

in a disruption to the AOC’s operations.

Strategic goal alignment: Operate as One Team, Dedicated 

to One Mission

Risk: Construction Project Management

Risk statement: If construction projects are not effectively 

planned, communicated and executed within the approved 

parameters (i.e., cost, schedule, delivered safely, high quality 

and with minimal client disruption), then the AOC risks 

damage to effective project execution and stakeholder 

relationships. The construction projects include contractorexecuted projects, Construction Division projects and 

jurisdictional in-house projects.

Strategic goal alignment: Maintain Awe-Inspiring Facilities

5 The AOC defines risk as the effect of uncertainty on objectives, either 

positive or negative. The AOC’s management challenges are the most 

serious management and performance issues facing the agency based on 

an analysis of the long-term operational, economic and demographic 

landscape. While there may be overlap between the agency’s risks and 

management challenges (which are discussed in detail in this section’s 

Forward-Looking Information and the Other Information section’s 

Inspector General’s Statement of Management Opportunities and 

Performance Challenges), they are not identical.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

1 2

Above The AOC’s Strategic Plan lays out the agency’s strategic goals and sets the direction for performance management for the FY 2017–FY 2021 period.

P E R F O R M A N C E H I G H L I G H T S 

Strategic Planning Framework 

The AOC Strategic Plan 2017-2021 positions the agency 

to meet the expanding and evolving demands of its mission 

during a time of growth in facilities, visitors and capital 

construction. The Strategic Plan aligns with the guidance 

contained in OMB Circular A-11, Part 6 and is publicly 

available at: www.aoc.gov/what-we-do/publications. 

Strategic Goals and Objectives 

The Strategic Plan is structured around four strategic goals 

and eight objectives, as well as the specific strategies to 

accomplish them and key performance indicators (KPI) that 

aid in their measurement.

 Strategic Goal 1: Maintain Awe-Inspiring Facilities 

— This goal supports the agency’s stewardship of the 

structures and grounds of the Capitol campus. This goal 

ensures visitors to the Capitol campus and those who 

work within its facilities experience the grandeur of these 

historic treasures at their very best.

 Strategic Goal 2: Provide Extraordinary Services 

— This goal supports the prestigious occupants of our 

facilities in their critical mission to govern our country. 

In addition, the AOC serves visitors from across 

the nation and around the world in discovering and 

celebrating the symbolic core of American democracy on 

Capitol Hill.

 Strategic Goal 3: Foster an Innovative and Empowered 

Workforce — This goal supports agency staff members as 

they exercise greater responsibility for their performance 

and proactively apply informed judgments and 

innovations in identifying results-oriented solutions.

 Strategic Goal 4: Operate as One Team, Dedicated 

to One Mission — This goal supports and encourages 

collaboration among the AOC’s wide ranging functions, 

jurisdictions and organizations.

The first two goals, Maintain Awe-Inspiring Facilities and 

Provide Extraordinary Services, are externally focused, 

guiding efforts related to facilities maintenance, operational 

support, project delivery, heritage asset preservation and 

client and visitor services. The next two goals, Foster an 

Innovative and Empowered Workforce and Operate as 

One Team, Dedicated to One Mission, are internally 

focused, concentrating on promoting employee engagement 

and accountability, as well as a culture of innovation, 

collaboration and safety. Table 4 identifies the relationship 

between the AOC’s four strategic goals and the eight 

strategic objectives that support them. 

In FY 2020, the AOC developed an enterprise-level 

Performance Plan that defines strategic initiatives that 

boost the agency’s ability to accomplish its strategic goals 

and objectives. The plan also identifies the KPIs that assess 

progress toward the performance outcomes in the Strategic 

Plan. The Performance Plan covers two fiscal years and is 
SECTION 1 Management’s Discussion and Analysis

13

updated annually. The FY 2020-2021 Performance Plan 

identifies 42 KPIs. Indicators measure performance against 

an established target or establish a baseline of performance, 

as required under the GPRA Modernization Act of 2010 

(GPRAMA). When available, up to five years of historic 

data are provided for trend comparison. Table 5 indicates the 

number of objectives and KPIs associated with each goal.

In FY 2020, the AOC met the performance targets for eight 

KPIs and did not meet the target for 11 of the KPIs that 

had a performance target for this fiscal year (see Figure 9). 

The AOC established a baseline level of performance for six 

new indicators and did not measure 17 KPIs due to activities 

placed on hold due to the COVID-19 pandemic. As part of 

ongoing efforts to strengthen and improve its performance 

management structure, the AOC began evaluating changes 

to its KPIs in FY 2020. For more detail, each strategic 

objective’s future strategies and KPIs are provided in 

Section II: Performance Information.

Data Validation and Verification

In accordance with the GPRAMA, the AOC strives 

to ensure the completeness, reliability and quality of 

all performance measurement data. The agency has the 

mechanisms in place to validate and verify the accuracy 

of information collected and reported. Validation and 

verification of performance data supports the accuracy and 

reliability of this information, reduces the risk of inaccurate 

data and provides a sufficient level of confidence that the 

information is credible. At the AOC, these efforts include 

internal agency assessments that address standards and 

Table 4

Strategic Goals and Objectives 

STRATEGIC GOALS STRATEGIC OBJECTIVES

1. MAINTAIN AWE-INSPIRING FACILITIES

1. Reliably deliver high-quality capital projects

2. Preserve, maintain and operate facilities and cultural and natural resources at 

the highest quality levels

2. PROVIDE EXTRAORDINARY SERVICES 1. Demonstrate our expertise while exhibiting responsiveness, ownership and 

courtesy to all internal and external customers

3. FOSTER AN INNOVATIVE AND 

EMPOWERED WORKFORCE

1. Strengthen employee performance through improved development and 

accountability practices

2. Cultivate high employee engagement in the workplace

3. Provide for the security and safety of every AOC employee

4. OPERATE AS ONE TEAM, DEDICATED 

TO ONE MISSION

1. Support the success of others by prioritizing the AOC’s mission, values, vision 

and goals ahead of the interests of any individual, work group or business unit

2. Strategically plan, allocate and manage resources throughout the AOC

LONG-TERM

SUPPORT GOALS

PROGRAM-ORIENTED

GOALS

Table 5

Strategic Objectives and Key Performance 

Indicators by Strategic Goal

STRATEGIC GOAL STRATEGIC 

OBJECTIVES

KEY 

PERFORMANCE 

INDICATORS

Maintain Awe-Inspiring 

Facilities 2 7

Provide Extraordinary Services 1 4

Foster an Innovative and 

Empowered Workforce 3 23

Operate as One Team, 

Dedicated to One Mission 2 8

Total 8 42

Figure 9

Key Performance Indicator Results

 

 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

14 procedures, data entry and transfer, data integrity, data 

quality, data limitations and oversight. 

The assessments often occur in the development stages 

of dashboards and management reports. Subject matter 

experts and agency executives regularly conduct performance 

data meetings. These meetings provide an opportunity to 

put information in the hands of many agency managers. 

This shared knowledge allows the agency to validate and 

verify the quality and reliability of its performance data and 

identify possible discrepancies for resolution.

High-Level Key Performance Indicators

The high-level KPIs are a subset of those monitored under 

the Strategic Plan and represent the agency’s most critical 

performance indicators. Each high-level KPI displays the 

current year performance target and results, as well as 

applicable prior year results for comparison. The indicators, 

displayed in Tables 6 through 9, are organized by strategic 

goal. The performance summary includes narrative 

highlights that describe major program and project results 

for each strategic goal.

Section II: Performance Information provides a complete 

discussion of the AOC’s data validation and verification 

processes, and performance results.

In FY 2020, the AOC developed an enterprise-level Performance Plan that defines a set of initiatives to improve the agency’s ability to accomplish its four 

strategic goals and eight strategic objectives.
SECTION 1 Management’s Discussion and Analysis

15

STR ATEGIC GOAL 1:

MAINTAIN

AWE-INSPIRING FACILITIES

The AOC’s strategic goal to Maintain Awe-Inspiring 

Facilities focuses the agency on providing outstanding 

stewardship for the assets entrusted to its care, as well as 

ensuring a safe, healthy and secure environment through 

the efficient use of resources, integrated facility planning 

and sustainable practices. This strategic goal addresses 

the AOC’s core facilities maintenance, stewardship and 

sustainability responsibilities. As shown in Table 6, there are 

two strategic objectives, two strategies and two high-level 

KPIs associated with this strategic goal. These high-level 

KPIs track the sustainability and facility conditions of major 

buildings on the Capitol campus. The agency did not reach 

its targeted performance for either high-level KPI. For more 

detail on the indicator results and strategy outcomes, see 

Section II: Performance Information.

In addition, the following AOC accomplishments align with 

this strategic goal:

Capital Project Delivery

Cannon Renewal Project: The AOC continued work 

on Phase 2 (Independence Avenue, SE) of the Cannon 

Renewal Project. A unique aspect of this project is that 

most of the building remains open to members and 

committees throughout the renewal. Phase 2 of the 

comprehensive facility renewal involved system upgrades 

and demolition, abatement, and renovation work in 32 

member suites, one hearing room, one building entrance, 

the basement and a new fifth-floor interior space. Work 

also included the exterior façade restoration, including 

34 Doric columns. To improve project management, the 

AOC introduced a robust contract change order process 

to minimize time delays and the associated costs. Despite 

unforeseen structural conditions that led to extensive 

additional restoration, the agency kept the project on track 

and within budget. The project team also experienced 

enhanced stakeholder coordination for the Phase 2 

delivery, which facilitated an increase in collaboration and 

communication of construction activities.

Stone Preservation Program: Despite COVID-19 

restrictions, the AOC continued an ambitious program to 

preserve the deteriorating stone and metal features on many 

of its most treasured assets, including the U.S. Capitol 

Building, Thurgood Marshall Federal Judiciary Building and 

Russell Senate Office Building. These projects are critical for 

the preservation of the exterior stonework of these facilities 

after decades of deterioration. As a continuation of the stone 

restoration program at the Supreme Court of the United 

States, the AOC initiated work on the exterior terraces. 

The Thurgood Marshall Federal Judiciary Building is undergoing a multiyear effort to repair the building’s exterior façade. This project falls under the 

AOC’s strategic goal to Maintain Awe-Inspiring Facilities and addresses the agency’s core facilities operations, stewardship, capital project delivery and 

sustainability programs.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

16

See Appendix D for a summary of major stone repair and 

preservation projects. 

U.S. Capitol Building Exterior Stone and Metal 

Preservation: The AOC completed work on Phase 2 of 

this project, which was designed to preserve and restore 

the building’s deteriorating marble façade and architectural 

metals. Phase 2 focused on cleaning, pointing, repairing and 

replacing stone on the Capitol’s House Extension, similar 

to the Phase 1 work at the Senate Extension. The AOC 

also completed a close-range stone survey at the West Front 

to update the scope of repair in preparation for Phase 3. 

The recent survey will minimize the cost exposure for any 

changed conditions to the West Front stone.

Senate Underground Garage and Landscape Restoration: 

The AOC continued progress on the Senate Underground 

Garage and Landscape Restoration project to renovate the 

parking facility and restore the fountains, pool, plaza and 

landscaping atop the garage. Over the past year, the AOC 

achieved several major milestones, including excavating 

Delaware Avenue, waterproofing the pedestrian tunnel 

underneath the street, reopening Delaware Avenue to 

vehicular traffic and dismantling and storing the majority 

of the stonework. Work continues on waterproofing 

the underground garage and cleaning and resetting the 

site’s stonework.

House of Representatives Child Care Center: The AOC 

completed work on the House of Representatives Child 

Care Center expansion and relocation project. Following 

last year’s completion of the East Wing, this project phase 

involved construction in the O’Neill House Office Building’s 

West Wing. The AOC also completed construction on the 

west playground, which allowed the child care center to 

open in July 2020. 

Thomas Jefferson Building Roof Replacement: The AOC 

completed a major roof replacement over the Library of 

Congress Rare Books & Special Collections Reading Room 

on time and under budget. This important work addressed 

deficiencies in the existing copper roof that had allowed 

water to infiltrate the Library’s collections storage space. 

For more information, see Capitol Highlights: Thomas 

Jefferson Building Roof Replacement.

Refrigeration Plant Revitalization Program: The AOC 

installed a 5,000-ton chiller as part of its efforts to revitalize 

the Refrigeration Plant. The new chiller is an energy efficient 

replacement that provides improved reliability. In addition, 

the AOC completed repairs for two cooling towers that 

allow for expanded use of the cooling system and provide 

additional energy savings. 

Did You Know?

The AOC continued the redesign and 

renovation of the U.S. Capitol Visitor Center’s 

16,000 square foot Exhibition Hall in FY 2020. 

This year’s work included design, lighting and 

content updates to achieve a more educational 

and interactive environment. Exhibition Hall is 

scheduled to reopen in FY 2022.

Table 6

Maintain Awe-Inspiring Facilities Strategic Goal “At a Glance”

STRATEGIC OBJECTIVES

1. Reliably deliver high-quality capital projects

2. Preserve, maintain and operate facilities and cultural and natural resources at the highest quality levels

STRATEGIES

1. Identify, analyze and strengthen critical management processes, resources and assignment of responsibilities 

for successful Capital Improvement Program project delivery

2. Research, analyze and select the most appropriate industry standards, desired levels of performance and 

associated implementation plans for achieving desired levels of performance for each of the AOC’s key 

operational functions

HIGH-LEVEL KEY 

PERFORMANCE INDICATORS FY 2015 FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 TARGET

FY 2020 

RESULTS

Energy and Sustainability 

Targets. Reduce energy 

intensity use, reduce potable 

water use, divert building 

occupancy waste, compost 

nonconstruction waste and 

divert construction and 

demolition debris.

N/A N/A

4 of 5 

Component 

Targets Met

Not Met

4 of 5 

Component 

Targets Met

Not Met

4 of 5 

Component 

Targets Met

Not Met

5 of 5 

Component 

Targets Met

4 of 5 

Component 

Targets

Not Met

New! Facility Condition 

Index. Reduce the percent of 

AOC major buildings in poor 

or fair condition.

53.6% 48.1% 48.1% 40.7% 44.4% <44.4%

48.1%

Not Met
SECTION 1 Management’s Discussion and Analysis

Implemented Responsibility Assignment System: 17

The AOC completed development and implementation 

of responsible, accountable, consulted and informed 

(RACI) matrices — systems used to assign construction 

project tasks, decisions and milestones — to maximize 

communication and efficiency. The system clarifies the roles 

and responsibilities of all project members at all stages of 

a project.

Baseline Security Standards for Critical Projects: 

The AOC made significant progress toward establishing 

baseline security standards for construction projects 

and procedures to ensure the safety and security of the 

congressional community. In collaboration with the U.S. 

Capitol Police, the AOC formed working groups to improve 

workflow for construction projects throughout the Capitol 

campus. The working groups participated in feedback 

sessions that provided recommendations for standardizing 

design approaches, implementing more efficient procedures 

and improving safety, coordination and communication. The 

working groups made recommendations to a leadership team 

of senior staff, which resulted in increased coordination and 

stronger relationships with stakeholders for critical projects.

Initiated New Project Management Technologies:

The AOC completed a two-year pilot of a new project 

management information system, e-Builder, and will 

be proceeding with a full rollout to the AOC’s project 

portfolio. The system allows the AOC to better manage 

construction projects across the Capitol campus. This fiscal 

year, the AOC initiated more than 30 projects in e-Builder 

using a newly developed project initiation process and 

provided user training to more than 40 members of its 

staff. In addition, the agency further developed its use of a 

building information modeling technology, Bluebeam, and 

initiated a pilot in the Thomas Jefferson Building emergency 

lighting project. 

Preservation Projects and Initiatives

Senate Committee on Commerce, Science and 

Transportation Hearing Room Renovation: The AOC 

transformed the Senate hearing room SR-253 of the Russell 

Building into a state-of-the art workspace. The agency 

also prioritized historic preservation, with the goal of 

returning the space to its original architectural appearance. 

The renovation brought the hearing room into compliance 

with the Americans with Disabilities Act (ADA) and added 

advanced lighting and HVAC systems and a custom wood 

rostrum and dais. For more information, see Capitol 

Highlights: Senate Committee Room Renovation.

Bartholdi Fountain Recoating Project: While the U.S. 

Botanic Garden’s Bartholdi Fountain was fully restored in 

2011, the fountain’s exterior had again deteriorated from 

harsh conditions and constant exposure to water. This fiscal 

year, the AOC performed a comprehensive cleaning of the 

fountain, removing the deteriorated paint down to the cast 

iron and applying a high-performance paint system. The 

project also included recoating the perimeter lampposts and 

restoring the fountain’s glass lanterns. 

Above The AOC recoated the Bartholdi Fountain, removing deteriorated paint down to the cast iron and applying three ultra-high-performance 

coatings, including a Teflon-like finishing coat. The project also included a cleaning of the perimeter lampposts and the sculpture’s glass lanterns.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

18

U.S. Capitol Grounds Landscape Elements Restoration:

The AOC continued a significant maintenance and 

preservation program of the Olmsted-era lanterns and 

fountains across the U.S. Capitol Grounds. This year’s work 

included cleaning and recoating the two bronze East Plaza 

fountains and restoring four bronze light fixtures. The 

fixtures were restored to the original finish and the electrical 

portions modified to approximate the original configuration 

with new wiring and energy efficient LED lamps. The AOC 

will restore 10 additional fixtures in FY 2021. For additional 

agency conservation efforts, see Capitol Highlights: 

Heritage Asset Conservation.

Facilities Maintenance

Building and Landscape Preservation: The AOC prepared 

building preservation guides, exterior masonry and envelope 

surveys, paint analyses and cultural landscape reports to provide 

agency staff with information to make decisions regarding 

preservation treatments. Recent examples include: cultural 

landscape report (Senate office buildings); exterior masonry 

and envelope investigation (Ford House Office Building); 

paint analysis for Senate committee rooms (three rooms in the 

Russell and Dirksen Senate office buildings); and paint analysis 

for the Memorial Stairs and Hall of the U.S. Capitol Building.

Capitol Campus Studies: The AOC engaged a panel 

of industry subject matter experts to conduct a study on 

Capitol Highlights

G R O U N D S M A N A G E M E N T P R O G R A M F O R 

THE CAPITOL CAMPUS

The AOC is responsible for preserving and maintaining 

the historic landscape, decorative features and physical 

infrastructure across the Capitol campus. Spanning more 

than 570 acres, and including over 16 miles of sidewalks, 

driveways and irrigation systems, as well as some 4,600 

trees, the grounds require constant maintenance and 

upkeep. To build an industry-leading program that 

preserves its historic landscapes, the AOC launched a 

Grounds Management Program to provide comprehensive 

landscape management solutions and integrate 

innovative approaches for maintaining and improving the 

Capitol campus.

In FY 2020, the Capitol Grounds and Arboretum jurisdiction 

enhanced the sustainable landscape practices across the 

campus. For example, native plant species, which are more 

tolerant of the local climate and foster native pollinators, 

were incorporated in several landscape areas. Additionally, 

the AOC converted several existing turf science positions 

to “specialists” roles in the biological sciences, including 

turfgrass manager, urban forester and plant health care 

specialist (entomologist). Further efforts included the 

modernization of inefficient irrigation systems and a 

program to reduce stormwater runoff through green 

roof projects. The AOC also continued to integrate utility 

upgrades with landscape improvements and build 

specialized pest management programs.

To build an industry leading program, the AOC is combining 

the efforts of landscape professionals from across the 

agency to exchange ideas and overcome challenges. The 

AOC has also communicated with professional organizations 

to identify benchmarks to assess various aspects of grounds 

management. These benchmarks will function as a planning 

tool for appropriately maintaining the grounds across the 

Capitol campus.
SECTION 1 Management’s Discussion and Analysis

future renewal strategies for the House office buildings. In 19

addition, the AOC initiated a transportation study focused 

on traffic flow and safety improvements for Capitol campus 

visitors and staff across multiple modes of transit.

Gardens and Grounds Standards: The AOC convened a 

cross-jurisdictional team to develop standards and 

practices for the care of its gardens and grounds. The team

identified best practices for enhanced landscape 

management, pest management and irrigation

modernization. For more information, see Capitol 

Highlights: Grounds Management Program for the

Capitol Campus.

Did You Know?

Frederick Law Olmsted, the father of American

landscape architecture, created the grand 

design for the U.S. Capitol Grounds. Between 

1874 and 1892, Olmsted served as the first 

landscape architect of the U.S. Capitol.

Facilities Operations (Including Sustainability and Energy)

Improved Stormwater Management: The AOC implemented 

a new policy for managing stormwater retention credits, 

including a stormwater credit certification through 

the District of Columbia’s Department of Energy and 

Environment for the green roofs on the Dirksen Senate 

Office Building and the O’Neill House Office Building, as 

well as for the Bartholdi Gardens Improvements project. In 

addition, the USBG installed an environmental monitoring 

system on the new green roof of the Conservatory and the 

AOC installed sustainable landscape plantings using heattolerant native species in several areas throughout the Capitol 

campus to contribute to the agency’s stormwater management 

efforts. To improve stormwater management at the Capitol 

Power Plant parking lot and the previously demolished East 

Refrigeration Plant cooling towers, the AOC began installing 

a comprehensive underground stormwater management 

system. Its components include oil/water separators, sand 

filters, detention basins and various erosion and sediment 

controls. The project will be completed in FY 2021. 

Energy Savings Performance Contract: In FY 2020, the 

AOC awarded an energy savings performance contract 

(ESPC) to install energy efficient systems, lighting, HVAC 

enhancements and water conservation improvements 

throughout the Library of Congress. Upon completion, the 

project will reduce energy and water consumption in the 

Library Buildings by more than 22 percent. 

Other

Pandemic Planning and Response: The AOC began 

COVID-19 preparations in January 2020 by tracking the 

developing situation and updating the agency’s pandemic 

plan. The AOC’s Safety, Fire and Environmental Programs 

team developed guidance documents, coordinated 

emergency response for cleaning, researched evolving 

developments, performed contact tracing to limit the 

potential virus spread, coordinated with the Office of 

Attending Physician and provided weekly updates to agency 

leadership. Operationally, the AOC mandated face coverings 

for employees who were unable to work remotely. Initiating 

rotating shifts and schedules also ensured that the AOC was 

able to maintain technical knowledge and expertise while 

managing on-site staff. The agency implemented enhanced 

cleaning protocols for all AOC-managed facilities and 

sanitation requirements for agency tools and vehicles. 

Accessibility Compliance Findings Closed: The AOC 

closed 38 Office of Congressional Workplace Rights 

(OCWR) compliance findings in FY 2020 related to 

accessibility, fire and life safety protection, bringing the 

closed findings down to approximately 53 percent of the 

total. This is a result of increased stakeholder coordination 

and education on ADA requirements. The AOC also 

completed a weeklong ADA inspection with the OCWR for 

the U.S. Capitol Visitor Center, the House and Senate office 

buildings and the Library of Congress’ facilities. 

Perimeter Security Element Repairs: Many of the Capitol 

campus perimeter security vehicle barriers and kiosks have 

reached their intended lifespan. As a result, the AOC has 

put in place a long-term project for barrier and kiosk repairs 

to extend their useful lives. Services included repair and 

preventive maintenance tasks for perimeter security elements 

— such as bollards, walls, fencing and planters — and the 

replacement of vehicular barriers and kiosks. 

Safety Observation Training: Several AOC jurisdictions 

participated in the Safety Observations and Reflections 

(SOAR) ver 2.0 training pilot that used tour routes and 

facilities on the Capitol campus. This exercise engaged staff 

and leadership in occupational health and safety awareness, 

teaching them to identify and reduce hazards in highly 

trafficked areas.

Self-Inspection Improvements: The AOC strives to 

continuously improve its safety program assessments. This 

year’s inspections found insufficient staff training to be 

the cause for many findings. To address this, the agency is 

developing specialized training to raise awareness of what 

actions or inactions can lead to safety hazards. For more 

information, see Capitol Highlights: Self-Inspections 

Improve Workplace Safety.

Above The AOC is responsible for facilities operations across the 

Capitol campus. In FY 2020, the AOC installed and transitioned to 

two new generators and an underground fuel storage tank as part of 

the Rayburn House Office Building and House Underground Garage 

Emergency Power Upgrade project.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

2 0

STR ATEGIC GOAL 2

PROVIDE EXTRAORDINARY SERVICES

The AOC’s strategic goal to Provide Extraordinary Services is 

intended to ensure the proactive delivery of professional and 

integrated services that exceed client and visitor expectations. 

This goal addresses the AOC’s core function as a support 

organization to Congress and the Supreme Court, as well as 

a provider of visitor services for the public. As seen in Table 

7, there is one strategic objective, two strategies and two 

high-level KPIs associated with this goal. The agency reached 

its targeted performance for both KPIs in FY 2020. For 

an in-depth discussion of the indicator results and strategy 

outcomes, see Section II: Performance Information.

In addition to reaching its targeted performance goals, the 

AOC attained several other accomplishments aligned with 

the strategic goal, including:

Visitor Services

Exhibitions: The AOC offered a number of exemplary 

exhibitions and programs to educate and inspire the public. 

These included the annual “Discover the World of Orchids” 

exhibition at the U.S. Botanic Garden (USBG), which was 

produced in collaboration with Smithsonian Gardens, and 

a large-scale display about the U.S. Constitution and Bill of 

Rights at the U.S. Capitol Visitor Center (CVC). The USBG’s 

popular holiday exhibition, featuring a theme of botanic 

gardens across America, drew more than 200,000 visitors. See 

Appendix E for a detailed description of the major exhibitions 

held during FY 2020. A short feature on the USBG’s 200th 

anniversary is on Page 22. Both the CVC and the USBG 

closed to visitors in March 2020 due to COVID-19 and 

remained closed through the remainder of the fiscal year.

Special Events: The AOC planned, designed and provided 

support for multiple special and high-profile events in the U.S. 

Capitol, including congressional ceremonies and the State of 

the Union address. These events also included coordination 

of the lying in state ceremonies for Representatives Elijah 

Above The U.S. Botanic Garden provides free programs, exhibitions, videos and activities for the general public. This year’s holiday exhibition, Season’s 

Greenings: America’s Gardens, featured model recreations of conservatories, fountains and sculptures from around the United States, all made from 

plants and natural materials.

A virtual U.S. Capitol tour is available at: www.youtube.com/

watch?v=qvgq1awXNzs
SECTION 1 Management’s Discussion and Analysis

21

Cummings and John R. Lewis and Supreme Court Justice 

Ruth Bader Ginsburg, as well as wayfinding and line 

management for the articles of impeachment debate and vote 

in the U.S. House of Representatives and the impeachment 

trial in the U.S. Senate. See Capitol Highlights: The AOC 

Supports the Lying in State Ceremonies for Three Historic 

Public Servants.

Capitol Campus Visitation: Since opening in December 

2008, the CVC has welcomed more than 25 million 

visitors from across the country and the globe. This 

fiscal year, before the campus temporarily closed to the 

public due to COVID-19, the agency’s CVC, USBG and 

Library Buildings and Grounds jurisdictions welcomed 

approximately 1.7 million visitors (as shown in Figure 10). 

See Appendix F for monthly and annual visitation data. 

Specialty Tours and Educational Programs: Before 

COVID-19, the CVC continued to provide a full calendar of 

specialty tours for the visiting public. The “Freedom Fighters 

in the Capitol Collection” tour introduced visitors to four 

ordinary Americans whose actions changed the course of 

civil rights history, and the “Halls of the Senate” tour took 

visitors through the beautiful Brumidi Corridors. During 

the continued closure of Exhibition Hall for renovations, the 

CVC relocated models and archival holdings to locations that 

remained open to the public, offered impromptu programs 

for visitors and developed a nine-minute general audience 

Table 7

Provide Extraordinary Services Strategic Goal “At a Glance”

STRATEGIC OBJECTIVES 1. Demonstrate our expertise while exhibiting responsiveness, ownership and courtesy to all internal and 

external customers

STRATEGIES

1. Regularly administer, and refine as appropriate, customer satisfaction surveys for each major line of business 

in the AOC

2. Enhance the AOC’s ability to understand and respond to customer needs and enhance the 

customer experience

HIGH-LEVEL KEY 

PERFORMANCE INDICATORS FY 2015 FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 TARGET

FY 2020 

RESULTS

NEW! TripAdvisor Ratings. 

Establish a baseline customer 

experience benchmark. 

N/A N/A N/A N/A 4.5 ≥ 4.5

4.5 

Met

Customer Satisfaction with 

Projects. Maintain high 

customer satisfaction with 

projects. 

96.5%

Met

95.4%

Met

92.4%

Met

94.7%

Met

95.9%

Met ≥ 90.0%

95.0% 

Met

Figure 10

Capitol Campus Visitation From FY 2015 Through FY 2020

 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

2 2 U.S. Capitol video tour. The USBG offered several innovative 

programs, including the new sensory-friendly program, 

STOP! Smell and Touch Our Plants Tour, for visitors with 

vision impairment. The USBG also invited local families 

in the sensory-friendly program to work with horticulture 

specialists in creating the orchid exhibition and the Patrick 

Dougherty sculpture, O Say Can You See. In response to 

COVID-19, the USBG and CVC made educational resources 

and program materials available online whenever possible. 

Premiered Podcast Series: The CVC premiered a podcast 

series, “Shaping History: Women in Capitol Art,” 

commemorating the centennial celebration of the 19th 

Amendment. This podcast series brings together curators, 

historians, artists, eyewitnesses and descendants of honored 

subjects, providing insight to enhance every listener’s 

Capitol experience. 

Did You Know?

In November 2019, AOC leadership traveled 

to Dublin, Ireland for the International 

Network of Parliamentary Properties. This 

annual meeting is an international forum for 

government agencies to share information 

about managing and operating their historic 

and important properties. Through this 

community, the AOC engages in innovative 

management strategies and improves 

its best practices.

Client/Tenant Services

Inauguration Planning: In preparation for the January 2021 

presidential inauguration, the AOC completed procurement 

actions for the inaugural stands construction, sound system, 

chairs and fencing. The inauguration, to be held on the U.S. 

Capitol’s West Front, is the highest priority project for the 

AOC and is being coordinated with the Joint Congressional 

Committee on Inaugural Ceremonies. 

COVID-19 Pandemic Management: The AOC deployed 

numerous COVID-19 preventive measures to maintain 

government operations based on guidance from the Office 

of Attending Physician, the Centers for Disease Control 

and Prevention and the Food and Drug Administration. 

The agency provided immediate support to the members 

of Congress, including personal protective equipment 

and cleaning supplies. The AOC also installed plexiglass 

screens in critical areas, developed new layouts for hearing 

rooms and conference spaces to align with social distancing 

recommendations and helped maintain the continuity of 

government by transforming the Congressional Auditorium 

to support the work of Congress. During these efforts, 

the AOC maintained a base of on-site staff supported by 

employees connected via enhanced telework and other 

Capitol Highlights

200 t h A N N I V E R S A RY 

OF THE U.S.

BOTANIC GARDEN

The USBG celebrated its 200th anniversary in FY 2020. 

The major bicentennial exhibition, “The U.S. Botanic 

Garden at 200: Deeply Rooted, Branching Outward,” 

opened in February 2020 and featured historic 

stereoscopic images of the USBG, interactive children’s 

programming that evoked 19th-century botanical 

exploration and a life-size bronze sculpture of the 

USBG’s celebrated corpse flower. 

The USBG hosted a historic collaboration with Thomas 

Jefferson’s Monticello in the outdoor Kitchen Garden, 

displaying plants that Jefferson and many other 

Founding Fathers grew in the era when the USBG 

was founded. 

Despite temporarily closing to the public in March 2020 

due to the COVID-19 pandemic, the USBG continued 

to share historic photos and stories on its website and 

social media platforms. Additionally, on-site programs 

transitioned to new online platforms to continue 

engaging the public.

The USBG began as a vision of George Washington and 

Thomas Jefferson. It was established by Congress in 

May 1820 when James Madison signed a bill granting 

5 acres of land at the base of the U.S. Capitol for the 

Garden. Today, it is the oldest continuously operating 

public botanic garden in the country. 
SECTION 1 Management’s Discussion and Analysis

remote methods. The AOC also sequestered a dedicated 2 3

group of operations and maintenance staff at the Capitol 

Power Plant between April and May 2020 to ensure 

continuous utility services. 

Suite Selection Tools: In preparation for the election year 

moves of the 117th Congress, the AOC provided further 

upgrades to the Senate online suite selection tool. The 

web-based tool features 360-degree photos of offices to 

allow senators and staff to take virtual tours of office suites, 

compare suite attributes, make selections online and receive 

email notifications. The House suite selection tool will be 

moved online as well. 

Customer Experience (CX) Strategy and Roadmap: 

The AOC implemented its CX Strategy and Roadmap by 

forming a cross-organizational champions group to promote 

knowledge-sharing, developing customer service standards 

and training and identifying metrics to capture performance 

feedback and assess and improve service delivery and overall 

customer experience.

U.S. Copyright Office Interim Storage Facility Lease: 

The AOC led an effort to lease, build out and equip a 

new 40,000 square foot, high-bay facility to provide 

environmentally controlled document storage for the U.S. 

Copyright Office. The Library of Congress transferred funds 

to the AOC to execute the initial five-year lease, oversee the 

build-out and building shell improvements, and design and 

construct custom shelving for the copyright deposits.

Internal Customer Services

Implementation of Employee Case Management Solution:

The AOC enhanced its management and reporting 

capabilities for employee and labor relations matters — 

specifically disciplinary actions and grievances — by 

implementing cloud-based case management software. 

The program replaces manual processes to securely manage 

personally identifiable information, tracks employee and 

labor relations cases, and reports on those cases to the 

AOC’s leadership.

Above During October 2019, the AOC installed new stage flooring in the U.S. Capitol Visitor Center’s Congressional Auditorium. During the COVID-19 

pandemic, the Congressional Auditorium was used to support congressional hearings with proper social distancing requirements.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

2 4

STR ATEGIC GOAL 3:

FOSTER AN INNOVATIVE

AND EMPOWERED WORKFORCE

The AOC’s strategic goal to Foster an Innovative and 

Empowered Workforce is intended to cultivate an 

organizational culture that attracts, develops and retains 

exceptional employees. It is also intended to encourage 

innovation among its personnel and advance inclusive, stafforiented programs and processes to accomplish the agency’s 

mission. This goal encourages the organization to embrace 

change through accountability, outstanding leadership and 

continuous improvement. As seen in Table 8, there are three 

strategic objectives, nine strategies and two high-level KPIs 

associated with this goal. The agency reached its targeted 

performance for one high-level KPI. For an in-depth 

discussion of the indicator results and strategy outcomes, see 

Section II: Performance Information.

In addition to reaching its targeted performance goals, the 

following AOC accomplishments align with this strategic goal:

COVID-19 Pandemic Operations Plan: The AOC created 

a COVID-19 Pandemic Operations Plan to help employees 

continue to meet the agency mission, while also promoting 

health and safety. The plan is divided into two broad 

sections: “The New Normal,” which details new protocols 

to help employees adapt to changing environments, and 

“Operations,” which focuses on jurisdiction planning and 

facilities management.

Specialized Training, Outreach and Promotional 

Opportunities: The AOC developed a number of 

specialized training, outreach, internal promotion and 

mentorship programs to further professional development 

and service throughout the agency, allow employees to 

practice new industry techniques and ensure the AOC 

attracts and retains a quality workforce. Detail opportunities 

allowed employees from different jurisdictions to share 

knowledge and skills across the agency. New employeeled working groups at the USBG allowed agency staff to 

develop solutions for issues such as safety, workplace morale, 

environmental sustainability and racial equity. Additionally, 

following a Gallup survey created specifically for the 

CVC’s employees, managers participated in two webinars 

to interpret the results and create action plans to enhance 

team engagement.

Hiring Modifications for COVID-19: The AOC’s Human 

Capital Management Division worked in the initial days 

of the COVID-19 pandemic to modify the hiring and 

onboarding process to incorporate social distancing, while 

allowing the agency to fill critical vacancies. With the 

revamped processes in place, the agency was able to welcome 

new key personnel such as a new occupational health and 

safety specialist for the Senate Office Buildings jurisdiction.

Above For a period of six weeks, a dedicated group of Capitol Power Plant operations and maintenance staff lived fully sequestered at the plant to 

ensure that utility services were not interrupted during the COVID-19 pandemic.
SECTION 1 Management’s Discussion and Analysis

25

Working Group for Improved Weekend Coverage: 

The AOC chartered a working group for the Library 

Buildings and Grounds jurisdiction aimed at developing 

revised work schedules. The results improved weekend 

staffing and work coverage for mechanics and addressed 

longstanding staffing concerns. By actively engaging 

a diverse cross section of the workforce, the AOC 

improved work-life balance and upgraded recruitment and 

retention goals.

Self-Inspection Training: As part of the AOC’s Strategic 

Plan, the agency advanced its safety efforts through selfinspections, which allow jurisdictions to self-identify and 

self-correct risks to ensure a safe and environmentally 

compliant work area. The inspections also allow safety 

specialists to interact with employees, address concerns 

they might have and provide on-the-spot training. In FY 

2020, the Capitol Building jurisdiction pioneered the 

self-inspection effort in collaboration with the AOC’s 

Safety, Fire and Environmental Programs. See also Capitol 

Highlights: Self-Inspections Improve Workplace Safety.

Collaboration with Professional Organizations: 

The AOC continued efforts to ensure its workforce is trained 

and knowledgeable in current industry best practices. For 

instance, the Capitol Grounds and Arboretum jurisdiction 

increased its involvement in several industry professional 

organizations, including the Professional Grounds 

Management Society, Irrigation Association and American 

Public Gardens Association, which expand employee 

knowledge in specialized areas such as horticulture and 

equipment mechanics.

Peer Organization Information Sharing: The AOC 

continues to share information and collaborate on best 

business practices with peer organizations. In FY 2020, 

the agency participated in the International Network of 

Parliamentary Properties annual meeting in Dublin, Ireland 

to promote best practices in facility maintenance, facility 

operations and building renewal projects. Through such 

strategic partnerships, the AOC enhances its capacity to 

deliver value to its stakeholders.

Table 8

Foster an Innovative and Empowered Workforce Strategic Goal “At a Glance”

STRATEGIC OBJECTIVES

1. Strengthen employee performance through improved development and accountability practices

2. Cultivate high employee engagement in the workplace 

3. Provide for the security and safety of every AOC employee

STRATEGIES

1. Provide training to employees in job-related knowledge, skills and abilities (including training to industry 

standards) and/or desired behaviors

2. Provide supervisory training and coaching on effective employee performance management

3. Incorporate AOC core values and customer service philosophy into the Performance Communication and 

Evaluation System (PCES)

4. Deploy a learning management system that provides supervisors with the ability to track required training

5. Reduce bureaucracy and promote innovation by enabling decision-making in support of service delivery at 

the lowest practical levels and/or streamlining processes to simplify and expedite service delivery

6. Promote fairness in rewards and recognition by refining the system for tracking them, to inform analysis and 

improvement of the awards and recognition system

7. Promote fairness in hiring and promotions by providing supervisor and employee training in hiring processes 

and providing feedback to all internal applicants not selected through standard recruiting processes

8. Develop and deliver training and communication to improve awareness, preparedness and safety/

security performance

9. Routinely self-identify and self-correct risks to ensure a safe and environmentally compliant work environment

HIGH-LEVEL KEY 

PERFORMANCE INDICATORS FY 2015 FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 TARGET

FY 2020 

RESULTS

Employee Nonmandatory 

Training. Provide training 

to employees in knowledge, 

skills and abilities applicable 

to their responsibilities. 

N/A N/A N/A N/A

36.4%

Met

> 33.3%

30.0%

Not Met

Injuries and Illnesses 

Rate. Reduce injuries and 

illnesses rate. 

4.28%

Not Met

3.14%

Met

2.37%

Met

2.33%

Met

2.23%

Met

< 2.23%

1.67% 

Met
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

2 6

STR ATEGIC GOAL 4

O P E R A T E A S O N E 

TEAM, DEDICATED TO ONE MISSION

The AOC’s strategic goal to Operate as One Team, 

Dedicated to One Mission promotes a culture of learning, 

collaboration and teamwork to enhance the agency’s 

overall effectiveness. Cooperation — both throughout 

the agency and interjurisdictionally — allows the AOC 

to simultaneously reduce costs and improve efficiency. As 

seen in Table 9, there are two strategic objectives and three 

strategies associated with this goal. This goal includes one 

high-level KPI, which the agency met in FY 2020. For an 

in-depth discussion of the indicator results and strategy 

outcomes, see Section II: Performance Information. 

In addition to reaching its targeted performance goals, 

the following AOC accomplishments align with this 

strategic goal:

CVC Auditorium Transformed Into Hearing Room: 

In response to the COVID-19 pandemic, the AOC’s Capitol 

Building and U.S. Capitol Visitor Center jurisdictions 

partnered to quickly transform the Congressional Auditorium 

into a multipurpose hearing room. The AOC converted the 

layout of the auditorium stage into a hearing room and added 

retractable seat barriers to accommodate social distancing.

COVID-19 Safety and Sanitation Coordination: The U.S. 

Capitol Police Buildings, Grounds and Security coordinated 

AOC efforts to address the COVID-19 pandemic. The 

jurisdiction developed acquisition procedures to procure, store 

and deliver $16.5 million in safety and sanitation products 

and services for the agency’s response. This included enhanced 

cleaning services for the Capitol campus and specialized oncall cleaning for areas with confirmed or presumed exposure 

to the virus. The AOC also awarded a contract to provide six 

months of cleaning supplies for the jurisdictions and sourced 

plexiglass to build shields for reception areas and other highcontact locations in offices and restaurants.

Integrated Capital Improvements at the Thurgood 

Marshall Federal Judiciary Building: The AOC 

simultaneously executed a number of capital improvement 

projects at the Thurgood Marshall Building to address 

the building automation system, elevator modernization, 

space realignments and exterior stone façade. This 

workload required a significant level of coordination, both 

intra-agency (between the Supreme Court Building and 

Grounds jurisdiction, Planning and Program Management, 

Acquisition and Materials Management Division and others) 

and interagency (with the Administrative Office of the 

U.S. Courts). 

Intern Safety Training Program: The AOC developed and 

adopted a comprehensive Intern Safety Training Program 

for the Library Buildings and Grounds jurisdiction, which 

is now available for adoption throughout the agency. The 

program includes custom training packages for the AOC’s 

interns and their supervisors that provide policies and 

procedures to ensure a safe environment for all parties 

involved throughout the duration of all internships.

Above U.S. Botanic Garden staff and volunteers hosted an open house event for the public at the USBG Production Facility Greenhouse. This event 

occurred prior to the COVID-19 pandemic and corresponding safety measures.
SECTION 1 Management’s Discussion and Analysis

27

THE AOC’S STRATEGIC PLAN: LOOKING TOWARD THE FUTURE

This fiscal year, the AOC began work on Vision 2100, an 

institutional vision for the development of the Capitol 

campus over the next century. Soliciting innovative ideas 

and strategies from urban planning experts, futurists and 

many others, the AOC is developing Vision 2100 to help 

transform the Capitol campus into a world-class campus 

of the future, which reflects the government’s role as 

an international leader in development, innovation and 

diplomacy. Vision 2100 also focuses on long-term critical 

operations to ensure that the AOC is prepared to meet the 

evolving requirements of Congress and the Supreme Court. 

Vision 2100 will set broad, foundational goals for the 

next century on the Capitol campus, guiding the AOC’s 

infrastructural and strategic decisions. It will serve as 

the framework for all of the AOC’s long- and short-term 

planning, informing everything from the Capitol campus 

master plans and five-year strategic plans, to smaller scale 

policy updates and jurisdictional goals. Vision 2100 will 

provide a path forward for both preservation and innovation 

on the Capitol campus and enable the AOC to move towards 

more proactive operations.

The AOC’s leadership is beginning work with key 

stakeholders and outside experts to develop Vision 2100 

early in FY 2021, with an expected release date by the fiscal 

year-end. As the steward of the U.S. Capitol Building and 

the surrounding campus, the AOC must be prepared to meet 

the future head-on. Vision 2100 will ensure that the agency 

meets that future with success.

Table 9

Operate as One Team, Dedicated to One Mission Strategic Goal “At a Glance”

STRATEGIC OBJECTIVES

1. Support the success of others by prioritizing the AOC’s mission, values, vision and goals ahead of the interests of 

any individual, work group or business unit

2. Strategically plan, allocate and manage resources AOC-wide

STRATEGIES

1. Each business unit works to strengthen collaboration and its alignment to shared purpose with partners 

within and across business units by improving communication, clarifying roles and responsibilities and/or 

improving processes

2. Each business unit establishes opportunities for its employees to work in or closely collaborate with the 

employees of other business units and for employees from other business units to work in or closely 

collaborate with its own business unit

3. Determine the AOC’s current and estimated future resource requirements; consider strategic approaches to 

resource planning, allocation and management; and fully implement solutions

HIGH-LEVEL KEY

PERFORMANCE INDICATOR FY 2015 FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 TARGET

FY 2020 

RESULTS

Number of Days to Fill a 

Position. Average number 

of days to fill a position from 

the initial request to the date 

the employee is on board 

(recruiting action/direct hire).

114 Met

37 Met

128 Met

36 Met

107 Met

34 Met

108 Met

36 Met

115 Met

37 Met

< 150 Days

< 60 Days

113 Met

45 Met
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

2 8

FINANCIAL HIGHLIGHTS

Introduction

This section provides an analysis and overview of the 

AOC’s financial statements that appear within Section III: 

Financial Information of this report. The principal financial 

statements, independently audited by Kearney & Company, 

include the Balance Sheets, Statements of Net Cost, 

Changes in Net Position and Budgetary Resources for the 

fiscal years ending September 30, 2020 and 2019. Table 10 

summarizes key data from the AOC’s financial statements. 

The financial highlights include: 

 Assets exceeded liabilities at the close of FY 2020 by $3.1 

billion, an increase of $120 million (4 percent) over FY 

2019. This change primarily resulted from an increase in 

general property, plant and equipment (PP&E) offset by a 

decrease in the fund balance with Treasury (FBWT). 

 General property, plant and equipment (net of 

accumulated depreciation), the AOC’s largest asset, 

totaled $2.5 billion at the close of FY 2020, a $200 

million increase over FY 2019. This increase is primarily a 

result of capitalization costs from various Capitol campus 

construction projects. 

 The agency’s net cost of operations amounted to $627 

million, an $18 million (3 percent) increase from the prior 

year. This increase resulted from costs associated with the 

COVID-19 pandemic response, along with payroll and 

inflationary increases. 

 The AOC’s financial activities resulted in a $120 million 

positive change in net position from the prior year. Of 

this amount, unexpended appropriations decreased $93 

million and the cumulative results of operations rose 

$213 million. 

Independent Financial Statements Audit

The AOC received an unmodified (clean) financial 

statements audit opinion for FY 2020 — the 16th 

consecutive year in which the agency received a clean 

audit opinion. An unmodified opinion provides reasonable 

assurance that the financial statements are free of material 

misstatement. Reasonable assurance, while not absolute, is 

nonetheless a high level of assurance. The audit also resulted 

in zero material weaknesses or significant deficiencies. 

Figure 11 shows the number of material weaknesses and 

significant deficiencies for each fiscal year that the AOC 

submitted its four principal financial statements for an audit. 

As the AOC’s financial management processes transformed 

and matured, the average audit internal control findings 

dropped from 5.2 per year between FY 2005-FY 2010 to 1.0 

per year between FY 2011-FY 2020. Although not rising to 

the level of a material weakness or significant deficiency, the 

FY 2020 audit identified control deficiencies related to the 

untimely de-obligation of unliquidated obligations, untimely 

review and analysis of service and subservice organizations, 

user access deficiencies for the core financial management 

system, Momentum®

, payroll noncompliance and payroll 

The AOC is committed to providing accountability and transparency for its financial resources. In FY 2020, the AOC received a clean independent audit 

opinion for the 16th consecutive year.
SECTION 1 Management’s Discussion and Analysis

2 9 Table 10

Summary Financial Statement Data ($ in Thousands)

BALANCE SHEET SUMMARY FY 2020 FY 2019 PERCENT CHANGE

Fund Balance with Treasury $1,014,778 $1,094,152 (7%)

Investments 31,127 35,264 (12%)

General Property, Plant and Equipment, Net 2,450,456 2,250,783 9%

Accounts Receivable, Cash, Inventory and 

Other Assets 2,377 4,240 (44%)

Total Assets $3,498,738 $3,384,439 3%

Debt Held by the Public $58,229 $70,082 (17%)

Contingent and Environmental Liabilities 79,062 79,243 0%

Federal Employee Benefits 93,000 84,840 10%

Advances from Others 44,327 50,365 (12%)

Contract Holdbacks 27,254 14,442 89%

Accounts Payable, Capital Leases and 

Other Liabilities 101,859 110,482 (8%)

Total Liabilities $403,731 $409,454 (1%)

Unexpended Appropriations $801,991 $895,155 (10%)

Cumulative Result of Operations 2,293,016 2,079,830 10%

Total Net Position $3,095,007 $2,974,985 4%

Total Liabilities and Net Position $3,498,738 $3,384,439 3%

STATEMENT OF NET COST SUMMARY

Gross Cost $714,005 $678,618 5%

Less: Earned Revenue (86,753) (69,109) 26%

Net Cost of Operations $627,252 $609,509 3%

STATEMENT OF BUDGETARY RESOURCES SUMMARY

Unobligated Balance Brought Forward $642,614 $694,922 (8%)

Appropriations* 728,531 749,803 (3%)

Spending Authority from Offsetting Collections 59,990 55,746 8%

Borrowing Authority 5,662 6,608 (14%)

Total Budgetary Resources $1,436,797 $1,507,079 (5%)

* Appropriations of $728.5 million in FY 2020, as reported on the Statement of Budgetary Resources, includes direct appropriations of $695.9 million, 

$15.6 million in the Judiciary appropriation (administered by the AOC for the care of the Supreme Court of the United States and its grounds), $25.0 

million for COVID-19 response under the CARES Act and minor special funds receipts, less a House Office Building Fund transfer of $8.0 million. In FY 

2019, the AOC received $733.7 million in direct appropriations, $16.0 million in the Judiciary appropriation and minor special funds receipts.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

3 0

database patch management deficiencies. In FY 2021, the 

AOC will establish the corrective action plans to remediate 

these findings.

Guide to the Financial Statements

Federal government efforts to improve financial 

transparency and accountability led to the enactment of 

mandatory uniform accounting and reporting standards 

for executive branch agencies. Although as a legislative 

branch agency the AOC is not bound by these standards, 

the AOC complies with the spirit of the executive branch 

requirements as a best practice. Therefore, the AOC 

prepared its consolidated financial statements from 

accounting records in conformity with generally accepted 

accounting principles (GAAP). For federal entities, GAAP 

are the standards prescribed by the Federal Accounting 

Standards Advisory Board (FASAB). Table 11 provides a 

summary of the AOC’s compliance with federal financial 

requirements. The following section provides a brief 

description of each financial statement, significant balances 

and their relevance to the AOC’s operations and major 

fluctuations. To facilitate analysis, the AOC has organized 

these financial highlights as follows: 

 Financial Position Overview: Balance Sheet

 Operational Results: Statement of Net Cost

 Cumulative Overview: Statement of Changes in Net 

Position

 Combined Statement of Budgetary Resources

 Limitations of the Principal Financial Statements

Financial Position Overview: Balance Sheet

The Balance Sheet provides a snapshot of the AOC’s 

financial position at a fixed point in time. It displays the 

amounts of current and future economic benefits owned or 

available (Assets), amounts owed (Liabilities) and residual 

amounts (Net Position) at the end of the fiscal year.

Assets: As of September 30, 2020, the AOC reported total 

assets of $3.5 billion. This represents an increase of $114 

million (3 percent) over the FY 2019 total assets of $3.4 

billion. This change is primarily due to the $200 million 

increase in PP&E and offset by the $79 million decrease in 

FBWT. These two asset classes account for 99 percent of the 

agency’s total assets. Figure 12 summarizes the total assets 

by major component at September 30, 2020.

PP&E is the AOC’s largest asset, representing 70 percent of 

total assets. PP&E, net of accumulated depreciation, was $2.5 

billion at fiscal year-end, a $200 million increase from the 

FY 2019 balance. The increase in PP&E from the prior year 

is primarily due to the capitalization of construction projects, 

Figure 11

Audit Material Weaknesses and Significant Deficiencies

 

 

  

 

Figure 12

Summary of Total Assets as of September 30, 2020

 
SECTION 1 Management’s Discussion and Analysis

31

net of depreciation expense. Major completed capitalized 

improvements included Phase 2 of the U.S. Capitol Building 

Exterior Stone and Metal Preservation Project ($31 million), 

House Office Buildings Child Care Center Expansion, West 

($17 million) and Emergency Power Upgrade ($15 million), 

and other capital projects. Figure 13 summarizes the PP&E 

balances by asset class at September 30, 2020.

The largest asset class of the AOC’s PP&E balance is building 

improvements ($1.2 billion, 49 percent of total PP&E). As 

the majority of the AOC’s building portfolio is made up 

of historic buildings whose ages exceed the standard 40-

year accounting useful life, most of the original costs of the 

buildings are fully depreciated and the remaining balance 

sheet value relates to more recent building improvements. This 

category is followed by buildings ($602 million, 25 percent) 

and construction work-in-progress ($425 million, 17 percent). 

In FY 2020, the largest construction work-in-progress 

projects included Phase 2 of the Cannon Renewal Project 

($133 million), Phase 2 of the Senate Underground Garage 

and Landscape Restoration ($44 million), the Capitol Power 

Plant’s Refrigeration Plant Revitalization ($30 million), 

the Rayburn Garage Interior Rehabilitation ($25 million) 

and others.

The FBWT, at $1.0 billion (29 percent), represents the next 

largest asset category. Its decrease from the prior fiscal year 

was primarily due to a decline in appropriations received in 

FY 2020 compared to FY 2019. During the current year, 

the AOC’s disbursements also increased noticeably because 

of ongoing work on the Cannon Renewal Project, as well as 

COVID-19-related spending. Appropriated construction 

project funding immediately increases the FBWT balance 

while the related disbursements reduce the FBWT balance 

occur over the term of the projects. This causes the FBWT 

balance to initially spike and then decline as the construction 

program amounts are disbursed.

Table 11

AOC Financial Scorecard

MET?

REQUIREMENT OR INITIATIVE YES NO N/A REQUIREMENT OR INITIATIVE

Government Management Reform Act of 1994  Unmodified audit opinion

Federal Managers’ Financial Integrity Act of 

1982 (FMFIA) — 

Internal Controls (Section II) 

Financial Systems (Section IV)



Zero material weaknesses (Section II) 

Financial systems conform to Section IV requirements 

and no Federal Information Security Modernization Act of 

2014 (FISMA) significant deficiencies identified

OMB Circular A-123, Appendix A  Zero material weaknesses

OMB Circular A-136  Meets reporting requirements, follows federal generally 

accepted accounting principles (GAAP)

Federal Financial Management Improvement 

Act of 1996 (FFMIA)  Substantially complies with federal financial management system requirements

Federal Information Security Modernization 

Act of 2014 (FISMA)  Substantially complies with FISMA requirements

Anti-Deficiency Act  Zero violations

Debt Collection Improvement Act  Employee debts referred to Treasury for collection

Digital Accountability and Transparency Act 

(DATA Act)  As a legislative branch agency, the AOC is not required to 

comply with this Act

Payment Integrity Information Act (PIAA)  As a legislative branch agency, the AOC is not required to 

comply with this Act

Do Not Pay Initiative  Achieved through Treasury’s Invoice Processing Platform

Prompt Payment Act 

As a legislative branch agency, the AOC is not required 

to comply with this Act — however, AOC policy is to pay 

its vendors within 30 days after receipt and acceptance 

of an invoice

Fraud Reduction and Data Analytics Act 

of 2015  As a legislative branch agency, the AOC is not required to comply with this Act
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

32

The remainder of the AOC’s assets are comprised of 

investments, accounts receivable, retail inventory held for 

sale in the CVC Gift Shops and other assets. Investments are 

composed of two primary instruments: the Capitol Visitor 

Center Revolving Fund held with Treasury ($20 million) and 

an escrow balance held with the public related to the Thurgood 

Marshall Federal Judiciary Building ($11 million).6

 Total 

investments equaled $31 million, representing a net decrease 

of $4 million, or 12 percent from FY 2019. This decrease is 

primarily a result of decreased CVC Gift Shops sales and 

restaurant commissions as a result of the temporary closure of 

the CVC due to COVID-19, as well as spending related to the 

CVC Exhibition Hall renovation and upgrade, which is being 

fully funded out of the Capitol Visitor Center Revolving Fund. 

The escrow reserve fund supporting the Thurgood Marshall 

Building may be used for renovations to that facility. 

The annual trend in the AOC’s total assets between FY 

2015 through FY 2020 is presented in Figure 14. As 

displayed, the total assets increased by $801 million, or 30 

percent, over this period. This increase is principally the 

result of a $585 million (31 percent) increase in general 

PP&E, net of accumulated depreciation, and a $223 million 

increase (28 percent) in the FBWT. The PP&E increase 

was a result of the capitalization of personal and real 

property over this period, including the U.S. Capitol Dome 

restoration, the Cannon Renewal Project (Phases 0 and 1), 

6 The AOC’s investments include funds held by a trustee outside of the 

U.S. Department of Treasury as a result of financing the construction of 

the Thurgood Marshall Federal Judiciary Building. Congress did not appropriate funds for this building’s construction but, instead, authorized 

the use of private financing to cover its cost. In 1989, the AOC entered 

into a development management agreement with Boston Properties for 

its design, development and construction. Shearson Lehman Hutton, 

Inc. and Kidder, Peabody, & Co., Inc., issued 30-year Serial Zero Coupon Certificates of Participation to finance the construction. Pursuant to 

a Trust Agreement, the proceeds were received by a trustee, The United 

States Trust Company of New York (now the Bank of New York Mellon). The Operating Reserve Fund is held in reserve to cover the future 

renovation needs of the building. 

the cogeneration plant and multiple stone restoration and 

preservation projects. The largest single component of the 

FBWT increase is related to appropriations designated for 

the AOC’s House Historic Buildings Revitalization Trust 

Fund. Since FY 2015, Congress enacted $117 million in 

appropriations to support the revitalization of major historic 

buildings and assets of the U.S. House of Representatives, 

which the AOC is responsible for maintaining and 

preserving. Multiyear and no-year appropriations to 

the AOC’s jurisdictions make up the remainder of this 

FBWT increase. The AOC uses multiyear and no-year 

appropriations to fund many of its long-term construction 

projects. The agency’s FY 2016-FY 2020 enacted 

appropriations each included $62 million for the restoration 

and renewal of the Cannon House Office Building. 

Figure 14

Trend in Total Assets

 

 

Stewardship Assets: The AOC maintains an important 

collection of heritage assets (including artwork, 

architectural features, reference and library materials, 

archival collections and living botanical assets) and 

stewardship land (including the U.S. Capitol Grounds). 

Heritage assets and stewardship land have historic or 

natural significance, are of cultural, educational or artistic 

importance, or have significant architectural characteristics. 

In accordance with the FASAB standards, the Balance 

Sheet does not include a dollar value for its heritage assets 

and stewardship land. Instead, since these assets are 

expected to be preserved indefinitely, they are generally 

treated as expenses in the Statement of Net Cost and 

carried at a zero dollar amount on the agency’s Balance 

Sheet.7

 However, an exception applies for multiuse heritage 

assets — namely, heritage assets that are primarily used 

for general government operations. The AOC’s multiuse 

heritage assets, identified in Table 12, are included on its 

Balance Sheet at its cost of acquisition or betterment.

7 Federal entities are required to provide a description of major heritage 

asset categories, physical unit information at the end of the reporting 

period, physical units added or withdrawn during the year, a description 

of the methods of acquisition and withdrawal, and condition information. For further detail, see the Notes to the Financial Statements 

(Note 9) and Required Supplementary Information, both in Section III: 

Financial Information. 

Figure 13

Net PP&E by Asset Class as of 

September 30, 2020
SECTION 1 Management’s Discussion and Analysis

Liabilities: At the end of FY 2020, the AOC’s total 3 3

liabilities amounted to $404 million, a $6 million (1 percent) 

decrease from FY 2019. Major liability changes included 

a $13 million (89 percent) increase in Contract Holdbacks 

due to increased holdbacks for a variety of Capitol campus 

construction projects, such as the Cannon Renewal Project 

Phase 2, Senate Underground Garage and Landscape 

Restoration, Rayburn Garage Interior Rehabilitation, U.S. 

Capitol Exterior Stone and Metal Preservation Project and 

others. In addition, federal employee benefits increased $8 

million (9 percent) due to increased payroll and annual leave 

accruals. These increases were offset by a $12 million (17 

percent) decline in debt held by the public due to required 

semiannual bond payments attributable to the Thurgood 

Marshall Building’s construction, a $9 million (15 percent) 

decline in debt related to the cogeneration project and a $6 

million (12 percent) decrease in advances from others due to 

liquidation of advances for interagency agreements.

Figure 15 provides the total liabilities by component as of 

September 30, 2020. The AOC’s largest component of total 

liabilities was Accounts Payable, Capital Leases and Other 

Liabilities ($102 million, 25 percent). A “catch-all” category, 

this amount includes liabilities for other accrued liabilities 

related to capital projects ($45 million), a cogeneration 

plant payment ($49 million), accounts payable ($4 million), 

capital leases ($4 million) and others. This was followed by 

contingent and environmental liabilities ($79 million or 20 

percent) related to estimated asbestos-related cleanup costs 

and federal employee benefits, which accounted for $93 

million (23 percent) of the total liabilities. This latter amount 

included the workers’ compensation liabilities associated with 

the Federal Employees’ Compensation Act (FECA) ($60 million) 

and accrued payroll and annual leave ($33 million). Other 

major liabilities included debt held by the public ($58 million 

or 14 percent) related to the 30-year Serial Zero Coupon 

Certificates of Participation to finance the Thurgood Marshall 

Building’s construction and construction contract holdbacks 

($27 million or 7 percent).

The AOC presents the annual trend in total liabilities for 

FY 2015 through FY 2020 in Figure 16. Since FY 2015, 

the AOC’s total liabilities have increased by $75 million, 

or 23 percent. This change was primarily driven by the 

following account increases: a $49 million increase in longterm debt to Washington Gas for the cogeneration plant 

(included under other liabilities), $45 million in accrued 

construction liabilities, $24 million in advances from others, 

$17 million in contract holdbacks, $16 million in contingent 

and environmental holdbacks and $10 million in federal 

employee benefits. These increases were offset by declines in 

Table 12

Multiuse Heritage Assets at the AOC

FACILITY AOC JURISDICTION

U.S. Capitol Building Capitol Building

Main Boiler Building Capitol Power Plant

East Refrigeration Plant Capitol Power Plant

Old Generator Building Capitol Power Plant

Cannon House Office Building House Office Buildings

Longworth House Office Building House Office Buildings

Rayburn House Office Building House Office Buildings

East and West House 

Underground Garages House Office Buildings

Ford House Office Building House Office Buildings

Thomas Jefferson Building Library Buildings and 

Grounds

John Adams Building Library Buildings 

and Grounds

James Madison Memorial Building Library Buildings 

and Grounds

Russell Senate Office Building Senate Office Buildings

Dirksen Senate Office Building Senate Office Buildings

Hart Senate Office Building Senate Office Buildings

Senate Underground Garage Senate Office Buildings

Daniel Webster Page Residence Senate Office Buildings

U.S. Supreme Court Building Supreme Court Building 

and Grounds

Thurgood Marshall Federal 

Judiciary Building

Supreme Court Building 

and Grounds

Conservatory U.S. Botanic Garden

Administration Building U.S. Botanic Garden

Figure 15

Summary of Total Liabilities as of 

September 30, 2020

 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

3 4 the following liability balances: $48 million in debt held by 

the public and $35 million in accounts payable.

Operational Results: Statement of Net Cost

The Statement of Net Cost presents the AOC’s total net cost 

of operations by responsibility segment (jurisdiction). Net 

cost includes total program costs less all earned revenues 

attributed to and permitted to be offset against those costs. 

The AOC’s net cost of operations in FY 2020 totaled $627 

million, an increase of $18 million or 3 percent from FY 

2019. The increase in net costs was a result of increased 

operational and program costs, greater in-house personnel 

costs for project and contract management, mandatory costof-living payroll increases, higher nonpay (e.g., inflationary 

and utility rate) costs, enhanced support for security services 

and capital projects and the costs associated with the 

COVID-19 pandemic response. The trend in the net cost of 

operations is displayed in Figure 17.

A comparison of the AOC’s total net cost by responsibility 

segment for FY 2020 and FY 2019 is displayed in Figure 18. 

Significant increases, year over year, included: 

 Capital Construction and Operations: Net costs 

increased by $43 million (42 percent) due to additional 

personnel compensation and benefits for centralized 

positions supporting project design and development, 

construction oversight, project and contract management, 

information technology, emergency response and safety 

inspections. Net costs also increased due to costs of the 

agency’s COVID-19 response (see COVID-19 Financial 

Impact on Page 41), cybersecurity improvements and 

inflationary adjustments for payroll and nonpay items. 

 U.S. Capitol Visitor Center: Net costs increased by 

$7 million (31 percent) due to non-capitalizable costs 

associated with the CVC Exhibition Hall renovation, 

new employees to manage the Gift Shops’ e-commerce 

site and the associated retail inventory, improved 

information technology resources, a redesigned website 

and inflationary costs for payroll and nonpayroll items.

 U.S. Botanic Garden: Net costs increased by $2 million 

(12 percent) due to the expanded exhibitions offered during 

their 200th anniversary year, new educational programming 

and increases in payroll and nonpayroll expenses.

 Capital Grounds and Arboretum: Net costs increased 

by $2 million (13 percent) due to higher program costs for 

grounds maintenance and tree risk management, as well as 

inflationary increases in personnel compensation, benefits 

and nonpayroll related costs.

Significant decreases in the net cost of operations included: 

 House Office Buildings: Net costs decreased by $12 

million (11 percent) due to a reduction in facilities 

maintenance costs as the House facilities operated 

at reduced levels and telework increased during the 

pandemic, and by the absence of election year move costs. 

These decreases were offset by enhanced cleaning services 

and inflationary payroll and nonpay costs.

 Supreme Court Building and Grounds: Net costs 

decreased by $10 million (53 percent) primarily due to a $5 

million increase in gross costs, reduced by a $15 million 

in additional reimbursements for Thurgood Marshall 

Building projects (including building automation system 

updates and Administrative Office of the U.S. Courts 

space realignments).

 Senate Office Buildings: Net costs decreased by $4 

million (5 percent) due to a reduction in facilities 

maintenance costs as the Senate facilities operated at 

reduced levels and telework increased, and by the absence 

of election year move costs. These decreases were offset by 

enhanced cleaning services and inflationary payroll and 

nonpay costs.

Earned Revenues by Source: Overall, revenues increased 

by 26 percent from $69 million in FY 2019 to $87 million 

in FY 2020. As depicted in Figure 19, the AOC’s primary 

source of revenue was intragovernmental reimbursements 

from the judiciary branch for facility operations ($51 

Figure 16

Trend in Total Liabilities

 

 

Figure 17

Trend in Net Cost of Operations

 

 
SECTION 1 Management’s Discussion and Analysis

35

million, 58 percent). This represented a 43 percent 

increase from $35 million in FY 2019. Other principal 

revenue sources were from rent, recycling proceeds 

and miscellaneous revenues earned at multiple AOC 

jurisdictions, which amounted to $25 million (29 percent) of 

all earned revenues, and reimbursements paid to the Capitol 

Power Plant for the provision of steam and chilled water 

to nonlegislative branch entities near the Capitol campus, 

which decreased from $11 million to $9 million. This 20 

percent decrease was primarily due to reduced steam and 

chilled water usage by the nonlegislative branch facilities. 

Gift shop sales and restaurant commissions at the U.S. 

Capitol Visitor Center Gift Shops saw a $4 million decrease 

this fiscal year due to COVID-19-related closures. 

Cumulative Overview: Statement of Changes in 

Net Position

The Statement of Changes in Net Position identifies the 

difference between all financing sources available to and 

used by the AOC to support its net cost of operations. Net 

position is the sum of two components: cumulative results of 

operations and unexpended appropriations. Each component 

is displayed to facilitate a more detailed understanding of the 

changes to the net position. 

The AOC’s net position at September 30, 2020, shown on 

both the Balance Sheet and the Statement of Changes in 

Net Position, was $3.1 billion, a $120 million increase from 

FY 2019. This change was due to an increase of $213 million 

to the cumulative results of operations and a $93 million 

decrease in unexpended appropriations. As depicted in 

Figure 20, net position has steadily increased over the past 

six years — from $2.4 billion in FY 2015 to $3.1 billion in 

FY 2020, a $726 million (31 percent) increase. This increase 

stemmed from an increase in appropriations for multiyear 

and no-year capital projects.

Figure 18

Summary of Net Cost of Operations by AOC Responsibility Segment

 

Figure 19

Earned Revenue by Source

 

Did You Know?

You can read the Architect of the Capitol’s 

written statements to the appropriations 

committees of the U.S. House of Representatives 

and U.S. Senate with respect to the agency’s 

FY 2020 budget request at: www.aoc.gov/

what-we-do/publications/testimony.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

3 6

Combined Statement of Budgetary Resources

The Combined Statement of Budgetary Resources (SBR) 

reports how the AOC obtained its budgetary resources and 

the status of these resources at the end of the fiscal year. This 

statement displays the key budgetary equation: total budgetary 

resources equals total status of budgetary resources. 

The AOC develops its budget request to obtain the funds 

necessary to make the investments necessary to preserve 

and maintain the national treasures entrusted to its care. 

Congress enacts separate appropriations for each AOC 

jurisdiction. For FY 2020, the AOC’s budgetary resources 

amounted to $729 million, comprised of appropriations 

and authorized transfers. The AOC received $696 million 

in direct appropriations, consisting of three components.

The agency’s operating budget was the largest component,

at $464 million (64 percent). The operating budget funds

payroll, utilities, facilities maintenance, centralized

activities, information services, power plant operations

and maintenance, grounds care, safety operations and

maintenance, as well as architecture, engineering, visitor and 

curatorial services. 

The multiyear capital projects budget, at $170 million 

(23 percent), was the second largest component and supports 

the ongoing construction, upgrades, improvements and 

preservation projects including barrier and security kiosk 

repairs and replacement, as well as electrical distribution 

upgrades and replacements in the Capitol Building and 

Capitol Highlights

HER ITAGE A SSE T CONSERVAT ION

The preservation of heritage assets — which include 

artworks, architectural features and historic structures 

— is one of the AOC’s core functions. The AOC’s Curator 

Division leads the agency’s curatorial and conservation 

efforts for architectural, fine and decorative arts 

throughout the Capitol campus.

In FY 2020, the AOC completed extensive conservation 

on The Apotheosis of Democracy, the marble pediment 

sculpture located over the House portico of the U.S. 

Capitol’s East Front. Completed as part of the U.S. Capitol 

Building Exterior Stone and Metal Preservation Project, this 

effort removed general soil and copper stains, replaced 

a sculpted torch and applied a “shelter coat” to protect 

the marble surface. The AOC also created 3D scans of the 

pediment and its plaster model (on view inside the U.S. 

Capitol). This is the first in a series of scans that the AOC 

will undertake to ensure the preservation of architectural 

and sculptural assets.

The AOC also performed maintenance on the breccia 

marble columns and pilasters around the perimeter of 

National Statuary Hall. Set in place in 1819, these columns 

and pilasters are distinguished for their Italian marble 

Corinthian capitals, as well as their soaring height of 

27 feet. 

Additionally, the AOC completed the first phase of a 

comprehensive treatment plan for the statue pedestals 

throughout the U.S. Capitol. An earlier assessment of the 

pedestals identified a range of conservation issues. Under 

this phase, a small selection of pedestals were chosen for 

treatment based on their condition and location. 

As a result of COVID-19, the AOC delayed some planned 

conservation work, including the conservation and 

restoration of the decorative plaster, finishes and gilding 

on the U.S. Capitol’s Senate Reception Room ceiling. 
SECTION 1 Management’s Discussion and Analysis

the Longworth House Office Building. No-year funding 37

of $62 million (9 percent) provided continued funding 

for the restoration and renovation of the Cannon House 

Office Building. The AOC also received $16 million in the 

Judiciary appropriation for the care of the Supreme Court 

of the United States and its grounds.8

 Under the CARES 

Act, the AOC received a $25 million appropriation for the 

agency’s COVID-19 response. Included in the $62 million 

no-year funding, $8 million was derived by the transfer from 

the House Office Buildings fund to the AOC. 

Figure 21 displays the AOC’s total appropriations over the 

last six fiscal years. The AOC’s FY 2020 appropriations level 

reflects a $21 million decrease from FY 2019 levels. This 

decrease was chiefly due to a $57 million reduction in multiyear 

capital project funding and a reduction of $10 million for the 

House Historic Buildings Revitalization Trust Fund in the 

FY 2020 appropriations. These decreases were offset by a $29 

million increase in the operating budget and the addition of 

$25 million for the COVID-19 response.

8 Per legislation, the AOC is responsible for the care of the Supreme 

Court of the United States and its grounds although the corresponding 

budgetary resources are included in the federal government’s judiciary 

branch, not the legislative branch, appropriations. 

Limitations of the Principal Financial Statements

The principal financial statements are prepared to report 

the financial position and results of operations of the AOC 

consistent with the requirements of 31 U.S.C. § 3515(b). The 

statements are prepared from the AOC’s books and records 

in accordance with federal GAAP and in the spirit of the 

formats prescribed by OMB. Reports used to monitor and 

control budgetary resources are prepared from the same 

books and records. The financial statements should be read 

with the realization that they are for a component of the 

U.S. government, a sovereign entity.

Figure 20

Trend in Net Position by Category

 

 

Figure 21

Trend in Total Appropriations 

 

 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

3 8

F I N A N C I A L M A N A G E M E N T 

SYSTEMS FRAMEWORK

The AOC’s core financial management system accounts 

for the AOC’s funds through approximately 826,000 

annual transactions. Figure 22 depicts the AOC’s financial 

management system framework.

Key Financial and Reporting Systems

The AOC’s core financial management system, Legislative 

Branch Financial Management System (LBFMS), conforms 

to the Federal Financial Management Improvement Act of 1996

(FFMIA) requirements. The system uses commercial-offthe-shelf (COTS) software (Momentum®

) designed for the 

federal government. Momentum® includes the following 

financial system modules: Budget Execution, Acquisitions, 

Purchasing, Receiving, Accounts Payable, Automated 

Disbursements, General Ledger, Credit Card, Fixed Assets, 

Workload, Contract Closeout, Travel and Project Cost 

Accounting. In addition to Momentum®

, the AOC’s key 

financial and reporting systems include:

 Capitol Visitor Center Point of Sale System (CVC 

POS) is a standalone back-office retail inventory 

management system used to record daily CVC Gift 

Shops sales and inventory transactions. The CVC POS 

has a manual batch interface with LBFMS. 

 Central Contractor Registration Connector (CCRC) 

is a Momentum® application that downloads the latest 

vendor information from the U.S. General Services 

Administration (GSA) System for Award Management 

and updates the LBFMS vendor records.

 Citibank credit card interface transmits credit card 

transaction data to LBFMS via a batch file. The AOC 

uses the GSA SmartPay 3 shared services structure 

and contract.

 Data Marts assist in data management, including staging 

data during off-peak times and simplifying data structure 

for use by multiple systems. 

 NEW!	e-Builder Pro Project Management Information 

System (PMIS) is a Planning and Project Management 

(PPM) system that tracks the status of projects. The 

AOC data marts provide financial information for the 

construction projects managed by e-Builder.

 Inventory Control System (ICS) is COTS software 

(Maximo®

) used to track the AOC’s inventory of materials, 

supplies and accountable property. ICS provides a lifecycle and asset management functionality. Batch interfaces 

integrate ICS with Momentum®

 obli gations, receipt of 

transactions and inventory drawdowns.

 Invoice Processing Platform (IPP) is a secure, web-based 

electronic invoicing system provided by the Treasury. IPP 

allows the AOC to simplify the management of vendor 

invoices. IPP interfaces with Momentum®

.

 National Finance Center (NFC) provides payroll and 

personnel services to the AOC as part of a cross-servicing agreement with the U.S. Department of Agriculture. 

The NFC submits payroll transactions to Momentum® via 

a batch file through the Operational Data Store.

Figure 22

Financial Management Systems Framework

 

 
SECTION 1 Management’s Discussion and Analysis

 Operational Data Store (ODS) is the AOC’s payroll and 3 9

personnel database and is used as a warehouse for detailed 

employee payroll information. The ODS receives a batch 

file of NFC payroll data and an AOC application creates a 

batch file of payroll transactions for export to Momentum®

.

 Project Information Center (PIC) is an AOC-developed 

project management system. Momentum® provides 

budget and obligation data to PIC. PIC will eventually 

be replaced by e-Builder. 

 Reporting and Analytics business intelligence tools used 

by the AOC includes Microsoft SQL Server Reporting 

Services and Tableau. These tools pull information from 

multiple AOC systems but, for visual clarity, are not 

shown on the financial management systems framework 

(Figure 22).

 CWTSatoTravel E2 Solutions Travel System (E2 

Solutions) provides end-to-end travel management 

services via a secure web portal and interfaces with 

Momentum®

. The E2 Solutions system is part of the GSA 

E-Gov Travel Service, a federal, web-based, shared travel 

management service.

 System for Award Management (SAM) is an official 

website managed by the GSA providing vendor and 

other entity registration to do business with the federal 

government. The CGI Momentum Central Contractor 

Registration Connector (CCRC) provides key interface 

management to support SAM.gov and LBFMS operations.

 U.S. Department of Treasury Systems allow the AOC 

to collect, disburse, reconcile and report on the agency’s 

funds. These systems include the Governmentwide 

Treasury Account Symbol Adjusted Trial Balance System 

(GTAS) for monthly trial balance reporting, Treasury 

Payment Automation Manager (PAM) for payments 

to employees and vendors and Intra-Governmental 

Payment and Collection (IPAC) supporting intra-agency 

transactions. Collections Information Repository (CIR) 

provides detail level information on collections from the 

Treasury’s Pay.gov website, OTCnet and other sources. 

In addition, the AOC uses Pay.gov to manage the 

collections of fees and other payments.

F I N A N C I A L S Y S T E M S S T R A T E G Y : 

A C H I E V I N G A O C ’ S M I S S I O N 

W I T H I M P R O V E D F I N A N C I A L 

M A N A G E M E N T 

The AOC’s financial systems strategy supports mission 

performance, facilitates interagency planning and improves 

transparency and accountability. Continued standardization 

of financial activities within a shared services environment 

improves the agency’s business processes, leading to greater 

efficiencies and cost stabilization. The AOC continued 

efforts this fiscal year to upgrade existing systems and 

capabilities and implement new functionality that better 

supports financial management, data analytics and datadriven decision-making. 

Infographic

Legislative Branch Financial Management System

SYSTEMS INCLUDED:

MOMENTUM®  CORE FINANCIAL MANAGEMENT SYSTEM

MAXIMO®  INVENTORY CONTROL SYSTEM

SATO E2 SOLUTIONS TRAVEL SYSTEM — TRAVEL MANAGEMENT SERVICES SYSTEM

ARCHITECT OF

THE CAPITOL

CONGRESSIONAL

BUDGET OFFICE

GOVERNMENT 

ACCOUNTABILITY OFFICE

 LIBRARY OF CONGRESS

THE MEDICARE PAYMENT

ADVISORY COMMISSION

OFFICE OF CONGRESSIONAL 

WORKPLACE RIGHTS

OPEN WORLD 

LEADERSHIP CENTER 

U.S. CAPITOL POLICE
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

4 0 Since FY 2016, the AOC has used Legislative Branch 

Financial Management System (LBFMS) a shared-service 

financial management system hosted by the Library of 

Congress. An infographic on Page 39 (Legislative Branch 

Financial Management System) displays the participating 

agencies and the systems included in this shared 

environment. The LBFMS operations and hosting continued 

as a major focus in FY 2020, including the planning and 

testing for a major upgrade to its core financial management 

system, from Momentum® 7.4 to 7.8. The AOC will also 

upgrade its inventory management software from Maximo®

7.6.0.10 to 7.6.1 in coordination with the U.S. Capitol Police 

and LBFMS. Both LBFMS and Maximo® will migrate 

to the Microsoft Azure data center. The AOC expects to 

complete these upgrades and the migration in FY 2021. 

In FY 2020, the AOC implemented Treasury’s Collections 

Information Repository (CIR). The CIR is a web-based tool 

that provides information on deposits and collections from 

the Treasury’s Pay.gov website, OTCnet and other sources. 

Deployment of this interface reduces manual data entry 

and improves internal controls for the data, with overall 

increases of efficiency and data quality for the agency. The 

Government Accountability Office (GAO) and Library of 

Congress had previously implemented the CIR interface, 

and by using their lessons learned the AOC was able to 

reduce overall system deployment efforts and costs.

The AOC Acquisition Management and Materials Division 

and Financial Systems and Reporting teams collaborated to 

implement the Federal Acquisition Regulation Procurement 

Instrument IDentifier (PIID) this fiscal year. This effort 

brings the AOC into compliance with federal standards 

ahead of requirements by various Treasury and GSA 

shared services and systems. Additional standardization 

and simplification of templates, procedures and coding 

resulted in streamlining system maintenance and improving 

user experience. With close coordination and support, the 

AOC reduced errors from inactive users and out-of-date 

contracting officer representative assignments by 63 percent 

through various methods and targeted communications. 

Modifications of employee code structure increased 

traceability and ease of comparisons across National Finance 

Center (NFC) payroll reporting. 

Looking ahead, the AOC will continue its implementation 

of Treasury’s Budget Formulation and Execution Manager 

application to standardize and improve the agency’s 

budget processes. In addition, the AOC will develop 

and pilot requirements for the use of the Treasury’s 

G-Invoicing to manage the processing and approval of 

interagency agreements, orders and invoices, with planned 

implementation in FY 2022. These changes will help reduce 

manual processes, improve data quality and enhance the 

efficiency of the AOC’s financial stewardship.

Above In coordination with the House and Senate Sergeants at Arms 

and the U.S. Capitol Police, the AOC added marks at six-foot intervals 

near security checkpoints and other public spaces. The marks serve to 

remind everyone to practice social distancing.
SECTION 1 Management’s Discussion and Analysis

41

COVID-19 FINANCIAL IMPACT

Of the approximately $2 trillion appropriated under the 

Coronavirus Aid, Relief, and Economic Security (CARES) Act, 

the AOC received $25 million in supplemental funding to 

prevent, prepare for and respond to COVID-19 throughout 

the facilities and grounds under the agency’s care. These 

emergency funds were provided for the purchase and 

distribution of cleaning and sanitation products, along 

with related services and operational costs. In addition, 

the AOC received authority to transfer $2 million from 

the Senate Office Buildings appropriation to support the 

AOC’s COVID-19 response efforts, of which $1 million was 

transferred at year end. A summary of the AOC’s funding 

and expenditures provided to the agency under the CARES 

Act, and the related transfers for COVID-19 spending, is 

shown in Figure 23.

Details about the AOC’s prevention, preparation for

and response to COVID-19 throughout the Capitol

campus follow: 

Supplies and Services

The AOC spent $16.2 million in funding for cleaning and 

sanitation supplies and custodial services. This category 

represents 55 percent of all AOC spending on COVID-19 

protection. The supplies acquired included face coverings, 

hand sanitizer and dispensers, disinfectant wipes, hand soap 

and gloves purchased specifically for COVID-19 response 

activities. The acquired services included specialized 

cleaning, sanitation and comprehensive disinfection services 

in accordance with the Centers for Disease Control and 

Prevention (CDC) and Office of Attending Physician 

guidance for the facilities on the Capitol campus. 

Payroll 

The AOC paid for $3.7 million in COVID-related salaries, 

overtime and benefits of permanent full and part-time 

agency staff assigned to COVID-19 prevention, preparation 

and response. These funds were also used for temporary staff 

hired to perform COVID-19 emergency response activities. 

Tasks performed by agency employees included enhanced 

cleaning services, extended information technology help 

desk hours and the fabrication and installation of protective 

equipment. 

Contract Payments 

The AOC spent $3.4 million on reimbursements to service 

contractors who were furloughed or otherwise unable to 

work as a result of the COVID-19 pandemic. 

Additional Jurisdiction Spending for COVID-19

Related Costs 

In addition to amounts spent from CARES Act funds, the 

AOC spent an additional $5.9 million from its jurisdictions’ 

current appropriations for COVID-19 related costs.

See Section II: Performance Information (under COVIDRelated Activities on Page 81) for a description of the 

operational and performance impact of COVID-19

on the agency.

Figure 23:

COVID-19-Related Funding and Obligations ($ in Thousands)

CATEGORY AMOUNT PERCENTAGE

Funding: 

CARES Act $25,000 96%

Transferred Appropriations 1,000 4

Total $26,000 100%

Spending:

Supplies and Services $16,185 55%

Payroll 3,759 13

Contract Payments 3,368 12

Subtotal $23,312 80%

Additional Jurisdiction Spending for 

COVID-19 Related Costs 5,884 20

Total $29,196 100%
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

4 2

MANAGEMENT ASSURANCES AND

OTHER FINANCIAL COMPLIANCES

Federal Managers’ Financial Integrity Act of 1982

The AOC’s leadership is responsible for establishing 

and maintaining effective internal control and financial 

management systems that meet the objectives of the Federal 

Managers’ Financial Integrity Act of 1982 (FMFIA). The 

FMFIA requires agencies to establish internal controls and 

financial systems that provide reasonable assurance that 

the following objectives are achieved: effective and efficient 

operations, compliance with applicable laws and regulations, 

and financial reporting reliability. OMB Circular 

A-123, Management’s Responsibility for Enterprise Risk 

Management and Internal Control, implements the FMFIA 

and defines management’s responsibilities for enterprise risk 

management and internal control. The FMFIA requires 

agencies to provide an annual statement addressing internal 

accounting and administrative controls and to perform 

ongoing evaluations and reporting of the adequacy of the 

controls within the agency. 

As a legislative branch agency, the AOC is not subject to 

FMFIA requirements. Nonetheless, the AOC considers 

internal control to be an integral part of the systems and 

processes it uses to manage daily operations in support of its 

strategic goals and objectives. The AOC holds its managers 

accountable for efficiently and effectively performing their 

duties in compliance with applicable laws and regulations 

and for maintaining the integrity of their activities through 

the use of internal controls.

Within the AOC, the internal control program is managed 

by the Chief Financial Officer. The risk management officer 

has the responsibility to manage the program’s ongoing 

internal control components that follows the principles 

of OMB Circular A-123, Appendix A, Management of 

Reporting and Data Integrity Risk and the Government 

Accountability Office’s (GAO) Green Book. The internal 

control components under evaluation include the control 

environment, risk assessment, control activities, information 

and communication and monitoring. The AOC also provided 

a Summary of Financial Statement Audits and Management 

Assurances, as required by OMB Circular A-136, Financial 

Reporting Requirements, revised, in this report’s Section 

IV: Other Information.

Financial Reporting

This fiscal year, the AOC relied on the independent financial 

statement audit to support the agency’s assessment of 

internal controls over financial reporting.

Risk Management

Consistent with the latest OMB Circular A-123 guidance, 

the AOC is taking a maturity model approach to implement 

OMB Circular A-123, Appendix A, and integrate risk 

management activities throughout the agency. The AOC 

will continue to explore logical integration points between 

enterprise risk management activities and internal control 

processes to preserve organizational value and enhance 

decision-making. 

The AOC continues to expand its enterprise risk management program with a vision to integrate risk management concepts into operational and 

strategic decision-making.
SECTION 1 Management’s Discussion and Analysis

4 3

ARCHITECT’S STATEMENT OF ASSURANCE
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

4 4 Further implementation of the ERM program will build 

upon the AOC’s strategic review process established by the 

GPRA Modernization Act of 2010.

Future planned activities include the linkage of ERM to 

the agency’s strategic goals, objectives and outcomes, which 

will enable the AOC to improve its mission delivery. To 

that end, successful implementation requires the AOC to 

continue fostering a transparent culture that encourages 

the open communication about potential risks. The AOC’s 

ERM program helps the agency improve its processes and 

performance, while also formalizing the impressive work 

already undertaken by its personnel.

Financial Systems

As discussed in the Federal Financial Management 

Improvement Act section, FFMIA requires federal 

agencies’ financial management systems to provide reliable 

financial data that complies with federal financial system 

requirements, applicable federal accounting standards 

and the U.S. Standard General Ledger (USSGL) at the 

transaction level. To assess conformance, the agency uses 

internal control assessments based on implementation 

guidance from OMB, results of OIG reports and reports 

from the annual independent financial statement audit. The 

overall assessment relies upon the evaluations made under 

the OMB Circular A-123, Appendix A. When applicable, 

particular importance is given to any material weakness 

or significant deficiency identified during the internal 

control assessments.

Overall Assessment

Based on the procedures performed, the AOC does 

not consider any identified deficiencies to be material 

weaknesses in internal controls that would warrant a 

less than unqualified assertion on internal control over 

reporting or significant deficiency reporting for FMFIA 

systems purposes.

Other Information

A summary of the management assurances is provided 

in Section IV: Other Information. For additional 

information, refer to The AOC Inspector General’s 

Statement of Management Opportunities and Performance 

Challenges, also located in Section IV.

S U M M A R Y O F F I N A N C I A L 

S TA T E M E N T A U D I T 

M A T E R I A L W E A K N E S S E S A N D 

N O N C O N F O R M A N C E S 

At the close of FY 2020, the AOC had no material 

weaknesses or other nonconformances in internal control 

over program operations and compliance with applicable 

laws and regulations. Material weaknesses and reportable 

conditions are determined by management. Using a variety 

of information sources, the AOC managers and staff assess 

and improve the effectiveness of internal control for program 

operations. These information sources include management 

knowledge gained from the daily operation of programs and 

systems, management reviews, program evaluations and the 

annual independent financial statement audit.

Material Weaknesses Summary 

A material weakness is a reportable condition that the 

agency head determines to be significant enough to be 

reported outside the agency. The AOC’s FY 2020 financial 

statement audit identified no material weaknesses.

Nonconformances Summary 

A reportable condition is a control deficiency or combination 

of control deficiencies that in management’s judgment 

represent significant deficiencies in the design or operation 

of internal controls that could adversely affect the 

organization’s ability to meet its internal control objectives. 

The AOC’s FY 2020 financial statement audit identified no 

reportable conditions or nonconformances.

OTHER FINANCIAL COMPLIANCES

Anti-Deficiency Act

The Anti-Deficiency Act, as amended, prohibits federal 

agencies from obligating or expending federal funds in 

advance or in excess of a congressional appropriation and 

from accepting voluntary services. The AOC had no AntiDeficiency Act violations for FY 2020.

Debt Collection Improvement Act

The Debt Collection Improvement Act of 1996 requires that any 

nontax debt or claim owed to the U.S. government that is 

180 days delinquent, with certain exceptions, be referred to 

Treasury for collection. Debt that is in litigation or foreclosure 

with a collection agency or designated federal debt collection 

center, or that will be disposed of under an asset sales 

program, is exempt from this requirements. The AOC referred 

employee debt to Treasury’s Debt Management Services for 

collection in FY 2020.

Digital Accountability and Transparency Act 

The Digital Accountability and Transparency Act of 2014 

(DATA Act) sets standards for federal financial data to 

make federal spending data more accessible, searchable 

and reliable. As a legislative branch agency, the AOC is 

not required to comply with the DATA Act and is not 

participating in the report submissions.

Federal Financial Management Improvement Act 

The Federal Financial Management Improvement Act of 

1996 (FFMIA) requires that federal agencies’ financial 

management systems comply with federal accounting 

standards, federal system requirements and the USSGL 

at the transaction level. An agency achieves substantial 

compliance when its financial management systems routinely 

provide reliable and timely financial information for 

managing day-to-day operations, as well as for producing 

reliable financial statements. The AOC substantially 

complied with the FFMIA in FY 2020.
SECTION 1 Management’s Discussion and Analysis

Federal Information Security Modernization Act 4 5

The Federal Information Security Modernization Act of 2014 

(FISMA) requires each executive branch agency to develop, 

document and implement a program to provide security 

for government information and information systems that 

support agency operations and assets. FISMA is inapplicable 

to legislative branch agencies, so the AOC is not required 

to comply with its requirements. Nonetheless, the AOC 

references FISMA and the U.S. GAO Federal Information 

System Controls Audit Manual and the National Institute of 

Standards and Technology (NIST) Special Publications for 

guidance on its risk-based information security program. 

The AOC, with support from an independent third party, 

reaccredits its information systems every three years 

and tests approximately one-third of all controls each 

intermediate year. This effort evaluates the information 

security controls consistent with the AOC’s policies. The 

AOC’s risk management and continuous monitoring strategy 

is based on current NIST guidelines. 

The AOC continuously monitors and improves its 

cybersecurity program using annual computer security 

awareness training. This includes: testing controls and 

procedures (including phishing and spear phishing 

tests); enforcing procedures and processes for detecting, 

reporting and responding to security incidents; improving 

vulnerability scanning; and remediating and patching 

systems in a timely manner. In FY 2020, the AOC achieved 

its fastest and highest level of patch compliance to date.

The AOC tested and monitored the incident response 

program in FY 2020. This monitoring used internal agency 

procedures, along with managed security monitoring and 

enterprise infrastructure, provided by Security Information 

and Event Management (SIEM) services. Independent tests 

verified that managed SIEM protects the AOC against 

cybersecurity threats, provides immediate assessment and 

response to security incidents, and adheres to regulatory 

requirements for log auditing, security and compliance 

reporting. The AOC also used enhanced industrial security 

controls to strengthen the cybersecurity of its computercontrolled systems. The OIG conducted an evaluation of 

the cybersecurity posture of the Capitol Power Plant’s 

cogeneration facility. The OIG made four findings and eight 

recommendations, and the AOC concurred with each.

Prompt Payment Act

The Prompt Payment Act requires certain federal agencies 

to pay their bills on time, pay interest penalties for late 

payments and take discounts only when payments are 

made by the discount date and the discount is economically 

justified. The AOC is exempt from the Prompt Payment 

Act, however, the agency uses Treasury’s Invoice Processing 

Platform (IPP), a secure online platform, to assist in its 

invoice payment process. By policy, the AOC aims to 

approve and pay invoice payments within 30 days. The IPP 

reinforces agency compliance with prompt payment business 

processes through invoice aging reports, configurable 

workflow escalation strategies and email alerts. 

Payments Integrity Information Act and Other Legislation

See Section IV: Other Information for a brief summary 

of additional financial management legislation and their 

applicability to the AOC. 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

4 6

FORWARD-LOOKING INFORMATION

The AOC confronts unique challenges in fulfilling its 

mission to serve Congress and the Supreme Court, 

preserve America’s Capitol and inspire memorable visitor 

experiences. By identifying and defining the most difficult 

challenges facing the agency, the AOC can mitigate 

barriers to operational success and identify opportunities 

for improvement. This subsection of the report outlines the 

AOC’s most significant management challenges and the 

steps the AOC has taken to address them.

At the close of FY 2020, AOC management identified six 

management challenges. The AOC’s OIG identified 10 

management opportunities and performance challenges, 

four of which address similar issues identified by 

management. Section IV: Other Information includes 

the OIG’s statement defining their identified management 

opportunities and performance challenges. AOC 

management has reviewed the OIG’s recommendations and 

pledges to address the matters and take appropriate actions 

in a timely fashion. Figure 24 provides a combined summary 

of the opportunities and performance challenges identified 

by AOC management and the OIG. Together, these 12 areas 

comprise the challenge areas facing the AOC. 

The following section summarizes the challenges identified 

by AOC management.

Backlog in Deferred Maintenance and 

Capital Renewal

Challenge: Fiscal constraints prevent the AOC from fully 

addressing the rehabilitation and maintenance needs for 

aging infrastructure under its care. The estimated deferred 

maintenance and capital renewal backlog for the Capitol 

campus was $1.78 billion as of September 30, 2020. Of the 

total backlog, $831 million is required to improve “poor” 

and “fair” facilities to “good” condition. At fiscal year-end, 

44 percent of the AOC’s major buildings were rated as 

“poor” or “fair.” The rehabilitation and maintenance of these 

aging facilities requires significant attention, which the 

AOC cannot fully address due to fiscal constraints and staff 

capacity. Moreover, continued deferral will likely accelerate 

the deterioration of these facilities, which will increase the 

amount of resources required to address the backlog.

AOC Initiatives: The AOC’s deferred maintenance and 

capital renewal backlog is the agency’s top enterpriselevel risk and management challenge. A large portion of 

the AOC’s annual budget is dedicated to addressing the 

backlog. Of the $695.9 million the AOC received in regular 

FY 2020 appropriations, $231.8 million was for capital 

projects — one-third of the total budget. This funding 

allowed the AOC to prioritize urgent deferred maintenance 

projects such as the Cannon Renewal Project, U.S. Capitol 

Building Exterior Stone and Metal Preservation Project, 

Russell Exterior Envelope Project, Rayburn Garage Interior 

Rehabilitation and the Senate Underground Garage and 

Landscape Restoration. This fiscal year, the AOC completed 

a number of major projects, including the Thomas Jefferson 

Building Roof Replacement and the Thurgood Marshall 

Garage Renovation. Forensic studies for the U.S. Botanic 

Garden production facility roof, the Longworth House 

Office Building roof, Hart Building garage operational study 

Above A detail on the U.S. Capitol’s House pediment before (left) and after restoration (right). Phase 2 of the U.S. Capitol Building Exterior Stone 

and Metal Preservation Project included the replacement of missing or irreparable stonework. This project is part of deferred maintenance and capital 

renewal backlog, the agency’s most critical management challenge.
SECTION 1 Management’s Discussion and Analysis

and the U.S. Supreme Court Building Courtyard structural 47

analysis and scaffolding were also completed to support 

future projects.

The AOC uses a draft Capitol Complex Master Plan 

(CCMP) to guide its long-range planning. The CCMP 

provides a 20-year strategy for infrastructure priorities, 

investments and projects. From this Master Plan, the AOC 

develops a Five-Year Capital Improvements Plan that is 

informed by annual facility condition assessments (FCA) 

and other studies. In FY 2020, the AOC completed FCAs 

for the Capitol Power Plant, James Madison Memorial 

Building and the Supreme Court of the United States and 

initiated FCAs for the U.S. Capitol Visitor Center, U.S. 

Capitol Police facilities, Capitol Square, Union Square, John 

Adams Building and pedestrian tunnels. The assessments 

provide the AOC with the Facility Condition Index 

(FCI), an objective condition rating used to benchmark 

a facility’s current and projected condition. Figure 25 

shows the number and percentage of the AOC’s major 

buildings in each FCI category (i.e., poor, fair, good or 

very good) for the current year and the projected condition 

in five years (FY 2025), assuming no additional deferred 

maintenance funding.

Looking ahead, the AOC will use new and existing tools 

to identify, prioritize, manage and respond to the deferred 

maintenance needs of congressional facilities. In the FY 

2021 budget request, the agency developed 12 Line Item 

Construction Program (LICP) projects to address $126 

million of the deferred maintenance and capital renewal 

backlog. Furthermore, the AOC will establish an enterprise 

asset management system to optimize needed maintenance 

activities, as well as develop an FCA dashboard to more 

transparently display facility work elements, risk rating 

and backlog. The agency will also establish an annual 

facility equipment audit program to align with the FCAs. 

Most importantly, the AOC is developing Vision 2100 

Figure 24

Summary of AOC Management Challenges 

and OIG Management Opportunities and 

Performance Challenges

MANAGEMENT CHALLENGE AOC 

MANAGEMENT AOC OIG

Backlog in Deferred 

Maintenance and Capital 

Renewal



Campus Security / 

Cybersecurity  

Energy Stewardship and 

Sustainability 

Management of Concurrent 

Construction Projects  

Attracting and Retaining a 

Skilled and Engaged Workforce 

/ Human Capital Management

 

Workplace Safety and Health/

Balancing Safety and Security 

with Preservation and Heritage

 

Auditability and 

Documentation to Support 

Decisions



Lack of Whistleblower 

Protection 

Property Accountability and 

Surplus Property Disposal 

Duplication of Effort without a 

Working Capital Fund 

Identifying and Managing 

Waste and Holding Personnel 

Accountable for Waste



Records Retention and Access 

Figure 25

Major Buildings in Each FCI Rating Category, FY 2020 (Actual) versus FY 2025 (Projected)

 

 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

4 8

to determine the Capitol campus’ needs through the next 

century. This vision will inform the next 20-Year Master Plan, 

corresponding budgets and the agency’s strategic priorities.

Campus Security

Challenge: The AOC is responsible for supporting U.S. 

Capitol Police efforts to provide security for the Capitol 

campus. Securing government facilities and their perimeter 

from external threats, such as natural disasters or violent 

attacks, is a formidable task for all federal agencies. Keeping 

the agency’s physical and technology infrastructure secure 

and accessible, coordinating construction project security 

and managing the personnel suitability program — while 

also minimizing the impact of security protocols on visitors 

and those who work on the Capitol campus — remains a 

crucial challenge. 

AOC Initiatives: The AOC addresses this challenge with 

a combination of new initiatives and long-term programs 

to support continuity of operations, critical infrastructure 

protection, congressional continuity, emergency management, 

employee and contractor suitability, construction project 

security and support for the U.S. Capitol Police.

In FY 2020, the agency implemented multiple infrastructure 

improvements to mitigate security threats. The AOC 

continued collaborating with the U.S. Capitol Police on 

the phased repair and replacement to barriers and security 

kiosks, while also performing a series of permanent lighting 

upgrades to security kiosks and truck interdiction posts 

across the Capitol campus. Using updated designs, the new 

kiosks will reduce the time and cost of recurring repair 

and maintenance. As the AOC’s mission-critical facilities 

continue to age, their vulnerabilities increase. In FY 2020, 

the agency awarded contracts to address near- and long-term 

deficiencies in critical facilities and equipment. In addition, 

the agency continued upgrading electrical equipment and 

uninterruptible power supplies across the campus to address 

the risk of electrical outages, which ensures emergency 

management and congressional continuity does not 

experience downtime during routine maintenance. 

To enhance the agency’s workforce, the AOC’s Office of 

Security Programs revised position descriptions for critical, 

nonstandard positions to support security-related projects 

and a new suitability program. This program is coordinated 

with the U.S. Department of Interior’s Interior Business 

Center. The agency also developed position descriptions 

to address critical infrastructure and continuity needs 

and to coordinate radio and emergency notification 

communications. 

To address the cybersecurity threat and secure sensitive 

material about the Capitol campus and its functions, the 

AOC maintains a robust cybersecurity program. The AOC 

was the first legislative branch agency to deploy two-factor 

authentication for system access. The agency also works 

closely with the Legislative Branch Cybersecurity Working 

Group to provide a comprehensive security posture. The 

AOC requires all employees and contractors with access to 

the AOC network to complete annual computer security 

awareness training. The agency’s training and testing 

controls and procedures allow the AOC to more effectively 

detect, report and respond to security incidents. In addition, 

AOC policies ensure that system patches are installed in a 

timely manner. This fiscal year, the AOC had its fastest and 

highest level of patch compliance in the policy’s history.

Looking ahead, the AOC will continue its progress with the 

barriers and kiosks repair and replacement program, as well 

as its electrical assessments and upgrades to critical facilities 

and electrical equipment to improve the redundancy of 

critical infrastructure.

Energy Stewardship and Sustainability

Challenge: After successfully meeting a 10-year, 30 percent 

energy reduction target in FY 2015, the AOC set a new 

target to reduce its energy use by an additional 2 percent 

per year through FY 2025 (an additional 20 percent in 

total). This achievement would result in an aggregate 50 

percent energy reduction on the Capitol campus over the 

two decades since FY 2005. As further energy reduction 

opportunities become scarcer and costlier to achieve, 

meeting this target will become more challenging.

AOC Initiatives: FY 2020 was a landmark year for the 

AOC’s energy reduction efforts. Due in large part to 

cogeneration at the Capitol Power Plant, the agency 

achieved a 49.8 percent energy reduction from its 2015 

baseline, nearly meeting the FY 2025 performance target 

of 50 percent ahead of schedule. Cogeneration is a highly 

efficient, clean, fuel-burning technology that allows the 

AOC to generate both steam and electricity. Since the 

completion of the cogeneration plant in FY 2019, it has 

proven to be the single largest factor in annual energy 

reductions and will continue to be into the future. 

Some of the AOC’s other energy efficiency improvements 

include the Refrigeration Plant Revitalization Program in 

Above The AOC supports the U.S. Capitol Police and provides 

additional security functions for the Capitol campus, including the 

installation, upgrade and maintenance of security bollards.
SECTION 1 Management’s Discussion and Analysis

4 9

Capitol Highlights

SENATE COM MIT TEE ROOM R ENOVAT ION

The AOC completed restoration of the Senate Committee 

on Commerce, Science and Transportation Conference 

Room in the Russell Senate Office Building. The renovation 

required exceptional effort and cross-jurisdictional 

teamwork to transform the space into a state-of-the-art 

hearing room while simultaneously restoring its original 

architectural intent. 

The hearing room renovation prioritized historic 

preservation and revitalized the Beaux Arts interior. The 

project team researched primary archival sources and 

performed a historic paint analysis to restore the room 

to its original grandeur. The space was also enhanced 

with major upgrades to its accessibility, functionality, 

technological capacity and décor. These included:

 Improved Americans with Disabilities Act (ADA) 

accessibility, which brings the hearing room into 

compliance with the ADA and provides critical 

accommodations for senators, staff and visitors with 

special needs

 Advanced multimedia technology, including 14-inch 

monitors, touch-screen control panels and microphones 

integrated directly into the dais for each member

 Custom furnishings and interior design to maintain 

the room’s historic appearance while incorporating 

needed infrastructure upgrades, including a 14-foot 

witness table, bronze handrails, a custom carpet and an 

expanded, custom-made wood rostrum and dais

 Advanced HVAC systems and rerouted ductwork for 

optimized temperature control and air flow, maximizing 

energy efficiency and cost savings

This effort, which furthers the AOC’s strategic goals 

of Maintaining Awe-Inspiring Facilities and Providing 

Extraordinary Services, has resulted in major 

improvements to the Senate work room. The project also 

serves as a pilot for an extensive hearing room renovation 

program planned in the Senate office buildings over the 

next 15 years.

the Capitol Power Plant, as well as energy-efficient digital 

air handler control upgrades in the James Madison Memorial 

Building, Thurgood Marshall Federal Judiciary Building 

and O’Neill House Office Building. The Refrigeration Plant 

Revitalization Program will upgrade outdated and inefficient 

equipment at the Capitol Power Plant. This multiyear, 

multiphase effort is projected to be completed in 2025, 

pending appropriations for the later phases. In addition, 

the increased use of project charters to document project 

responsibilities have helped ensure that sustainability elements 

are considered in developing a project’s scope. The focus on 

sustainable practices — for example, ways to use water more 

efficiently — also helps to reduce agency operating costs.

In past fiscal years, the AOC used ESPCs to accomplish 

infrastructure upgrades that resulted in significant energy 

savings while limiting the upfront project costs. Congress 

authorized such contracts in the Energy Policy Act of 

1992, which allows for the use of private sector financing 

to implement energy conservation methods and energy 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

5 0

efficiency technologies by federal entities. The AOC 

implemented previous successful ESPC projects in the U.S. 

Capitol and the House and Senate office buildings, saving 

the AOC more than $9 million in annual energy costs. 

Building on this strategy, the AOC awarded and began 

work on an ESPC for the facilities managed by the AOC’s 

Library Buildings and Grounds jurisdiction. This multiyear 

effort is expected to be completed in FY 2022 and will result 

in significant energy savings by installing energy efficient 

systems, such as lighting, motors and HVAC controls, as 

well as water conservation improvements. 

Priority FY 2021 sustainability initiatives include 

completing a resilience study and investigating opportunities 

for renewable energy generation. For this effort, the AOC 

is partnering with the Department of Energy’s (DOE) 

National Renewable Energy Laboratory. When complete, 

this study will inform the agency’s ability to achieve further 

energy and emission reductions while making the AOC 

more resilient. In FY 2021, the AOC will also focus on 

improving water savings by developing detailed water use 

targets for its major users and tracking monthly consumption 

to drive further savings. For more information, see the 

Energy and Sustainability Performance Management Report 

located in Section IV: Other Information.

Management of Concurrent Construction Projects

Challenge: The AOC manages and executes multiple, 

simultaneous, high-visibility, large-scale and long-term 

projects to meet the infrastructure needs of the Capitol 

campus. These include projects such as the Cannon Renewal 

Project, Russell Exterior Envelope Project, the Capitol 

Power Plant’s Refrigeration Plant Revitalization Program 

and the U.S. Capitol Building Exterior Stone and Metal 

Preservation Project. To deliver these projects safely, cost 

effectively and on time, AOC management must balance 

Capitol Highlights

A P R O S P E C T I V E 

PARTNERSHIP

The AOC relies upon highly skilled and specialized 

artisans to maintain the historic buildings of the 

Capitol campus. Approximately 70 percent of the AOC’s 

workforce consists of these essential tradespeople, 

including masons, plasterers and woodworkers. Skilled 

tradespeople, however, have been in short supply 

within the labor market for several years — for every 

three skilled tradespeople retiring in America today, 

only one new worker is taking their place.

The AOC’s Human Capital Management Division has 

worked diligently to create new recruitment efforts and 

identify new sources of skilled workers. As part of its 

efforts, the AOC took steps to establish a partnership 

with the American College of the Building Arts (ACBA) 

in Charleston, South Carolina, including a visit to the 

school in fall 2019.

The ACBA offers a Bachelor of Applied Science degree in 

building arts, making it the only four-year school in the 

country dedicated to traditional trades. Their academic 

program offers specialization in multiple disciplines, 

including architectural carpentry, architectural stone, 

masonry and plasterwork. A partnership between the 

agency and ACBA would be a natural fit and a fruitful 

collaboration appears promising. Three students had 

been scheduled to participate in the agency’s 2020 

Summer Intern Program, before such internships and 

training opportunities were put on hold due to COVID-19 

safety concerns.

“We’re hoping to establish a partnership with the 

college that allows us to build a talent pipeline for 

AOC positions that are considered hard to fill,” said 

the AOC’s Deputy Chief Human Capital Officer John 

McPhaul. “That’s how we’ll ensure the transfer of 

knowledge and expertise in maintaining the historic 

buildings entrusted to our care.”

Above The AOC uses a multifaceted approach to address its energy 

stewardship and sustainability challenges, such as the recent installation 

of a new 5,000-ton chiller at the Capitol Power Plant. Seen here, a shift 

supervisor monitors chiller operation from the control room.
SECTION 1 Management’s Discussion and Analysis

51

schedules, budgets and risks over numerous project phases, 

coordinate personnel, minimize operational disruptions 

and sustain the administrative support necessary for this 

increased workload.

AOC Initiatives: The AOC continues to enhance its project 

planning tools and develop the management processes to 

ensure the efficient, effective delivery of its large portfolio 

of design and construction projects. This fiscal year, 

the AOC continued implementation of the e-Builder 

project management information system to replace the 

existing, obsolete system. This will enable the agency to 

more effectively track, manage and resource a portfolio 

of major construction projects simultaneously. Once fully 

implemented, the new system will assist in the design and 

construction management process, which will enable project 

managers to provide better project execution data, such as 

costs, schedules, resources and data analytics. 

The AOC will continue to prioritize critical centralized 

services and personnel that directly support frontline 

operations and infrastructure projects. Adequate support 

for studies, planning, project design and development, 

construction oversight and project management is lacking. 

To overcome the staff shortfall, the agency increased the use 

of temporary project-funded staff, such as project managers, 

construction managers and inspectors. The agency’s 

Project Management Division also created and filled two 

new assistant director positions, as well as new program 

management and construction management supervisors. 

In the short term, the AOC’s staff members have actively 

stepped in to address other needed functions, while the 

agency has supplemented its staff with contract project 

managers, construction managers and inspectors. 

However, these are not permanent solutions and risks to 

project execution develop when staff is overworked and tasked 

with additional duties. The AOC will continue to advocate 

for more funding to bring its staff to an adequate level for the 

management of this surge in multiple major restoration projects. 

As validated in the FY 2019 workforce study, this includes 

direct staff such as project managers, construction managers, 

project controllers, engineers, planners and inspectors. This also 

includes the administrative staff to support this workload, such 

as the procurement, human resources and financial workforce 

to manage the contracts, staff and payments associated with 

additional construction activity. 

Looking forward, the AOC will continue to improve 

project management while also focusing on how the entire 

capital project portfolio is coordinated. By investing 

in high-level analytical tools such as enterprise asset 

management, the agency will increase its understanding 

of project and program interdependencies and improve 

the management of the agency’s physical assets over their 

entire life cycle.

Attracting and Retaining a Skilled and 

Engaged Workforce

Challenge: Attracting and retaining a strong workforce is 

essential to carrying out the AOC’s mission. The agency 

must recruit dedicated, highly specialized tradespeople 

and professionals who can typically earn higher wages in 

the private sector. Adding to this challenge is the aging 

demographic of the AOC’s current workforce, which has a 

median age of 49. The number of employees approaching 

retirement age raises concern about the loss of institutional 

knowledge that is so critical to the agency’s succession 

planning and continuing ability to meet its mission.

AOC Initiatives: The AOC’s talent management strategic 

initiative is designed to identify current and future 

Above Architect of the Capitol J. Brett Blanton is briefed by senior 

leadership on the Cannon Caucus Room renovation. The project will 

provide a comprehensive upgrade to the largest meeting and hearing 

room space in the House Office Buildings. The photo was taken prior to 

COVID-19 related social distancing measures.

Above At the Human Capital Management Division’s Supervisory 

Leadership Symposium in November 2019, over 140 AOC supervisors 

engaged with colleagues to enrich their leadership abilities.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

52 workplace priorities, assist in succession planning and 

encourage specialized skills training. These efforts assist 

the AOC in attracting experienced and skilled individuals 

to the federal workforce, retaining existing employees 

and developing a pipeline of internal candidates for open 

positions — all of which ensures that the AOC has the right 

people to meet current and future staffing demands. 

In FY 2020, the AOC worked with each jurisdiction 

to develop talent management plans to provide a better 

understanding of their current and forecast workforce 

requirements. These requirements informed a comprehensive 

workforce analysis and the development of each jurisdiction’s 

talent management plan, which serve as blueprints to build 

candidate pipelines, meet succession planning needs and 

remediate talent gaps, particularly for hard-to-fill positions. 

Skilled tradespeople — such as electronic industrial controls 

mechanics, stonemasons and decorative plasterers — 

comprise more than 70 percent of the agency’s workforce. To 

mitigate the inevitable loss of these specialized employees 

through attrition or retirement, the AOC implemented 

succession planning strategies to ensure continuity of 

institutional knowledge and expertise. The AOC’s recruiting 

has focused on the skilled trades within professional 

associations and military, veteran and university populations. 

Human Capital Management Division staff made recruiting 

visits to the American College of the Building Arts and 

the Pennsylvania College of Technology (see Capitol 

Highlights: A Prospective Partnership). The agency 

also increased the use of paid recruiting advertisements in 

specialized recruitment sources and websites such as the 

International Facility Management Association, Society of 

American Military Engineers, American Public Gardens 

Association, Construction Management Association and the 

Society of Human Resources Management. 

The AOC’s FY 2020 workforce retention efforts focused 

largely on improving employee access to training and 

development opportunities. The AOC launched a new 

learning management system that provides individualized 

training plans and advanced search functions for specialized 

training opportunities. For supervisors, the agency 

organized a symposium focused on leadership training. In 

addition, the Architect’s Mobility Program continues to 

provide staff with opportunities to develop new skillsets.

As the AOC looks ahead, it will continue developing the 

learning management system and other online training 

resources. The AOC will also develop a stand-alone five-year 

Human Capital Strategic Plan that will support the agency’s 

strategic priorities, goals and objectives.

Workplace Safety and Health

Challenge: The AOC is responsible for providing a safe and 

healthy environment for all who work on or visit the Capitol 

campus. The agency strives to uphold these standards by 

integrating emergency preparedness measures, life safety 

and fire protection planning and environmental compliance 

into its daily operations and large-scale projects. Ensuring 

access to public buildings and preserving the AOC facilities’ 

historic and architectural integrity while meeting the 

safety requirements of the Capitol campus is a significant 

management challenge. This challenge was compounded by 

the COVID-19 pandemic this fiscal year.

AOC Initiatives: The AOC is focused on fostering and 

sustaining a robust safety culture. The agency continually 

works to integrate precautionary measures into its 

operations, and its safety team supports construction 

projects across the Capitol campus. This support includes 

design reviews, fire and life safety code compliance, fire 

alarm testing, walk-through inspections, construction 

specifications and hazardous waste management. 

This fiscal year, the AOC drove an effort to implement an 

Integrated Safety Management System (ISMS) across the 

agency — a coordinated, systematic framework to plan, 

support and evaluate safety programs — to standardize 

programs, identify and implement best practices and 

improve safety awareness. The ISMS identified electrical 

safety as a targeted program to address in FY 2020. As 

a result, the AOC provided electrical safety training to 

superintendents and 185 electrical workers covering multiple 

risks and safety precautions. The training topics included 

arc flash and shock hazards, personal protective equipment, 

insulated tools and testing equipment, body positioning 

and emergency response. Nineteen additional employees 

received specialized electrical circuit training to help them 

identify and avoid risks from the older electrical code wiring 

practices that exist in the agency’s historic buildings.

The AOC’s preparations for the COVID-19 pandemic 

began in December 2019, when the agency began tracking 

the developing situation and updating its pandemic plan. 

The agency developed guidance documents, coordinated 

emergency response for cleaning, researched evolving 

Above An AOC team member documents safety findings for 

abatement during a self-inspection. The agency promotes a 

robust safety culture that recognizes and manages risks and 

improves compliance.
SECTION 1 Management’s Discussion and Analysis

developments, mandated face coverings for employees, 5 3

initiated contact tracing program to limit the potential 

spread of the virus on the Capitol campus, coordinated with 

the Office of Attending Physician, provided daily situational 

reports, and provided weekly information updates to AOC 

leadership. Later, agency senior staff participated in a 

Return-to-Work Tiger Team and created a COVID-19 

pandemic operations and return-to-work plan. One of the 

primary outcomes of the team was the development and 

dissemination of COVID-19 employee and supervisor 

toolkits and a mandatory return-to-work training video for 

all employees. 

Looking ahead, the AOC will continue implementing more 

elements of the safety management system, including an 

industry-leading environmental, health and safety software. 

This expansion will provide the AOC with a standardized, 

streamlined method for reporting injuries and illnesses 

across the agency and will support the identification of 

risks that can be mitigated to prevent additional injuries 

and illnesses. The agency is planning additional incident 

investigation training to support root cause analysis, 

resilient systems and injury prevention.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

5 4 The Year in Photos

From the day-to-day activities of the AOC to major projects and special events, our photographers 

document the activities of the agency. These photos defined the fiscal year at the AOC.

1.	 A	renovated	committee	room	in	the	Russell	Senate	

Office	Building.

2.	 The	AOC	recoated	the	cast-iron	Bartholdi	Fountain.

3.	 Social	distancing	markers	were	installed	throughout	the	

Capitol	campus.

4.	 J.	Brett	Blanton,	the	12th	Architect	of	the	Capitol,	with	his	family.

5.	 The	courtyard	during	the	Cannon	Renewal	Project,	Phase	2.

6.	 The	AOC	employed	new	cleaning	protocols	to	mitigate	the	

spread	of	COVID-19.

7.	 The	Jefferson	Building	illuminated	in	purple	and	gold	for	the	

19th	Amendment’s	centennial	anniversary.

8.	 An	autumn	view	of	the	U.S.	Capitol	Building.

9.	 An	AOC	gardener	plants	summer	annuals	and	perennials.

10.	 Congressman	John	R.	Lewis	honored	at	the	U.S.	Capitol	in	

July	2020.

1

2

4

3

YEAR IN PHOTOS

5 4
SECTION 1 Management’s Discussion and Analysis

55YEAR IN PHOTOS

57

9

10

8

6
02

SECTION
SECTION 2 Performance Information

57

INTRODUCTION

This section presents the AOC’s FY 2020 performance and 

progress toward achieving the goals identified in the AOC 

Strategic Plan FY 2017–2021. The Strategic Plan defines four 

strategic goals that focus the agency’s efforts to execute the 

mission, leverage core competencies and pursue the AOC’s 

vision as a trusted partner of Congress and the Supreme 

Court. The first two goals, Maintain Awe-Inspiring Facilities 

(AIF) and Provide Extraordinary Services (ES), are programoriented and align with the agency’s core mission areas. 

The next two goals, Foster an Innovative and Empowered 

Workforce (IEW) and Operate as One Team, Dedicated 

to One Mission (OTOM), are values-focused and promote 

employee engagement and accountability as well as a culture 

of innovation, collaboration and safety.

The Strategic Plan defines strategic objectives for each 

strategic goal that reflect the outcome or impact that the 

AOC strives to achieve. Specific strategies lay the course for 

how the AOC will meet each strategic objective, while key 

performance indicators (KPI) allow the AOC to measure 

performance against specific targets to monitor progress 

towards meeting the strategic objectives and goals. Issued 

on an annual basis and covering a two-year period of the 

Strategic Plan implementation, the AOC’s Performance 

Plan defines a set of strategic initiatives that are intended to 

boost the agency’s ability to accomplish its strategic goals, 

as well as a governance framework to support effective 

executive engagement and key stakeholder accountability. 

The AOC refreshes the Performance Plan annually to adapt 

its approach based on performance reviews and changes in 

internal and external operating environments. The AOC also 

makes updates to the Strategic Plan (changes to objectives, 

strategies and KPIs) when it issues the Performance Plan. 

To better align the mission and AOC Strategic Plan 

with the agency’s programs and operations, the AOC 

refined its key performance indicators in FY 2020. After a 

facilitated session with agency leadership in FY 2019, the 

AOC identified and agreed on specific priority indicators, 

targets and data availability. The AOC adopted a phased 

approach for the implementation of these indicators and, 

in FY 2020, added new measurements for facilities, safety 

and administrative programs. For more information on the 

AOC’s Strategic Plan, refer to: www.aoc.gov/publications. 

Performance Management

As a legislative branch agency, the AOC is not required to 

report performance information but chooses to do so as a 

best practice for transparency and accountability. Likewise, 

the AOC is not required to submit its performance results 

to the Office of Management and Budget (OMB), and 

this Performance Information section is not linked to the 

executive branch’s performance and accountability website, 

www.performance.gov. Similarly, the AOC does not 

contribute to OMB’s Cross-Agency Priority (CAP) Goals 

Left The U.S. Capitol Grounds are comprised of 286 acres, which 

includes lawns, parks, trees, horticultural display beds, gardens and 

decorative elements. It was named an accredited arboretum in 2017.

Performance

Information

Table 13

Strategic Objectives and Key Performance 

Indicators by Strategic Goal

STRATEGIC GOAL STRATEGIC 

OBJECTIVES

KEY 

PERFORMANCE 

INDICATORS

Maintain Awe-Inspiring 

Facilities 2 7

Provide Extraordinary Services 1 4

Foster an Innovative and 

Empowered Workforce 3 23

Operate as One Team, 

Dedicated to One Mission 2 8

Total 8 42
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

5 8 used to accelerate progress on select presidential priority 

areas where implementation requires active collaboration 

among multiple agencies.

This section lists each strategic goal with its associated 

strategic objectives, strategies and KPIs. Each KPI includes 

a definition, targets, current-year results, five prior years 

of data (when available) and data sources.9

 As identified in 

Table 13, the AOC planned to track 42 KPIs in FY 2020, 

aligned with eight strategic objectives.

As shown in Figure 26, the AOC met the performance 

targets for eight of 19 indicators that had a performance 

target for this fiscal year. The AOC did not meet the 

target for 11 KPIs and did not measure 17 indicators due 

to activities placed on hold as a result of COVID-19. The 

AOC established a baseline level of performance for six 

new indicators. 

COVID-19 Pandemic and Agency Performance

The COVID-19 pandemic prompted a shift in the AOC’s 

operations. While the Capitol campus remained open for 

congressional members, staff and official visitors, it was 

closed to the general public from mid-March through the 

end of the fiscal year. To protect the health and well-being 

of its employees, visitors and building occupants, the agency 

minimized its on-site staff and maximized telework, with 

approximately 900 personnel teleworking on a full-time 

basis during the peak of the pandemic. While the agency 

continued its construction projects, it implemented social 

distancing procedures to promote safety. To continue 

essential services, the AOC balanced fulfilling service 

requests with protecting employee health and safety, while 

also maintaining sufficient staff that could be recalled to 

backfill employees who might become ill or need to be 

quarantined. These necessary precautions caused a shift in 

focus and influenced operational performance in some areas. 

Further, in March 2020, the U.S. Office of Personnel 

Management (OPM) postponed the 2020 Federal Employee 

Viewpoint Survey (FEVS) to enable agencies to support their 

9 Targets may not be available for the new indicators that established a 

baseline level of performance in FY 2020.

critical missions and maximize survey participation. The 

AOC also postponed the administration of this survey. 

Operating during a pandemic resulted in the AOC 

establishing new protocols and steps to keep agency 

personnel, colleagues and visitors to the Capitol campus safe 

and healthy. To assist in preparedness for, response to and 

recovery from the pandemic across the Capitol campus, the 

AOC undertook a range of processes and activities (e.g., 

contact tracing, enhanced facility cleaning and others). 

Following a discussion of the AOC’s performance under its 

four strategic goals, this year’s Performance Information 

section concludes with a supplemental section on the 

agency’s COVID-19 performance (see COVID-Related 

Activities on Page 81).

D A TA V A L I D A T I O N A N D 

VERIFICATION

The AOC is committed to ensuring the completeness, 

reliability, usefulness and quality of all performance data 

included in the PAR and has mechanisms in place to 

validate and verify the accuracy of reported information. 

These efforts primarily entail regular internal agency 

assessments that address standards and processes, data entry, 

transfer, integrity, limitations, stewardship and governance. 

The assessments occur frequently in the development stages 

of dashboards and management reports to mitigate errors 

that may occur before deployment, as well as to confirm 

the usefulness of the data in decision-making processes. 

Subject matter experts and agency executives conduct datadriven meetings to evaluate performance. The AOC’s data 

validation and verification includes:

 Use of applied measurement techniques to identify 

sources, validate data and generate meaningful 

information

 Identification and implementation of authoritative 

sources, calculations and standards

 Use of automated data collection systems, when available 

 Use of automated and manual data checking procedures 

 Analysis of data and identification of possible 

discrepancies for resolution 

 Implementation of controls such as restricting permissible 

values, flagging outliers for review and visualizing results 

for visual checks

 Review by data owners, data users and subject matter experts

 Deployment of enterprise tools for standardized 

reporting 

 Review and discussion of performance results with the 

agency’s senior leadership

 Improvement of data integrity by ensuring that the 

agency’s internal reports and dashboards use the same 

data sources and support calculations 

Figure 26

Key Performance Indicator Results

 

 
SECTION 2 Performance Information

59

The long-term goals, described in the AOC’s Strategic 

Plan, inform the annual KPIs included in this report. 

The AOC maintains documentation for each KPI. This 

documentation includes a description of the KPI’s relevance, 

data source and owners, the calculations used to build 

the KPI, data validation steps, definitions of relevant 

terms and a summary of data limitations and risks that 

might impair accuracy. The AOC uses this information to 

improve the validity, accuracy and depth of the data used 

to measure performance. The AOC leveraged its corporate 

performance dashboards to assess performance and 

ensure data quality. The dashboards enable the automated 

reporting of analytics with authoritative data. To improve 

the reliability of its performance data, the AOC certified 

data sources, performed quality checks of the indicators’ 

outputs and utilized the dashboard software to flag input 

errors and execute test calculations. In the future, the 

AOC will examine the use of real-time alerts to notify 

stakeholders via email when KPI performance falls outside 

an acceptable threshold.

In FY 2020, the AOC was not required to have, nor did it 

fund, research or program evaluations related to the agency’s 

program performance. As a result, this report does not 

include evaluation findings. However, because of operational 

impacts resulting from COVID-19, the AOC conducted an 

internal review of all KPIs and strategic initiatives to assess 

execution status, performance impacts and data availability. 

The AOC achieved this through interviews with strategic 

initiative leads, reviews of delayed activities and assessments 

of indicators within the AOC’s Corporate Performance 

Dashboard. Appendix H provides a summary of the changes 

to the KPIs tracked this fiscal year.

Key to Performance Results

Target Met Target Not Met 

Baseline Established Not Measured 

Above Signs reminding individuals to practice social distancing can be found throughout the Capitol campus, including inside the U.S. Capitol 

Visitor Center.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

6 0

STR ATEGIC GOAL 1:

M A I N TA I N A W E - I N S P I R I N G 

FACILITIES

Goal Description: The AOC’s mission centers on its 

stewardship of the buildings, structures and grounds of the 

Capitol campus. It is our duty to ensure that every visitor 

to Capitol Hill experiences the grandeur of these historic 

treasures at their very best.

This strategic goal includes two strategic objectives and two 

strategies. To accomplish these objectives and strategies, 

the agency invested in six strategic initiatives. The AOC 

monitored seven KPIs for this strategic goal in FY 2020, the 

results of which are summarized in Figure 27. 

Strategic Objective 1.0:

Reliably deliver high-quality capital projects

The AOC strives to deliver all capital improvement projects 

on time, within budget, safely, with high quality and with 

minimal disruptions to mission critical client operations. 

One strategy and one strategic initiative support this 

strategic objective.

The strengthen, standardize and streamline project 

delivery processes, roles and responsibilities strategic 

initiative includes defining and tracking project indicators, 

implementing the project management information 

system (PMIS), incorporating enhanced project 

planning, development and processes, managing roles and 

responsibilities through “RACI” (responsible, accountable, 

consulted and informed) matrices and minimizing and 

mitigating unplanned disruptions. This initiative is designed 

to streamline stakeholder coordination and align processes 

for improved project execution.

Figure 27

Key Performance Indicator Results for Strategic 

Goal 1: Maintain Awe-Inspiring Facilities

 

 

Above In FY 2020, the AOC continued the restoration of the exterior envelope of the Russell Senate Office Building. The agency’s strategic goal to 

Maintain Awe-Inspiring Facilities includes the conservation of core facilities and grounds stewardship responsibilities.
SECTION 2 Performance Information

61

STRATEGY STRATEGIC INITIATIVE

 Identify, analyze and 

strengthen critical 

management processes, 

resources and assignment 

of responsibilities for 

successful project delivery

 Strengthen, standardize 

and streamline project 

delivery processes, roles 

and responsibilities

ANALYSIS OF FY 2020 RESULTS

In FY 2020, the AOC continued piloting PMIS and offered 

virtual classes to prepare staff for implementation across its 

capital project portfolio in FY 2021. The implementation 

of this new system improves processes, data collection and 

reporting on project status. To strengthen accountability and 

transparency throughout the project delivery lifecycle, the 

agency began incorporating enhanced planning processes 

into PMIS and defined roles and responsibilities through 

RACI matrices. The AOC also analyzed practices that led 

to unplanned disruptions and began using new standardized 

definitions for project tracking.

NEW! Projects Delivered On Time, Within Budget and 

Safely (AIF KPI 1, 2, 3)

These indicators measure the AOC’s ability to plan, manage 

and deliver capital projects to strict standards. In FY 2020, 

the AOC began using PMIS to manage active Line Item 

Construction Program (LICP) and construction projects 

with an estimated cost exceeding $2 million. The use of 

PMIS improved the AOC’s ability to consistently track 

project status and generated data regarding project execution 

and delivery. With these baselines defined, the agency has 

set targets to accomplish and improve project delivery. 

On Time: This new KPI tracks the delivery of new 

construction projects within the agreed timeline. The AOC 

defines a project as “on time” if the forecast completion date 

is on or before the external client delivery date and is on or 

before the current completion date. Based on current data, 

over 75 percent of projects are on time. The AOC used the 

indicator baseline data and industry benchmarks to set a 

target at 80 percent or greater. Baseline Established 

Within Budget: This new KPI tracks the delivery of new 

construction projects within their established budget. A 

project is considered “within budget” if the remaining 

contingency after potential change orders is greater than 

or equal to $0 and the forecast cost is less than or equal to 

remaining contingency after change orders. This fiscal year, 

91.8 percent of the AOC’s construction projects were within 

budget. The AOC used this baseline data and industry 

benchmarks to set an FY 2021 target at 90.0 percent or 

greater. Baseline Established 

Safely: This new KPI tracks the safe delivery of new 

constructions projects to Occupational Safety and Health 

Administration (OSHA) guidelines. Project safety is 

measured using the OSHA recordable incident rate: (number 

of injuries) x (200,000) / (total hours worked by employees). 

A project is considered delivered “safely” if the total 

recordable incident rate is less than or equal to 75 percent 

of OSHA’s industry average. The AOC’s FY 2020 baseline 

shows 83.4 percent of projects below the industry average. 

The AOC’s FY 2021 target for this measure will be set at 

80.0 percent or greater. Baseline Established 

Strategic Objective 2.0: 

Preserve, maintain and operate facilities and cultural 

and natural resources at the highest quality levels

To accomplish this objective, the AOC is researching 

industry standards to inform the development of 

implementation plans for achieving desired levels of 

performance for each of the AOC’s key operational 

functions. Five strategic initiatives support this strategic 

objective — one for each key function.

STRATEGY STRATEGIC INITIATIVE

 Research, analyze and 

select the most appropriate 

industry standards, desired 

levels of performance and 

associated implementation 

plans for achieving desired 

levels of performance 

for each of the AOC’s key 

operational functions 

 Integrated Safety 

Management System (ISMS)

 Facilities management — 

emergency power 

standards 

 Facilities management — 

HVAC/R standards

 Gardens and grounds 

standards

 Construction project 

security and resilience 

standards

ANALYSIS OF FY 2020 RESULTS

In FY 2020, the AOC reported progress toward this 

strategic objective using four KPIs. While the AOC made 

advances with the strategic initiatives supporting this 

strategic objective in FY 2020, the COVID-19 pandemic 

impacted this work and impeded key activities. The AOC 

placed activities requiring in-person training on hold and 

delayed others that required jurisdiction collaborations as 

staff resources shifted to focus on the pandemic response.

In FY 2020, the AOC made progress in implementing the 

Integrated Safety Management System (ISMS) by assessing 

the health of the electrical/arc flash program to reduce 

safety risks to AOC employees. Due to the limitations 

imposed by COVID-19, the AOC placed the Safety 

Observations and Reflections (SOAR) activity within the 

ISMS on hold because it required staff to observe and report 

findings of on-site safety scenarios. For emergency power 

standards, memoranda of understanding detailing roles 

and responsibilities were signed by each jurisdiction and 

standard operating procedures and preventative maintenance 

work orders were entered into the AOC’s computer-assisted 

facility management system. Emergency power standards 

training for key personnel also required on-site attendance 

that will resume in FY 2021. Although the draft gardens 

and grounds and project construction security standards are 

complete, the jurisdictional reviews and implementation 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

6 2

schedules were delayed due to the shifting priorities of 

team members. Similarly, the AOC placed the development 

of facilities management for heating, ventilation, air 

conditioning and refrigeration (HVAC/R) standards on 

hold. An analysis of preventative frequency performed 

during the pandemic, as well as new leadership direction, 

will inform the approach.

Energy and Sustainability Targets (AIF KPI 4)

This annual KPI measures the success of the AOC’s energy 

and sustainability program through five components: reduce 

energy intensity use, reduce potable water use, divert building 

occupancy waste, compost nonconstruction waste and divert 

construction and demolition debris. Each component has its 

own target and the KPI requires the AOC to meet the targets 

for each component. This fiscal year, as shown in Figure 

28, the AOC met its targets for four of the five energy and 

Capitol Highlights

T H O M A S J E F F E R S O N B U I L D I N G R O O F 

REPLACEMENT

When the Thomas Jefferson Building opened in 1897 as 

the permanent home of the Library of Congress, it was 

widely acclaimed for its grandeur. For nearly a century, this 

remarkable building has been under the care of the AOC, 

which has worked to maintain, repair and restore its noble 

and historic character.

Over the decades, the Jefferson Building’s copper roofing 

system has proven to be a particular maintenance and 

conservation challenge — the roof, dome and torch were 

last replaced by the AOC in 1998. However, significant 

water intrusion issues necessitated another major roof 

system replacement. During FY 2019, the AOC completed 

repairs to the copper roof and skylight over the West 

Main Pavilion and Great Hall. 

The Library Building and Grounds jurisdiction completed 

the project on time and under budget in FY 2020, replacing 

the roof over the Jefferson Building’s East Main Pavilion, 

which houses the Rare Book and Special Collections 

Reading Room — the Library’s most valuable collection 

storage space. Deficiencies in the existing copper roofing 

system had allowed water infiltration. The AOC replaced 

approximately 9,000 square feet of flat seam copper with a 

cold fluid-applied liquid membrane roof system to provide 

a watertight seal, in addition to making masonry repairs. 

During this project, the team made extensive use of risk 

management techniques and lessons learned from earlier 

project phases.

The successful repair and replacement of the Jefferson 

Building roof helps ensure critical long-term protection for 

the Library of Congress’ invaluable collection of rare books, 

posters, archival documents, photographs, medieval and 

Renaissance manuscripts and more.
SECTION 2 Performance Information

6 3

Figure 28

Energy and Sustainability Targets

 

 

 

 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

6 4

sustainability components tracked. As the agency did not 

achieve all five targets, the AOC did not achieve its targeted 

performance for this KPI in FY 2020. Target Not Met 

Reduce Energy Intensity Use: This component measures 

the AOC’s cumulative reduction of energy use. The target 

calls for a reduction of 2 percent annually from the prior 

year goal (i.e., a 40 percent target for FY 2020). The AOC 

met its energy reduction target for FY 2020, achieving 

a cumulative reduction of 50.8 percent. The continued 

efficiency of the cogeneration plant was the primary source 

of the agency’s energy savings. In addition, completed 

ESPCs in the U.S. Capitol Building and the House and 

Senate office buildings continue to provide energy and water 

savings. Further savings resulted from retro-commissioning 

existing mechanical systems and improving building 

system monitoring. Implementation of large-scale campus 

infrastructure projects such as the Cannon Renewal Project 

and a new ESPC at the Library Buildings and Grounds will 

help the agency to meet future targets. 

Reduce Potable Water Use: This component measures the 

AOC’s cumulative reduction of potable water usage. The 

target calls for a 2.0 percent reduction from the prior year 

(i.e., a 26.7 percent target for FY 2020). The AOC met 

the target in FY 2020 with a reduction of 28.2 percent. 

The AOC focused on water consumption and continued to 

reconcile water usage, malfunctioning meters and billing. 

The AOC’s current potable water survey will identify 

opportunities for improved efficiency and quantify savings. 

Divert Building Occupant Waste: This component 

measures the amount of building occupant waste (e.g., 

paper, bottles, cans, printer cartridges and decommissioned 

computer equipment) the AOC diverted from landfills for 

recycling. The AOC’s target for FY 2020 was to divert 46.0 

percent of waste from landfills for recycling. The AOC 

did not meet the target, diverting 38.0 percent of waste 

produced. Disruptions to the recycling industry, including 

a changing international market and COVID-19, have 

affected the AOC’s ability to meet its target for this KPI. 

However, the AOC continues to minimize its materials 

footprint and look for additional opportunities to divert 

building occupant waste.

Compost Nonconstruction Waste: This component 

measures the amount of nonconstruction waste (e.g., 

food waste and organic waste) diverted from landfills 

for composting and reuse as mulch or fertilizer. The 

AOC’s annual target is to compost 8.0 percent of its 

nonconstruction waste. In FY 2020, the AOC met its target 

by composting 8.3 percent of its nonconstruction waste.

Divert Construction and Demolition Debris: This 

component measures the amount of construction and 

demolition debris (i.e., the byproduct of construction, 

remodeling, renovation and repair) diverted from landfills 

for recycling or reuse. The AOC’s annual target is to divert 

90.0 percent of its construction waste. In FY 2020, the AOC 

met its target by diverting 98.0 percent of its construction 

and demolition debris. Two recent business impacts on the 

recycling industry have affected the agency’s ability to meet 

its diversion target: a changing international market and 

COVID-19. Despite these factors, the agency continues to 

take actions to minimize its materials footprint.

For more information, see the AOC’s annual Energy and 

Sustainability Performance Management Report, located in 

Section IV: Other Information.

NEW! Facility Condition Index (FCI) (AIF KPI 5)

The Facility Condition Index (FCI) is a standard facility 

benchmark to objectively assess a facility’s current and 

projected condition. The FCI categorizes facilities either 

as poor, fair, good or very good. The FCI is calculated as 

the cost of deferred maintenance divided by the current 

replacement value. A ratio of less than 0.02 is considered 

very good, between 0.02 to 0.05 is good, between 0.05 to 

0.10 is fair and more than 0.10 is poor.

This KPI measures the AOC’s ability to maintain facilities 

in either very good or good condition. The target for FY 

2020 is for the percent of major buildings in poor or fair 

condition to be less than or equal to that of the previous 

year. As shown in Figure 29, in FY 2020, the percentage 

of buildings in poor or fair condition was 48.1 percent. The 

AOC made progress in FY 2020 to reduce its backlog for 

design and construction projects by more than $93 million 

through the FY 2020 LICP. The AOC did not meet its 

target for this KPI. Target Not Met 

Figure 29

Facility Condition Index

 

 
SECTION 2 Performance Information

6 5

NEW! Energy Reduction by Building (AIF KPI 6)

This KPI measures the AOC’s progress of reducing energy 

usage within each building. In FY 2020 the AOC conducted 

meetings with each jurisdiction to reevaluate energy targets 

for steam, chilled water and electricity for each building. The 

AOC assessed energy consumption data and energy usage 

intensity from previous years to establish new, agreed-upon 

targets that take into consideration the current operating 

environment and ongoing energy conservation projects. 

Performance will be reviewed at energy management 

working group meetings and corporate facility management 

meetings. The AOC will implement these new targets in FY 

2021 and manage accordingly. Baseline Established 

NEW! Americans with Disabilities Act Remediation 

(AIF KPI 7)

This KPI measures the AOC’s progress toward remediating 

Americans with Disabilities Act (ADA) findings from 

inspections conducted by the Office of Congressional 

Workplace Rights (OCWR). Findings from OCWR 

inspections assess compliance in accessibility elements such 

as access barriers and accessible ramps, doors, bathrooms 

and water fountains. In FY 2020, the AOC closed 38 

OCWR findings, amounting to 53 percent of the total 

findings. This is a result of enhanced core competency and 

education on ADA requirements, increased stakeholder 

coordination and a focus on remediation through regular 

maintenance processes. The AOC also logs and maintains 

actions on ADA findings in the AOC’s work order system 

to better account for and close findings. The AOC baselined 

the number of closed findings in FY 2020 and is evaluating a 

measurement target for FY 2021. Baseline Established 

FUTURE EFFORTS

Looking ahead, the AOC will continue to implement 

enterprise-level initiatives through the AOC’s Performance 

Plan and work on strategic initiatives efforts delayed by 

COVID-19. 

In FY 2021, the AOC will use the project management 

system for all study, design and construction projects. 

The agency will also leverage lessons learned from the 

development of the RACI matrices to make project team 

members aware of their roles and responsibilities. The 

AOC will complete a comprehensive update of the project 

management manual to integrate key planning processes. The 

AOC will continue to measure and report on project delivery 

KPIs for timeliness, budget and safety as well as set baselines 

and targets for KPIs associated with project delivery at high 

quality and with minimal unplanned disruptions. A new 

enterprise asset management program will also be introduced 

to improve the life cycle and efficiency of building equipment 

and systems, maintenance schedules, procurement, employee 

skills and tools.

Above The AOC works around the clock, 365 days a year, to maintain the iconic buildings and grounds under its stewardship.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

6 6

STR ATEGIC GOAL 2

P R O V I D E E X T R A O R D I N A R Y 

SERVICES

Goal Description: We support our prestigious occupants in 

their critical mission to govern our country. We fulfill the 

journey of visitors from across our nation and around the 

world to celebrate and discover the center and symbol of 

American democracy. Our internal and external services are 

equally essential in the successful fulfillment of our mission, 

values and vision.

This strategic goal aims to advance an organizational culture 

that is focused on consistently recognizing and meeting 

customer needs by being responsive and courteous and 

taking ownership for actions. The goal includes one strategic 

objective supported by two strategies for which the AOC 

implements two strategic initiatives. The AOC monitored 

four KPIs for this strategic goal in FY 2020, summarized 

in Figure 30.

Table 14 defines the types of customer services associated 

with this strategic goal. The term “client” includes members 

of Congress and the Supreme Court, their staff and 

employees of other federal agencies working in AOCmanaged facilities. The term “visitors” encompasses all 

persons coming to Capitol Hill, whether for business or 

leisure. The term “internal” refers to AOC employees.

Strategic Objective 1.0: 

Demonstrating our expertise while exhibiting 

responsiveness, ownership and courtesy to all internal 

and external customers 

This strategic objective focuses the agency’s workforce on 

delivering extraordinary customer service to the AOC’s 

internal and external stakeholders. To achieve this strategic 

objective the AOC employs two strategies. 

Figure 30

Key Performance Indicator Results Achieved for 

Strategic Goal 2: Provide Extraordinary Services

 

Above This fiscal year, the AOC was honored to support the lying in state ceremony for Congressman Elijah Cummings, held in the U.S. Capitol’s 

National Statuary Hall in October 2019.
SECTION 2 Performance Information

67 Table 14

Customer Types Associated with the Provide 

Extraordinary Services Strategic Goal

CUSTOMER TYPE DESCRIPTION

Client Services Client services include normal and 

special request services provided to 

building tenants. A service call, written 

request or technician work order 

typically initiates normal client services 

(e.g., painting services, deliveries and 

picture framing). Client services also 

include special event support (e.g., 

presidential inauguration) and the 

biennial election year office moves. 

Visitor Services Visitor services include the AOC efforts 

to provide a welcoming, informative 

and inspiring experience for Capitol 

campus visitors. The AOC provides 

public tours, training, exhibitions 

and lectures to enhance the visitor 

experience and manages restaurant 

and gift shop operations.

Internal Services The AOC has many collaborative 

partnerships among its business units. 

Internal customer services include 

human resources, contracting and 

procurement, information technology, 

security, safety, financial services, 

project management, strategic 

planning and communications.

Under the first strategy, the agency administers customer 

satisfaction surveys for each major line of business to 

understand how customers view the quality and types of 

services provided by the AOC. In FY 2020, The AOC 

developed a customer service analytics framework leveraging

industry standards and best practices to identify indicators, 

surveys and data-gathering mechanisms for each jurisdiction

to regularly collect and assess customer feedback. It 

includes the capture of real-time customer service data from 

automated systems and after-action or post-event surveys. 

Newly designed enterprise client, visitor and internal surveys

will be conducted annually or biennially for in-depth 

analysis. Data and indicators will be compiled into KPI 

dashboards that will be used to monitor performance and 

make improvements through data-driven decisions. In FY 

2020, the AOC conducted a survey of building occupants to 

better understand current levels of customer sentiment and 

satisfaction with services. The data and analysis from the 

surveys will inform and prioritize actions to elevate levels of 

customer satisfaction. See Figure 31 for the schedule of the 

AOC’s customer satisfaction surveys for FY 2020 and FY 

2021. 

The second strategy seeks to improve the AOC’s ability 

to understand and enhance the customer experience. To 

operationalize this strategy, the AOC launched a customer 

experience (CX) program in FY 2019 as part of the AOC 

CX Strategy and Roadmap. In FY 2020, the CX program 

activities included:

 CX Champions Group — Formed the AOC CX 

Champions Group to facilitate continued knowledge 

sharing, cross-organizational collaboration and 

shared learning on customer service and experience 

best practices

 CX training — Developed training for all supervisors 

and employees to enhance customer service skills and 

strengthen a customer-focused mindset

 Customer service standards for inclusion in employee 

performance plans — Researched customer service 

standards that apply to elements of employee 

performance and compiled applicable standards by 

customer group and position type

STRATEGY STRATEGIC INITIATIVE

 Regularly administer and 

refine, as appropriate, 

customer satisfaction 

surveys for each major line 

of business in the AOC 

 Enhanced customer service 

analytics

 Enhance the AOC’s ability 

to understand and respond 

to customer needs and 

enhance the customer 

experience

 Customer experience 

program

A N A LY S I S O F F Y 2 0 2 0 R E S U LT S 

The AOC met two of the three KPIs measured in FY 2020 

associated with this strategic objective and baselined one.

Customer Satisfaction With Projects (ES KPI 1)

This annual KPI measures customer satisfaction with AOCled design services and construction management to ensure 

the AOC delivers construction projects with high customer 

satisfaction. A customer satisfaction survey following the 

completion of projects provides the data for this KPI. The 

target for this KPI is a 90.0 percent satisfaction rating. 

Figure 31

FY 2020–FY 2021 Customer Satisfaction 

Survey Schedule

FISCAL YEAR 2020 2021

Internal Customer Satisfaction 

CVC Customer Satisfaction Survey 

Customer Satisfaction with Projects  

Facility Management 

Customer Satisfaction Survey 
6 82020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

Capitol Highlights

T H E A O C S U P P O R T S T H E LY I N G I N S T A T E 

C E R E M O N I E S F O R T H R E E H I S T O R I C 

PU BLIC SERVA N TS

The U.S. Capitol is considered the most suitable place for 

the nation to pay final tribute to its most distinguished 

citizens by having their remains lay in state. In FY 2020, 

the AOC was honored to support the lying in state of U.S. 

Congressman Elijah Cummings, U.S. Congressman 

John R. Lewis and Supreme Court Justice Ruth Bader 

Ginsberg — all venerated champions of human rights.

Representatives Cummings and Lewis shared much in 

common. Both were sons of sharecroppers who rose to 

become civil rights leaders and congressmen. As longserving representatives, they were among the most 

esteemed members of Congress. Mr. Cummings, first 

elected in 1996, was serving his 13th term in the House 

of Representatives. He had previously served for over a 

decade in the Maryland House of Delegates. Mr. Lewis, 

known for his activism during the civil rights movement, 

was first elected to Congress in 1986 and was serving his 

17th term in the House, where he was also the dean of the 

Georgia congressional delegation.

Justice Ginsburg, a leading litigator for women’s rights 

in the 1970s, was nominated in 1980 to the U.S. Court of 

Appeals for the District of Columbia by President Jimmy 

Carter. In 1993, Justice Ginsburg was nominated to the 

Supreme Court of the United States by President Bill 

Clinton and confirmed by the United States Senate — 

becoming the second woman to serve on the nation’s 

highest court.

The AOC coordinates teams across the Capitol campus 

for lying in state ceremonies, ensuring that no detail 

is overlooked. The ceremony for Mr. Cummings took 

place on October 24, 2019 in National Statuary Hall, 

with a public viewing at the entrance to the House 

Chamber in the U.S. Capitol Building. The ceremony for 

Mr. Lewis was held on July 27-28, 2020 and included 

a small memorial service in the Rotunda, followed 

by a public viewing on the U.S. Capitol’s East Front 

steps. After lying in repose in front of the Supreme 

Court of the United States on September 23-24, 2020, 

Justice Ginsburg became the first woman and the first 

Jewish person to lie in state at the U.S. Capitol, with a 

ceremony in National Statuary Hall on September 25, 

2020. The ceremonies for Mr. Lewis and Justice Ginsburg 

accommodated COVID-related safety measures.

For a complete list of those who have lain in state or 

honor*

 at the U.S. Capitol, visit www.aoc.gov/what-wedo/programs-ceremonies/lying-in-state-honor

*The lying in state ceremony is held for eminent government 

officials and military officers, while the lying in honor is for select 

private citizens.
SECTION 2 Performance Information

In FY 2020, the AOC conducted 45 project surveys, 69

including surveys related to the design services for the 

Thomas Jefferson Building’s gift shop renovation, ceiling 

updates at the Russell Senate Office Building and sprinkler 

system upgrades in the Madison Building. Based on the 

surveys completed in FY 2020, the AOC achieved a 95.0 

percent satisfaction rating. As shown in Figure 32, this is 

the sixth year in a row that the AOC has met or exceeded 

its goal. This was the first full year of the redesigned survey 

that incorporated questions and themes aligned to attributes 

with the Maintain Awe-Inspiring Facilities goal linked to 

schedule, budget, quality, safety, minimized disruptions 

and collaboration. A free text field in the new survey tool 

captured recommendations for improvement from customers 

that will be used to develop process enhancements going 

forward. Target Met 

NEW! Employees Trained on the AOC’s Customer Service 

Philosophy (ES KPI 2)

The CX program developed materials for an in-person 

customer experience training for staff and supervisors. This 

training is intended to strengthen employee competence 

in effective customer service delivery and is tailored for the 

customer groups that the AOC workforce serves and the types 

of services that they provide. The target for this KPI was to 

develop and provide training to 100 percent of AOC staff and 

supervisors in FY 2020. While the AOC was able to develop 

and pilot the training, the COVID-19 pandemic prevented 

the AOC from delivering the training to the workforce. 

The AOC began exploring virtual delivery methods for the 

training and updating the training schedule to ensure that all 

employees can participate and benefit from the training. As a 

result, the AOC has pushed the implementation of its training 

to FY 2021. Target Not Met 

NEW! TripAdvisor Ratings (ES KPI 3)

This KPI provides an external benchmark on the level of 

visitor satisfaction with their experience at the U.S. Capitol 

Visitor Center (CVC) and U.S. Botanic Garden (USBG). 

Visitors’ ratings and responses are recorded through 

TripAdvisor inputs and assessed for themes in comments on 

what visitors liked or disliked about their experience. The 

target for this KPI is to achieve a score equal to or greater 

than the previous year. In FY 2020, the CVC average score 

was 4.5 on a scale of 5. Scoring on the individual responses 

equate to a 93.0 percent satisfaction rate (5.0 percent higher 

than FY 2019). The USBG achieved an average score of 4.5 

this fiscal year, equating to a 92.7 percent satisfaction rate 

(2.1 percent higher than FY 2019). Target Met 

NEW! Adherence to Procurement Acquisition Lead Times 

(PALT) (ES KPI 4)

This annual KPI measures the level of internal customer 

service provided by the Acquisition and Material 

Management Division (AMMD) to the AOC business 

units. The expedient awarding of contracts and the 

procurement of supplies and materials has a direct impact 

on the ability of the AOC to fulfill its mission. AMMD 

recently revised the number of Procurement Acquisition 

Lead Times categories from six to 13 to enhance 

performance by assessing a higher-fidelity breakdown of 

award types to improve the quality of service. For FY 2020, 

AMMD established a baseline in each of the 13 categories 

to develop performance targets. Baseline Established 

FUTURE EFFORTS

In FY 2021, the AOC will begin a phased implementation 

of refined customer experience indicators, customer surveys 

and regular feedback collection tools for all jurisdictions, 

include customer service standards as part of the new 

employee performance communication and evaluation 

system and begin to roll out the delayed CX training.

Figure 32

Customer Satisfaction with Projects

 

 

 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

70

STR ATEGIC GOAL 3

F O S T E R A N I N N O V A T I V E A N D 

EMPOWERED WORKFORCE

Goal Description: An empowered workforce will exercise 

greater responsibility for its performance, and proactively 

apply well-informed judgment and innovation to solve 

problems with solutions that focus on results.

This goal drives the AOC’s efforts to create a work 

environment that rewards excellence and creativity and 

assists the AOC in attracting, developing and retaining 

exceptional employees. The goal includes three strategic 

objectives and nine strategies. The AOC has focused on 

12 enterprise-level strategic initiatives that are crucial for 

accomplishing the goal’s objectives and strategies. The 

AOC identified 23 KPIs for this strategic goal in FY 2020, 

summarized in Figure 33.

Strategic Objective 1.0:

Strengthen employee performance through improved 

development and accountability practices

This strategic objective promotes stronger performance and 

technical competency by ensuring that AOC employees 

receive clear performance expectations, regular training 

and development opportunities and reliable accountability 

reviews. Four strategies and two initiatives support this 

strategic objective.

ANALYSIS OF FY 2020 RESULTS

The AOC measures progress toward this objective through 

six KPIs. Due to COVID-19, the AOC did not measure 

three KPIs associated with the FEVS. Of the remaining 

three KPIs, the AOC met one and did not meet two.

The AOC made progress on this strategic objective in FY 

2020 through implementation of two strategic initiatives. 

Agency leadership approved requirements developed by 

a cross-jurisdictional group to reengineer the agency’s 

Performance, Communications and Evaluation System 

Figure 33

Key Performance Indicator Results for 

Strategic Goal 3: Foster an Innovative and 

Empowered Workforce

 

 

Above The AOC is undertaking a series of 3D imaging scans of its significant architectural and sculptural assets to ensure their preservation. Seen here, 

the AOC’s photography branch makes a 3D scan of the plaster model of The Apotheosis of Democracy, the marble sculptural pediment located over the 

House wing on the U.S. Capitol’s East Front.
SECTION 2 Performance Information

71

(PCES) in FY 2020. The reengineered PCES will more 

effectively communicate performance expectations and 

evaluate performance outcomes. These include:

 Strengthening the connection between individual and 

organizational performance

 Increasing the range of performance rating levels from 

three to five

 Streamlining midyear performance 

feedback requirements

 Incorporating the AOC’s core values into 

performance elements

The AOC began updating its PCES policy and 

documentation in FY 2020 and expects to complete this 

effort and provide training to staff on the updated system 

in FY 2021. In addition, the agency completed phase one 

of its internal learning management system enhancement, 

launching the fully redesigned “AOC Learn” training 

portal with the mandatory standards of conduct training. 

This phase also includes a new portal page with training 

opportunities, course details, a completion tracker 

for mandatory requirements and autogenerated email 

notifications to employees and supervisors. 

Employee Nonmandatory Training (IEW KPI 1)

This KPI measures the AOC’s efforts to provide professional 

training that strengthens the knowledge, skills and abilities 

of the workforce. While the AOC’s mandatory training 

requirements (e.g., computer security awareness, fraud 

awareness and standards of conduct) deliver a universal 

foundation for all agency employees, the nonmandatory 

training provides opportunities for employee development 

and learning that expands their knowledge base. The target 

for this KPI is for one-third of the workforce to receive 

nonmandatory training each fiscal year and for 100 percent 

of the workforce to receive nonmandatory training every 

three fiscal years. Due to COVID-19 impacts, the AOC was 

only able to provide nonmandatory training to 30.0 percent 

of its workforce in FY 2020, missing its annual performance 

target. Target Not Met

NEW! Supervisors Trained in PCES (IEW KPI 2)

This KPI measures the number of supervisors who were 

provided training on new features in the AOC’s enhanced 

PCES system. That target for the KPI was to have 100 

percent of supervisors trained. Due to COVID-19, planned 

enhancements have not been implemented and a new online 

performance system has not been procured. As a result, 

training for all AOC supervisors is not anticipated until FY 

2021. Target Not Met 

NEW! Customer Service Performance Standards Developed 

(IEW KPI 3)

This single-year KPI measures positions for which customer 

service standards were developed for use in employee 

performance plans. In FY 2020, the AOC researched 

applicable customer service standards for the three main 

customer groups the agency serves — clients, visitors and 

internal staff — and developed standards for demonstrating 

the AOC customer service philosophy elements of 

responsiveness, ownership and courtesy that are applicable 

to all position types and customer groups. The target for this 

KPI was to establish customer service standards for each 

position type. The AOC met this target by publishing the 

standards in the second quarter of FY 2020. Target Met 

Strategic Objective 2.0:

Cultivate high employee engagement in the workplace

This strategic objective promotes the AOC’s commitment 

to increasing employee engagement in the workplace 

through improved employee development and accountability 

practices. Three strategies and three strategic initiatives 

support this strategic objective.

STRATEGY STRATEGIC INITIATIVE

 Reduce bureaucracy and 

promote innovation to 

enable decision-making 

that supports service 

delivery

 Continuous process 

improvement program

 Promote fairness by refining 

the system for tracking 

rewards and recognition

 AOC rewards and 

recognition

 Promote fairness in 

hiring and promotions by 

providing supervisors and 

employee training in hiring 

processes and by providing 

feedback to all internal 

applicants not selected 

in the standard recruiting 

processes

 Biennial training for 

supervisors and employees 

in hiring processes and 

career management

STRATEGY STRATEGIC INITIATIVE

 Provide employee training 

in job-related knowledge, 

skills and abilities and/or 

desired behaviors

 Provide supervisory training 

and coaching on effective 

employee performance 

management

 Incorporate the AOC core 

values and customer service 

philosophy into the PCES

 Enhanced employee 

Performance 

Communication and 

Evaluation System (PCES)

 Deploy a training 

management system that 

enables supervisors to track 

the required training

 Learning management 

system
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

72 ANALYSIS OF FY 2020 RESULTS

The AOC measures progress toward this objective through 

eight KPIs. Due to COVID-19, the AOC did not measure 

five KPIs associated with the FEVS. The AOC did not meet 

the targets for the remaining three.

To cultivate employee engagement and promote innovation, 

the AOC’s continuous process improvement program 

trained 20 staff members in improvement methodologies to 

support jurisdictions in their efforts to reduce bureaucracy 

and promote innovation. The program facilitated a project 

with the Capitol Power Plant to simplify procedures, create 

a culture of continuous improvement and drive operational 

performance through a more efficient and data-informed 

procurement process. 

To ensure fairness in its awards process, the agency analyzed 

monetary and time-off awards by job groups, as well as 

by race and national origin. The findings were shared 

with agency leadership and will be used to strengthen the 

awards process. Although the AOC continued offering 

its semiannual Hiring 101 course to train supervisors to 

administer the hiring and promotions processes fairly, 

COVID-19 impacted the number of supervisors who 

received training in FY 2020. 

Business Units With a Bureaucracy Reduction (IEW KPI 4)

This biennial KPI measures the extent to which AOC 

business units reduced bureaucracy and promoted 

innovation. The AOC’s target for this KPI is for 100 percent 

of business units to implement a bureaucracy reduction effort 

to enable decision-making in support of service delivery 

at the lowest practical levels, or to streamline processes to 

simplify and expedite service delivery. In FY 2020, 88.2 

percent of business met the target. Target Not Met 

Nonselected Internal Candidates Offered Feedback 

(IEW KPI 5)

This KPI measures the AOC’s commitment to supporting 

employee career growth by offering feedback to a target of 

100 percent of internal candidates who were interviewed but 

not selected for positions within the agency. The feedback 

is intended to support continued development and allow 

employees to use feedback received to improve their ability 

to successfully compete for promotional or other career 

growth opportunities. This fiscal year, the AOC developed 

new guidance for hiring managers to effectively offer and 

deliver feedback and a new process for more efficiently 

tracking whether that feedback has been offered. The AOC 

offered feedback to 91.8 percent of unsuccessful internal 

applicants in FY 2020. Target Not Met 

NEW! Supervisors Trained in Fair Hiring Procedures 

(IEW KPI 6)

This one-year KPI measures how many supervisors completed 

the AOC’s Hiring 101 curriculum. The target for this measure 

is for 100 percent of supervisors to complete the course. Due 

to COVID-19, this in-person class was not available after 

March and 23 supervisors completed the class in FY 2020, 

Capitol Highlights

SELF-I NSPEC T IONS 

I M PROV E 

WORKPLACE SAFETY

Safety is a fundamental value at the AOC. The agency 

is committed to achieving and sustaining an incidentfree environment by integrating safety into facility 

operations, maintenance and services. Driving these 

efforts is the AOC’s Safety, Fire and Environmental 

Programs (SFEP), which oversees safety programs for all 

who work within or visit the Capitol campus.

One of the important ways in which the AOC advances 

its safety efforts is through self-inspections. Selfinspections empower jurisdictions to take responsibility 

for safe and environmentally compliant work areas by 

training their staffs to identify and correct risks. The 

self-inspections also allow the AOC’s safety specialists to 

interact directly with employees, answering questions 

and addressing potential concerns.

The Capitol Building jurisdiction has taken a pioneering 

role in implementing safety self-inspection programs. 

Self-inspections are scheduled approximately once 

a month while daily inspections are performed by 

the Capitol Building’s safety and occupational health 

specialist and occupational health manager. As a 

result, leadership has gained a systemic understanding 

of the efforts and resources required to optimize 

workplace safety.

The AOC designed and manages an electronic tool to 

standardize inspections and track findings. “Safety is one 

of our core values,” said SFEP Director Pat Williams, “and 

inspections are an important way for the AOC to ensure 

a safe environment for all who work in or visit the Capitol 

campus and AOC-managed facilities.”
SECTION 2 Performance Information

bringing the total number of supervisors trained to 262, or 63 73

percent of the AOC’s supervisors. The AOC plans to resume 

classes in FY 2021. Target Not Met 

Strategic Objective 3.0: 

Provide for the security and safety of every 

AOC employee

The AOC is committed to ensuring the health, safety 

and security of AOC employees. To that end, the AOC 

mandates that all employees participate in regular safety, 

injury avoidance and emergency preparedness training. 

This training, along with regular safety communications 

and protocols, improves the awareness, preparedness and 

performance of the AOC’s safety and security programs. 

Two strategies and two strategic initiatives support this 

strategic objective.

STRATEGY STRATEGIC INITIATIVE

 Develop and deliver training 

and communication 

to improve awareness, 

preparedness and safety / 

security performance

 AOC Emergency 

Management Program 

 Routinely self-identify and 

self-correct risks to ensure 

a safe and environmentally 

compliant work 

environment

 Facility life safety, fire and 

environmental inspection 

checklist

ANALYSIS OF FY 2020 RESULTS

The AOC measures progress toward this objective through 

nine KPIs. Due to COVID-19, the AOC did not measure 

two KPIs associated with the FEVS. Of the remaining 

seven KPIs, the AOC met the targets for four and did not 

meet the targets for three. In FY 2020, the AOC began 

implementing the first phase of its updated emergency 

management program to further enhance the capability to 

manage, monitor and assess potential threats and hazards, 

and to bring its program in line with Federal Emergency 

Management Agency’s (FEMA) guidance. The agency 

also developed online emergency preparedness training 

topics for staff. This effort began prior to COVID-19 and 

proved useful in providing remote training opportunities 

during the pandemic. Due to the pandemic, many of the 

resources necessary for the planned activities were redirected

and activities were placed on hold. To enhance emergency 

preparedness and management, the AOC plans to conduct 

an after-action review that will incorporate lessons learned 

during the pandemic response. The AOC also began using 

standard checklists to support jurisdiction self-inspections 

of compliance with facility safety and environmental 

requirements and instituted a reporting mechanism, the 

Inspection Findings Module, to effectively plan for and 

track actions and remedy findings. Due to COVID-19, 

the jurisdictions had limited capacity to conduct selfinspections, identify areas for improvement or report 

findings and lessons learned. 

Injuries and Illnesses Rates (IEW KPI 7)

This annual KPI assesses the AOC’s ability to ensure a safe 

workplace. The AOC’s target is to achieve a lower rate of 

injuries and illnesses (I&I) in FY 2020 than in FY 2019. 

In FY 2020, the AOC’s I&I rate was 1.67 — a significant 

reduction over the FY 2019 rate of 2.23 (Figure 34). This 

reduction is in part due to having fewer staff working on-site 

during the COVID-19 pandemic. The most common injuries 

in FY 2020 were contusions, sprains and strains. The most 

frequent causes of injury were related to inattention and wet or 

slippery surfaces. The AOC, through its ISMS, also assessed 

the health of the electrical/arc flash program to identify 

program gaps and develop corrective actions that reduce safety 

risks to AOC employees. Target Met 

Injuries and Illnesses Rate (Rolling Five-Year Average) 

(IEW KPI 8)

This annual KPI measures the long-term AOC workplace 

safety trends through the rolling I&I average for the 

previous five fiscal years. This calculation minimizes the 

impact of an outlier fiscal year. The target for this KPI is 

a reduction over the five-year average from the prior fiscal 

year. As shown in Figure 35, the AOC achieved a five-year 

rolling average of 2.28 in FY 2020, marking the second 

consecutive fiscal year of a reduction to the rolling average 

I&I rate. Target Met 

NEW! Workers’ Compensation Cases (IEW KPI 9)

This KPI measures the outcomes of more serious injuries 

sustained by employees while on the job. The number of 

Figure 34

Injuries and Illnesses Rate

 

 

 

 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

74 workers’ compensation cases has declined for the past six 

years through enhanced safety programs and a concerted 

effort to challenge debatable claims. In FY 2020, the 

total yearly lost-time work hours charge fell by 764 hours 

— from 2,955 to 2,191 — reducing the lost-time cost by 

more than $32,379. The reduced number of on-site staff 

due to COVID-19 also created fewer opportunities for 

work injuries and cases recorded. The target for this KPI is 

for fewer recordable workers’ compensation cases than the 

previous fiscal year, or zero recorded cases. As shown in 

Figure 36, the AOC met their target by having 15 fewer 

cases than the previous year. Target Met 

Business Units That Have Reviewed Emergency Procedures 

Within the Fiscal Year (IEW KPI 10)

This annual KPI measures the adherence to the AOC’s 

policy that all business units complete an annual review of 

emergency procedures with all employees. The target for this 

KPI is that 100 percent of AOC business units review their 

procedures. As shown in Figure 37, the AOC business units 

achieved a 100 percent rate for this important safety task in 

FY 2020. Target Met 

Business Units That Conducted Emergency Exercises 

Within the Fiscal Year (IEW KPI 11)

This annual KPI measures the AOC’s commitment to 

emergency preparation by conducting emergency exercises. 

The target for this KPI is that all AOC jurisdictions conduct 

two exercises each year and that all agency business units 

conduct one annual exercise. This fiscal year, 94.1 percent 

of business units and jurisdictions conducted emergency 

exercises. See Figure 37. Target Not Met 

Jurisdictions That Completed All Routine Self-Inspections 

On Time (IEW KPI 12) 

This KPI measures the ability of jurisdictions to complete 

routine self-inspections on time. Adherence to routine 

internal inspections can prevent external safety and 

environmental inspection findings and result in quicker 

mitigation of issues before they result in injury or regulatory 

noncompliance. The target for this KPI is that jurisdictions 

complete 100 percent of internal safety and environmental 

self-inspections on time. As shown in Figure 37, the AOC 

completed 76.5 percent of the relevant agency inspections as 

scheduled. This marks the third year in a row the AOC has 

missed this target. Target Not Met 

External Safety and Environmental Inspection Findings 

(IEW KPI 13)

This KPI measures the number of environmental and safety 

inspection findings identified by the OCWR. During 

each congressional cycle, the OCWR assesses the AOC’s 

spaces for hazards that require corrective action. The target 

for this measure is to have fewer findings than the rolling 

six-year average. Although the OCWR found 313 fewer 

instances of noncompliance in FY 2020 than the previous 

fiscal year, the six-year average was exceeded for the third 

straight year (Figure 38). This is in part due to a change 

Figure 36

Workers’ Compensation Cases

 

 

 

Figure 35

Injuries and Illnesses Rate 

Rolling Five-Year Average

 

 

 
SECTION 2 Performance Information

75

in OCWR’s methodology that results in documenting the 

same finding in multiple locations as separate findings. The 

AOC, through its Safety, Fire and Environmental Programs 

(SFEP), is working to continually improve its environmental 

program assessments. During this year’s inspections, the 

root causes for many findings were a lack of staff training. To 

correct this, SFEP is developing specific training for staff in 

order to raise awareness of what actions or inactions can lead 

to violations and what to do to prevent these hazards. Target 

Not Met 

Federal Employee Viewpoint Survey Results at the AOC

The AOC administers the FEVS biennially to gather 

feedback from its employees on their perceptions of their 

work experiences, agency and leadership. Analysis of the 

FEVS data is used to calculate agency rankings in the 

Partnership for Public Service (PPS) Best Places to Work in 

the Federal Government® report. OPM postponed the start 

of the FY 2020 FEVS to enable agencies to support critical 

missions during the COVID-19 pandemic. The AOC 

postponed the administration of this survey. As a result, the 

outcomes for all FEVS-related KPIs appear in this FY 2020 

report as “Not Measured,” and the AOC will include the 

survey results in its FY 2021 PAR. For all existing FEVS 

KPIs, the AOC benchmarked its performance against the 

FY 2018 survey results. The AOC also introduced four new 

KPIs related to interjurisdictional collaborations for which 

the AOC will establish a baseline performance level. A brief 

summary follows in Table 15. 

Figure 38

External Safety and Environmental 

Inspection Findings

 

Figure 37

Jurisdiction Emergency Procedures and Routine Inspections Measures

 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

76 Table 15

Key Performance Indicators based on the FEVS

KEY

PERFORMANCE 

INDICATOR

DESCRIPTION STRATEGIC 

OBJECTIVE

KPI 

NUMBER

FY 2016 

RESULTS

FY 2018 

RESULTS

FY 2020 

RESULTS

Development Benchmarks skill improvement, job 

knowledge and continual learning 3.1 IEW 14 69.2% 72.9% N/A

Accountability Benchmarks performance, results, 

appraisals and continual improvement 3.1 IEW 15 69.1% 70.2% N/A

Coaching

Benchmarks meaningful supervisoremployee discussions and constructive 

suggestions to improve performance

3.1 IEW 16 73.9% 75.5% N/A

Best Places to 

Work Ranking

Benchmarks the AOC’s favorability rating 

against similarly sized federal agencies 3.2 IEW 17

11th out of 

27 midsized 

agencies*

Ninth out of 

27 midsized 

agencies

N/A

Best Places to 

Work Favorability 

Score

Benchmarks the AOC’s favorability score 

in the FEVS survey and is an analogue to 

the PPS Best Places to Work in the Federal 

Government ranking **

3.2 IEW 18 72.9% 76.4% N/A

Innovation

Benchmarks encouraging new and better 

methods, rewarding creativity, decisionmaking and the removal of barriers3.2 IEW 19 61.6% 64.4% N/A

Rewards and 

Recognition

Benchmarks job performance, quality of 

results and recognition for good work 3.2 IEW 20 58.3% 60.8% N/A

Hiring and 

Promotions

Benchmarks job opportunities, meritbased promotions and leadership 

opportunities

3.2 IEW 21 46.6% 49.9% N/A

Safety

Benchmarks work conditions, health and 

safety job hazards, safety enforcement, 

reporting, tools and preparedness

3.3 IEW 22 81.3% 82.1% N/A

Security

Benchmarks security threat preparedness, 

workplace emergency procedures and 

workplace violence

3.3 IEW 23 87.1% 88.5% N/A

Collaboration Benchmarks internal / external 

cooperation and knowledge sharing 4.1 OTOM 2 71.5% 75.7% N/A

Communication Benchmarks dialogue, listening and 

information dissemination 4.1 OTOM 3 70.7% 73.4% N/A

Alignment Benchmarks work related to agency 

mission, goals and priorities 4.1 OTOM 4 76.2% 78.7% N/A

NEW!

Opportunities 

Provided (own 

jurisdiction)

Benchmarks whether employees are 

provided work opportunities in other 

areas within their jurisdiction

4.1 OTOM 5 N/A N/A N/A

NEW!

Opportunities 

Provided (other 

jurisdictions)

Benchmarks whether employees are 

aware of work opportunities in other 

jurisdictions

4.1 OTOM 6 N/A N/A N/A

NEW! Participated 

in Opportunities 

(own jurisdiction)

Benchmarks whether employees are 

participating in new work opportunities 

within their jurisdiction

4.1 OTOM 7 N/A N/A N/A

NEW! Participated 

in Opportunities 

(other 

jurisdictions)

Benchmarks whether employees are 

participating in new work opportunities in 

other jurisdictions

4.1 OTOM 8 N/A N/A N/A

 * The Partnership for Public Service defines midsize government agencies as those with 1,000 to 14,999 employees.

** The overall score is based on three factors: whether employees recommend the organization as a good place to work, job satisfaction and 

satisfaction with the organization.
SECTION 2 Performance Information

FUTURE EFFORTS 77

Looking ahead, the AOC will continue to implement 

strategic initiatives advancing employee performance 

and engagement and improving the work environment. 

Initiatives will include the implementation of phase two of 

the AOC’s learning management system, which will provide 

individualized training requirements and offer curricula 

for recurring safety, contracting officer representative 

requirements, appropriations law and ethics training. 

The AOC will also implement the enhanced employee 

performance communication and evaluation system, 

procure an online performance management system and 

provide training to supervisors and staff on the system’s new 

capabilities, including training for supervisors who handle 

crucial communications with staff. The AOC will continue 

cultivating high employee engagement by scaling the 

continuous process improvement program and implementing 

improvements for its awards and recognition processes and 

programs. To ensure a safe and secure workplace, the AOC 

will implement the emergency management communications 

plan, develop after-action reports to enhance emergency 

preparedness (including pandemic lessons learned) and 

identify areas of improvement for the self-inspection process.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

78

STR ATEGIC GOAL 4

O P E R A T E A S O N E T E A M , 

DEDICATED TO ONE MISSION

Goal Description: We must recognize and value that what may 

appear to be competing priorities for different AOC functions 

are ultimately in service to our united mission, vision and 

values.

This goal promotes communication and collaboration within 

and among the agency’s jurisdictions and administrative 

offices to create a more efficient and effective organization. 

The goal includes two strategic objectives and three 

strategies. The strategic initiatives direct the AOC’s efforts 

to strengthen collaboration, increase alignment and reduce 

redundancies through intra-agency cooperation and crossagency learning. The AOC had eight KPIs for this strategic 

goal in FY 2020, seven of which are associated with the 

FEVS. As previously discussed, the AOC did not administer 

the FEVS in FY 2020 and could not measure these KPIs. 

See Figure 39.

Strategic Objective 1.0: 

Support the success of others by prioritizing the AOC’s 

mission, values, vision and goals ahead of the interests 

of any individual, work group or business unit

This strategic objective promotes employee collaboration 

and learning through cross-functional projects and activities 

that require a high level of communication, cooperation and 

alignment towards a shared purpose. Two strategies and 

three strategic initiatives support this objective.

Figure 39

Key Performance Indicator Results for Strategic 

Goal 4: Operate as One Team, Dedicated to 

One Mission

 

Above In October 2019, the AOC gathered employees responsible for the Capitol Power Plant’s cogeneration project to celebrate the project’s 

completion at the Architect’s Honor Awards Ceremony. The strategic goal to Operate as One Team, Dedicated to One Mission fosters a culture of learning, 

cooperation and teamwork.
SECTION 2 Performance Information

79

STRATEGY STRATEGIC INITIATIVE

 Each business unit works to 

strengthen collaboration 

and alignment to a shared 

purpose with partners 

across business units by 

improving communication, 

clarifying roles and 

responsibilities and 

improving processes

 Communities@AOC 

 Integrated inventory 

management system

 Each business unit 

establishes opportunities 

for its employees to work 

in other business units 

or closely collaborate 

with employees in other 

business units, as well as 

for employees from other 

business units to closely 

collaborate with or work in 

its own business unit

 Talent Hub

ANALYSIS OF FY 2020 RESULTS

In FY 2020, the AOC intended to measure this objective 

through seven KPIs associated with the FEVS. Due to 

COVID-19, the FEVS was delayed and the AOC did not 

measure the KPIs. With quantifiable data unavailable to 

assess performance on this objective, the AOC instead 

reviewed the implementation of the strategic initiatives. 

The AOC continued efforts to explore a single integrated 

inventory management system. In addition to strengthening 

control and accountability in procurement and property 

management, the system would link work order systems with 

inventory for precise data to inform management decisions. 

In FY 2020, the agency scoped a study to document 

requirements and provide an evaluation of potential systems 

against this need. Further efforts will be considered within 

the lens of an enterprise asset management solution.

The AOC had planned to begin design of a Talent Hub 

to support business units in identifying potential crossorganizational opportunities for their employees and 

advertise opportunities within their own organization 

for other business unit employees. The Talent Hub is 

intended to be accessible to all staff and to share cross-unit 

collaboration and developmental opportunities, such as 

details, special projects and committee opportunities across 

the Capitol campus. Due to COVID-19, development of the 

Talent Hub was placed on hold.

Strategic Objective 2.0:

Strategically plan, allocate and manage resources 

AOC-wide

This strategic objective ensures that the AOC deploys 

resource planning, allocation and management capabilities 

in a systematic manner. One strategy and two strategic 

initiatives support this strategic objective. 

STRATEGY STRATEGIC INITIATIVE

 Determine the AOC’s 

current and future resource 

requirements

 Integrated talent 

management

 Direct digital controls 

skills gap

ANALYSIS OF FY 2020 RESULTS

The AOC measured progress toward this objective through one 

KPI and furthered its advancement through execution of two 

strategic initiatives. In FY 2020, the AOC completed initial 

comprehensive talent management plans for each jurisdiction 

and began their implementation. These annual plans reflect 

a three-prong approach to identify short-term and long-term 

talent acquisition priorities and strategies, succession planning 

and training requirements to attract, engage and retain highperforming talent, as well as to mitigate the loss of institutional 

knowledge when employees separate or retire from the agency. 

These plans serve as shared blueprints to build candidate 

pipelines, remediate talent gaps and ensure succession needs 

are met. As part of the implementation, Human Capital 

Management Division (HCMD) staff visited colleges that 

specialize in artisan trades and the building arts in order to 

develop candidate pipelines for some of the AOC’s hard-to-fill 

positions. HCMD also significantly increased the use of paid 

advertisements in recruitment resources and websites. The 

AOC improved its social media presence, as demonstrated in 

increased page views on Glassdoor, LinkedIn and Twitter. The 

agency’s talent acquisition strategies allowed it to successfully 

fill 385 positions in FY 2020 (these positions included 249 full 

time positions and 136 temporary positions.

The agency also launched the direct digital controls (DDC) 

initiative to address the workforce challenge of a building 

automation and digital controls skill gap this fiscal year. 

The AOC seeks to hire, train, develop and retain highly 

skilled staff to program, operate, maintain and troubleshoot 

performance issues with building automation systems and 

equipment. The AOC made progress in FY 2020 through 

best practice benchmarking efforts with the University of 

Maryland and the National Gallery of Art to identify key 

recruitment and training practices and performance drivers in 

similar organizations. Due to COVID-19, the AOC delayed 

additional plans and will resume these efforts in FY 2021.

Number of Days to Fill a Position: Competitive / Direct Hire 

(OTOM KPI 1)

This indicator is a quantifiable measure of efficiency for 

recruiting actions (advertised positions) and direct hires. 

Recruiting actions and direct hire processes differ in that 

the latter does not require the position to be advertised. As 

an excepted service agency, the AOC has the authority to 

onboard new employees into temporary appointments for 

hard-to-fill positions.10

10 Title 5 U.S. Code § 2103 defines the excepted service as those civil service 

positions that are not in the federal competitive service or the Senior 

Executive Service. The AOC’s hiring policies and practices fall under 

the authority of Title 2 U.S. Code § 1831.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

8 0 In FY 2020, the AOC continued its efforts to reduce the 

hiring timelines and mitigate hard-to-fill positions by 

implementing talent acquisition plans to strategically hire 

and fill positions. This included direct outreach to colleges 

that specialize in trades, like masons and plasterers, and 

schools with curricula geared towards construction and 

building trades. 

This indicator ensures the AOC focuses on hiring quality 

candidates as quickly as possible. It is measured by the 

average number of days required to fill a vacancy, from 

the time of a formal request to the time the new employee 

begins their position. As shown in Figure 40, the AOC met 

its target in FY 2020. Due to COVID-19, the AOC had to 

extend potential candidate referral lists for up to six months, 

as shifting priorities slowed hiring actions. Conducting 

interviews remotely required fluency in audiovisual 

technologies that required more coordination. The process 

for determining selectees’ suitability also took more time, 

further extending the number of days to fill a position. 

Target Met 

For a brief discussion of the seven FEVS-related KPIs 

associated with the One Team, One Mission strategic goal 

(OTOM 2- OTOM 8), see Federal Employee Viewpoint 

Survey Results at the AOC on Page 76.

FUTURE STRATEGY

In FY 2021, the AOC will continue executing initiatives 

that foster greater cross-jurisdictional collaboration by 

piloting additional communities of practice and will 

continue to assess and design a strategy for attracting and 

retaining qualified technicians for the DDCs that regulate 

and automate building systems. 

Figure 40

Number of Days to Fill a Position

 

 

 

 

 
SECTION 2 Performance Information

81

SUPPLEMENT

COVID-RELATED ACTIVITIES

The AOC began monitoring the COVID-19 outbreak in 

December 2019, reviewing emergency preparedness and 

continuity of operations plans to prepare for the impacts of 

a possible pandemic. To continue essential services during 

a rapidly evolving situation, the AOC swiftly adapted 

procedures and created policies and protocols to balance 

fulfilling service requests with protecting employee health 

and safety. The ability to adapt at such a pace required an 

agencywide response. Impacts of COVID-19 on the AOC’s 

performance in achieving its strategic goals and objectives 

have been highlighted throughout the Performance 

Information section. However, the AOC also undertook 

several additional processes and actions in responding to the 

crisis to ensure mission execution and a safe, healthy and 

informed workforce. 

For each of the following areas, the AOC reviewed measures 

and data availability to determine the potential use of 

KPIs to continuously assess and improve performance. 

While most processes did not easily lend themselves to 

an assessment of performance due to data gathering and 

analysis limitations, the agency’s contact tracing process 

did provide regular data that could be used to assess agency 

performance. Contact tracing data also offered insight into 

the effectiveness of agency communication and training 

actions in maintaining a healthy workplace.

Above The AOC created a COVID-19 Pandemic Operations Plan to support the agency in safely adjusting operations to the new normal as the 

Washington, D.C. region moves into recovery mode.

AOC: PANDEMIC OPERATIONS

FULL OPERATIONS

 CAMPUS OPEN TO STAFF AND PUBLIC

LEVEL 1 SUPPORT

 CAMPUS OPEN TO STAFF AND PUBLIC 

WITH ENHANCED PRECAUTIONS

 CONGRESS / SUPREME COURT IN SESSION

LEVEL 2 (ESSENTIAL)

 CAMPUS CLOSED TO PUBLIC

 CONGRESS / SUPREME COURT IN SESSION

LEVEL 3 (CRITICAL)

 CAMPUS CLOSED TO PUBLIC

 CONGRESS / SUPREME COURT NOT IN SESSION
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

8 2 Continuity of Operations 

Fulfilling the AOC’s mission to serve Congress and the 

Supreme Court required the agency to continue essential 

services and functions throughout the COVID-19 

pandemic, while also maintaining health and safety across 

the Capitol campus. The AOC’s Pandemic Operations 

Plan articulates the “new normal” for AOC operations, 

defining agency protocols to help staff remain healthy in 

the workplace and establishing a framework for facility 

maintenance and service provisions across the Capitol 

campus. This framework of operating levels allows the 

AOC to adjust its on-site staffing in response to actions 

of Congress and the Supreme Court and to the mandates 

of local authorities as the circumstances presented by the 

pandemic shift course. 

In keeping with recommendations from the Office of 

Attending Physician (OAP) and the CDC to minimize 

staff in the workplace, the AOC adapted staff scheduling to 

support the continuity of operations during the pandemic. 

These included maximizing telework and relaxing core 

hours, rotating and staggering shifts, modifying employee 

arrival and departure times to avoid congestion and 

providing administrative leave to employees at high risk 

(age 65 years or older and employees of any age who have a 

serious underlying medical condition). To sustain the AOC’s 

staffing of essential functions, the agency took early proactive 

measures, conducting a mass telework exercise in March 

2020 to understand information technology capabilities 

and reviewing and adapting key procedures to support 

staff flexibility. 

The agency moved quickly to modify construction and 

service contacts to incorporate key procedural changes, 

OSHA standards, contact tracing and CARES Act funding, 

among other areas. The AOC was the first legislative branch 

agency to mandate its employees wear face coverings while 

on the Capitol campus and in public spaces. The agency 

provided hand sanitizer, wipes, face coverings and gloves to 

all AOC employees working on-site.

To support fluidity in staffing levels on-site in response to 

congressional service needs, the AOC established a Returnto-Work Tiger Team to create a comprehensive plan that 

supports agency staff in navigating a “new normal.” Six 

working groups developed a mandatory return-to-work 

training video, created employee and supervisor toolkits 

outlining key policies and explaining modified procedures, 

and executed a range of operational modifications to help 

staff maintain safe practices while at work (e.g., new signage, 

office space adjustments and protective plexiglass at highvolume customer interaction points).

Enhanced Facility Cleaning and Disinfection

Since the beginning of the COVID-19 pandemic, the AOC 

has followed rigorous cleaning and disinfecting protocols 

throughout the Capitol campus, coordinating with the OAP 

on appropriate levels of cleaning and disinfection using 

CDC guidelines. A critical element of the agency’s cleaning 

efforts was ensuring the preservation, safety and integrity of 

heritage assets throughout AOC facilities. All “high-touch” 

hard surfaces and common spaces received more frequent 

and enhanced cleaning using disinfecting products approved 

by the Environmental Protection Agency (EPA) for use 

against COVID-19. 

The AOC worked with partner agencies across the Capitol 

campus to establish and implement processes to quickly 

clean and disinfect rooms or spaces identified as being 

visited by any persons suspected or confirmed to have had 

COVID-19. Any space assessed by the OAP as needing 

disinfection received specialized cleaning in accordance 

with CDC guidelines by contractors with expertise in 

comprehensive disinfecting services. The AOC executed 

more than 62 “high-touch” cleaning requests over a fivemonth period, which covered more than 187,000 square 

feet. Additionally, the AOC executed more than 101 

bio-cleaning requests, which covered more than 157,400 

square feet. Areas addressed using specialized cleaning 

procedures included childcare centers, member offices, police 

vehicles and AOC trailers in construction compounds. 

The AOC executed all specialized cleanings as emergency 

responses and completed the cleanings within 24 hours 

of the request’s submission. Additionally, the agency 

increased the number of hand sanitizer stations in buildings 

throughout the Capitol campus to have one at every public 

entrance and dining location.

Supply Acquisition, Management and Distribution

At the onset of the pandemic, the agency worked rapidly 

to identify, source, secure and distribute EPA-approved 

custodial cleaning supplies and personal protective 

equipment (PPE). These services proved to be a vital part 

Above As the COVID-19 pandemic unfolded, the AOC organized 

cleaning protocols needed to keep employees, Congressional members, 

staff and visitors safe.
SECTION 2 Performance Information

8 3

of the support provided not only to AOC jurisdictions, but 

also to other legislative branch agencies. With the global 

supply chain for PPE and cleaning supplies strained, the 

AOC streamlined the acquisition process, modified existing 

contracts and awarded new contracts to obtain scarce 

supplies and materials that were in high demand. 

The agency established a centralized off-site warehouse to 

consolidate supplies and PPE and ensure accurate inventory 

control and delivery efficiency. Once established, the AOC 

coordinated procurement of bulk orders and delivered 

PPE supplies to Capitol campus clients twice per week and 

custodial cleaning supplies once per month. 

Engineering Controls

Based on recommendations from the CDC and the 

American Society of Heating, Refrigerating and AirConditioning Engineers, the AOC increased the amount of 

outdoor air in Capitol campus facilities where possible. By 

filtering, dehumidifying and cooling outside air and then 

pushing it throughout the building, the AOC reduced air 

recirculation in campus facilities and improved the effective 

dilution ventilation per person. 

Contact Tracing

As part of the early monitoring for COVID-19, the AOC 

established protocols to identify infected staff members and 

determine the people and Capitol campus locations with 

which they had been in contact. Coordinating closely with 

the OAP, the agency moved quickly to establish, document 

and train staff on the tools and processes to interview AOC 

employees with suspected or confirmed cases of COVID-19, 

maintain employee privacy in accordance with agency 

policy, assess the spaces and rooms they had visited for 

any specialized cleaning needs, identify each individual’s 

close contacts and notify them to remain at home in selfquarantine. More than 50 staff across the agency received 

contact tracing case management training. The AOC did 

not have widespread transmission of COVID-19 in FY 

2020 and continued to provide essential support to the U.S. 

Congress and the Supreme Court. As a measure of reliability 

and timeliness, the AOC aims to conduct a complete contact 

trace within 48 hours of notification that an employee is 

known or suspected to be COVID-19 positive. This measure 

assesses the AOC’s capacity to conduct contact tracing and 

its preparedness to take action. See Figure 41.

Similar to standards used by many local and state health 

authorities, the agency seeks to inform any close contacts 

identified in the AOC or partner agencies on the Capitol 

campus within 24 hours to stay home and self-quarantine. 

Assessing this measure routinely helps the AOC understand 

the quality and effectiveness of its actions in stopping the 

spread of COVID-19 transmission. As illustrated in Figure 

42, the agency informed identified close contacts in the AOC 

or other partner agencies to quarantine within 24 hours in 100 

percent of AOC staff cases.

The AOC employs contractors to implement projects and 

provide services across the Capitol campus. Contractors 

present an additional risk of COVID-19 transmission 

throughout the campus. Therefore, a key measure of agency 

effectiveness in interrupting the spread of the virus on campus 

is the AOC’s ability to oversee its contractors in carrying out 

their contact tracing responsibilities for their staff working on 

the Capitol campus. See Figure 43. 

Figure 42

Percent of Campus Close Contacts Advised To 

Quarantine Within 24 Hours of Identification

  

Figure 41

Percent of Cases With Contact Tracing 

Completed Within 48 Hours of Notification
Staff Communications and Training

Early in the pandemic, the AOC began providing a daily 

COVID-19 email update to all staff. The emails included 

up-to-date COVID-19 information and resources related 

to teleworking, evolving local government guidance, family 

resources and more. These updates allowed the agency to 

keep its workforce connected and informed. 

To enhance communication with staff during a time of 

maximum telework, the AOC created a weekly “Office 

Hours” session via teleconference for employees and 

supervisors to interact and hear directly from key staff on 

subjects like the Employee Assistance Program, improving 

productivity while teleworking, leave flexibilities and 

conducting successful teleconferences and remote meetings. 

In addition, the agency worked with vendors to move essential 

training online to ensure that AOC staff could complete key 

requirements while working remotely. In addition to issuing 

the Pandemic Operations Plan, the AOC developed a returnto-work video and disseminated toolkits for both employees 

and supervisors returning to on-site work. The return-to-work 

video provided details on key protocols and practices, staff 

responsibilities, contact tracing, special leave options and 

other topics related to pandemic protocol in the workplace. 

Agencywide monitoring was not practicable during the 

pandemic, nor was an all-staff survey on guidance adoption 

of agency protocols. However, the AOC’s contact tracing 

tools and procedures provided consistent data that offered 

the AOC partial insight on how employees adopted social 

distancing and the wearing of face coverings — two key 

protocols for minimizing the spread of COVID-19 on the 

Capitol campus. Though the sample size measured is much 

smaller than the total agency size, the data assessment 

offered opportunities to understand where communication 

efforts could be reinforced to improve employee 

protocol adoption.

According to the CDC, maintaining a social distance of 

at least 6 feet is a key factor in determining if someone is 

a close contact and should self-quarantine. While certain 

essential functions that the AOC performs necessitate 

closer contact for safety or operational purposes, the agency 

assessed the number of close contacts on the Capitol 

campus for each AOC staff confirmed with COVID-19 

on an average monthly basis, as a proxy for how agency 

staff were respecting social distancing guidelines. In 

general, infectious disease transmission decreases when 

the average number of close contacts per case is less than 

one. Assessing this indicator gave the agency an additional 

window of understanding on its performance in preventing 

the spread of COVID-19 on the Capitol campus. Figure 

44 demonstrates a general downward trend in the number 

of Capitol campus close contacts among AOC staff positive 

cases, with the average number of close contacts staying 

at or below one in four of the five months since May 

2020 — indicating good employee adherence to social 

distancing guidance.

While wearing face coverings is not a factor in whether 

someone has close contact, it is effective in slowing the 

transmission of the disease. The agency established a policy 

requiring all employees to wear face coverings on-site in April 

2020 and began tracking through contact tracing protocols 

whether AOC staff were wearing masks during their close 

contact interactions in June 2020, as some staff began returning 

to work on-site. While the agency did not have full adherence 

Above The U.S. Botanic Garden temporarily closed to the public due to 

COVID-19. When possible, public programs and events were rescheduled 

or moved online. 

Figure 43

Percent of Contractor Cases for Which 

the AOC Received Contact Trace (Close 

Contact) Information

2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

8 4
SECTION 2 Performance Information

8 5

to the policy in June, corrective measures by leadership helped 

to improve that trend over the following months, reaching 

100.0 percent by September 2020 (Figure 45). 

The AOC assesses the number of Capitol campus close 

contacts who contract COVID-19 as an overall measure 

of the agency’s ability to stop future transmission. As 

demonstrated in Figure 46, there have been no AOC staff 

members who were close contacts to a Capitol campus 

case that tested positive for COVID-19 during their selfquarantine. However, in April, July and September 2020, 

AOC contractors had staff confirmed with COVID-19 

with close contacts who became positive during their selfquarantine. Because they were identified quickly via contact 

tracing protocols, their quarantine prevented the virus from 

spreading on the Capitol campus.

Figure 46

Percent of Capitol Campus Close Contacts (To a 

Campus Case) That Test Positive

 

Figure 44

Monthly Average of Campus Close Contacts 

from COVID-19 Positive Cases (AOC Staff Only)

 

 

Figure 45

Percent of Campus Close Contacts Wearing a 

Face Mask During Close Contact with an AOC 

Staff Case
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

8 6

Steve Boozer, Capitol Grounds and Arboretum

An automotive mechanic supervisor, Steve consistently exhibits an 

extraordinary level of dedication to any task, regardless of size or 

complexity, which serves as a source of motivation to his team.

Migdali Delgado, Chief Financial Officer

As the jurisdiction’s administrative officer, Migdali provides consistent 

outstanding customer service and works tirelessly to assist her fellow 

Chief Financial Officer team.

Kelly Jenkins, Human Capital Management Division

As a payroll specialist, Kelly monitors the AOC’s time and attendance and 

personnel action processing. She is recognized for her professionalism, 

outstanding customer service, strong work ethic and initiative.

Stephen Jones, U.S. Botanic Garden

An arborist, Steve is committed to growing and displaying the healthiest 

plants possible through technology and innovation. He is a mentor to his 

co-workers and a terrific ambassador to the visiting public.

Matt Kasprzak, Curator Division

As archivist, Matt provided excellent research support for AOC staff seeking 

historical drawings and documents to support restoration and construction 

projects on the Capitol campus.

Kathryn Klakken, Senate Office Buildings

A business financial analyst, Kathryn has provided invaluable financial 

guidance over the past 16 years. Kathryn’s jurisdiction has had the agency’s 

highest budget execution rate for six consecutive years.

Chris Lear, Capitol Building

A general engineer, Chris demonstrated integrity and teamwork in 

resolving project management issues, including Phase 2 of the U.S. 

Capitol Building Exterior Stone and Metal Preservation Project.

Operate as One Team, Dedicated 

Valerie Hasbury, Office of Security Programs

As director of the Office of Security Programs, Valerie led the team 

responsible for the AOC’s COVID-19 pandemic response. Each staff 

member is recognized for their tremendous efforts and support of the 

congressional community. 
SECTION 2 Performance Information

8 7 

to One Mission

Jenna Lemons, U.S. Capitol Visitor Center

Jenna was her jurisdiction’s 2019 Employee of the Year. As scheduler, Jenna’s 

attention to detail, focus and energy ensured the success of many major 

events at the U.S. Capitol Visitor Center.

Marie Lynn, Planning and Project Management

An interior designer, Marie continuously provides extensive design support 

for the AOC jurisdictions and individual members of Congress.

John Moore, Library Buildings and Grounds

A facility project manager, John oversees 4 million square feet of fire 

alarm systems. Based on his reliability and expertise, John is leading his 

jurisdiction’s comprehensive alarm system modernization.

Cristin O’Brien, Safety, Fire and Environmental Programs

A communications specialist, Cristin developed the structure for and 

creates the weekly COVID-19 briefings for the AOC’s executive leadership 

team and the pandemic response working group. 

Keely Shaughnessy, Supreme Court Building and Grounds

An advanced gardener, Keely developed the requirements and annual plant 

selection process for the grounds and courtyards at the U.S. Supreme Court 

Building, which has inspired visitors with its beauty.

Cordell Shields, House Office Buildings

A laborer general supervisor, Cordell’s mentorship has been instrumental 

to his team’s success. He has enhanced operational efficiencies and 

inspired a commitment to getting the job done.

Antonio Sweetney, Capitol Power Plant

Antonio worked through the AOC Architect Mobility Program to become a 

power plant operator. With a can-do attitude and willingness to learn and 

assist others, Antonio has become a valued team member.
03

SECTION
SECTION 3 Financial Information

8 9

Left The AOC completed a comprehensive recoating of the castiron Fountain of Light and Water (commonly known as the Bartholdi 

Fountain), a heritage asset located in the U.S. Botanic Garden’s 

Bartholdi Gardens.

Financial

Information

INTRODUCING THE PRINCIPAL FINANCIAL STATEMENTS

The AOC prepared its Principal Financial Statements to 

report its financial position and results of operations. The 

AOC prepared the Statements from its books and records 

in accordance with formats prescribed by the Office of 

Management and Budget (OMB) Circular A-136, Financial 

Reporting Requirements, revised. The Statements are 

in addition to financial reports prepared by the AOC 

in accordance with OMB and U.S. Department of the 

Treasury (Treasury) directives to monitor and control the 

status and use of budgetary resources, which the AOC 

prepares from the same books and records. The Statements 

should be read with the understanding that they are for 

a component of the U.S. government, a sovereign entity. 

The AOC has no authority to pay liabilities not covered by 

budgetary resources. Liquidation of such liabilities requires 

enactment of an appropriation. The AOC prepares each of 

the Statements on a comparative basis, showing FY 2020 

and FY 2019 results. 

The Balance Sheet provides the AOC’s assets, liabilities and 

net position (unexpended appropriations and cumulative 

results of operations). Net position represents the net 

investment of the U.S. government in the AOC’s assets, 

less liabilities.

The Statement of Net Costs provides the gross costs incurred 

by responsibility segment (AOC jurisdiction), net of any 

exchange or earned revenue from activities. Exchange 

revenue includes income from steam and chilled water 

provided to governmental or private entities, gift shop sales, 

recycling and other sources. The AOC prepares the net 

cost of operations using the proprietary basis of accounting 

and, unlike budgetary accounting, includes costs of services 

provided by other entities, accruals and noncash expenses 

such as depreciation and amortization.

The Statement of Changes in Net Position provides the 

beginning net position, the transactions that affected net 

position during the period and the ending net position.

The Combined Statement of Budgetary Resources presents 

information on the budgetary basis of accounting, including 

the availability of budgetary resources and their status at 

year-end.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

9 0

I am pleased to present the Fiscal Year (FY) 2020 audited 

financial statements in this Performance and Accountability 

Report (PAR). Overseeing the financial operations of our 

organization during the COVID-19 pandemic presented many 

unique challenges this fiscal year, through which the AOC’s 

professional staff exhibited extraordinary dedication and 

flexibility. Together, we ensured the AOC continued to meet 

its mission to serve Congress and the Supreme Court, preserve 

America’s Capitol and inspire memorable experiences.

The AOC’s Chief Financial Officer provides for the 

transparent and responsible management of the public funds 

entrusted to the agency. In FY 2020, the AOC received 

$703.5 million in regular appropriations, plus $25 million 

in supplemental funding from the Coronavirus Aid, Relief, 

and Economic Security (CARES) Act, for a total of $728.5 

million. This amount is a decrease of $21.3 million, or 

3 percent, from the FY 2019 funding level. This year’s 

annual funding total included $231.8 million to fund 

multiyear capital infrastructure projects that will address 

our deferred maintenance and capital renewal backlog, as 

well as attend to needed safety, security and preservation 

projects. The supplemental CARES Act funding allowed the 

AOC to prevent, prepare for and respond to the COVID-19 

pandemic throughout the Capitol campus. 

Annual Financial Statement Audit

The AOC’s annual financial statement audit is an essential 

element in our internal control program and a verification 

and validation of our financial management processes. For 

the 16th consecutive year, the AOC received an unmodified 

(“clean”) opinion on our annual financial statement audit, 

with no material weaknesses and no significant deficiencies. 

These results confirm that our financial statements accurately 

present the financial position of our agency, are free of material 

misstatements and are in conformity with generally accepted 

accounting principles (GAAP). As part of our annual audit, the 

auditors determined there were no instances of noncompliance 

with the laws, regulations or contracts applicable to the AOC. 

In addition, I am proud to report that the AOC received 

multiple awards from the Association of Government 

Accountants (AGA) for financial reporting. For the ninth 

consecutive year, the AOC’s PAR received the AGA’s 

Certificate of Excellence in Accountability Reporting 

(CEAR). Also, our FY 2019 PAR received an AGA CEAR 

Best-in-Class award for Ease of Accessibility to MultiMedia Information and our FY 2019 PAR Highlights 

received a Certificate of Excellence in Citizen-Centric 

Reporting with a note that it “truly sets the standard” for 

citizen-centric government reports. As dedicated stewards of 

taxpayer funds, we are immensely proud of this recognition 

for our reporting and transparency. 

Our Achievements

FY 2020 proved to be unlike any other, and I am incredibly 

proud of our preparedness for and response to the 

COVID-19 pandemic. In March 2020, our staff made a 

MESSAGE FROM THE ACTING CHIEF FINANCIAL OFFICER

quick transition to maximum enhanced telework without 

any interruption to performance efficiency. We met all of our 

required deadlines — including statutorily required reports 

on the CARES Act and the Cannon Renewal Project — 

and supported the AOC’s COVID-19 mitigation efforts 

by ensuring funding was available for personal protective 

equipment (PPE), cleaning supplies and support contractors. 

To account for the full cost of these efforts, we separately 

tracked all expended funds related to the COVID-19 

response and created a report to keep the agency’s 

leadership, Office of Inspector General (OIG), Government 

Accountability Office and congressional oversight informed. 

As the pandemic quickly increased in severity and 

threatened the operation of the Capitol campus, the AOC 

took immediate action to ensure resources were available to 

implement required safety measures across the campus. 

Despite our extra workload related to the pandemic 

response this fiscal year, we also continued to modernize 

our technology and improve operations. To more effectively 

track our budget and collate payment transactions and 

deposits, the AOC implemented the U.S. Department of the 

Treasury’s (Treasury) Collections Information Repository 

(CIR). This provides detailed information from online 

Treasury resources such as Pay.gov and OTCnet, which 

reduces manual data entry and improves internal controls. 

We also implemented the Federal Acquisition Regulation 

Procurement Instrument Identifier, which brings the AOC 

into compliance with federal standards ahead of schedule.

At the same time, while our CFO office hosts the agency’s 

Integrated Risk Management Division, its focus is not 

limited to financial matters. Enterprise risk management 

(ERM) provides the AOC with insight into potential 

external and internal risks to successful mission delivery. 

Pursuant to the OMB Circular A-123, the AOC uses a 

matured model approach to integrate risk management 

throughout the agency. In FY 2020, the AOC participated 

in the OMB ERM Maturity Model pilot and worked with 

the OIG on a risk assessment update for the agency.

Although it did not rise to the level of a material weakness 

or significant deficiency, the prior year audit identified a 

control finding related to the untimely de-obligation of 

unliquidated obligations (ULO). In FY 2020, to address this 

finding, the AOC developed a new, web-based, quarterly 

financial review (QFR) application, and provided related 

policy guidance and training. This web-based QFR tool 

automates the process to validate open obligations, thus 

alleviating the administrative burden placed on our agency’s 

small community of fund managers. 

We continued to refine our ability to use our data to drive 

management decisions by leveraging real-time dashboards, 

resulting in improved systems efficiency and broader data 

access. We also integrated our financial management system 

with non-CFO systems such as e-Builder, a new project 

management information system and the U.S. Capitol 

Visitor Center’s new point-of-sale system. The operations 
SECTION 3 Financial Information

91

and hosting of the shared service Legislative Branch 

Financial Management System was a significant focus of FY 

2020, including planning and testing for next year’s major 

upgrade to our core financial system and migration to the 

Microsoft Azure data center. Other new implementations 

included an automated funding allocation document 

process that allows us to manage account funding levels and 

provide jurisdictions greater flexibility in obligating funds. 

Additionally, we implemented a new audit portal to track 

audit information requests and ensure that our operations 

comply with regulations, laws and industry best practices. 

We also began a refresh of many of our financial policies, a 

project that will continue into the next fiscal year. 

Looking Forward

For FY 2021 and future years, we will continue efforts to 

improve our operations, the value of the data we collect 

and our ability to accurately account for and report on the 

public funds that we receive. Next year, we will continue 

implementing the Treasury’s Budget Formulation and 

Execution Manager application to standardize and improve 

our budget processes. Although the AOC is not subject to 

the Digital Accountability and Transparency Act, we intend 

to continue our financial data standardization for cleaner 

reporting and improved transparency. We are also working 

to implement the Treasury’s G-Invoicing platform, which 

will help improve our intragovernmental purchase and sales 

processes, starting in FY 2022. 

As we approach the scheduled end of our current five-year 

Strategic Plan, we are looking to our next Strategic Plan 

to implement data-driven analytics to inform management 

decisions, oversee project risks and improve systems efficiency. 

It will also introduce an enterprise asset management program 

to provide a better balance between asset maintenance costs 

and available resources, while improving the agency’s deferred 

maintenance and capital renewal backlog management. In 

addition, the AOC will develop Vision 2100 to guide the 

agency for the next century. This vision will inform a new 

20-year Master Plan, which will in turn influence the agency’s 

future budget requests.

Conclusion

I want to thank Congress for its extraordinary support 

in preserving our nation’s capital for future generations. 

Furthermore, we owe thanks to our audit partners, Kearney 

& Company and the Office of Inspector General, for their 

assistance and professionalism. Most importantly, I would 

like to express my gratitude for our incredible financial 

team. In the best of times, managing the AOC’s day-today financial operations is uniquely demanding. With the 

COVID-19 pandemic upending our normal operations, I 

am incredibly proud of how our team stepped up, adapted 

and excelled in maintaining our operations and ensuring the 

sound stewardship of our agency’s funds in accomplishing our 

mission to acquire and distribute resources that sustain the 

financial needs of the AOC’s operational jurisdictions and 

central services.

Sincerely,

Jonathan Kraft

Acting Chief Financial Officer

November 20, 2020

The AOC’s talented financial staff helps to manage the agency’s resources with integrity and accuracy.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

9 2

DATE: November 23, 2020 

TO: J. Brett Blanton

Architect of the Capitol

FROM: Christopher P. Failla, CIG

Inspector General

SUBJECT: Audit of Fiscal Year 2020 Financial Statements

(Audit Report OIG-AUD-2021-01) 

We contracted with the independent public accounting firm, Kearney & Company (Kearney), 

P.C. to audit the financial statements of the Architect of the Capitol (AOC) as of and for the

fiscal years that ended September 30, 2020 and 2019, to provide reports on internal control over

financial reporting, and on compliance and other matters. The contract required that the audit be

performed in accordance with auditing standards generally accepted in the United States of

America; the standards applicable to financial audits contained in Government Auditing

Standards, issued by the Comptroller General of the United States; Office of Management and

Budget Bulletin No. 19-03, Audit Requirements for Federal Financial Statements; the U.S.

Government Accountability Office’s (GAO) Federal Information System Controls Audit Manual;

and the GAO/Council of the Inspectors General on Integrity and Efficiency Financial Audit

Manual.

In its audit of the AOC, Kearney reported: 

• the financial statements were fairly presented, in all material respects, in accordance with

U.S. Generally Accepted Accounting Principles;

• no material weaknesses1 in internal control over financial reporting;

• no instances in which the AOC’s financial management systems did not substantially

comply; and

• no reportable noncompliance issues with provisions of laws tested or other matters.

Kearney is responsible for the attached auditor’s report dated November 20, 2020, and the 

conclusions expressed therein. We do not express opinions on the AOC’s financial statements or 

internal control over financial reporting, or conclusions on compliance and other matters. 

1 A material weakness is a deficiency, or combination of deficiencies, in internal control, such that there is a 

reasonable possibility that a material misstatement of the entity’s financial statements will not be prevented, or 

detected and corrected, on a timely basis.

 Office of Inspector General

 Fairchild Bldg.

 499 S. Capitol St., SW, Suite 518

 Washington, D.C. 20515 United States Government 202.593.1948

 www.aoc.gov MEMORANDUM

INSPECTOR GENERAL TRANSMIT TAL
SECTION 3 Financial Information

93

If you have any questions or wish to discuss this report, please contact Erica Wardley at

202.593.0081 or Erica.Wardley@aoc.gov. 

Distribution List: 

Thomas J. Carroll III, Assistant to the Architect 

Peter Bahm, Chief of Staff 

Jonathan Kraft, Acting Chief Financial Officer, 

William O’Donnell, Chief Administrative Officer 

Jason Baltimore, General Counsel 

Jonathan Migas, Chief Information Officer 

Curtis McNeil, Risk Management Officer 

Mary Jean Pajak, Senior Advisor

INSPECTOR GENERAL TRANSMIT TAL (continued)
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

9 4

1701 Duke Street, Suite 500, Alexandria, VA 22314

PH: 703.931.5600, FX: 703.931.3655, www.kearneyco.com

INDEPENDENT AUDITOR’S REPORT

To the Architect of the Capitol and Inspector General of Architect of the Capitol

Report on the Financial Statements

We have audited the accompanying financial statements of the Architect of the Capitol (AOC), 

which comprise the balance sheets as of September 30, 2020 and 2019 the related statements of 

net cost and changes in net position, and the combined statements of budgetary resources 

(hereinafter referred to as the “financial statements”) for the years then ended, and the related 

notes to the financial statements. 

Management’s Responsibility for the Financial Statements

Management is responsible for the preparation and fair presentation of these financial statements 

in accordance with accounting principles generally accepted in the United States of America; this 

includes the design, implementation, and maintenance of internal control relevant to the 

preparation and fair presentation of financial statements that are free from material misstatement, 

whether due to fraud or error. 

Auditor’s Responsibility

Our responsibility is to express an opinion on these financial statements based on our audits. We 

conducted our audits in accordance with auditing standards generally accepted in the United 

States of America; the standards applicable to financial audits contained in Government Auditing 

Standards, issued by the Comptroller General of the United States; and Office of Management 

and Budget (OMB) Bulletin No. 19-03, Audit Requirements for Federal Financial Statements. 

Those standards and OMB Bulletin No. 19-03 require that we plan and perform the audit to 

obtain reasonable assurance about whether the financial statements are free from material 

misstatement. 

An audit involves performing procedures to obtain audit evidence about the amounts and 

disclosures in the financial statements. The procedures selected depend on the auditor’s 

judgment, including the assessment of the risks of material misstatement of the financial 

statements, whether due to fraud or error. In making those risk assessments, the auditor 

considers internal control relevant to the entity’s preparation and fair presentation of the financial 

statements in order to design audit procedures that are appropriate in the circumstances, but not 

for the purpose of expressing an opinion on the effectiveness of the entity’s internal control. 

Accordingly, we express no such opinion. An audit also includes evaluating the appropriateness 

of accounting policies used and the reasonableness of significant accounting estimates made by 

management, as well as evaluating the overall presentation of the financial statements. 

INDEPENDENT AUDITOR’S REPORT
SECTION 3 Financial Information

95

INDEPENDENT AUDITOR’S REPORT (continued)

We believe that the audit evidence we have obtained is sufficient and appropriate to provide a 

basis for our audit opinion. 

Opinion

In our opinion, the financial statements referred to above present fairly, in all material respects, 

the financial position of the AOC as of September 30, 2020 and 2019, and its net cost of 

operations, changes in net position, and budgetary resources for the years then ended, in 

accordance with accounting principles generally accepted in the United States of America. 

Other Matters

Required Supplementary Information

Accounting principles generally accepted in the United States of America require that the 

Management’s Discussion and Analysis and Required Supplementary Information (hereinafter 

referred to as the “required supplementary information”) be presented to supplement the 

financial statements. Such information, although not a part of the financial statements, is 

required by OMB and the Federal Accounting Standards Advisory Board (FASAB), who 

considers it to be an essential part of financial reporting for placing the financial statements in an 

appropriate operational, economic, or historical context. We have applied certain limited 

procedures to the required supplementary information in accordance with auditing standards 

generally accepted in the United States of America, which consisted of inquiries of management 

regarding the methods of preparing the information and comparing it for consistency with 

management’s responses to our inquiries, the financial statements, and other knowledge we 

obtained during our audits of the financial statements. We do not express an opinion or provide 

any assurance on the information because the limited procedures do not provide us with 

sufficient evidence to express an opinion or provide any assurance.

Other Information 

Our audits were conducted for the purpose of forming an opinion on the financial statements 

taken as a whole. Other Information, as named in the Performance and Accountability Report 

(PAR), is presented for purposes of additional analysis and is not a required part of the financial 

statements. Such information has not been subjected to the auditing procedures applied in the 

audits of the financial statements; accordingly, we do not express an opinion or provide any 

assurance on it. 

Other Reporting Required by Government Auditing Standards

In accordance with Government Auditing Standards and OMB Bulletin No. 19-03, we have also 

issued reports, dated November 20, 2020, on our consideration of the AOC’s internal control 

over financial reporting and on our tests of the AOC’s compliance with provisions of applicable 

laws, regulations, contracts, and grant agreements, as well as other matters for the year ended 

September 30, 2020. The purpose of those reports is to describe the scope of our testing of 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

9 6

INDEPENDENT AUDITOR’S REPORT (continued)

internal control over financial reporting and compliance and the results of that testing, and not to 

provide an opinion on internal control over financial reporting or on compliance and other 

matters. Those reports are an integral part of an audit performed in accordance with Government 

Auditing Standards and OMB Bulletin No. 19-03 and should be considered in assessing the 

results of our audits. 

Alexandria, Virginia

November 20, 2020 
SECTION 3 Financial Information

9 7

1701 Duke Street, Suite 500, Alexandria, VA 22314

PH: 703.931.5600, FX: 703.931.3655, www.kearneyco.com

INDEPENDENT AUDITOR’S REPORT ON INTERNAL CONTROL OVER 

FINANCIAL REPORTING

To the Architect of the Capitol and Inspector General of Architect of the Capitol

We have audited, in accordance with auditing standards generally accepted in the United States 

of America; the standards applicable to financial audits contained in Government Auditing 

Standards, issued by the Comptroller General of the United States; and Office of Management 

and Budget (OMB) Bulletin No. 19-03, Audit Requirements for Federal Financial Statements,

the financial statements of the Architect of the Capitol (AOC) as of and for the year ended 

September 30, 2020, and the related notes to the financial statements, which collectively 

comprise the AOC’s financial statements, and we have issued our report thereon dated 

November 20, 2020. 

Internal Control over Financial Reporting

In planning and performing our audit of the financial statements, we considered the AOC’s 

internal control over financial reporting (internal control) to determine the audit procedures that 

are appropriate in the circumstances for the purpose of expressing our opinions on the financial 

statements, but not for the purpose of expressing an opinion on the effectiveness of the AOC’s 

internal control. Accordingly, we do not express an opinion on the effectiveness of the AOC’s 

internal control. We limited our internal control testing to those controls necessary to achieve 

the objectives described in OMB Bulletin No. 19-03. We did not test all internal controls 

relevant to operating objectives as broadly defined by the Federal Managers’ Financial Integrity 

Act of 1982 (FMFIA), such as those controls relevant to ensuring efficient operations. 

A deficiency in internal control exists when the design or operation of a control does not allow 

management or employees, in the normal course of performing their assigned functions, to 

prevent, or detect and correct, misstatements on a timely basis. A material weakness is a 

deficiency, or combination of deficiencies, in internal control, such that there is a reasonable 

possibility that a material misstatement of the entity’s financial statements will not be prevented 

or detected and corrected on a timely basis. A significant deficiency is a deficiency, or 

combination of deficiencies, in internal control that is less severe than a material weakness, yet 

important enough to merit attention by those charged with governance.

Our consideration of internal control was for the limited purpose described in the first paragraph 

of this section and was not designed to identify all deficiencies in internal control that might be 

material weaknesses or significant deficiencies. Given these limitations, during our audit we did 

not identify any deficiencies in internal control that we consider to be material weaknesses. 

However, material weaknesses may exist that have not been identified. 

We noted certain additional matters involving internal control over financial reporting that we 

will report to the AOC’s management in a separate letter. 

INDEPENDENT AUDITOR’S REPORT ON INTERNAL

CONTROL OVER FINANCIAL REPORTING
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

9 8

INDEPENDENT AUDITOR’S REPORT ON INTERNAL

CONTROL OVER FINANCIAL REPORTING (continued)

Purpose of this Report

The purpose of this report is solely to describe the scope of our testing of internal control and the 

results of that testing, and not to provide an opinion on the effectiveness of the AOC’s internal 

control. This report is an integral part of an audit performed in accordance with Government 

Auditing Standards and OMB Bulletin No. 19-03 in considering the entity’s internal control. 

Accordingly, this communication is not suitable for any other purpose. 

Alexandria, Virginia

November 20, 2020 
SECTION 3 Financial Information

9 9

INDEPENDENT AUDITOR’S REPORT ON COMPLIANCE

1 

1701 Duke Street, Suite 500, Alexandria, VA 22314

PH: 703.931.5600, FX: 703.931.3655, www.kearneyco.com

INDEPENDENT AUDITOR’S REPORT ON COMPLIANCE WITH LAWS, 

REGULATIONS, CONTRACTS, AND GRANT AGREEMENTS

To the Architect of the Capitol and Inspector General of Architect of the Capitol 

We have audited, in accordance with auditing standards generally accepted in the United States 

of America; the standards applicable to financial audits contained in Government Auditing 

Standards, issued by the Comptroller General of the United States; and Office of Management 

and Budget (OMB) Bulletin No. 19-03, Audit Requirements for Federal Financial Statements, 

the financial statements of the Architect of the Capitol (AOC) as of and for the year ended 

September 30, 2020, and the related notes to the financial statements, which collectively 

comprise the AOC’s financial statements and we have issued our report thereon dated November 

20, 2020. 

Compliance and Other Matters

As part of obtaining reasonable assurance about whether the AOC’s financial statements are free 

from material misstatement, we performed tests of its compliance with certain provisions of 

applicable laws, regulations, contracts, and grant agreements, noncompliance with which could 

have a direct and material effect on the determination of financial statement amounts. We 

limited our tests of compliance to these provisions and did not test compliance with all laws, 

regulations, contracts, and grant agreements applicable to the AOC. However, providing an 

opinion on compliance with those provisions was not an objective of our audit, and accordingly, 

we do not express such an opinion. The results of our tests disclosed no instances of 

noncompliance or other matters that are required to be reported under Government Auditing 

Standards and OMB Bulletin No. 19-03. 

Purpose of this Report

The purpose of this report is solely to describe the scope of our testing of compliance and the 

results of that testing, and not to provide an opinion on the effectiveness of the entity’s 

compliance. This report is an integral part of an audit performed in accordance with Government 

Auditing Standards and OMB Bulletin No. 19-03 in considering the entity’s compliance. 

Accordingly, this communication is not suitable for any other purpose. 

Alexandria, Virginia

November 20, 2020 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

100

A R C H I T E C T O F T H E C A P I T O L’ S R E S P O N S E 

TO THE INSPECTOR GENERAL
SECTION 3 Financial Information

101

This page has been intentionally left blank.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

102

2020 2019

ASSETS

Intragovernmental Assets

Fund Balance with Treasury (Note 3) $ 1,014,778 $ 1,094,152 

Investments (Note 5) 20,366 24,591 

Accounts Receivable (Note 6) 607 1,857 

Other (Note 10) 214 834 

Total Intragovernmental $ 1,035,965 $ 1,121,434 

Cash and Other Monetary Assets (Note 4) 14 45 

Investments (Note 5) 10,761 10,673 

Accounts Receivable, Net (Note 6) 357 876 

Inventory and Related Property, Net (Note 7) 1,185 624 

General Property, Plant and Equipment, Net (Note 8) 2,450,456 2,250,783 

Other (Note 10) — 4 

TOTAL ASSETS (Note 2) $ 3,498,738 $ 3,384,439 

Stewardship PP&E (Note 9)

LIABILITIES

Intragovernmental Liabilities

Accounts Payable $ 104 $ 262 

Unfunded FECA (Note 12) 8,720 9,159 

Advances from Others 44,327 50,365 

Other Liabilities (Note 16) 2 57 

Total Intragovernmental $ 53,153 $ 59,843 

Accounts Payable 3,429 3,328 

Debt Held by the Public (Note 13) 58,229 70,082 

Actuarial FECA (Note 12) 51,668 52,073 

Contingent and Environmental Liabilities (Note 14) 79,062 79,243 

Accrued Annual Leave and Other (Note 12) 32,612 23,608 

Capital Lease Liability (Note 15) 4,207 4,408 

Contract Holdbacks 27,254 14,442 

Other Liabilities (Note 16) 94,117 102,427 

TOTAL LIABILITIES (Note 11) $ 403,731 $ 409,454 

COMMITMENTS AND CONTINGENCIES (Note 14)

NET POSITION

Unexpended Appropriations $ 801,991 $ 895,155 

Cumulative Results of Operations 2,293,016 2,079,830 

TOTAL NET POSITION $ 3,095,007 $ 2,974,985 

TOTAL LIABILITIES AND NET POSITION $ 3,498,738 $ 3,384,439

The accompanying footnotes are an integral part of these financial statements.

ARCHITECT OF THE CAPITOL

BALANCE SHEET

As of September 30, 2020 and 2019 ($ in Thousands)

FINANCIAL STATEMENTS
SECTION 3 Financial Information

103

PROGRAM COSTS 2020 2019

Capital Construction and Operations

Gross Costs $ 144,755 $ 102,401 

Less: Earned Revenue (657) (822)

Net Program Costs 144,098 101,579 

Capitol Building

Gross Costs 60,161 61,726 

Less: Earned Revenue (428) (515)

Net Program Costs 59,733 61,211 

Capitol Grounds and Arboretum

Gross Costs 15,927 14,120 

Less: Earned Revenue (33) (77)

Net Program Costs 15,894 14,043 

Capitol Police Buildings, Grounds and Security

Gross Costs 33,359 34,030 

Less: Earned Revenue — — 

Net Program Costs 33,359 34,030 

Capitol Power Plant

Gross Costs 99,827 106,524 

Less: Earned Revenue (9,044) (11,335)

Net Program Costs 90,783 95,189 

House Office Buildings

Gross Costs 108,757 120,533 

Less: Earned Revenue (10,499) (10,058)

Net Program Costs 98,258 110,475

Library Buildings and Grounds

Gross Costs 59,086 50,369 

Less: Earned Revenue (12,238) (1,519)

Net Program Costs 46,848 48,850 

Senate Office Buildings

Gross Costs 85,924 91,785 

Less: Earned Revenue (1,056) (2,795)

Net Program Costs 84,868 88,990 

Supreme Court Building and Grounds

Gross Costs 59,557 54,531 

Less: Earned Revenue (50,588) (35,428)

Net Program Costs 8,969 19,103 

U.S. Botanic Garden

Gross Costs 16,684 14,924 

Less: Earned Revenue — — 

Net Program Costs 16,684 14,924 

U.S. Capitol Visitor Center

Gross Costs 29,968 27,675 

Less: Earned Revenue (2,210) (6,560)

Net Program Costs 27,758 21,115 

Net Cost of Operations (Note 23) $ 627,252 $ 609,509 

The accompanying footnotes are an integral part of these financial statements.

ARCHITECT OF THE CAPITOL

STATEMENT OF NET COSTS

For the Years Ending September 30, 2020 and 2019 ($ in Thousands)
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

104

ARCHITECT OF THE CAPITOL

STATEMENT OF CHANGES IN NET POSITION

For the Years Ending September 30, 2020 and 2019 ($ in Thousands)

2020 2019

UNEXPENDED APPROPRIATIONS

Beginning Balance $ 895,155 $ 820,284 

Budgetary Financing Sources

Appropriations Received (Note 19) 728,504 742,744 

Other Adjustments (3,424) (1,974)

Appropriations Used (818,244) (665,899)

Total Budgetary Financing Sources (93,164) 74,871

Total Unexpended Appropriations $ 801,991 $ 895,155 

CUMULATIVE RESULTS OF OPERATIONS

Beginning Balance $ 2,079,830 $ 1,995,569 

Budgetary Financing Sources

Appropriations Used 818,244 665,899

Nonexchange Revenue 97 229 

Other Financing Sources (Nonexchange)

Transfers In/(Out) Without Reimbursement 122 1,000 

Imputed Financing from Costs Absorbed by Others (Note 17) 21,975 26,642 

Total Financing Sources 840,438 693,770 

Net Cost of Operations (627,252) (609,509)

Net Change 213,186 84,261

Cumulative Results of Operations $ 2,293,016 $ 2,079,830 

NET POSITION $ 3,095,007 $ 2,974,985 

The accompanying footnotes are an integral part of these financial statements.
SECTION 3 Financial Information

105

ARCHITECT OF THE CAPITOL

COMBINED STATEMENT OF BUDGETARY RESOURCES

For the Years Ending September 30, 2020 and 2019 ($ in Thousands)

2020 2019

BUDGETARY RESOURCES

Unobligated Balance from Prior Year Budget Authority, Net (Note 22) $ 642,614 $ 694,922 

Appropriations (Note 19) 728,531 749,803 

Borrowing Authority 5,662 6,608 

Spending Authority from Offsetting Collections 59,990 55,746 

Total Budgetary Resources $ 1,436,797 $ 1,507,079 

STATUS OF BUDGETARY RESOURCES

New Obligations and Upward Adjustments (Total) $ 964,489 $ 901,105 

Unobligated Balance, End of Year:

Exempt from Apportionment, Unexpired Accounts 449,356 585,996 

Unexpired Unobligated Balance, End of Year 449,356 585,996 

Expired Unobligated Balance, End of Year (Note 3) 22,952 19,978 

Unobligated Balance, End of Year (Total) 472,308 605,974 

Total Budgetary Resources $ 1,436,797 $ 1,507,079 

OUTLAYS, NET

Outlays, Net (Total) (Discretionary and Mandatory) 797,098 654,579 

Agency Outlays, Net (Note 23) $ 797,098 $ 654,579 

The accompanying footnotes are an integral part of these financial statements.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

106 ARCHITECT OF THE CAPITOL

NOTES TO THE FINANCIAL STATEMENTS

For the Years Ending September 30, 2020 and 2019

NOTE 1: Summary of Significant Accounting Policies ................................................................................................................................ 107

A. Reporting Entity ......................................................................................................................................................................... 107

B. Basis of Accounting and Presentation ................................................................................................................................. 107

C. Fund Balance with Treasury .................................................................................................................................................... 107

D. Accounts Receivable ................................................................................................................................................................. 107

E. Investments ................................................................................................................................................................................. 107

F. Trust and Revolving Funds ......................................................................................................................................................108

G. Recognition of Financing Sources ........................................................................................................................................109

H. Operating Materials and Supplies ........................................................................................................................................ 110

I. Inventory ....................................................................................................................................................................................... 110

J. Public-Private Partnerships ..................................................................................................................................................... 110

K. General Property, Plant and Equipment, Net .................................................................................................................... 110

L. Stewardship Property, Plant and Equipment .................................................................................................................... 110

M. Liabilities ....................................................................................................................................................................................... 110

N. Personnel Compensation and Benefits ................................................................................................................................111

O. Statement of Net Cost ...............................................................................................................................................................111

P. Use of Estimates ..........................................................................................................................................................................112

Q. Classified Activities .....................................................................................................................................................................112

NOTE 2: Non-Entity Assets ...................................................................................................................................................................................112

NOTE 3: Fund Balance with Treasury ................................................................................................................................................................112

NOTE 4: Cash and Other Monetary Assets ......................................................................................................................................................112

NOTE 5: Investments ..............................................................................................................................................................................................113

NOTE 6: Accounts Receivable, Net ....................................................................................................................................................................114

NOTE 7: Inventory and Related Property, Net ...............................................................................................................................................114

NOTE 8: General Property, Plant and Equipment, Net ................................................................................................................................115

NOTE 9: Stewardship PP&E ................................................................................................................................................................................. 116

NOTE 10: Other Assets .............................................................................................................................................................................................117

NOTE 11: Liabilities Not Covered by Budgetary Resources ........................................................................................................................ 118

NOTE 12: Payroll-Related Liabilities ................................................................................................................................................................... 118

NOTE 13: Debt Held by the Public .......................................................................................................................................................................119

NOTE 14: Commitments and Contingencies ....................................................................................................................................................119

NOTE 15: Leases ........................................................................................................................................................................................................ 121

NOTE 16: Other Liabilities ...................................................................................................................................................................................... 121

NOTE 17: Imputed Financing................................................................................................................................................................................ 122

NOTE 18: Net Cost of Operations Related to Payroll ..................................................................................................................................... 123

NOTE: 19: Reconciliation of SCNP Appropriations to SBR ............................................................................................................................ 123

NOTE 20: Undelivered Orders .............................................................................................................................................................................. 123

NOTE 21: Explanation of Differences between the Combined Statement of Budgetary Resources and 

the Budget of the United States Government ............................................................................................................................. 124

NOTE 22: Statement of Budgetary Resources — Unobligated Balance Brought Forward, October 1 ......................................... 124

NOTE 23: Reconciliation of Net Cost to Net Outlays ..................................................................................................................................... 124

NOTE 24: COVID-19 Activity ................................................................................................................................................................................ 127
SECTION 3 Financial Information

107 NOTE 1

S U M M A R Y O F S I G N I F I C A N T 

ACCOUNTING POLICIES

A. Reporting Entity 

The Architect of the Capitol (AOC) is an agency within 

the legislative branch of the federal government. Initially 

authorized by Congress to provide “suitable buildings and 

accommodations for the Congress of the United States,” 

its role has expanded to include responsibility for the 

maintenance, operation, development, and preservation of 

the Capitol Building; Capitol Grounds and Arboretum; 

Capitol Police Buildings, Grounds, and Security; House 

Office Buildings; Library Buildings and Grounds; Senate 

Office Buildings; Supreme Court Building and Grounds; 

Capitol Power Plant; U.S. Botanic Garden (USBG); and 

U.S. Capitol Visitor Center (CVC). 

The AOC is also responsible for:

 Supporting Congress during official national events (e.g., 

Presidential Inaugural Ceremonies) held at the U.S. 

Capitol or on the Capitol Grounds and Arboretum

 Providing steam and chilled water to the Supreme 

Court of the United States, Thurgood Marshall Federal 

Judiciary Building (the Thurgood Marshall Building), 

Union Station, and the Folger Shakespeare Library, and 

steam-only to the Government Publishing Office (GPO) 

and the Postal Square building

 Providing educational programs and guide services to 

visitors at the CVC and USBG

Some of the assets and liabilities reported by AOC may be 

eliminated from governmentwide reports because they are 

offset by assets and liabilities of another U.S. government 

entity. These financial statements should be read with 

the realization that they are for a component of the U.S. 

government, a sovereign entity. 

B. Basis of Accounting and Presentation 

As a legislative branch agency, AOC is not required to 

follow the accounting standards promulgated by the Federal 

Accounting Standards Advisory Board (FASAB). Also, 

AOC has not formally adopted the Government Management 

and Reform Act of 1994, the Federal Managers Financial 

Integrity Act of 1982, the Federal Financial Management 

Improvement Act of 1996, or the Government Performance 

and Results Modernization Act of 2010, as these apply only 

to executive branch agencies. Nonetheless, AOC refers 

to these regulations as a general guide for best practices 

and incorporates them into its financial management 

practices, as appropriate. Also, AOC has adopted GAAP 

for financial reporting in a manner consistent with other 

federal agencies. Therefore, AOC’s financial statements have 

been prepared in conformity with U.S. generally accepted 

accounting principles (GAAP) as promulgated by FASAB. 

The American Institute of Certified Public Accountants 

(AICPA) recognizes FASAB standards as GAAP for federal 

reporting entities. 

The AOC records both proprietary and budgetary 

accounting transactions. Following the accrual method 

of accounting, revenues are recognized when earned and 

expenses are recognized when incurred, without regard to 

the actual collection or payment of cash.

Federal budgetary accounting recognizes the obligation 

and use of available budget authority and other fund 

resources upon the establishment of a properly documented 

legal liability. The recognition of budgetary accounting 

transactions is essential for compliance with legal controls 

over the use of federal funds and for compliance with 

appropriations law.

C. Fund Balance with Treasury 

The AOC maintains most available fund balances with the 

U.S. Department of Treasury (Treasury). Fund Balance 

with Treasury (FBWT) represents the unexpended balances 

of expenditure and receipt accounts (see Note 3). Budget 

authority, receipts and disbursements are processed by 

Treasury, and AOC’s records are reconciled with those 

accounts on a regular basis. In addition to the FBWT, AOC 

also has other cash deposits and investments that are held in 

accounts outside of Treasury, as described in Notes 4 and 5, 

respectively.

FBWT is an asset of AOC and a liability of the General 

Fund of the government. The amount represents 

commitments by the government to provide resources for 

particular programs, but does not represent net assets to the 

government as a whole. 

When AOC (like other reporting entities) seeks to use 

FBWT to liquidate budgetary obligations, Treasury will 

finance the disbursements in the same way it finances all 

other disbursements, using some combination of budget 

authority, collections and other inflows, and borrowing from 

the public (if there is a budget deficit).

D. Accounts Receivable

The AOC’s receivables may include, but are not limited to 

amounts due for steam and chilled water provided to other 

agencies, food service commissions from operations at the 

CVC and Senate restaurants, flag-flying fees and employees’ 

payroll-related debt. If applicable, Accounts Receivable 

from federal (intragovernmental) and non-federal sources 

may be reduced to net realizable value by the Allowance for 

Doubtful Accounts, which is based on management’s review 

of outstanding receivables. (see Note 6). 

The AOC is legislatively authorized to retain a predetermined 

amount of steam and chilled water reimbursements to cover 

current year obligations. Any receivable (and subsequent 

collection) over the predetermined amount (congressional 

cap) is a non-entity asset that is credited to Treasury’s 

Miscellaneous Receipts account.

E. Investments

All investments are reported at their acquisition (par) value, 

net of amortized premiums and discounts, as it is AOC’s 

intent to hold the investments to maturity. Purchases 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

108 and sales of investments are recorded as of the trade date. 

Investment income is reported when earned. The market 

value of the investments is the current market value at the 

end of the reporting period.

Intragovernmental (Investments Held With Treasury)

The Capitol Visitor Center Act of 2008 (2 U.S.C. § 2201 

et seq.) allows for proceeds from the sale of Gift Shop 

inventory, restaurant commissions, and miscellaneous 

Gift Shop receipts to be invested in government securities 

through the Bureau of the Fiscal Service’s web-based 

application, FedInvest. By law, interest income is credited to 

the fund.

Public (Investments Held Outside Treasury)

The AOC has funds invested by a trustee outside of Treasury 

as a result of financing the construction of the Thurgood 

Marshall Building. Congress did not appropriate funds for 

the construction of the building but, instead, authorized 

the use of private financing to cover its cost. In 1989, 

AOC entered into a development management agreement 

with Boston Properties for the design, development, and 

construction of the Thurgood Marshall Building. 

Shearson Lehman Hutton Inc. and Kidder, Peabody, & 

Co. Inc. issued 30-Year Serial Zero Coupon Certificates of 

Participation to finance its construction. The discount on the 

purchase reflects the absence of coupon interest payments 

and is amortized over the life of these certificates. 

Pursuant to the Trust Agreement, the proceeds were 

received by a trustee, The United States Trust Company 

of New York (now The Bank of New York Mellon). These 

proceeds were deposited into two funds, the Project Fund 

and the Operating Reserve Fund, to cover the costs of the 

construction project. In 2007, the Project Fund balance 

was transferred to the Operating Reserve Fund. The 

Operating Reserve Fund is held outside the Treasury by the 

trustee and, at AOC’s direction, the funds are invested and 

disbursed. The Operating Reserve Fund is held in reserve for 

future needs of the building (e.g., roof replacement or other 

major renovation) (see Note 5). 

F. Trust and Revolving Funds 

Trust and Special Funds

The AOC has stewardship responsibility for one trust fund 

account, the National Garden Trust Fund, and one special 

fund account, the Capitol Trust Account. 

The National Garden Trust Fund is subject to the direction 

of the Joint Committee on the Library (of Congress) and 

was established to accept gifts or bequests of money, plant 

material, and other property on behalf of the USBG. While 

this trust fund account still exists, it has a zero balance and 

is inactive. 

The Capitol Trust Account was established pursuant to P.L. 

113-76. The balance in this fund consists of permit fees 

collected by the U.S. Capitol Police (USCP) to cover costs 

incurred by AOC as a result of commercial activity that is 

conducted in the area known as Union Square. Funds in this 

account are available for maintenance, improvements, and 

other Union Square projects subject to the approval of the 

Committees of the House of Representatives and Senate.

Revolving Funds

The AOC has stewardship responsibility for seven revolving 

funds to account for various programs and operations. Each 

of these funds is a distinct fiscal and accounting entity that 

accounts for cash and other financial resources together with 

all related liabilities and equities. These revolving funds are:

 House (of Representatives) Gymnasium Revolving Fund 

 Senate Health and Fitness Facility Revolving Fund

 Senate Restaurant Revolving Fund

 Judiciary Office Building Development and 

Operations Fund 

 CVC Revolving Fund

 Recyclable Materials Revolving Fund

 Flag Office Revolving Fund

The House (of Representatives) Gymnasium Revolving Fund 

was established in the Treasury for AOC to deposit dues 

paid by members and other authorized users of the House 

of Representatives Wellness Center. The AOC may expend 

fund amounts to pay for the operation of the facility.

The Senate Health and Fitness Facility Revolving Fund 

was established to deposit membership dues collected from 

authorized users of the Senate Health and Fitness Facility 

and proceeds from AOC’s Senate recycling program. The 

AOC, subject to the approval of the Senate Committee on 

Appropriations, may expend fund amounts to pay for the 

preservation and maintenance of the facility. 

The Senate Restaurant Revolving Fund was established 

in 1961 for the operation of the Senate restaurants. In 

2008, control of the Senate restaurants was transferred to a 

private vendor and AOC took over its accounting functions. 

Following the transfer, the revolving fund is no longer 

used for the operation of the restaurants, but the account 

still exists for activities resulting from the conversion and 

continuing maintenance of the restaurants. Upon approval 

by the Senate Committee on Rules and Administration, 

available balances may be increased via transfers in from the 

U.S. Senate to AOC, as needed.

The Judiciary Office Building Development and Operations 

Fund is used to pay expenses related to the structural, 

mechanical, and domestic care, maintenance, operation, 

and utilities of the Thurgood Marshall Building. The fund 

includes an investment that is held outside Treasury with 

The Bank of New York Mellon, via a Trust Agreement 

established to finance the construction of the Thurgood 

Marshall Building.

The CVC Revolving Fund is used to administer funds from 

the sale of Gift Shop inventory, the deposit of miscellaneous 
SECTION 3 Financial Information

Gift Shop receipts, commissions paid to the CVC for 109

food service operations and any fees collected from other 

functions within the CVC facility. This business-type 

revolving fund is invested in government securities through 

the Bureau of the Fiscal Service.

The Recyclable Materials Revolving Fund was established 

to collect the proceeds from the sale of recyclable materials 

from across AOC (excluding the Senate, which deposits such 

funds in the Senate Health and Fitness Facility Revolving 

Fund). Available funds in this account may be used to carry 

out recycling programs or other programs that promote 

energy savings at AOC.

The Flag Office Revolving Fund was established pursuant to 

P.L. 115-31 for services provided by AOC Flag Office. This 

fund consists of flag fees collected by the Flag Office and is 

available for the Flag Office’s expenses, including: 

 supplies, inventories, equipment, and other expenses

 reimbursement of any applicable appropriations account 

for amounts used from such appropriations account to pay 

the salaries of employees of the Flag Office

 amounts necessary to carry out the authorized levels in 

the Fallen Heroes Flag Act of 2016

Funds from Dedicated Collections

Statements of Federal Financial Accounting Standards 

(SFFAS) No. 27, Identifying and Reporting Funds from 

Dedicated Collections, as amended by SFFAS No. 43, 

Dedicated Collections: Amending SFFAS No. 27, Identifying 

and Reporting Funds, defines funds from dedicated collections 

as financed by specifically identified revenues, provided to the 

government by nonfederal sources, often supplemented by other 

financing sources, which remain available over time. These 

specifically identified revenues and other financing sources are 

required by statute to be used for designated activities, benefits, 

or purposes, and must be accounted for separately from the 

government’s general revenues. As of the current reporting 

period, there are no AOC funds that meet the criteria for funds 

from dedicated collections.

G. Recognition of Financing Sources 

The AOC receives funding to support its programs through 

appropriations and offsetting collections authorized by 

Congress. Funding for operating and capital expenditures is 

received as annual, multi-year and no-year appropriations. 

This includes funding provided in the Coronavirus Aid, 

Relief, and Economic Security (CARES) Act, under the 

Capital Construction and Operations account. 

The appropriations that AOC manages are listed. Inactive 

funds are also included for full disclosure. 

1. Capitol Building

 Capitol Building

 Flag Office Revolving Fund

2. Capitol Grounds and Arboretum 

 Capitol Grounds and Arboretum

 West Central Front (inactive)

 Capitol Trust Account (Union Square)

3. Capitol Police Buildings, Grounds and Security 

 Capitol Police Buildings, Grounds and Security

4. Capital Construction and Operations 

 Capital Construction and Operations

 Recyclable Materials Revolving Fund 

 Americans with Disabilities Act (inactive)

 Congressional Cemetery (inactive)

5. House Office Buildings

 House Office Buildings

 House Office Buildings Fund

 House of Representatives Gymnasium 

Revolving Fund

 House Historic Buildings Revitalization Trust Fund

6. Library Buildings and Grounds

 Library Buildings and Grounds

7, Senate Office Buildings 

 Senate Office Buildings

 Senate Health and Fitness Facility Revolving Fund

 Senate Restaurant Revolving Fund

8. Capitol Power Plant 

 Capitol Power Plant 

9. U.S. Botanic Garden 

 Botanic Garden

 National Garden (inactive)

10. U.S. Capitol Visitor Center 

 U.S. Capitol Visitor Center 

 U.S. Capitol Visitor Center Revolving Fund

11. Supreme Court Building and Grounds

 Supreme Court

 Judiciary Office Building Development and 

Operations Fund

As a component of the governmentwide reporting entity, 

AOC is subject to the federal budget process, which involves 

appropriations that are provided annually and appropriations 

that are provided on a permanent basis. The financial 

transactions that are supported by budgetary resources, which 

include appropriations, are generally the same transactions 

reflected in agency and the governmentwide financial reports. 

The AOC’s budgetary resources reflect past congressional 

action that enable the entity to incur budgetary obligations 

in a given year. Budgetary obligations are legal obligations 

for goods, services, or amounts to be paid based on statutory 

provisions (e.g., employee benefits). 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

110 H. Operating Materials and Supplies 

The AOC’s materials and supplies consist of tangible 

personal property consumed during normal operations. 

Per SFFAS No. 3, Accounting for Inventory and Related 

Property, operating materials and supplies are recorded using 

the purchases method. This method provides that operating 

materials and supplies be expensed when purchased. 

Operating materials and supplies are purchased using funds 

specifically appropriated to AOC’s jurisdictions. Therefore, 

the related usage of those materials and supplies is intended 

for those specific jurisdictions making the purchases.

I. Inventory

Inventory consists of retail goods purchased for resale at the 

CVC’s Gift Shops. It is recorded at historical cost, using 

the weighted average valuation method, in accordance 

with SFFAS No. 3, Accounting for Inventory and Related 

Property. The recorded values may be adjusted based on 

the results of periodic physical inventory counts. Inventory 

purchased for resale may be categorized as follows: (1) 

purchased goods held for current sale, (2) purchased goods 

held in reserve for future sale and (3) slow-moving, excess or 

obsolete inventory. Examples of the retail goods included in 

inventory are books, apparel, ornaments and other souvenirs. 

The AOC may also record an allowance that is based on 

slow-moving, excess or obsolete and damaged inventory, or 

as a result of known restrictions on the sale or disposition of 

inventory (see Note 7).

J. Public-Private Partnerships

In FY 2016, AOC entered into a contract with the 

Washington Gas Light Company to construct a 

cogeneration facility. Cogeneration, also known as 

combined steam and power, uses a single fuel source and 

simultaneously produces electricity and steam. This facility 

will provide heat and electricity for use by AOC and its 

jurisdictions and other federal agencies, with excess capacity 

being sold potentially to non-federal entities as well. The 

AOC has evaluated this arrangement against the disclosure 

requirements outlined in SFFAS No. 49, Public-Private 

Partnerships (P3), and determined that cogeneration does 

not meet the conclusive and suggestive characteristics of a 

P3 (see Notes 8, 11 and 14).

K. General Property, Plant and Equipment, Net

The AOC records property at cost, in accordance with 

SFFAS 6, Accounting for Property, Plant, and Equipment. 

Real property and equipment are depreciated over their 

estimated useful lives, which range from three to 40 years, 

using the straight-line method. Depreciation is based on 

the half-year and full-month conventions for buildings and 

equipment, respectively. All property (real and personal) is 

in AOC’s possession and there is nothing held by others (see 

Note 8).

The following table presents AOC’s capitalization thresholds 

and related useful lives:

PROPERTY TYPE USEFUL LIFE (YEARS)

CAPITALIZATION

THRESHOLD

Real Property 40 $500,000

Improvements 20 $500,000

Equipment and 

Vehicles 3–15 $25,000

Assets Under Capital 

Lease

Shorter of Lease 

Term or Useful Life of 

Property Type

See Related

Property Type

Internal Use Software 

(Intellectual Property) 3 $5,000,000

L. Stewardship Property, Plant and Equipment 

Stewardship land and heritage assets have physical 

properties that resemble those of General Property, 

Plant and Equipment (PP&E), which are traditionally 

capitalized in the financial statements. Due to the nature 

of stewardship assets, however, determining a monetary 

value would be difficult, and matching costs with specific 

periods may not be possible or meaningful. Heritage assets 

are PP&E that are unique and are generally expected to 

be preserved indefinitely. Heritage assets have historical or 

natural significance; are of cultural, educational, or artistic 

importance or have significant architectural characteristics. 

These assets are reported in terms of physical units rather 

than cost or other monetary values per SFFAS No. 29, 

Accounting for Heritage Assets and Stewardship Land. 

There are two types of heritage assets: collection, which 

are objects gathered and maintained for exhibition, such as 

museum and art collections; and noncollection, which are 

parks, memorials, monuments and buildings. The AOC 

holds both collection and noncollection heritage stewardship 

assets (see Note 9).

M. Liabilities

Liabilities represent the amounts owed to others for 

goods or services received, claims against the agency, and 

other probable future outflows of resources as a result 

of past transactions or current conditions (e.g., debt or 

environmental cleanup liabilities). Some liabilities are 

funded while others are classified as “unfunded” because 

no liability may be paid without an enacted appropriation. 

For example, accrued unfunded annual leave and workers’ 

compensation remain unfunded until future appropriations 

are enacted to cover these costs. The Balance Sheet includes, 

but is not limited to the following types of liabilities: 

Accounts Payable 

Accounts Payable are amounts owed by AOC to vendors, 

contractors and federal agencies for goods and services 

received but not yet paid at the end of the reporting period.

Advances from Others

Advances from Others consists of amounts advanced to 

AOC by other Federal trading partners for services provided 

under reimbursable agreements.
SECTION 3 Financial Information

Debt Held by the Public 111

The AOC recognizes a liability for the 30-year Coupon 

Certificates of Participation issued to finance the Thurgood 

Marshall Building construction. The liability is reduced 

by semi- annual payments of principal and interest. These 

payments are secured by the rent collected from the 

Administrative Office of the U.S. Courts (see Note 13). 

Contract Holdbacks

Contract Holdbacks (retainage) consists of a percentage of the 

contract price that is due to the vendor or contractor but is held 

by AOC to provide assurance that the service or project will 

be completed as required by the contract terms. The amount 

that is held-back is released to the vendor or contractor upon 

satisfactory completion of the service or project.

Contingent and Environmental Liabilities 

The AOC accounts for contingencies in accordance with 

SFFAS No. 5, Accounting for Liabilities of the Federal 

Government. This standard defines a contingency as 

an existing condition, situation, or set of circumstances 

involving uncertainty as to the possible gain or loss to an 

entity that will ultimately be resolved when one or more 

future events occur or fail to occur. Management recognizes 

a contingent liability for liabilities equal to or greater 

than $100 thousand when a past transaction or event has 

occurred, a future outflow or other sacrifice of resources is 

probable and the related future outflow is measurable (see 

Note 14).

SFFAS No. 5 also provides criteria for recognizing a 

contingent liability for material amounts of environmental 

cleanup costs that are related to general and stewardship 

PP&E used in federal operations. In accordance with 

Technical Bulletin 2006-1, Recognition and Measurement 

of Asbestos-Related Cleanup Costs, AOC recognizes a 

liability and related expense for friable and nonfriable 

asbestos cleanup costs when it is both probable and 

reasonably estimable - consistent with SFFAS No. 5, SFFAS 

No. 6, and Technical Release No. 2 (see Note 14).

N. Personnel Compensation and Benefits

Annual and Other Leave

Annual leave is recognized as an expense and a liability as 

it is earned. The liability is reduced as leave is taken. The 

accrued leave liability is principally long term in nature and 

is classified as unfunded. Other types of leave are expensed 

when taken and no future liability is recognized for these 

amounts (see Note 12).

Federal Employees’ Compensation Act Benefits

The Federal Employees’ Compensation Act (FECA) provides 

income and medical cost protection to covered federal 

civilian employees injured on the job, employees who 

have incurred a work-related occupational disease and 

beneficiaries of employees whose death is attributable to 

a job-related injury or occupational disease. The FECA 

program is administered by the U.S. Department of Labor 

(DOL), which initially pays valid claims and subsequently 

seeks reimbursement from the federal agencies employing 

the claimants. The DOL determines the actuarial liability 

for claims outstanding at the end of each fiscal year. This 

liability includes the estimated future costs of death benefits, 

workers’ compensation and medical and miscellaneous costs 

for approved compensation cases (see Note 12).

Pensions

Most employees of AOC participate in one of three definedbenefit retirement programs based on their employment 

start date. Employee and AOC contributions are made to 

the Civil Service Retirement System (CSRS), the CSRS 

Offset or the Federal Employees Retirement System 

(FERS) — all administered by the Office of Personnel 

Management (OPM). Employees may also participate 

in the Thrift Savings Plan (TSP), a defined contribution 

retirement savings and investment plan, as authorized by the 

Federal Employees Retirement System Act of 1986. The Federal 

Retirement Thrift Investment Board administers this plan. 

The AOC also withholds the necessary payroll deductions 

for employee contributions. 

The AOC is not responsible for and does not report CSRS, 

FERS assets, accumulated plan benefits or liabilities 

applicable to its employees on its financial statements. The 

OPM is responsible to report these amounts. The AOC 

recognizes an imputed financing source for the difference 

between the estimated OPM service cost and the sum of 

participants’ pension withholdings and agency contributions 

(see Note 17).

Health Benefits and Life Insurance 

The AOC recognizes a current-period expense for the future 

cost of post-retirement health benefits and life insurance for 

its employees while they are actively employed. This amount 

is also considered imputed financing (see Note 17). 

O. Statement of Net Cost

The Statement of Net Cost (SNC) is presented by 

responsibility segment (which are AOC jurisdictions), in 

accordance with SFFAS No. 4, Managerial Cost Accounting 

Concepts and Standards for the Federal Government. The 

AOC believes the responsibility segment approach currently 

provides cost information to its stakeholders in a direct, 

informative, and succinct manner. 

The 11 responsibility segments reported on the SNC are 

identified. 

 Capital Construction and Operations

 Capitol Building

 Capitol Grounds and Arboretum

 Capitol Police Buildings, Grounds and Security

 Capitol Power Plant

 House Office Buildings

 Library Buildings and Grounds 

 Senate Office Buildings
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

112  Supreme Court Building and Grounds

 U.S. Botanic Garden

 U.S. Capitol Visitor Center

Revenues reported on the SNC are principally recorded on a 

direct cost recovery basis.

P. Use of Estimates

The preparation of financial statements in conformity with 

GAAP requires management to make certain estimates and 

assumptions. These estimates and assumptions affect the 

reported amounts of assets, liabilities (including contingent 

liabilities), revenues, financing sources, expenses and 

obligations incurred during the reporting period. These 

estimates are based on management’s best knowledge of 

current events, historical experience and other assumptions 

that are believed to be reasonable under the circumstances. 

Estimates are subject to a wide range of variables, including 

assumptions on future economic and financial events. 

Accordingly, actual results may differ from those estimates.

Q. Classified Activities

Accounting standards require all reporting entities 

to disclose that accounting standards allow certain 

presentations and disclosures to be modified, if needed, to 

prevent the disclosure of classified information.

NOTE 2

NON-ENTITY ASSETS

Non-entity assets are those held by AOC but unavailable 

for use in its operations. Upon receipt, these funds are not 

available for AOC use and are transferred to Treasury. 

Activities that may give rise to non-entity assets include:

 Monocle Restaurant rent collections

 USBG palm tree rental proceeds

 Repayment of employees’ debt, which was established in 

funds that are now canceled

 Steam and chilled water collections over the annual 

congressional cap (see Note 1D) 

The AOC’s non-entity assets as of September 30, 2020, and 

2019, were as follows:

Dollars in Thousands

NON-ENTITY ASSETS 2020 2019

With the Public 

Accounts Receivable, 

Net (Note 6) $ 2 $ 26

Total Non-Entity 

Assets 2 26 

Total Entity Assets 3,498,736 3,384,413 

Total Assets $ 3,498,738 $ 3,384,439

NOTE 3

F U N D B A L A N C E W I T H T R E A S U R Y 

FBWT is classified as Unobligated Balances Available, 

Unobligated Balances Unavailable, Obligated Balance not 

yet Disbursed or Non-Budgetary FBWT. 

Unobligated Balance Available represents unexpired budget 

authority. The amount disclosed in this note as Unobligated 

Balance Available may not reconcile to the amount reported 

as Unobligated-Exempt from Apportionment on the 

Combined Statement of Budgetary Resources (SBR) due to 

anticipated collections (closed out at year end) and budgetary 

resources that do not affect FBWT such as investments 

(see Note 5). Additionally, any amounts in FBWT for 

which the related budgetary authority is restricted will not 

reconcile to the SBR. AOC has unobligated balances derived 

from offsetting collections for space rented in the O’Neill 

Building. These amounts are restricted to future use, 

pending Congressional appropriation. 

Unobligated Balance Unavailable represents expired budget 

authority that is no longer available to incur new obligations 

unless authorized by Congress, such as FECA payments. 

Obligated Balance not yet Disbursed includes undelivered 

orders or orders that have been received but not yet paid for. 

Non-Budgetary FBWT (if applicable) includes unavailable 

miscellaneous receipts and suspense accounts that have no 

associated budget authority. 

Dollars in Thousands

BALANCE TYPE 2020 2019

Unobligated Balance

Available

Unavailable

$ 444,677

22,952 

$ 574,909

19,978 

Obligated Balance 

not yet Disbursed 547,149 499,265 

Total $ 1,014,778 $ 1,094,152

The decrease in Unobligated Balance Available is mainly 

due to a 2 percent decrease in appropriations received in 

FY 2020 compared to FY 2019. During the current year, 

AOC’s disbursements also increased noticeably as a result 

of progress payments on the Cannon House Office Building 

renewal construction project as well as COVID-19-related 

spending, which are also reflected in the increase in 

Obligated Balance not yet Disbursed. 

NOTE 4

C A S H A N D O T H E R M O N E T A R Y A S S E T S 

Cash and Other Monetary Assets include change-making 

funds held in a bank outside Treasury for CVC Gift Shop 

operations and undeposited daily sales from the Gift Shops (if 

applicable). The CVC closed for public tours Thursday, March 

12, at 4:30 p.m. due to public health concerns associated with 

COVID-19. As a result of the closing, there was no daily 

sales activity after that date and therefore no undeposited 

collections for the period ending September 30, 2020. There 

are no restrictions on cash.
SECTION 3 Financial Information

The cash balances as of September 30, 2020, and 2019, are 113

as follows:

Dollars in Thousands

CASH AND OTHER 

MONETARY ASSETS 2020 2019

Undeposited 

Collections $ — $ 31

Cash Imprest Funds 14 14 

Total $ 14 $ 45

NOTE 5

I N V E S T M E N T S 

The CVC’s investments are comprised of proceeds from 

CVC Gift Shop sales and restaurant commissions. These 

amounts are invested with Treasury’s Bureau of the Fiscal 

Service and are classified as intragovernmental. Investments 

with the public comprise the investment of the residual 

Thurgood Marshall Building construction operating reserve 

funds with the Bank of New York Mellon. 

The FY 2020 Intragovernmental Investments, Net decreased 

by $4.2 million compared to FY 2019 due to decreased CVC 

Gift Shop sales and restaurant commissions as a result of 

the COVID-19 pandemic-related closures (see Note 4, Cash 

and Other Monetary Assets) and additional CVC spending 

related to the Exhibition Hall Renovation project. 

Also, the difference in the type of certificates (one-day, 

six-month, and one-year) reflects the maturity of previously 

held six-month and one-year securities. Upon maturity, the 

proceeds from six-month and one-year securities remain 

in one-day certificates until they are reinvested in longerterm certificates.

At September 30, 2020, Dollars in Thousands 

INVESTMENTS SHARES/PAR

AMORTIZED 

PREM./(NET OF 

DISC.)

INTEREST 

RECEIVABLE

INVESTMENTS, 

NET

MARKET

VALUE

Intragovernmental, Nonmarketable:

Capitol Visitor Center Revolving Fund

One Day Certificate, 0.07% Annual Yield 

Maturing 10/01/2020 $ 11,325 $ — $ — $ 11,325 $ 11,325

Six Month Certificate, 0.125% Annual Yield 

Maturing 01/21/2021 5,003 (2) — 5,001 5,002

One Year Certificate, 1.45% Annual Yield 

Maturing 01/28/2021 4,059 (19) — 4,040 4,058

Total Intragovernmental $ 20,387 $ (21) $ — $ 20,366 $ 20,385

With the Public, Held to Maturity: 

The Bank of New York Mellon Operating 

Reserve Fund Serial Zero Coupon 

Certificates Maturing 08/15/2024 $ 10,761 $ — $ — $ 10,761 $ 10,761 

Total With the Public $ 10,761 $ — $ — $ 10,761 $ 10,761

Total Investments $ 31,148 $ (21) $ — $ 31,127 $ 31,146

At September 30, 2019, Dollars in Thousands

INVESTMENTS SHARES/PAR

AMORTIZED 

PREM./(NET OF 

DISC.)

INTEREST 

RECEIVABLE

INVESTMENTS, 

NET

MARKET

VALUE

Intragovernmental, Nonmarketable:

Capitol Visitor Center Revolving Fund

One Day Certificate, 1.90% Annual Yield 

Maturing 10/01/2019 $ 14,009 $ — $ — $ 14,009 $ 14,009

Six Month Certificate, 2.06% Annual Yield 

Maturing 01/23/2020 5,052 (33) — 5,019 5,023

One Year Certificate, 2.52% Annual Yield 

Maturing 01/30/2020 4,095 (34) — 4,061 4,070

One Year Certificate, 1.71% Annual Yield 

Maturing 08/31/2020 1,525 (23) $ — 1,502 1,501

Total Intragovernmental $ 24,681 $ (90) $ — $ 24,591 $ 24,603

With the Public, Held to Maturity: 

The Bank of New York Mellon Operating 

Reserve Fund Maturing 08/15/2024 $ 10,673 $ — $ — $ 10,673 $ 10,673

Total With the Public $ 10,673 $ — $ — $ 10,673 $ 10,673

Total Investments $ 35,354 $ (90) $ — $ 35,264 $ 35,276 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

114

NOTE 6

ACCOUNTS RECEIVABLE, NET

The AOC’s Accounts Receivable as of September 30, 2020, 

and 2019, are as follows:

Dollars in Thousands

ACCOUNTS RECEIVABLE 2020 2019

Intragovernmental

Entity $ 607 $ 1,857

Total Intragovernmental $ 607 $ 1,857 

With the Public

Entity $ 355 $ 850 

Non-Entity 2 26 

Total With the Public $ 357 $ 876 

Total $ 964 $ 2,733

Based on analysis of historical collections and write-offs, all 

accounts are currently considered collectible and there is no 

allowance for doubtful accounts as of the current period.

The decrease in the total accounts receivables was due to 

multiple factors. First, steam and chilled water usage and 

billing were lower as a result of the COVID-19-related 

shutdown. Also, AOC transitioned to monthly billing and 

collections which reduced the amount outstanding at the 

end of the current reporting period. Additionally, CVC 

closed for public tours Thursday, March 12, at 4:30 p.m. 

due to public health concerns associated with COVID-19. 

As a result, there are no restaurant commissions due as of 

September 30, 2020. 

NOTE 7

I N V E N T O R Y A N D R E L A T E D 

PROPERT Y, NET

Inventory consists of retail goods that were purchased for 

resale at the CVC’s Gift Shops. The AOC may record an 

allowance which is based on slow-moving, excess or obsolete 

and damaged inventory, if applicable. 

Inventory, as of September 30, 2020, and 2019, is as follows:

Dollars in Thousands

INVENTORY CATEGORY 2020 2019

Purchased Goods Held for 

Current Sale

$ 1,185 $ 624

Total $ 1,185 $ 624

The FY 2020 inventory on hand is higher compared to FY 

2019. This is due to a reduced inventory turnover in the 

current period due to the closing of the CVC Gift Shops 

on March 12 at 4:30 p.m. due to public health concerns 

associated with COVID-19.

Inventory on hand may include damaged items which consist 

of broken and/or stained merchandise that are no longer in 

saleable condition, such as display items. Discontinued or 

defective merchandise may also be restricted from future 

sales and carried as damaged inventory until disposed. 

Based upon management’s reviews and the most recent 

inventory count, all damaged inventory was disposed in 

accordance with normal operating practices. Therefore, 

there is no damaged or restricted inventory to report as of 

September 30, 2020.

Above As part of the recently completed restoration of the Ulysses S. Grant Memorial, the AOC refabricated eight replica bronze lampposts

and installed them on the memorial’s marble pedestal.
SECTION 3 Financial Information

115 NOTE 8

GENERAL PROPERT Y, PLANT AND EQUIPMENT, NET

The AOC records property and equipment by distinct categories as shown (see also Note 1.K for AOC’s capitalization thresholds 

and related useful lives). 

The following chart represents AOC’s real property and equipment values, by asset category, as of September 30, 2020, and 2019:

At September 30, 2020, Dollars in Thousands

CLASS OF PROPERTY 

AND EQUIPMENT ACQUISITION VALUE ACCUMULATED DEPRECIATION NET BOOK VALUE %

Buildings $ 1,440,184 $ 838,164 $ 602,020 24.5%

Building Improvements 2,362,061 1,167,300 1,194,761 48.8%

Capital Leases (Real Property) 40,143 37,036 3,107 0.1%

Construction Work-in-Progress 425,090 — 425,090 17.3%

Equipment and Internal 

Use Software 21,686 17,636 4,050 0.2%

Land 169,231 — 169,231 6.9%

Land Improvements 164,010 118,590 45,420 1.9%

Leasehold Improvements 22,934 20,389 2,545 0.1%

Other Structures 9,289 5,057 4,232 0.2%

Total $ 4,654,628 $ 2,204,172 $ 2,450,456 100%

At September 30, 2019, Dollars in Thousands

CLASS OF PROPERTY 

AND EQUIPMENT ACQUISITION VALUE ACCUMULATED DEPRECIATION NET BOOK VALUE %

Buildings $ 1,440,072 $ 809,299 $ 630,773 28.0%

Building Improvements 2,240,280 1,073,694 1,166,586 51.8%

Capital Leases (Real Property) 39,749 36,423 3,326 0.2%

Construction Work-in-Progress 221,016 — 221,016 9.8%

Equipment and Internal 

Use Software 20,822 17,216 3,606 0.2%

Land 169,231 — 169,231 7.5%

Land Improvements 159,483 110,841 48,642 2.2%

Leasehold Improvements 22,935 19,924 3,011 0.1%

Other Structures 9,288 4,696 4,592 0.2%

Total $ 4,322,876 $ 2,072,093 $ 2,250,783 100%

The increase in Construction Work-in-Progress is primarily 

due to work on various ongoing capital improvement projects 

such as the Cannon Renewal Project. 

The AOC’s current year PP&E activity is as follows:

CURRENT YEAR ACTIVITY 

NET PP&E DOLLARS IN THOUSANDS

Balance at Beginning of year $ 2,250,783

Capitalized Acquisitions 332,208

Dispositions (456)

Depreciation (132,079)

Balance at end of year $ 2,450,456

The educational, artistic, architectural, and historical 

significance of many of AOC’s buildings meet the FASAB 

criteria for heritage assets. Since these buildings are 

currently used for day-to-day business, they are further 

classified as multiuse heritage assets (see Note 9). As a result, 

they are depreciated in the same manner as if they were 

general purpose assets. Although the original assets are fully 

depreciated, subsequent improvements and betterments to 

the buildings are currently being depreciated in accordance 

with established policy. The AOC is responsible for 

reviewing and authorizing all structural and architectural 

changes to the buildings and grounds prior to any 

change occurring.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

116 NOTE 9

STEWARDSHIP PP&E

The AOC maintains and preserves stewardship PP&E 

related to its mission to serve Congress and the Supreme 

Court, preserve America’s Capitol and inspire memorable 

experiences. Tracing its beginnings to the laying of the 

U.S. Capitol Building cornerstone in 1793, authority for 

AOC’s care and maintenance of the U.S. Capitol was 

established by legislation in 1876. The agency maintains 

multiple categories of heritage assets, including historic 

buildings and structures, stewardship lands and cultural 

landscapes, artwork, architectural features, reference and 

library materials, and living botanical assets. The AOC 

shares stewardship responsibility for certain heritage assets 

with the curators for the U.S. Senate and the House of 

Representatives. These heritage assets are categorized as 

joint works of art and included in AOC’s inventory. In 

addition, while AOC is responsible for the architectural 

fine art adorning the U.S. Supreme Court Building, the 

collectible fine art within the building is cared for by the 

curator of the Supreme Court of the United States.

The AOC’s heritage asset management is guided by the 

Secretary of the Interior’s Standards and Guidelines for 

Treatment of Historic Properties and Cultural Landscapes 

and by the Code of Ethics and Guidelines for Practice 

of the American Institute for Conservation of Historic 

and Artistic Works. The reference and library materials 

collection is guided by the National Archives and Records 

Administration preservation standards and the living 

botanical assets col lection is guided by the standards 

for care of the American Alliance of Museums and 

Botanic Garden Conservation International. The AOC’s 

stewardship PP&E is described more fully in the Required 

Supplementary Information (RSI). Deferred maintenance 

and repairs are separately disclosed as RSI.

Historic Buildings and Structures

The AOC maintains multiple historic buildings and 

structures, along with their historic fabric. These facilities 

include the U.S. Capitol Building, Russell Senate Office 

Building, Dirksen Senate Office Building, Hart Senate 

Office Building, Senate Underground Garage, Daniel 

Webster Page Residence, Cannon House Office Building, 

Longworth House Office Building, Rayburn House Office 

Building, East and West House Underground Garages, 

Ford House Office Building, Thomas Jefferson Building, 

John Adams Building and James Madison Memorial 

Building. They also include the U.S. Botanic Garden 

(USBG) Conservatory, USBG Administration Building, 

Capitol Power Plant Main Boiler Building, Capitol Power 

Plant East Refrigeration Plant, Capitol Power Plant Old 

Generator Building, U.S. Supreme Court Building and 

Thurgood Marshall Federal Judiciary Building. All of these 

facilities are predominantly used in general government 

operations and are considered multiuse heritage assets. 

Multiuse heritage assets are shown at cost and presented 

as General Property, Plant and Equipment, Net on the 

Balance Sheet. Historic buildings and structures are added 

or withdrawn through congressional action.

Stewardship Lands and Cultural Landscapes

The AOC-administered stewardship lands encompass 

more than 570 acres of grounds. This includes the U.S. 

Capitol Grounds, the approximately 286 acres immediately 

surrounding the U.S. Capitol Building designed by noted 

American landscape architect Frederick Law Olmsted. In 

addition, the cultural landscapes include Senate Park, Senate 

office building sites and courtyards, House office building 

sites and courtyards, Botanic Garden and National Garden, 

Bartholdi Park, USBG Administration Building site, 

Union Square, Thomas Jefferson Building site, John Adams 

Building site, James Madison Memorial Building site, 

U.S. Supreme Court Building site, the Thurgood Marshall 

Building site and the memorial trees planted on the U.S. 

Capitol Grounds to honor distinguished citizens, groups and 

national events. In general, units of stewardship land are 

added or withdrawn through congressional action. Memorial 

trees are added through congressional action or donation. 

An inventory of the memorial trees as of September 30, 

2020, and 2019 follows:

DESCRIPTION 2019 ADDED WITHDRAWN OTHER ADJUSTMENTS 2020 CONDITION

Memorial Trees 145 2 (1) 4 150 Good
SECTION 3 Financial Information

Collectible Heritage Assets 117

The AOC is the steward of collectible heritage assets. In 

general, collectible heritage assets are added or withdrawn 

through congressional action. Living botanical assets 

are added through congressional action or donation, 

and withdrawn due to plants dying or being composted/

discarded due to disease or change in institutional need. 

Collectible heritage assets include:

Artwork: The AOC cares for artwork that is part of the 

Capitol campus. These include fine art, decorative art, 

architectural fine art and architectural decorative art.

Architectural Features: The Capitol campus is graced with 

many unique architectural features. These include outdoor 

sculptures, monuments and landscape features and fixtures.

Reference and Library Materials: The AOC’s collections 

include art and reference files, art and reference library 

materials and archival records (both traditional and 

electronic). The traditional archival records include 

architectural and engineering drawings, manuscripts, 

paper records, small architectural models, photographs 

and conservation reports. The electronic archival records 

are heritage assets retained on electronic storage media 

including, but not limited to, architectural and engineering 

drawings and textual records.

Living Botanical Assets: The AOC accounts for the living 

botanical assets in the USBG collection. These include a 

variety of plants for exhibition, study and exchange with 

other institutions. 

An inventory of AOC’s collectible heritage assets as of 

September 30, 2020, and 2019 follows: 

DESCRIPTION 2019 ACQUIRED WITHDRAWN OTHER ADJUSTMENTS 2020 CONDITION

Artwork 2,032 1 — (80) 1,953 Poor to Excellent

Architectural 

Features 202 — — — 202 Fair to Excellent

Reference and 

Library Materials:

Art and Reference 

Files (Drawers) 108 — — — 108 Good

Art and Reference 

Library Materials 

(Volumes)

1,216 3 — — 1,219 Good

Other Traditional 

Archival Records 540,666 11,969 — (586)* 552,049 Fair to Excellent

Electronic 

Archival Records 

(Megabytes)

5,417.57 7,966.50 — (1,282.69)* 12,101.38 N/A

Living Botanical 

Assets (Accessions) 9,651 660 (386) — 9,925 N/A

*The AOC made the determination to exclude preaccessioned materials from their heritage assets inventory, although these materials will continue to 

be described in the RSI. Preaccessioned materials are records that have been transferred to the Records Management and Archives Branch, but not yet 

screened and registered as part of the official archival collection. As a result of this change, 586 items were removed from the Other Traditional Archival 

Records inventory and 1,282.69MB were removed from Electronic Archival Records inventory. These items appear in the Adjustments column in the 

summary above.

NOTE 10

OTHER ASSETS

As of September 30, 2020, Other Assets consist of the 

unliquidated balance on advance payments to other federal 

agencies for support work performed under interagency 

agreements. In FY 2019, Other Assets consisted of employee 

travel advances in addition to the federal agencies advances.

The decrease in Intragovernmental Advances to Others 

is attributed to the liquidation of the advance payments 

as services are rendered and costs are incurred under the 

interagency agreements.

Dollars in Thousands

OTHER ASSETS 2020 2019

Intragovernmental

Advances to Others $ 214 $ 834

Total Intragovernmental $ 214 $ 834 

With the Public

Advances to Others $ — $ 4 

Total With the Public $ — $ 4 

Total $ 214 $ 838
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

118 NOTE 11

L I A B I L I T I E S N O T C O V E R E D B Y 

BUDGETARY RESOURCES

The Balance Sheet as of September 30, 2020, and 2019, 

includes some liabilities not covered by current budgetary 

resources. Such liabilities require future Congressional 

action whereas liabilities covered by budgetary resources 

reflect prior congressional action. Regardless of when 

the congressional action occurs, when the liabilities are 

liquidated, Treasury will finance the liquidation in the 

same way that it finances all other disbursements, which is 

to borrow from the public if the government has a budget 

deficit (and to use current receipts if the government has a 

surplus). Liabilities that do not require the use of budgetary 

resources are miscellaneous receipts that are to be forwarded 

to Treasury. 

The amount reported as Other in the following table 

represents the financed portion of the cogeneration project. 

While this amount is currently not covered by budgetary 

resources, the annual payment of principal and interest on 

the liability will be made from annual appropriations to the 

Capitol Power Plant (See Note 1 and Note 16).

Liabilities Covered and Not Covered by Budgetary Resources 

as of September 30, 2020, and 2019, are as follows:

Dollars in Thousands

LIABILITIES 2020 2019

Intragovernmental

Accrued Unfunded Worker’s 

Compensation (See Note 12) $ 8,720 $ 9,159

Total Intragovernmental $ 8,720 $ 9,159 

Debt Held by Public (See 

Note 13) $ 58,229 $ 70,082

Actuarial Unfunded Worker’s 

Compensation (See Note 12) 51,668 52,073

Environmental Liabilities – 

Unfunded (See Note 14) 79,062 79,243

Unfunded Accrued Annual 

Leave and Other (See 

Note 12) 18,611 12,626

Other (See Note 16) 49,307 58,031

Capital Lease 4,207 4,408

Total Liabilities Not 

Covered by Budgetary 

Resources $ 269,804 $ 285,622

Total Liabilities Covered by 

Budgetary Resources 133,925 123,775

Total Liabilities Not 

Requiring Budgetary 

Resources ( Note 16) 2 57

Total Liabilities $ 403,731 $ 409,454 

NOTE 12

P A Y R O L L- R E L A T E D L I A B I L I T I E S 

Payroll-related liabilities include three accounts: Funded 

Accrued Payroll (payroll that has been earned but not paid), 

Unfunded Accrued Annual Leave (employee leave that 

has been earned but not taken in current year) and accrued 

liabilities for Workers’ Compensation.

Accrued Payroll and Annual Leave, by type, as of September 

30, 2020, and 2019, are as follows:

Dollars in Thousands

ACCRUED ANNUAL LEAVE 

AND OTHER 2020 2019

Funded Accrued Payroll $ 14,001 $ 10,982

Unfunded Accrued 

Annual Leave 18,611 12,626

Total $ 32,612 $ 23,608 

The increase in Funded Accrued Payroll was due to a longer 

accrued timeframe in FY 2020 (13 working days) compared 

to that of FY 2019 (11 working days). The increase in 

Unfunded Accrued Annual Leave is attributed to employees 

taking less leave compared to previous fiscal years, as a result 

of the COVID-19-related quarantine. Also, employees 

who were unable to continue working were allowed to use 

administrative leave. 

Workers’ Compensation is reported as required by FECA. 

The liability is presented in two parts: an annual accrued 

liability for billed costs (current portion) and a long-term, 

actuarially-calculated unfunded liability (see Note 1.M). 

The actuarial workers’ compensation liability was calculated 

using a formula provided by the DOL. 

Workers’ Compensation, by type, as of September 30, 2020, 

and 2019, is as follows:

Dollars in Thousands

WORKERS’ COMPENSATION, 

BY TYPE 2020 2019

Unfunded Workers’ 

Compensation (Current) $ 8,720 $ 9,159

Actuarial Workers’ 

Compensation (Long-Term) 51,668 52,073 

Total $ 60,388 $ 61,232 

The change in the Actuarial Workers’ Compensation 

liability is due to reduced claims during FY 2020 which 

lower the overall projection.

Estimated future costs have been actuarially determined 

and they are regarded as a liability to the public because 

neither the costs nor reimbursement have been recognized 

by DOL. Actuarial Workers’ Compensation is included in 

Liabilities not covered by Budgetary Resources, as described 

in Note 11.
SECTION 3 Financial Information

119 NOTE 13

D E B T H E L D B Y T H E P U B L I C 

Debt held by the public consists of federal debt and interest 

payable.  The AOC is responsible for paying 30-year Serial 

Zero Coupon Certificates of Participation that were issued 

in 1989 for financing the construction of the Thurgood 

Marshall Building. The certificates were issued at $125.4 

million with a maturity value of $525.5 million and are 

amortized using the effective interest rate of 9 percent 

(corresponding to the discount). Interest payable is accrued 

for the coupon certificates as well as the financed portion of 

the cogeneration project.

The balance of Debt Held by the Public, as of September 30, 

2020, and 2019, is as follows:

Dollars in Thousands

DEBT HELD BY THE PUBLIC, 

BY TYPE 2020 2019

Securities $ 68,920 $ 86,150 

Interest Payable 1,086 1,453 

Subtotal $70,006 $ 87,603 

Discount on Securities $ (400,123) $ (400,123)

Less: Amortization of 

Discount 388,346 382,602

Subtotal $ (11,777) $ (17,521)

Total $ 58,229 $ 70,082 

Various judiciary offices and personnel occupy the Thurgood 

Marshall Building under an Interagency Agreement 

between AOC and the Administrative Office of the U.S. 

Courts. Base rent will not change over the initial 30 years 

and is set at $17.2 million annually, which is the amount 

necessary to retire the debt in August 2024. This certificate 

is not subject to prepayment or acceleration under any 

circumstance, pursuant to the language in the certificate 

agreement. 

NOTE 14

COMMITMENTS AND CONTINGENCIES

The AOC is party to various administrative proceedings, 

legal actions, and tort claims which may result in settlements 

or decisions adverse to the federal government. The AOC 

also has responsibility to remediate certain sites with 

environmental contamination hazards related to ongoing 

operations. Additionally, AOC has contractual agreements 

with various energy service providers which may require 

future financial obligations.

The AOC’s accrued and potential liabilities for contingent 

and environmental cleanup costs, as of September 30, 2020, 

and 2019, are shown.

At September 30, 2020, Dollars in Thousands

ESTIMATED RANGE OF LOSS

CONTINGENT AND 

ENVIRONMENTAL 

CLEANUP COST 

LIABILITIES

ACCRUED 

LIABILITIES LOWER END UPPER END

Legal Liabilities

Reasonably 

Possible — — $ 2,800 

Environmental 

Cleanup Cost 

Liabilities

Probable $ 79,062 $ 79,062 $ 79,062

Total $ 79,062 $ 79,062 $ 81,862 

At September 30, 2019, Dollars in Thousands

ESTIMATED RANGE OF LOSS

CONTINGENT AND 

ENVIRONMENTAL 

CLEANUP COST 

LIABILITIES

ACCRUED 

LIABILITIES LOWER END UPPER END

Legal Liabilities

Reasonably 

Possible — $ 500 $ 9,400 

Environmental 

Cleanup Cost 

Liabilities

Probable $ 79,243 $ 79,243 $ 79,243

Total $ 79,243 $ 79,743 $ 88,643 

Legal Liabilities

General contingent liabilities consist of claims filed against 

AOC which are awaiting adjudication. These liabilities 

typically relate to contracts, labor and equal employment 

opportunity issues, and personal and property damage. 

For the purpose of estimating contingent liabilities for the 

financial statements, AOC conducted a review of existing 

claims for which the likelihood of loss to AOC is probable. 

Additionally, management and AOC’s General Counsel 

evaluated the materiality of cases determined to have a 

reasonably possible chance of an adverse outcome. Liabilities 

are recognized herein for those cases that are determined to 

meet management’s materiality threshold (see Note 1.M). 

No amounts are accrued in the financial records for claims 

where the estimated amount of potential loss is less than 

$100 thousand or where the likelihood of an unfavorable 

outcome is less than probable. During the current and prior 

year reporting period there were no reported cases that met 

this criteria. 

Additionally, management and AOC’s General Counsel 

evaluated the materiality of cases determined to have a 

reasonably possible (less than probable but more than 

remote) chance of an adverse outcome. The ultimate 

outcomes in these matters cannot be predicted at this time; 

however, the lower and upper level estimate of these cases 

are shown in the chart above. Sufficient information is not 

currently available to determine if the ultimate resolution of 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

120 the proceedings, actions, and claims will materially affect 

AOC’s financial position or results of operations. Based on 

the less than probable nature of these claims, an accounting 

entry for the estimate was not posted and there is no impact 

on the financial statements. 

Environmental Cleanup Cost Liabilities Related to 

Asbestos Cleanup

The AOC is responsible for managing and/or abating friable 

and non-friable asbestos-containing materials (ACM) in all 

Capitol complex buildings owned by the federal government. 

Pursuant to the FASAB Technical Bulletin 2006-1, 

Recognition and Measurement of Asbestos-related Cleanup 

Costs, AOC recognizes a liability for cleanup costs that 

are both probable and reasonably estimable. This liability is 

founded on “per square and linear foot” cost indexes (based 

on current industry guidance for asbestos cleanup projects) 

which are then applied to recorded quantities of ACM to 

derive a total estimated liability.

Actual cleanup costs may differ from the recorded estimate 

due to additional cost factors that are, at this time, not 

reasonably estimable. For example, there may be an 

additional difficulty factor associated with AOC projects 

due to the unique working conditions on Capitol Hill. 

Additionally, containment (room or area) for asbestos 

abatement is a required work element that is not reasonably 

estimable at this time. Due to the uniqueness of individual 

project requirements, there is not enough information to 

determine the type of, and how much containment would be 

required. The AOC has determined the lower level estimate 

of potential containment cost could be up to $98.5 million.

Fort George G. Meade, Maryland

In addition to the requirements of Technical Bulletin 

2006-1, AOC is subject to various federal, state, and local 

environmental compliance and restoration laws. Applicable 

laws include the Clean Air Act, the Clean Water Act, the Solid 

Waste Disposal Act, the Safe Drinking Water Act, and the 

Comprehensive Environmental Response, Compensation, and 

Liability Act (CERCLA).

Management’s review concluded that AOC is not 

responsible for the clean-up and remediation of previous 

environmental contamination on the approximately 

100 acres of land at Fort George G. Meade, Maryland, 

which the U.S. Army transferred to AOC. The Army is 

responsible for the environmental clean-up of any previous 

contamination under CERCLA. The AOC understands that 

the Army is actively monitoring existing contamination on 

the entire site, including the land transferred to AOC, and is 

pursuing appropriate remediation of this contamination.

Future Funded Energy Contracts

The Energy Policy Act of 1992 authorized the use of private 

sector financing to implement energy conservation methods 

and energy-efficient technologies by federal entities. These 

contracts provide technical services and upfront project 

financing and allow federal agencies to pay off the project 

costs over a period not to exceed 25 years. Per Office of 

Management and Budget (OMB) Memoranda M-98-13 and 

M-12-21, obligations, budget authority and outlays for these 

energy savings projects will be recognized on an annual basis 

when due, rather than recording the full obligation upfront. 

With approval from Congress, AOC has partnered with 

private energy service providers for Energy Savings 

Performance Contracts (ESPCs) in the Capitol Building, 

House Office Buildings and Senate Office Buildings 

jurisdictions. In accordance with OMB guidance, the total 

capital costs for AOC’s energy savings projects are obligated 

on an annual basis, as per the payment schedule specified in 

each individual contract. These projects play an important 

role in AOC’s strategy to reduce energy consumption by 30 

percent within 10 years.

The ESPCs have helped AOC complete conservation 

measures by way of:

 converting from pneumatic to direct digital heating, 

ventilation and air conditioning (HVAC) control and 

upgrading building automation

 retrofitting existing light fixtures with high-efficiency 

lamps, ballasts, controls and reflectors; installing LED 

lighting in hearing rooms and expanding the lighting 

control rooms

 upgrading transformers to high-efficiency models

 adding removable insulation covers to reduce heat loss 

from steam valves

 replacing aged air handling units with new energy 

efficient units

 replacing failing and defective steam traps and valves to 

eliminate steam loss and waste

 installing new motion/occupancy sensors in areas with 

infrequent and low occupancy levels

In FY 2019, AOC awarded an ESPC to install energyefficient systems, lighting, HVAC control enhancements 

and water conservation improvements throughout the 

Library of Congress’ facilities. This project is currently 

ongoing. Construction related to ESPCs in the Capitol 

Building, House Office Buildings and Senate Office 

Buildings jurisdictions is complete, and those projects 

have transitioned to their training, implementation and 

performance phases.

The AOC is liable for the full funding of its recently 

completed cogeneration plant, as follows:

DOLLARS IN MILLIONS TOTAL

Construction Costs

Appropriations $ 20 

Long-Term Financing 67 

Total Construction Costs $ 87 

Interest On Financing 25 

Total Costs Over the Life of 

the Asset $ 112
SECTION 3 Financial Information

The AOC will pay off the total amount of government 121

contract payments (including interest) in 20 annual 

installments ranging from $3 million to $5 million each 

year (and subject to prepayment penalties). Total payments 

over the term, including interest and prepayments, will 

be approximately $92 million. The amount outstanding 

as of the current reporting period is approximately $49 

million (See Note 16, Other Liabilities). The AOC expects 

that these payments will be completed by May 2037 from 

utility savings and additional revenues that result from the 

operations of the cogeneration facility.

NOTE 15

LEASES

As of September 30, 2020, AOC is committed to various 

non-cancelable leases primarily covering administrative 

office space and storage facilities, motor vehicles, and office 

equipment. Many of these leases contain escalation clauses 

tied to inflationary and tax increases, and renewal options.

Capital Leases

The balance of Assets Under Capital Lease, as of September 

30, 2020, and 2019, is as follows:

Dollars in Thousands

SUMMARY OF ASSETS 

UNDER CAPTIAL LEASE 2020 2019

Lands and Buildings $ 40,143 $ 39,749 

Accumulated Amortization (37,036) (36,423) 

Total Capital Leases $ 3,107 $ 3,326

Capital leases have initial or remaining non-cancelable 

lease terms in excess of one year. The capital lease liability 

is amortized over the term of the lease. At the end of the 

current reporting period, AOC had one non-federal capital 

lease for the Senate Sergeant at Arms Warehouse building in 

Landover, MD. This lease is active through FY 2025.

As of September 30, 2020, and 2019, the present value of 

the future minimum lease payments for this capital lease is 

as follows:

At September 30, 2020, Dollars in Thousands

FISCAL YEAR TOTAL

2021 $ 928

2022 938 

2023 947 

2024 956 

2025 966 

Thereafter

Total Minimum Future Lease Payment $ 4,735

Less: Imputed Interest (528)

Net Capital Lease Liability $ 4,207 

At September 30, 2019, Dollars in Thousands

FISCAL YEAR TOTAL

2020 $ 845 

2021 845 

2022 845 

2023 845 

2024 845 

Thereafter 845

Total Minimum Future Lease Payment $ 5,070 

Less: Imputed Interest (662)

Net Capital Lease Liability $ 4,408

The future lease payments and related capital lease 

liabilities as shown in the charts above are not covered by 

budgetary resources. 

Operating Leases

The AOC has entered into various operating lease 

agreements for equipment, vehicles and commercial space. 

These lease agreements are held with various entities 

including the General Services Administration (GSA), 

Government Publishing Office (GPO) and other commercial 

vendors and expire on various dates between FY 2021 and 

FY 2025. 

As of September 30, 2020, the aggregate of future payments 

due under non-cancelable federal and nonfederal operating 

leases and occupancy agreements are as follows:

At September 30, 2020, Dollars in Thousands 

REAL PROPERTY

 PERSONAL 

PROPERTY

FISCAL 

YEAR FEDERAL

NONFEDERALNON 

FEDERAL TOTAL

2021 $ 6,826 $ 9,834 $ 9 $ 16,669 

2022 3,146 8,097 11,243 

2023 — 6,896 — 6,896 

2024 — 941 — 941 

2025 — 675 — 675 

Thereafter — — — —

Total 

Future 

Leases $ 9,972 $ 26,443 $ 9 $ 36,424 

NOTE 16

OTHER LIABILITIES

As of September 30, 2020, and 2019, these liabilities consist 

of long-term debt from the cogeneration financing, accrued 

accounts payable, undeposited CVC Gift Shops sales 

and miscellaneous receipts (intragovernmental custodial 

liabilities). Miscellaneous receipts include non-entity 

receipts that are to be forwarded to Treasury (See Note 2).
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

122 Other liabilities, as of September 30, 2020, and 2019, are 

as follows:

Dollars in Thousands

OTHER LIABILITES 2020 2019

Intragovernmental 

Custodial Liability (Current) $ 2 $ 26

Liability for Deposit Funds, 

Clearing Accounts and 

Undeposited Collections 

(Current) — 31

Total Intragovernmental $ 2 $ 57

With the Public

Other Accrued Liabilities 

(Current) 44,810 44,396 

Other Liabilities 

(Non-Current) 49,307 58,031 

Total With the Public 94,117 102,427 

Total $ 94,119 $ 102,484 

As previously discussed, in FY 2020 there were no 

undeposited collections due to the closing of the CVC Gift 

Shops on March 12, 2020 at 4:30 p.m. due to public health 

concerns associated with COVID-19. 

Other Accrued Liabilities (Current) consists of accrued 

accounts payable. In FY 2020, AOC accrued accounts 

payable for work performed on ongoing large capital projects 

and COVID-19 spending.

The change in Other Liabilities (Non-Current) is attributed 

to a prepayment in addition to the regular annual payment 

on the cogeneration long-term liability. This prepayment 

was made with funds from utility cost savings realized once 

the cogeneration equipment was placed in operation. The 

prepayment resulted in a three-year reduction of the loan term. 

NOTE 17

IMPUTED FINANCING

Consistent with SFFAS No.4, AOC incorporates the full 

cost of goods and services received from other Federal 

entities in its SNC. Certain costs of the providing entity 

may not be fully reimbursed by AOC. The unreimbursed 

portion of these costs is recognized as imputed costs and are 

included in the operating amounts reported on the SNC. 

The imputed costs are offset by imputed financing sources 

and are reported on the face of the Statement of Changes in 

Net Position (SCNP). 

Such imputed costs and financing sources include campuswide capital infrastructure projects performed by another 

federal agency and Treasury Judgment Fund or Office of 

Congressional Workplace Rights (OCWR) Settlement and 

Award Fund payments, as applicable. 

The AOC has activities with OPM that also require imputed 

costs and financing sources to be recognized. The OPM 

administers three earned benefit programs for civilian 

Federal employees: the Federal Employees Health Benefits 

(FEHB) Program, the Federal Employee Group Life 

Insurance (FEGLI) Program, and the CSRS, CSRS Offset, 

and FERS Retirement Programs. The imputed costs and 

financing sources consist of the benefits for AOC employees 

that are paid on its behalf by OPM.

CSRS: According to PL 99-335, all employees hired prior 

to January 1, 1987, could elect CSRS or CSRS Offset. The 

CSRS provides a basic annuity and Medicare coverage. The 

CSRS fund covers most employees hired prior to January 1, 

1984. The AOC and the employee contribute to Medicare 

at the rate prescribed by law. The AOC does not match TSP 

contributions for employees who participate in the CSRS 

retirement program.

CSRS Offset: CSRS Offset generally covers those 

employees who have had a break in their CSRS service of 

more than one and less than five years by the end of 1986. 

The AOC and the employee contribute to Social Security 

and Medicare at the rates prescribed by law. The AOC does 

not match TSP contributions for employees who participate 

in the CSRS Offset retirement program.

FERS: According to PL 99-335, employees with less than 

five years of creditable civilian service, as of the effective 

date in 1986, were automatically converted to FERS. In 

addition, during certain periods in 1987, 1988 and 1998, 

employees hired before January 1, 1984, could choose to 

participate in FERS. This system consists of Social Security, 

a basic annuity plan and the TSP.

The AOC and the employee contribute to Social Security 

and Medicare at rates prescribed by law. In addition, AOC 

is required to contribute to the TSP a minimum of 1 percent 

per year of the basic pay of employees covered by this system. 

The AOC also matches a voluntary employee contribution 

up to 3 percent dollar-for-dollar, and another 2 percent is 

matched 50 cents on the dollar.

Imputed Financing for the periods ending September 30, 

2020, and 2019, is as follows:

Dollars in Thousands

IMPUTED FINANCING, 

BY TYPE 2020 2019

Pensions

CSRS $ 571 $ 863 

CSRS Offset 489 638

FERS 46,199 43,851 

Less: Contributions (45,042) (35,336)

Subtotal: 

Employee Pensions $ 2,217 $ 10,016 

Health Insurance $ 15,722 $ 14,085

Life Insurance 40 38

Subtotal: 

All Employee Benefits $ 17,979 $ 24,139 

Other Agency – Campus 

Infrastructure $ 3,315 $ 2,124 

OCWR Settlement and 

Awards Fund 681 379

Total $ 21,975 $ 26,642 
SECTION 3 Financial Information

In FY 2020, the change in imputed financing costs for 123

employee benefits are due to a variety of factors. These 

include mandatory rate increases for both FEHB and 

FERS agency contributions. Further, enrollment figures 

for both FEHB and FEGLI has historically fluctuated. 

Additionally, there was an increase in campus infrastructure 

costs and additional legal settlements that were paid out of 

the OCWR Settlement and Awards Fund. 

NOTE 18

N E T C O S T O F O P E R A T I O N S R E L A T E D 

TO PAYROLL

Expenses for salaries and related benefits for the periods 

ending September 30, 2020, and 2019, are shown in the 

following table. These amounts were approximately 44 and 

46 percent of the annual gross cost of operations for each 

respective year. This includes actual payroll and benefit 

expenses as well as other accrued expenses. Benefit expenses 

represent FECA (current year payment), Unemployment 

Compensation for Federal Employees (UCFE), and imputed 

costs paid by OPM. Other Accrued Expenses consist of 

payroll and benefit related accruals. Those costs do not 

include the unfunded accrued annual leave and long-term 

actuarial FECA. 

Net Cost of Operations Related to Payroll for the periods 

ending September 30, 2020, and 2019, is as follows:

Dollars in Thousands

EXPENSES FOR PAYROLL 

AND RELATED BENEFITS 2020 2019

Payroll Expense $ 291,655 $ 276,341

Benefit Expenses

FECA and UCFE 4,202 4,189

Imputed Costs (Note 17) 17,979 24,139

Other Accrued Expenses 2,580 5,428 

Total Expenses for Payroll 

and Related Benefits 316,416 310,097 

Total Gross Cost $ 714,005 $ 678,578

Payroll Related Expenses 

to Gross Costs (%) 44% 46%

In FY 2020, the change in payroll related expense is 

primarily due to an adjustment to the cost of living index, 

and increased spending related to COVID-19. 

NOTE 19

R E C O N C I L I A T I O N O F S C N P 

APPROPRIATIONS TO SBR

Amounts reported as Appropriations Received on the 

SCNP consist of funds congressionally appropriated to the 

agency within the current fiscal year. Amounts reported 

as Appropriations on the SBR consist of appropriations 

received and other new budget authority. 

The reconciliation for the periods ending September 30, 

2020, and 2019 is as follows:

Dollars in Thousands

RECONCILIATION OF SCNP 

APPROPRIATIONS TO SBR 2020 2019

SCNP

Appropriations received $ 728,504 $ 742,744 

Total SCNP Appropriations $ 728,504 742,744

SBR

Spending Authority Made 

Available $ — $ 7,000

Trust or Special Fund 

Receipts 27 59

Total SBR Appropriations $ 728,531 $ 749,803

The appropriations on the SCNP for the periods ending 

September 30, 2020, and 2019, consist of $728.5 million and 

$742.7 million, respectively for appropriations received. 

The difference in prior year Spending Authority Made 

Available is due to the prior year classification of amounts 

transferred in from restricted unavailable balances in the 

House Office Building Fund. The reduction in Trust or 

Special Fund Receipts is due to the cancellation of several 

commercial photography permits in Union Square as a result 

of COVID-19 restrictions. These cancellations resulted in 

reduced permit fee collections.

NOTE 20

UNDELIVERED ORDERS

In accordance with OMB Circular A-136, Financial 

Reporting Requirements, the amount of budgetary resources 

obligated but not delivered must be disclosed separately. 

Amounts obligated comprise contracts with vendors for 

acquisitions of goods and services including contractual 

support, constructions projects and CVC inventory purchases. 

Undelivered Orders for the periods ending September 30, 

2020, and 2019, are as follows:

Dollars in Thousands

UNDELIVERED ORDERS 2020 2019

Paid

Federal $ 214 $ 834

Nonfederal — 4

Total Paid $ 214 $ 838

Unpaid

Federal $ 18,162 $ 34,846

Nonfederal 439,627 392,552

Total Unpaid $ 457,789 $ 427,398

In FY 2020, the changes in the Unpaid Undelivered Orders 

balances are mainly due to capital improvement projects 

for the House Office Buildings. Vendor obligations for 

subsequent phases of the Cannon House Office Building 

renewal contributed to the increase in the Non-Federal 

Unpaid Undelivered Orders balance. Similarly, the Federal 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

124 Unpaid Undelivered Orders balance decreased mainly due to 

the Security Window Installation project as obligations to 

GSA were delivered and paid. 

NOTE 21

E X P L A N A T I O N O F D I F F E R E N C E S 

B E T W E E N T H E C O M B I N E D S T A T E M E N T 

O F B U D G E T A R Y R E S O U R C E S A N D 

T H E B U D G E T O F T H E U N I T E D S T A T E S 

GOVERNMENT

The FY 2020 Budget of the United States Government 

(President’s Budget) presenting the actual amounts for the 

year ended September 30, 2019, was published in February 

2020. The AOC’s budget and spending is disclosed in the 

President’s Budget, which can be found on the OMB website 

(www.whitehouse.gov/omb/budget/) under legislative 

branch. When available, the FY 2020 President’s Budget 

is reconciled to AOC’s September 2019 SBR to identify 

material differences. 

The chart represents the FY 2020 President’s Budget 

reconciliation.

Dollars in Millions

RECONCILIATION 

OF SBR TO 

BUDGET FY 2019

BUDGETARY 

RESOURCES

OBLIGATIONS 

INCURRED

NET 

OUTLAYS

Combined 

Statement of 

Budgetary 

Resources (SBR) $ 1,507 $ 901 $ 655

Items on SBR — 

Not on Budget:

Expired Funds (21) — —

Other (58) 1 1

Budget of the 

United States 

Government $ 1,428 $ 902 $ 656

The Other difference between the FY 2019 comparative 

amounts presented on the SBR and the actual amounts 

published in the FY 2020 President’s Budget are due to 

recoveries and unobligated balances brought forward, which 

are on the SBR but are not reported in the President’s 

Budget. Additionally, audit adjustments and other rounding 

differences may be reflected on the SBR.

NOTE 22

S T A T E M E N T O F B U D G E T A R Y 

R E S O U R C E S — U N O B L I G A T E D 

B A L A N C E B R O U G H T F O R W A R D , 

OCTOBER 1

There were no material adjustments during the current year to 

correct the Unobligated Balance Brought Forward, October 1. 

Components of the amount reported as Unobligated Balance 

from Prior Year Budget Authority, Net are disclosed.

Dollars in Thousands

NET ADJUSTMENTS TO 

UNOBLIGATED BALANCE 

BROUGHT FORWARD, 

OCTOBER 1 2020 2019

Unobligated Balance 

Brought Forward, October 1 $ 606,617 $ 656,095

Net Adjustments

Cancelled Authority (3,424) (1,974)

Downward Adj PY Unpaid 

Unexpended Obligations 18,440 8,215

Downward Adj PY Unpaid 

Expended Authority 11,047 9,839 

Downward Adj PY Paid 

Expended Authority Refunds 

Collected 9,934 22,747 

Total Net Adjustments $ 35,997 $ 38,827

Unobligated Balance 

From Prior Year Budget 

Authority, Net $ 642,614 $ 694,922

NOTE 23

R E C O N C I L I A T I O N O F N E T C O S T T O 

NET OUTLAYS

Per SFFAS No. 7, FASAB requires a reconciliation of 

proprietary and budgetary information in a way that 

helps users relate the two. The objective is to provide an 

explanation for the differences between budgetary and 

financial (proprietary) accounting and is accomplished 

by reconciling budgetary outlays with related net cost of 

operations. SFFAS No. 2, Entity and Display, as amended 

by SFFAS No. 53, Budget and Accrual Reconciliation 

(BAR), provides concepts for reconciling budgetary and 

financial accounting. Effective FY 2019, AOC has adopted 

the requirement to present this reconciliation in the format 

prescribed by SFFAS No. 53. 

Budgetary accounting information is used for planning and 

control purposes and relates to both the receipt and use 

of cash, as well as reporting the federal deficit. Financial 

accounting information is intended to provide a picture of 

the government’s financial operations and financial position 

on an accrual basis. The accrual basis includes information 

about costs arising from the consumption of assets and 

the incurrence of liabilities. The reconciliation of net 

outlays, presented on a budgetary basis, and the net cost, 

presented on an accrual basis, provides an explanation of the 

relationship between budgetary and financial accounting 

information. The reconciliation serves not only to identify 

costs paid for in the past and those that will be paid in the 

future, but also to assure integrity between budgetary and 

financial accounting. 

The reconciliation for the years ending September 30, 2020 

and 2019 is as follows:
SECTION 3 Financial Information

At September 30, 2020, Dollars in Thousands 125

RECONCILIATION OF NET OPERATING COST AND 

NET BUDGETARY OUTLAYS INTRAGOVERNMENTAL WITH THE PUBLIC TOTAL

Net Operating Cost $ 35,303 $ 591,949 $ 627,252

Components of Net Operating Cost Not Part of 

the Budgetary Outlays

Property, Plant, and Equipment Depreciation — $ (132,466) $ (132,466)

Property, Plant, and Equipment Disposal and 

Reevaluation — (75) (75) 

Other — (717) (717)

Increase/(Decrease) in Assets:

Accounts Receivable (1,252) (495) (1,747)

Other Assets — (654) (654)

Investments 47 — 47

(Increase)/Decrease in Liabilities Not Affecting 

Budget Outlays:

Accounts Payable (104) (6,327) (6,431)

Salaries and Benefits — (3,019) (3,019)

Environmental and Disposal Liabilities — 182 182

Other Liabilities — 20,630 20,630 

Other Financing Sources:

Federal Employee Retirement Benefit Costs (21,975) — (21,975)

Transfers Out/(In) Without Reimbursement — 748 748 

Total Components of Net Operating Cost Not 

Part of the Budget Outlays $ (23,284) $ (122,192) (145,476)

Components of the Budget Outlays That Are 

Not Part of Net Operating Cost

Acquisition of Capital Assets — $ 332,642 $ 332,642

Other — (17,319) (17,319) 

Total Components of the Budgetary Outlays 

That Are Not Part of Net Operating Cost 

Net Outlays (Calculated Total) — 315,323 315,213 

Related Amounts on the Statement of 

Budgetary Resources $ 12,019 $ 785,079 $ 797,098 

Outlays, Net $ 797,098

Agency Outlays, Net $ 797,098
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

126

Components of Net Operating Cost Not a Part of the Budgetary Outlays reflects the budgetary resources used to finance AOC’s 

activities, but not paid. The Net Operating Cost is reported net of any earned revenue and other financing sources (e.g., donated 

property or imputed costs). Components of the Budgetary Outlays Not Part of the Net Operating Cost includes resources 

used to finance the activities of the entity to account for items that were included in budgetary outlays but were not part of the 

SNC. This item includes budgetary outlays recognized in the current period that do not affect the net cost of operations (e.g., 

an acquisition of assets reflected in net obligations but not in SNC). The Reconciliation of Net Cost to Net Outlays explains the 

relationship between the entity’s net outlays on a budgetary basis and the net cost of operations during the reporting period.

At September 30, 2019, Dollars in Thousands

RECONCILIATION OF NET OPERATING COST AND 

NET BUDGETARY OUTLAYS INTRAGOVERNMENTAL WITH THE PUBLIC TOTAL

Net Operating Cost $ 11,081 $ 598,428 $ 609,509

Components of Net Operating Cost Not Part of 

the Budgetary Outlays

Property, Plant, and Equipment Depreciation — (124,057) (124,057)

Property, Plant, and Equipment Disposal and 

Reevaluation — 41 41 

Unrealized Valuation Loss/(Gain) on 

Investments in GSEs — (9) (9) 

Other — 271,714 271,714

Increase/(Decrease) in Assets:

Accounts Receivable (374) (478) (852)

Other Assets (93) (3) (96)

Investments (41) — (41)

(Increase)/Decrease in Liabilities Not Affecting 

Budget Outlays:

Accounts Payable 3,952 (2,291) 1,661

Salaries and Benefits — (1,221) (1,221)

Environmental and Disposal Liabilities — (1,291) (1,291)

Other Liabilities 4,857 (71,190) (66,333) 

Other Financing Sources:

Federal Employee Retirement Benefit Costs Paid 

by OPM and Imputed to Agency (26,641) — (26,641) 

Total Components of Net Operating Cost Not 

Part of the Budget Outlays $ (18,340) $ 71,215 $52,875

Components of the Budget Outlays That Are 

Not Part of Net Operating Cost

Other (7,703) (102) (7,805) 

Total Components of the Budgetary Outlays 

That Are Not Part of Net Operating Cost 

Net Outlays (Calculated Total) $ (7,703) $ (102) $ (7,805)

Related Amounts on the Statement of 

Budgetary Resources $ (14,962) $ 669,541 $ 654,579 

Outlays, Net $654,579

Agency Outlays, Net $654,579
SECTION 3 Financial Information

127

NOTE 24

COVID-19 ACTIVIT Y

During FY 2020, AOC received supplemental appropriations totaling $25 million as part of the Coronavirus Aid, Relief, and 

Economic Security (CARES) Act. Additionally, and in accordance with AOC’s general transfer authority under 2 U.S.C. § 

1862 and 31 U.S.C. § 1532, AOC received approval from the Senate Appropriations Committee to transfer up to $2 million 

from other appropriations to the CCO account. This transfer was requested to allow AOC to continue funding contractor 

reimbursements pursuant to Section 3610 of the CARES Act. As of the current reporting period, AOC has transferred $1 

million from the Senate Office Building account for this purpose.

Supplemental CARES Act funding provided additional cleaning supplies and services, COVID-19-related overtime, temporary 

employee hires and authorized payments to AOC service contractors made in accordance with Section 19005(a) of the CARES Act.

The table below depicts available funding and spending by program activity. COVID-19-related spending within the 

jurisdictions’ current appropriations as part of their operational expenses are separately presented herein. 

The CVC closed for public tours Thursday, March 12, at 4:30 p.m. due to public health concerns associated with COVID-19. 

Accordingly, AOC recorded no sales from the CVC gift shops and no outstanding restaurant commissions from March 2020 to date, 

resulting in a decrease of CVC’s earned revenues. The COVID-19-related Gift Shop closures also caused large fluctuations in Cash and 

Other Monetary Assets, Investments, and in Inventory and Related Property, as reported in Notes 4, 5, and 7, respectively.

Additional footnotes discussing COVID-19-related impacts are Note 3 - Fund Balance with Treasury, Note 16 - Other 

Liabilities, Note 12 - Payroll-Related Liabilities, Note 18 - Net Cost of Operations Related to Payroll, and Note 19 - 

Reconciliation of SCNP Appropriations to SBR.

As of September 30, 2020, Dollars in Thousands

BUDGET AUTHORITY CARES ACT TRANSFERS TOTAL AUTHORITY 

$25,000 $1,000 $26,000

CARES ACT SPENDING OBLIGATIONS EXPENDITURES TOTAL SPENDING

Supplies and Services $3,187 $12,998 $16,185

Payroll - 3,759 3,759 

Contract Payments 564 2,804 3,368 

Total CARES Act Spending $3,751 $19,561 $23,312

CARES Act Funds Available $2,688

JURISDICTION SPENDING FROM CURRENT APPROPRIATIONS

Additional Jurisdiction Spending for COVID-19-Related Costs $5,884

Total COVID-19 Spending $29,196

Above A view of the carved relief work and ceiling frescoes painted by artist Constantino Brumidi. The artwork adorns the south ceiling of Room S-213, 

the Senate Reception Room, in the U.S. Capitol.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

128

For the Years Ending September 30, 2020 and 2019 ($ in Thousands) 

TOTAL

CAPITAL 

CONSTRUCTION 

AND OPERATIONS

CAPITOL 

BUILDING

CAPITOL 

GROUNDS 

AND 

ARBORETUM

For the Year Ending September 30, 2020 ($ in Thousands):

Budgetary Resources

Unobligated Balances from Prior Year Budget Authority, Net (Note 22) $ 642,614 $ 13,931 $ 33,413 $ 15,957 

Appropriations (Note 19) 728,531 146,000 68,878 15,051 

Borrowing Authority 5,662 — — — 

Spending Authority from Offsetting Collections 59,990 657 428 — 

Total Budgetary Resources $ 1,436,797 $ 160,588 $ 102,719 $ 31,008 

Status of Budgetary Resources

New Obligations and Upward Adjustments (Total) $ 964,489 $ 150,296 $ 44,659 $ 16,053 

Unobligated Balance, End of Year:

Exempt from Apportionment 449,356 4,409 57,439 14,157 

Unexpired Unobligated Balance, End of Year 449,356 4,409 57,439 14,157 

Expired Unobligated Balance, End of Year (Note 3) 22,952 5,883 621 798 

Unobligated Balance, End of Year (Total) 472,308 10,292 58,060 14,955 

Total Budgetary Resources $ 1,436,797 $ 160,588 $ 102,719 $ 31,008 

Outlays, Net

Outlays, Net (Total) (Discretionary and Mandatory) 797,098 134,073 41,490 14,268 

Agency Outlays, Net (Note 23) $ 797,098 $ 134,073 $ 41,490 $ 14,268 

For the Year Ending September 30, 2019 ($ in Thousands):

Budgetary Resources

Unobligated Balances from Prior Year Budget Authority, Net (Note 22) $ 694,922 $ 15,379 $ 30,444 $ 13,319 

Appropriations (Note 19) 749,803 103,962 43,992 16,820 

Borrowing Authority 6,608 — — — 

Spending Authority from Offsetting Collections 55,746 774 515 — 

Total Budgetary Resources $ 1,507,079 $ 120,115 $ 74,951 $ 30,139 

Status of Budgetary Resources

New Obligations and Upward Adjustments (Total) $ 901,105 $ 110,334 $ 43,165 $ 15,684 

Unobligated Balance, End of Year:

Exempt from Apportionment 585,996 4,722 30,772 13,837 

Unexpired Unobligated Balance, End of Year 585,996 4,722 30,772 13,837 

Expired Unobligated Balance, End of Year 19,978 5,059 1,014 618 

Unobligated Balance, End of Year (Total) 605,974 9,781 31,786 14,455 

Total Budgetary Resources $ 1,507,079 $ 120,115 $ 74,951 $ 30,139 

Outlays, Net

Outlays, Net (Total) (Discretionary and Mandatory) 654,579 97,408 50,074 12,721 

Agency Outlays, Net (Note 23) $ 654,579 $ 97,408 $ 50,074 $ 12,721 

REQUIRED SUPPLEMENTARY INFORMATION

A. Combining Schedule of Budgetary Resources 
SECTION 3 Financial Information

129

CAPITOL 

POLICE 

BUILDINGS, 

GROUNDS 

AND 

SECURITY

CAPITOL 

POWER PLANT

HOUSE OFFICE 

BUILDINGS

LIBRARY 

BUILDINGS 

AND GROUNDS

SENATE OFFICE 

BUILDINGS

SUPREME 

COURT 

BUILDING AND 

GROUNDS 

U.S. BOTANIC 

GARDEN

U.S. CAPITOL 

VISITOR 

CENTER

$ 43,990 $ 67,479 $ 259,871 $ 76,738 $ 72,763 $ 27,606 $ 7,532 $ 23,334 

55,216 98,957 145,273 55,746 87,424 15,571 16,094 24,321 

— - — — — 5,662 — — 

— 7,289 8,067 11,112 348 29,838 — 2,251 

$ 99,206 $ 173,725 $ 413,211 $ 143,596 $ 160,535 $ 78,677 $ 23,626 $ 49,906 

$ 34,291 $ 125,792 $ 302,496 $ 70,907 $ 112,890 $ 48,833 $ 15,654 $ 42,618 

63,870 39,803 107,585 71,472 46,387 29,844 7,617 6,773 

63,870 39,803 107,585 71,472 46,387 29,844 7,617 6,773 

1,045 8,130 3,130 1,217 1,258 — 355 515 

64,915 47,933 110,715 72,689 47,645 29,844 7,972 7,288 

$ 99,206 $ 173,725 $ 413,211 $ 143,596 $ 160,535 $ 78,677 $ 23,626 $ 49,906 

33,209 111,133 245,338 60,744 105,835 9,268 13,844 27,896 

$ 33,209 $ 111,133 $ 245,338 $ 60,744 $ 105,835 $ 9,268 $ 13,844 $ 27,896 

$ 17,346 $ 44,395 $ 341,610 $ 74,806 $ 73,896 $ 54,638 $ 7,673 $ 21,416 

57,714 114,050 197,098 68,525 93,562 15,999 14,759 23,322 

— — — — — 6,608 — — 

— 11,336 1,245 9,465 586 25,510 — 6,315 

$ 75,060 $ 169,781 $ 539,953 $ 152,796 $ 168,044 $ 102,755 $ 22,432 $ 51,053 

$ 33,426 $ 107,670 $ 286,695 $ 79,425 $ 100,020 $ 79,623 $ 15,559 $ 29,504 

41,472 54,059 251,031 72,290 66,910 23,132 6,424 21,347 

41,472 54,059 251,031 72,290 66,910 23,132 6,424 21,347 

162 8,052 2,227 1,081 1,114 — 449 202 

41,634 62,111 253,258 73,371 68,024 23,132 6,873 21,549 

$ 75,060 $ 169,781 $ 539,953 $ 152,796 $ 168,044 $ 102,755 $ 22,432 $ 51,053 

34,317 90,505 180,268 36,331 103,967 12,093 16,054 20,841 

$ 34,317 $ 90,505 $ 180,268 $ 36,331 $ 103,967 $ 12,093 $ 16,054 $ 20,841 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

130 B. DEFERRED MAINTENANCE AND REPAIRS

The AOC oversees more than 18.4 million square feet of 

facilities and more than 570 acres of grounds. The agency 

is responsible for ensuring that the historic facilities and 

grounds entrusted to its care remain in a safe and suitable 

condition for the current and future needs of Congress, the 

Supreme Court and the American public. 

FASAB’s Statement of Federal Financial Accounting Standards 

42, Deferred Maintenance and Repairs defines deferred 

maintenance and repairs (DM&R) as maintenance and 

repairs that were not performed when they should have been, 

or were scheduled, and are delayed for a future period. This 

standard requires federal entities to discuss: (1) maintenance 

and repairs policies, (2) how maintenance and repairs 

activities are ranked and prioritized, (3) factors considered 

in determining acceptable condition standards, (4) whether 

DM&R relate solely to capitalized general property, plant 

and equipment (PP&E) and stewardship PP&E or also 

to noncapitalized or fully depreciated general PP&E, (5) 

PP&E for which management does not measure and/or 

report DM&R and the rationale, (6) beginning and ending 

DM&R balances by category, and (7) significant changes 

from the prior year. 

To meet this standard, the AOC tracks DM&R for 

four categories of capitalized assets: buildings and other 

structures, grounds (i.e., stewardship land), heritage assets 

and capitalized equipment. Noncapitalized, if possible and 

fully depreciated PP&E are excluded from the DM&R 

estimate. While the AOC tracks DM&R on capitalized 

equipment, the value of these deferred activities is often 

immaterial. In FY 2020, there was no material DM&R to 

be reported for capitalized equipment.

The AOC defines its acceptable level of condition to be 

“good to very good” based on the Facility Condition Index. 

The index is based upon the facility replacement values, 

which the AOC updates annually, and identified deferred 

maintenance and repairs. 

The AOC uses facility condition assessments (FCAs) to 

evaluate the assets’ condition and to identify deferred 

maintenance, capital renewal, capital improvements and 

capital construction work elements. The FCA tracks 

maintenance and repairs activities as work elements that are 

scheduled for completion. Rank and prioritization for the 

work elements are based on the scheduled year and project 

risk (which is scored as low, medium, high and critical). The 

FCA cost models are considered early planning estimates 

to identify liabilities. The focus of this disclosure is solely 

deferred maintenance and repairs, as identified through the 

FCAs, and excludes capital renewal, capital improvements 

and capital construction work elements. Nonetheless, the 

AOC monitors capital renewal work elements that, if not 

funded, could become deferred maintenance in the near 

future. Capital renewal work elements, identified within a 

five-year period, are combined with deferred maintenance 

and repairs. This figure is referred to as “backlog” at 

the AOC. The AOC completed an initial FCA on most 

buildings and grounds under its stewardship, with some 

exceptions (identified in the note to the table below). The 

AOC continues to complete and update the FCAs for all 

of its facilities. As a result, the FCAs for some of these 

facilities are underway or in the planning stages. 

The AOC’s estimate of the amount of deferred maintenance 

and repairs work required to bring facilities to a “good” 

condition, based on the Facility Condition Index, was $831 

million for the fiscal year ending September 30, 2020.11 The 

increase over the prior year is mostly related to additional 

deferred maintenance identified during new assessments 

of the pedestrian tunnels. The reassessments of the James 

Madison Memorial Building, John Adams Building and the 

Construction Division Shop building also contributed to the 

deferred maintenance increase. 

11 The AOC aims to maintain its assets in at least good condition. Condition 

is defined by the Facility Condition Index, which is calculated as the cost 

of deferred maintenance divided by the current replacement value. A ratio 

of less than 0.02 is considered very good, 0.02 to 0.05 is judged good, 0.05 

to 0.10 is deemed fair and more than 0.10 is considered poor. The AOC’s 

goal is to attain a ratio of less than 0.05 (or good condition) for its assets. 

Although an asset may be rated as being in good condition, individual 

systems within that asset may require deferred maintenance and repairs to 

return the system to an acceptable operating condition. 

Deferred Maintenance and Repairs ($ in Thousands required to achieve “good” condition)

CATEGORY AS OF 10/1/19 AS OF 9/30/20 CHANGE

Buildings and Other Structures $579,564 $814,536 $234,972

Grounds $12,646 $16,520 $3,874

Heritage Assets $356 $— ($356)

Capitalized Equipment $— $— $—

Total $592,566 $831,056 $238,490

* The September 30, 2020 figure excludes the U.S. Capitol Police Courier Acceptance Facility, Production Facility Storage Building, U.S. Supreme Court 

Building and the Thurgood Marshall Federal Judiciary Building. Pedestrian tunnels, 42 I Street S.E. and 14 E Street S.E. facility values are included but 

are being finalized. Deferred maintenance calculations are based on FY 2019 AOC replacement values, updated in April 2020.
SECTION 3 Financial Information

131

C. HERITAGE ASSETS

Introduction

The AOC is the steward of heritage assets located 

throughout the Capitol campus. In addition to the buildings 

and landscape, these assets include fine and decorative art, 

architectural features, outdoor sculpture, landscape features 

and fixtures, living botanical assets, memorial trees, archival 

records and reference material. Many of these assets are 

national treasures. 

The AOC Curator Division manages the resources provided 

by Congress for the conservation of art and the preservation 

of other heritage assets such as architectural drawings and 

photographs. The AOC follows professional standards 

established by the American Institute for Conservation and 

the National Archives and Records Administration. The 

curator prepares recommendations to the Joint Committee 

of Congress on the Library regarding acquisition and 

placement of works of art and shares responsibility with the 

Senate and House curators for the care of collectible fine and 

decorative art. 

The curator also provides advice to the jurisdictions on 

projects and contracts that involve heritage assets or 

preservation issues. Curator Division staff members support 

AOC projects by conducting historical research and 

providing reproductions of photographs, architectural and 

engineering drawings, records, specifications and reports. 

The AOC’s historic preservation officer is responsible for 

preserving the architectural features of the historic buildings 

maintained by the AOC. The historic preservation officer 

works closely with the curator in documenting, researching 

and providing information about buildings, architectural 

features and architectural decorative art, reviewing projects, 

developing specifications, and developing and implementing 

the AOC’s preservation policy. When conservation 

work is required, the AOC contracts with professional 

fine art conservators for needed repairs or treatments. 

All conservation efforts are fully documented in reports 

maintained by the curator.

The curator maintains detailed records for each work of art 

and manages computerized inventories of heritage assets.12

Within the Curator Division, the Records Management 

and Archives Branch preserves historic architectural and 

engineering drawings and textual records, and also creates 

records policies. The Photography Branch documents 

facilities and projects, heritage assets and congressional 

events, and also manages and preserves the AOC’s 

photographic records archive. Records are maintained on 

the Capitol campus when appropriate, while more fragile 

records, including microfilm and photographic negatives, are 

stored off-site in stable and secure conditions. 

Historic Buildings and Structures

The AOC is responsible for maintaining the historic 

buildings and structures on the Capitol campus. Appendix 

B lists the major facilities under the AOC’s stewardship. 

Many of these facilities, which are multipurpose heritage 

12 The AOC uses The Museum System collection management software to 

maintain an accurate inventory of heritage assets.

Above The AOC is the steward of heritage assets located within the U.S. Capitol Building and across the Capitol campus. In addition to the buildings and 

landscape, these assets include fine and decorative art, architectural features, photographic records and archival material.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

132

assets, are assigned a cost on the Balance Sheet and 

presented Under General Property, Plant and Equipment, 

Net. In general, historic buildings and structures are only 

added or withdrawn from the AOC’s portfolio through 

congressional action.

Stewardship Lands and Cultural Landscapes

The AOC-administered stewardship lands encompass more 

than 570 acres of grounds. This includes Capitol Square, 

the approximately 295 acres of grounds immediately 

surrounding the U.S. Capitol Building, designed by noted 

American landscape architect Frederick Law Olmsted. 

In addition, the AOC’s cultural landscapes include the 

Summerhouse, Senate Park (Squares 632, 633, 634, 680, 

681, 682, 683, 684, 685, 722 and 723), Senate office building 

sites and courtyards (Squares 686 and 725), House office 

building sites and courtyards (Squares 581, 635, 689 and 

690), East and West House Underground Garages (Squares 

637 and 691), Botanic Garden and National Garden 

(Square 576), Bartholdi Gardens (Square 578), USBG 

Administration Building site (Square 578), Union Square, 

Thomas Jefferson Building site (Square 730), John Adams 

Building site (Square 761), James Madison Memorial 

Building site (Square 732), Supreme Court of the United 

States site (Square 728), Thurgood Marshall Building 

site (Square 722) and memorial trees planted on the U.S. 

Capitol Grounds. In general, units of stewardship land are 

added or withdrawn from the AOC’s portfolio through 

congressional action. 

Memorial trees are living heritage assets planted to honor 

distinguished citizens, groups and national events. Memorial 

trees are added through congressional action. For more 

information about the AOC’s memorial trees see www.aoc.

gov/explore-capitol-campus/buildings-grounds/capitolbuilding/capitol-grounds/trees. An inventory of the 

memorial trees as of September 30, 2020 and 2019 follows:

MEMORIAL 

TREES

AS OF 

10/01/19

AS OF 

9/30/20 CHANGE

GENERAL 

CONDITION

Memorial 

Trees 145 150 51 Good

1

 In FY 2020, memorial trees were planted to commemorate Speaker Joseph 

Cannon (replanted January 13, 2020) and The People of New Hampshire 

(January 27, 2020). The tree commemorating Speaker Joseph W. Martin, Jr. was 

removed. After a recent inventory, the total number of memorial trees was 

adjusted upward by four trees.

General Condition Standards

The AOC has defined condition standards based on 

principles and guidance used by members of the American 

Institute for Conservation (AIC). The AOC performs 

periodic condition surveys to document and preserve 

heritage assets for future generations. Because many of the 

AOC’s heritage assets are located in working offices and 

public spaces rather than in a museum setting, the AOC 

must closely monitor the assets to prevent damage. Outdoor 

sculptures and fixtures exposed to weather and pollutants 

require regular conservation, follow-up inspections and 

periodic maintenance treatments. The table, Heritage 

Assets Condition Rating Scales, summarizes the condition 

survey rating scales used by the AOC.

Collectible Heritage Assets

In the following tables, footnotes explain changes in 

condition or inventory count.

1. U.S. Capitol Building

The U.S. Capitol Building is an important example of 19thcentury neoclassical architecture. While a working building, 

the U.S. Capitol Building is also considered a museum of 

American art and history with millions of visitors each year.

1.1. Fine Art

This collection includes unique works of art that are not 

permanently attached to or designed for the structure (i.e., 

collectible). They are separated into (a) works that are under 

the jurisdiction of the Joint Committee of Congress on the 

Library and cared for by the AOC (“joint art”), and (b) 

those that were originally accepted by the Joint Committee 

of Congress on the Library and are joint in subject matter 

or acquisition (“possibly joint”). The possibly joint assets 

are in the Senate and House wings of the U.S. Capitol 

Building and, in many cases, are part of the Senate or House 

collections and cared for by the Senate and House curators.

1.1.1. Interior Sculpture

These artworks consist primarily of bronze and marble 

statues in the National Statuary Hall Collection. This 

collection (comprised of 100 statues — two from each state) 

Above Many trees throughout the U.S. Capitol Grounds have historic 

or memorial associations. These memorial trees commemorate 

members of Congress and other notable citizens, national organizations 

and special events.
SECTION 3 Financial Information

133

was established in 1864 and completed in 2005. In FY 2011, 

a long-range annual conservation maintenance contract for 

sculpture was implemented. By the end of FY 2020, all of 

the statues have received at least one round of maintenance 

— most have been maintained multiple times and are in 

excellent condition.

SCULPTURE

AS OF 

10/01/19

AS OF 

9/30/20 CHANGE

GENERAL 

CONDITION

1.1.1.1 National 

Statuary Hall 

Statues

100 100 — Excellent

1.1.1.2 Other 

Statues1 10 10 — Excellent

1.1.1.3 Possibly 

Joint Statues 3 3 — Good

1.1.1.4 Busts 16 16 — Fair to 

Excellent 

1.1.1.5 Possibly 

Joint Busts 21 21 — Good

1.1.1.6 Other 

(Maquettes, 

etc.)

30 31 12 Poor to 

Excellent

1

 The Magna Carta display, located in the Crypt, is included in this category. 

2

 A maquette of Architect Benjamin Henry Latrobe was approved for acquisition 

in FY 2020 and is currently off-site.

1.1.2. Framed Oil Paintings

Framed oil paintings under the AOC’s stewardship include 

portraits of former Architects of the Capitol and other 

paintings. Many of the frames for these paintings are also 

heritage assets.

PAINTINGS

AS OF 

10/01/19

AS OF 

9/30/20 CHANGE

GENERAL 

CONDITION

1.1.2.1 Portraits 19 19 — Good to 

Excellent 

1.1.2.2 Possibly 

Joint Portraits 26 26 — Fair to Excellent

1.1.2.3 

Paintings Other 

Than Portraits

12 12 — Good to 

Excellent

1.1.2.4 Possibly 

Joint Paintings 23 23 — Excellent

Heritage Assets Condition Rating Scales

CONDITION RATING SCALE DEFINITION PRIORITY

Heritage Assets

Poor Asset exhibits or is in danger of structural damage or loss. Requires major conservation or repair to 

achieve structural and aesthetic integrity. High

Fair Asset is structurally sound but requires major conservation to improve aesthetic integrity. Medium

Good Asset is structurally sound and retains aesthetic integrity. Requires routine maintenance or 

minor conservation. Low

Excellent Asset is new or has been conserved as close to its original condition and appearance as possible, or a 

conservator has determined that no conservation treatment is needed.

No Treatment 

Needed

Historic Paper Records

Poor Records are not yet stored in archives or their preservation is endangered. High

Fair Records are preserved in secure and stable conditions in archives. Medium

Good Records are accessioned and placed in acid-free containers. Low

Excellent Records are fully processed and stored in archival folders with all major preservation 

problems addressed.

No Treatment 

Needed

Photographic Records

Poor Film photographs are not in secure storage or digital files are not identified, readable or backed up. High

Fair Records are in secure storage, subject is identified and image is backed up. Medium

Good Negatives are properly housed and inventoried or digital files are batch captioned and backed up in 

multiple locations Low

Excellent Negatives are stored off-site in archival conditions or digital files are fully captioned with images 

backed up in multiple locations with routine data migration.

No Treatment 

Needed
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

134

1.1.3. Works of Art on Paper

The AOC is the steward of works on paper primarily 

related to the U.S. Capitol Building. This collection is used 

for research and reference purposes and is generally not 

on display.

WORKS OF 

ART ON PAPER

AS OF 

10/01/19

AS OF 

9/30/20 CHANGE

GENERAL 

CONDITION

1.1.3.1 

Watercolors 6 6 — Good

1.1.3.2 Prints 

and Drawings 72 72 — Poor to Excellent

1.1.3.3 Sketches 

for Murals

Approx. 

232

Approx. 

232 — Fair to Excellent

1.2. Decorative Art

Decorative art ranges from objects of great craftsmanship 

and historical importance to mass-produced objects. 

Often the name of the designer or maker is unknown. 

Conservation treatment may be appropriate for the highest 

level of decorative art.

DECORATIVE 

ART

AS OF 

10/01/19

AS OF 

9/30/20 CHANGE

GENERAL 

CONDITION

1.2.1 Gilded 

Mirror Frames1 91 91 — Poor to Excellent

1.2.2 Historic 

Furniture 39 39 — Fair to Good

1.2.3 Antique 

Clocks 10 10 — Good to Excellent

1.2.4 Textiles 2 2 — Good

1

 This number primarily includes frames in the House side of the Capitol. The 

Senate curator assumed responsibility for inventory and conservation of Senate 

mirror frames.

1.3. Architectural Fine Art

This category of fine art is part of the fabric of a structure, 

permanently attached to a structure or building systems, or 

designed as part of an architectural space.

ARCHITECTURAL 

FINE ART

AS OF 

10/01/19

AS OF 

9/30/20 CHANGE

GENERAL 

CONDITION

1.3.1 Pediments 

(exterior) 3 3 — Fair to Excellent1

1.3.2 Statues 

(interior and 

exterior)

6 6 — Good to 

Excellent

1.3.3 Plaster 

Model of 

Sculpture

3 3 — Excellent

1.3.4 Sculptured 

Stair Railings 4 4 — Excellent

1.3.5 Reliefs 39 39 — Good

1.3.6 Sculptured 

Bronze Doors 

(sets) (interior and 

exterior)

4 4 — Excellent

1.3.7 Plaques 31 31 — Fair to 

Excellent

1.3.8 Stained 

Glass 16 16 — Poor to Good

1.3.9 Rotunda 

Paintings 8 8 — Fair2

 to 

Excellent

1.3.10 Rooms or 

Spaces with Fine 

Art Murals

84 843 — Fair to 

Excellent

1

 The AOC conserved the House Pediment, Apotheosis of Democracy, in FY 2020. 

2

 Air pockets have continued to increase in size on the painting “Landing of 

Columbus,” which will require de-installation for structural and cosmetic 

treatment. Conservation planning is in progress.

3

 Each room or space may contain multiple sections of murals in vaults and 

lunettes with individual mural scenes or figures. There are hundreds of images 

painted on the U.S. Capitol Building’s walls. Mural conservation has been 

ongoing since 1981 and most murals are in at least “good” condition.

Above A paint conservator at work on the North Wall of the U.S. 

Capitol Building’s richly decorated Senate Reception Room S-213. This 

room was originally decorated by the accomplished Italian painter 

Constantino Brumidi and others.
SECTION 3 Financial Information

1.4. Architectural Decorative Art 135

Architectural decorative art is part of the fabric of a structure, 

permanently attached to a structure or building systems or 

designed as part of an architectural space. Decorative art 

ranges from objects of great craftsmanship and historical 

importance to mass-produced objects. Often the name of 

the designer or maker is unknown. Conservation treatment 

may be appropriate for the highest level of decorative art. 

Approximate numbers are based on the Capitol Building 

superintendent’s inventory. Only about a third of the lighting 

fixtures are historic heritage assets appropriate for restoration. 

The more utilitarian fixtures are at times moved or replaced.

ARCHITECTURAL 

DECORATIVE ART

AS OF 

10/01/19

AS OF 

9/30/20 CHANGE

GENERAL 

CONDITION

1.4.1. Mantels Approx.

167

Approx. 

167 — Good

1.4.2. Chandeliers1 Approx. 

250

Approx. 

285 352 Good to Excellent

1.4.3. Pendant 

Lights

Approx. 

270

Approx. 

155 (115)3 Good

1.4.4. Sconces Approx. 

100

Approx. 

100 — Good

1.4.5. Rooms 

or Spaces with 

Decorative Murals 

48 48 — Fair to 

Excellent

1

 The category “Chandeliers” refers to crystal chandeliers in the U.S. Capitol. 

2

 Recent inventories identified 285 crystal chandeliers.

3

 Recent inventories identified 155 pendant lights. 

1.5. Architectural Features

Historic architectural features include woodwork, shutters, 

columns, capitals, brackets, historic floors (e.g., the 

U.S. Capitol Building’s Minton tile floors) and special 

architectural surfaces (e.g., marble and scagliola). The 

Capitol Building superintendent or the Senate Sergeant at 

Arms maintains these assets. While an accurate count of 

these features does not exist, the numbers are large. For 

example, there are at least 450 interior columns and pilasters 

with carved capitals. In recent years, special attention has 

been paid to the restoration of historic scagliola.

2. U.S. Capitol Grounds and Arboretum

The U.S. Capitol Grounds and Arboretum cover 

approximately 286 acres on which the U.S. Capitol Building, 

Senate and House office buildings and Capitol Power Plant 

reside. The grounds include sculpture, monuments and living 

assets such as trees and plantings. Heritage assets include 

ornamental fountains, drinking fountains, outdoor seating, 

stone retaining walls and light fixtures.

2.1. Outdoor Sculpture

OUTDOOR 

SCULPTURE

AS OF 

10/01/19

AS OF 

9/30/20 CHANGE

GENERAL 

CONDITION

2.1.1 

Monuments/

Statues

4 4 — Excellent

2.1.2 Fountains 

with Sculpture 1 1 — Good 

2.1.3 Plaques 5 5 — Good 

2.2. Landscape Features and Fixtures (including fixtures on 

the exterior of the U.S. Capitol Building)

LANDSCAPE 

FEATURES AND 

FIXTURES 

AS OF 

10/01/19

AS OF 

9/30/20 CHANGE

GENERAL 

CONDITION

2.2.1 Urns 20 201 — Good

2.2.2 Lighting 

Fixtures

Approx. 

166

Approx. 

166 — Fair to Excellent

2.2.3 Basins (with 

fountains) 2 2 — Excellent

1

 The AOC relocated the bronze urns from the U.S. Capitol West Front to storage 

in preparation for stone preservation work on the lower Olmsted Terrace in 

FY 2020.

3. House Office Buildings

There are three major office buildings (the Cannon, 

Longworth and Rayburn House office buildings) and two 

annex buildings for the House of Representatives.

ARCHITECTURAL 

FINE ART

AS OF 

10/01/19

AS OF 

9/30/20 CHANGE

GENERAL 

CONDITION

3.1 Pediments 

(exterior) 1 1 — Good

3.2 Sculpture 

(exterior) 8 8 — Fair

3.3 Plaster Models 

of Sculpture 25 25 — Good

3.4 Architectural 

Models on Display 1 11 — Excellent

3.5 Reliefs 1 1 — Good

3.6 Murals 1 1 — Good

3.7 Plaques 1 1 — Good

3.8 Monuments/

Statues 2 2 — Good

3.9 Maquettes, 

etc. 1 1 — Excellent

1

 The AOC conserved the plaster model of the East Front Extension of the U.S. 

Capitol, by Emile Garet, and placed in off-site storage in FY 2020. 

4. Senate Office Buildings

There are three major office buildings for the United 

States Senate: the Russell, Dirksen and Hart Senate office 

buildings.

ARCHITECTURAL 

FINE ART

AS OF 

10/01/19

AS OF 

9/30/20 CHANGE

GENERAL 

CONDITION

4.1 Pediments 

(exterior) 1 1 — Fair

4.2 Sculpture 1 1 — Poor

4.3 Plaster Models 

of Sculpture 6 6 — Good

4.4 Architectural 

Models on Display 4 4 — Excellent

4.5 Maquettes, etc. 1 1 — Good

4.6 Reliefs (exterior) 51 51 — Good

4.7 Murals (rooms 

with) 1 1 — Excellent
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

136 5. Library Buildings and Grounds

The Library of Congress’s 1897 Thomas Jefferson Building 

contains large areas of decorative painting, relief plaster, 

woodwork, stonework and mosaic ceilings. Additional 

facilities include the John Adams Building, which is 

embellished with art deco-style decorative metal and relief 

stonework, and the modern James Madison Memorial 

Building.

ARCHITECTURAL 

FINE ART

AS OF 

10/01/19

AS OF 

9/30/20 CHANGE

GENERAL 

CONDITION

5.1. Statues 27 27 — Good to 

Excellent

5.2. Sculptured 

Stair Railings 2 2 — Good

5.3. Reliefs 

(interior) 73 73 — Good

5.4 Sculptured 

Bronze Doors 

(sets) (exterior)

17 17 — Excellent

5.5. Stained Glass/

Mosaics 17 17 — Fair to Good

5.6. Rooms or 

Spaces with Fine 

Art Murals 

32 32 — Fair to 

Excellent

5.7. Fountains 

with Sculpture 

(exterior)

3 3 — Poor to 

Excellent

5.8 Sculptural 

Clock 1 1 — Excellent

5.9 Exterior 

Sculpture 1 1 — Fair

6. Supreme Court Building and Grounds

The Supreme Court of the United States is richly adorned 

with decorative carvings in marble and wood, decorative 

metal and plaster work and decorative painting.13

ARCHITECTURAL 

FINE ART

AS OF 

10/01/19

AS OF 

9/30/20 CHANGE

GENERAL 

CONDITION

6.1 Pediments 

(exterior) 2 2 — Excellent

6.2 Sculpture 

(exterior) 2 2 — Excellent

6.3 Reliefs 4 4 — Good

6.4 Light Posts 

with Reliefs 

(exterior)

2 2 — Poor to Fair

6.5 Bronze Door 

(set) (exterior) 1 1 — Good

7. U.S. Botanic Garden

The U.S. Botanic Garden (USBG) maintains a collection 

of living plants used to fulfill the mission of the institution. 

The collection is categorized as follows: 

13 The collectible fine art within the Supreme Court does not fall under 

the AOC’s jurisdiction and is cared for by the curator of the Supreme 

Court.

 Plants of historical or current institutional significance 

(e.g., individuals or descendants from the Wilkes 

Expedition, commemorative gifts from foreign 

governments and descendants of plants of American 

historical significance) 

 Plants appearing on approved permanent landscape 

planting plans for the Conservatory, outside gardens, 

Bartholdi Gardens and the Production Facility 

 Plants listed for rotation into permanent exhibits in the 

Conservatory, outside gardens or Bartholdi Gardens 

 Plants used in ongoing education programs 

 Plants needed to support future exhibits or programs and 

whose quality or relative unavailability in the commercial 

trade justifies inclusion in the permanent collection 

 Orchid species and selected orchid cultivars 

 Listed rare and endangered species received under the 

Convention on International Trade in Endangered 

Species of Flora and Fauna repository agreement, 

through interagency transfer or by other means 

 Medicinal plants whose quality or relative unavailability 

in the commercial trade justifies inclusion in the 

permanent collection 

 Plants used for accent and horticultural propagation 

stock, including those obtained for trial performance 

under local conditions 

The USBG uses the living, documented and databased 

plant collection for exhibition, study and exchange 

with other institutions. Noteworthy plants include 

economically significant plants, medicinal plants, orchids, 

cacti and succulents, bromeliads, cycads and plants from 

Mediterranean regions. The USBG’s gardens and living 

collections are important resources and are made available 

for the study of threatened plants and their conservation. 

The USBG maintains extensive databased records of the 

plant collections, which track the location, condition and 

provenance of each plant. This information is available to 

the public on the USBG website, www.usbg.gov/plantcollections. The collection is continually reviewed for 

accuracy in identification.

7.1 Architectural Feature 

OUTDOOR 

SCULPTURE

AS OF 

10/01/19

AS OF 

9/30/20 CHANGE

GENERAL 

CONDITION

7.1 Fountains 

with Sculpture 1 1 - Good

7.2 Living Botanical Assets 

The table identifies the USBG’s inventory of living botanical 

assets. Plant inventories for FY 2020 and the prior five years 

are provided to facilitate comparison. At the end of FY 

2020, the USBG held more than 9,000 accessions including 

more than 57,000 individual plants at the Conservatory 

and the Blue Plains Production Facility in southwest 
SECTION 3 Financial Information

Washington, D.C. The USBG maintains more than 6,000 137

unique taxa in its collections.

ALL PLANTS (INCLUDING ORCHID COLLECTION)

FY ACCESSIONS1

NAMES 

(TAXA)2 INDIVIDUALS3 DEACCESSIONS4

2015 11,626 7,610 60,574 639

2016 10,423 6,803 47,564 1,958

2017 9,468 6,227 44,026 707

2018 9,105 6,041 41,470 1,017

2019 9,651 6,282 43,523 1,531

2020 9,925 6,231 57,576 386

1

 Current number of accessions assigned to living plants. An individual accession 

number might include multiple lots (divisions) that might include multiple 

individual plants.

2

 Number of names for living plants in our database. This includes species names, 

cultivars, varieties, etc., and is restricted to only the names for plants that are 

living at the Garden. In many cases, the USBG has numerous accessions (from 

different times, sources, etc.) of the same named plant.

3

 This number captures individual plant counts and is thus higher than the 

number of accessions due to accessions that have multiple individuals (note: 

this number has a high degree of inaccuracy).

4

 Number of deaccessions year-to-date. This is due to plants dying or being 

composted/discarded due to disease or change in institutional need.

7.3 Orchid Collection 

The USBG’s orchid collection contains more than 2,300 

accessions and 4,800 individual orchids — the largest 

component of the USBG’s plant inventory.

ORCHID COLLECTION

FY ACCESSIONS

NAMES 

(TAXA) INDIVIDUALS DEACCESSIONS

2015 3,444 1,876 N/A 208

2016 3,201 1,795 4,330 415

2017 3,017 1,795 4,230 395

2018 3,110 1,324 3,513 611

2019 2,259 1,287 3,464 983

2020 2,368 1,336 4,830 —

8. Architectural and Engineering Artifacts

The AOC maintains an inventory of small architectural and 

engineering artifacts and models for research or exhibition. 

The AOC also maintains an inventory of large artifacts, such 

as pieces of stone removed from buildings or plaster models, 

for possible reuse or repairs. The AOC maintains more than 

150 tons of sculpture and stone removed from the East Front 

of the U.S. Capitol Building during its 1958 extension in a 

secure facility at Fort Meade, Maryland. The AOC curator 

tracks these artifacts and maintains lists of the objects in 

storage. It is not possible to provide a meaningful count as 

some crates hold multiple pieces and some items are stored 

in pieces in multiple crates.

9. Historical Records and Reference Materials

The Records Management and Archives Branch (RMAB) 

manages the historical materials that comprise the AOC 

archival collection and creates records schedules based 

on archival appraisal and records surveys. The RMAB 

maintains the architectural and engineering drawings, 

textual records and electronic records in accordance with 

archival principles to facilitate ongoing preservation, 

access, reference and research. Traditional architectural 

and engineering drawings and manuscripts require special 

archival storage and handling because of their physical 

attributes. The RMAB maintains stable temperature and 

humidity conditions, controls access and provides security 

for the records. Microfilmed backups of many drawings are 

stored off-site for protection. Digital scans of drawings are 

also important backups for the original drawings.

9.1. Accessioned Materials 

Accessioned materials represent the permanent records 

that have been accepted into the archival collection. 

Once accessioned, these materials receive archival 

holdings maintenance and archival description. Holdings 

maintenance enables ongoing preservation and includes 

rehousing in acid-free folders and storage boxes and 

digitizing into archival electronic formats. Archival 

description facilitates reference and research and includes 

updating finding aids, enhancing cross-references and 

cataloging in the archival databases.

9.1.1. Architectural and Engineering Drawings

Beginning with plans for the construction of the U.S. Capitol 

Building in the early 1800s, and with primary holdings from 

the 1850s on, the architectural and engineering drawings in 

the archival collection document a wide range of subjects in 

various formats (e.g., pencil renderings, finely detailed ink and 

watercolor working drawings, polished presentation pieces, 

blueprints and modern computer-aided design drawings). These 

drawings are vital for current construction and maintenance 

projects, as well as for historic research. The files on previous 

projects aid the planning and development of new projects. 

The AOC Archives contain more than 190,000 architectural 

and engineering drawings with new materials added each 

year. The AOC has digitized approximately 60 percent of 

these drawings and indexed them in a web-based database 

to facilitate search and retrieval. The archival staff performs 

maintenance and basic preservation on the drawings, with 

specialized work on fragile and historic drawings performed 

by contracted experts.

9.1.2. Specifications and Other Textual Records

The AOC Archives maintain administrative and project 

records that document the AOC’s history, as well as the 

construction history of the buildings on the Capitol campus. 

These holdings date from the U.S. Capitol extension project in 

the 1850s and continue through the present. Of special value 

are the letters from artists and architects dating to the 1850s.

9.1.3. Electronic Archival Records 

Electronic records are generated throughout the agency. 

The records schedules are media-neutral, meaning that they 

apply to both paper and electronic records. The RMAB 

continues to promote the transfer of permanent electronic 

records to the archival collection where they may be 

preserved as heritage assets.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

138

Capitol Highlights

U S I N G P H O T O G R A P H Y F O R 

HISTOR IC PR ESERVAT ION

Photography is an important part of the AOC’s stewardship

and preservation mission. From its inception, the AOC 

Photography Branch mission has been guided by the 

principle that photography is integral to a complete and 

fully descriptive record of the agency’s programs and 

projects. The agency’s photographic record is a reliable 

source of historic information, which has proven itself 

fundamental to the AOC’s stewardship mission. 

The photographs included throughout this annual report 

provide an important narrative function and supplement 

the AOC’s performance and financial information by 

bringing complex projects and ideas to life. The agency uses 

photography to record the details of its restoration projects, 

which support the life-cycle maintenance of its heritage 

assets. Such photographs — with an emphasis on images 

of maximum clarity, descriptiveness, accuracy and integrity 

— highlight the contributions of the diverse and talented 

people who oversee the agency’s capital projects, as well as 

provide visual evidence of the momentous events that take 

place on the Capitol campus.

The AOC’s photography collection contains more 

than 340,000 unique photographic objects and files. 

This collection of photographic material ranges from 

glass-plate negatives from the 19th and early-20th 

century, to film-based images from the 20th century, 

to contemporary digital photography. Photographic 

preservation techniques range from careful cleaning, 

digitization or cold storage for older photo materials,

to running analytics that assess the condition of

digital photo files.

Photography also brings a measure of accountability

to existing assets, project design and project execution. 

For example, the glass-plate image above shows the 

completed Cannon House Office Building — the oldest 

congressional office building on the Capitol campus — 

soon after it was constructed. Today, this photograph 

can assist in the preservation of the building’s 

historic character.
SECTION 3 Financial Information

9.2. Preaccessioned Materials 139

Preaccessioned materials account for all incoming materials that 

are transferred to the RMAB for the year and are categorized 

as Architectural and Engineering Drawings, Specifications 

and Other Textual Records or Electronic Archival Records. 

This is an important initial quality control step where the 

materials are screened before the RMAB formally registers 

the transfer as part of the archival collection. The screening 

process identifies temporary, duplicative or otherwise nonrecord 

materials that are not appropriate for accessioning into the 

archival collection. The process also identifies issues that may 

require resolution before the transfer, such as incomplete 

transfer documentation, unarranged or partial materials and 

archival preservation issues.

9.3. Small Architectural Models 

The AOC preserves a small number of display models as 

part of the architectural record for study and possible future 

exhibit purposes.

9.4. Photographs

The Photography Branch produces photographs relating to 

architectural design, construction, renovation and restoration of 

the historic buildings and grounds under the AOC’s care. The 

Photography Branch also documents major ceremonial events, 

works of art and conservation projects and produces graphic 

slides, displays and videos for the AOC and congressional use. 

The AOC has an archive of more than 340,000 photographic 

images dating to the 1850s. The collection includes 

approximately 4,000 glass plates, in addition to hundreds of 

thousands of images in negative, print and digital format. Each 

unique image has a control number (one image may exist in 

multiple formats). The AOC stores most of the glass and film 

negatives off-site for long-term preservation. Digital files are 

systematically backed up and copied.

9.5, 9.6 and 9.7. Reference Files, Library Materials and 

Conservation Reports

One of the largest curatorial functions the AOC performs 

is maintaining the inventory and files for art and historical 

objects. The curator maintains a file on each work of art, 

artist and room in the U.S. Capitol Building, as well as files 

on the buildings and architectural subjects. The curator also 

keeps records on major ceremonies, such as joint sessions 

of Congress and inaugurations. The AOC uses these files 

to answer questions from the AOC staff and contractors, 

members of Congress and their staff, the public and to 

provide information for written fact sheets and publications. 

The U.S. Capitol Historical Society Fellowship, managed by 

the curator, continually adds to the knowledge of the art and 

architecture of the U.S. Capitol Building.

RECORDS AND 

REFERENCE AS OF 10/01/19 AS OF 9/30/20 CHANGE GENERAL CONDITION

Traditional 

Records

Electronic 

Records

Traditional 

Records

Electronic 

Records

Traditional 

Records

Electronic 

Records

Traditional 

Records

Electronic 

Records

9.1 Accessioned Materials

9.1.1. Architectural and 

Engineering Drawings

Approx. 

192,087 — Approx. 

193,987 — 1,900 — Fair to 

Excellent N/A

9.1.2. Specifications 

and Other Textual 

Records (linear feet)

Approx. 

9,130 — Approx. 

9,179.25 — 49.75 — Fair to 

Excellent N/A

9.1.3. Electronic 

Records (megabytes) — 4,134.88MB — 12,101.38MB — 7,966.50MB N/A N/A

9.2. Preaccessioned Materials1

9.2.1. Architectural 

and Engineering 

Drawings

— —

Rolls, small: 

8; Rolls, 

medium: 20

— — N/A N/A N/A

9.2.2. Specifications 

and Other Textual 

Records

— —

Boxes, small: 

2; Boxes, 

medium: 88

— — N/A N/A N/A

9.2.3. Electronic 

Records — — — 266.00MB N/A — N/A N/A

9.3. Small Architectural 

Models 18 — 18 — — — Fair N/A

9.4. Photographs 338,390 — 348,400 — 10,010 — Good to 

Excellent N/A

9.5. Art and Reference 

Files (Drawers) 108 — 108 — — — Good N/A

9.6. Art and Reference 

Library (Volumes) 1,216 — 1,219 — 3 — Good N/A

9.7. Conservation 

Reports (Notebooks) 455 — 465 — 10 — Good N/A

1

 This fiscal year, the AOC’s Records Management and Archives Branch began to record their preaccessioned materials differently. The Architectural and 

Engineering Drawings (9.2.1) are now recorded as small and medium rolls and the Specifications and Other Textual Records (9.2.2) are now recorded as 

small and medium boxes.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

140

CATEGORY

SEPTEMBER 30, 2020 SEPTEMBER 30, 2019

AOC JURISDICTION AOC JURISDICTION

Capital Construction & OperationsCapitol BuildingCapitol Grounds

and Arboretum House Office BuildingsLibrary Buildings & GroundsSenate Office BuildingsSupreme Court Building & GroundsU.S. Botanic GardenTotalCapital Construction & OperationsCapitol BuildingCapitol Grounds and Arboretum House Office BuildingsLibrary Buildings & GroundsSenate Office BuildingsSupreme Court Building & GroundsU.S. Botanic GardenTotal

Memorial Trees — — 150 — — — — — 150 — — 145 — — — — — 145

Artwork

Fine Art

Interior Sculpture

National Statuary 

Hall Statues — 100 — — — — — — 100 — 100 — — — — — — 100

Other Statues — 10 — — — — — — 10 — 10 — — — — — — 10

Possibly Joint Statues — 3 — — — — — — 3 — 3 — — — — — — 3

Busts — 16 — — — — — — 16 — 16 — — — — — — 16

Possibly Joint Busts — 21 — — — — — — 21 — 21 — — — — — — 21

Other (Maquettes, etc.) — 31 — — — — — — 31 — 30 — — — — — — 30

Subtotal — 181 — — — — — — 181 — 180 — — — — — — 180

Framed Oil Paintings

Portraits — 19 — — — — — — 19 — 19 — — — — — — 19

Possibly Joint Portraits — 26 — — — — — — 26 — 26 — — — — — — 26

Paintings Other 

Than Portraits — 12 — — — — — — 12 — 12 — — — — — — 12

Possibly Joint Paintings — 23 — — — — — — 23 — 23 — — — — — — 23

Subtotal — 80 — — — — — — 80 — 80 — — — — — — 80

Works of Art on Paper

Watercolors — 6 — — — — — — 6 — 6 — — — — — — 6

Prints and Drawings — 72 — — — — — — 72 — 72 — — — — — — 72

Sketches for Murals — 232 — — — — — — 232 — 232 — — — — — — 232

Subtotal — 310 — — — — — — 310 — 310 — — — — — — 310

Subtotal: Fine Art — 571 — — — — — — 571 — 570 — — — — — — 570

Decorative Art

Gilded Mirror Frames — 91 — — — — — — 91 — 91 — — — — — — 91

Historic Furniture — 39 — — — — — — 39 — 39 — — — — — — 39

Antique Clocks — 10 — — — — — — 10 — 10 — — — — — — 10

Textiles — 2 — — — — — — 2 — 2 — — — — — — 2

Subtotal — 142 — — — — — — 142 — 142 — — — — — — 142

Architectural Fine Art

Pediments (Exterior) — 3 — 1 — 1 2 — 7 — 3 — 1 — 1 2 — 7 

Statues/Sculpture — 6 — 8 27 1 2 — 44 — 6 — 8 27 1 2 — 44 

Plaster Models of Sculpture — 3 — 25 — 6 — — 34 — 3 — 25 — 6 — — 34 

Sculptured Stair Railings — 4 — — 2 — — — 6 — 4 — — 2 — — — 6 

Architectural Models — — — 1 — 4 — — 5 — — — 1 — 4 — — 5 

Reliefs — 39 — 1 73 51 4 — 168 — 39 — 1 73 51 4 — 168 

Light Posts with 

Reliefs (Exterior) — — — — — — 2 — 2 — — — — — — 2 — 2 

Bronze Doors (Sets) — 4 — — 17 — 1 — 22 — 4 — — 17 — 1 — 22 

Plaques — 31 — 1 — — — — 32 — 31 — 1 — — — — 32 

Monuments/Statues — — — 2 — — — — 2 — — — 2 — — — — 2 

Stained Glass/Mosaics — 16 — — 17 — — — 33 — 16 — — 17 — — — 33 

Rotunda Paintings — 8 — — — — — — 8 — 8 — — — — — — 8 

Rooms or Spaces with Fine 

Art Murals — 84 — 1 32 1 — — 118 — 84 — 1 32 1 — — 118 

Maquettes — — — 1 — 1 — — 2 — — — 1 — 1 — — 2 

Sculptural Clock — — — — 1 — — — 1 — — — — 1 — — — 1 

Exterior Sculpture — — — — 1 — — — 1 — — — — 1 — — — 1 

Subtotal — 198 — 41 170 65 11 — 485 — 198 — 41 170 65 11 — 485 

Summary of Heritage Assets

This consolidating schedule reports the heritage assets by jurisdiction and AOC-wide.
SECTION 3 Financial Information

141

CATEGORY

SEPTEMBER 30, 2020 SEPTEMBER 30, 2019

AOC JURISDICTION AOC JURISDICTION

Capital Construction & OperationsCapitol BuildingCapitol Grounds

and ArboretumHouse Office BuildingsLibrary Buildings & GroundsSenate Office BuildingsSupreme Court Building & GroundsU.S. Botanic GardenTotalCapital Construction & OperationsCapitol BuildingCapitol Groundsand ArboretumHouse Office 

BuildingsLibrary Buildings 

& GroundsSenate Office 

BuildingsSupreme Court Building & GroundsU.S. Botanic GardenTotal

Architectural Decorative Art

Mantels — 167 — — — — — — 167 — 167 — — — — — — 167 

Chandeliers — 250 — — — — — — 285 — 250 — — — — — — 250 

Pendant Lights — 270 — — — — — — 155 — 270 — — — — — — 270 

Sconces — 100 — — — — — — 100 — 100 — — — — — — 100 

Rooms/Spaces with 

Decorative Murals — 48 — — — — — — 48 — 48 — — — — — — 48 

Subtotal — 835 — — — — — — 755 — 835 — — — — — — 835 

TOTAL — 1,745 — 41 170 65 11 — 1,953 — 1,745 — 41 170 65 11 — 2,032 

Architectural Features

Outdoor Sculptures

Monuments/Statues — — 4 — — — — — 4 — — 4 — — — — — 4 

Fountains with Sculpture — — 1 — 3 — — 1 5 — — 1 — 3 — — 1 5 

Plaques — — 5 — — — — — 5 — — 5 — — — — — 5 

Subtotal — — 10 — 3 — — 1 14 — — 10 — 3 — — 1 14 

Landscape Features and Fixtures

Urns — — 20 — — — — — 20 — — 20 — — — — — 20 

Lighting Fixtures — — 166 — — — — — 166 — — 166 — — — — — 166 

Basins — — 2 — — — — — 2 — — 2 — — — — — 2 

Subtotal — — 188 — — — — — 188 — — 188 — — — — — 188 

TOTAL — — 198 — 3 — — 1 202 — — 198 — 3 — — 1 202 

Reference and Library Materials

Art and Reference 

Files (Drawers) 108 — — — — — — — 108 108 — — — — — — — 108 

Art and Reference 

Library (Volumes) 1,219 — — — — — — — 1,219 1,216 — — — — — — — 1,216 

TOTAL 1,327 — — — — — — — 1,327 1,324 — — — — — — — 1,324 

Archival Records

Architectural and 

Engineering Drawings 

(Accessioned)

193,987 — — — — — — — 193,987 192,087 — — — — — — — 192,087

Specifications and 

Other Textual Records 

(Accessioned)

9,179.25 — — — — — — — 9,179.25 9,130 — — — — — — — 9,130

Small Architectural Models 18 — — — — — — — 18 18 — — — — — — — 18

Conservation Reports 465 — — — — — — — 465 455 — — — — — — — 455

Photographs 348,400 — — — — — — — 348,400 338,390 — — — — — — — 338,390

TOTAL 552,049 — — — — — — — 552,049 540,080 — — — — — — — 540,080 

Electronic Archival Records (Megabytes) 

Materials (Accessioned) 12,101.38 — — — — — — — 12,101.38 4,134.88 — — — — — — — 4,134.88 

TOTAL 12,101.38 — — — — — — — 12,101.38 4,134.88 — — — — — — — 4,134.88 

Living Botanical 

Assets (Accessions) — — — — — — — 9,925 9,925 — — — — — — — 9,651 9,651 

Note: The table does not display preaccessioned materials. These materials have been transferred to the Records Management and Archives Branch but are 

not yet screened and registered as part of the archival collection.
04

SECTION
SECTION 4 Other Information

143

OVERVIEW

This section presents required financial, operational, 

stewardship and performance information that supplements 

the previous sections of this report. A summary of each 

subsection is provided below.

The Inspector General’s Statement of Management 

Opportunities and Performance Challenges presents 

the AOC OIG assessment of the agency’s most critical 

management and performance challenges and its progress 

in addressing those challenges. This section is provided in 

accordance with the Reports Consolidation Act of 2000.

Summary of Financial Statement Audit and 

Management Assurances includes tables of audit results, 

material weaknesses in internal controls and financial system 

nonconformances. The information is a summary of the 

independent auditor‘s financial statement audit, management’s 

evaluation of internal controls using the Federal Managers’ 

Financial Integrity Act of 1982 (FMFIA) and guidance from 

the Office of Management and Budget (OMB) Circular 

A-123. Additional information comes from management’s 

evaluation of financial systems’ conformance with financial 

management system requirements, referencing FMFIA and 

the Federal Financial Management Improvement Act (FFMIA).

Payment Integrity provides an overview of the AOC’s 

efforts to identify programs where significant improper 

payments may have occurred and how the AOC’s invoice 

payment process incorporates Treasury’s Do Not Pay 

capability. This subsection also addresses the Fraud 

Reduction and Data Analytics Act.

Real Property Capital Planning: An overview of the 

AOC’s real property square footage for the current fiscal 

year and baseline year. 

Energy and Sustainability Performance Management 

Report contains a summary of the AOC’s notable energy 

and sustainability program achievements, in accordance with 

the Energy Independence and Security Act of 2007.

Small Business Accomplishments Report provides 

information on the AOC’s small business set-aside program 

efforts and results, in accordance with congressional 

reporting requirements.

Human Capital Management Report summarizes the 

AOC’s personnel management system. The Architect of the 

Capitol Human Resources Act requires the AOC to develop 

human resources management programs consistent with 

common practices within the federal government and private 

sector organizations.

Left Tracing its beginnings to the laying of the Capitol cornerstone 

in 1793, the AOC serves as steward for the Capitol campus, which 

encompasses more than 18.4 million square feet of facility space, more 

than 570 acres of grounds and thousands of works of art.

Other

Information
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

144

DATE: October 7, 2020

TO: J. Brett Blanton

Architect of the Capitol

FROM: Christopher P. Failla, CIG

Inspector General 

SUBJECT: Statement of Management Opportunities and Performance Challenges

I am pleased to present the Statement of Management Opportunities and Performance Challenges 

(Statement) for the Fiscal Year ending September 30, 2020. This Statement, prepared pursuant to 

your request, identifies and assesses the most serious challenges facing the Architect of the 

Capitol (AOC) from the Office of Inspector General’s perspective, and the AOC’s progress in 

addressing challenges from prior year Statements. 

We look forward to working with you and our colleagues on the entire AOC team in the coming 

year to help AOC achieve its strategic vision to build a culture of accountability and 

responsibility and to improve efficiency and effectiveness throughout the AOC. Collectively, we 

can work to prevent and eliminate fraud, waste and abuse. 

If you have any questions, please contact me at 202.593.0260 or christopher.failla@aoc.gov.

Distribution List: 

Thomas J. Carroll III, Assistant to the Architect

Peter Bahm, Chief of Staff

Mary Jean Pajak, Senior Advisor

 Office of Inspector General

 Fairchild Bldg. 

 499 S. Capitol St., SW, Suite 518 

 Washington, D.C. 20515 United States Government 202.593.1948 

 www.aoc.gov MEMORANDUM

T H E INSPEC TO R G EN ER AL’ S S TAT EM EN T O F M ANAG EM EN T O PPO R T UN I T IE S

A N D P E R F O R M A N C E C H A L L E N G E S 
SECTION 4 Other Information

145

1 

Introduction 

As part of our agency’s Performance and Accountability Report (PAR) for fiscal year (FY) 2020, 

the Architect of the Capitol (AOC) J. Brett Blanton requested the Office of Inspector General’s 

(OIG) Statement of Management Opportunities and Performance Challenges (Statement). As 

with every AOC PAR since FY 2010, the OIG provides this statement for information and 

inclusion in the upcoming PAR. This statement identifies the AOC’s most significant challenges 

and opportunities for improvement. The Statement is based on our observations, audits, 

inspections and evaluations, and investigative efforts, as well as the AOC-contracted Financial 

Statements Audit. We appreciate this opportunity to provide the AOC with our unique 

perspective on areas that need increased management attention and decisive action. 

The OIG exists to identify efficiencies and economies as well as to prevent and report fraud, 

waste and abuse through audits, inspections and evaluations, and investigations. In addition, we 

are a key tool for the AOC as we offer objective recommendations to better use resources and 

report deficiencies that may hinder the AOC’s mission. Since the last PAR, the OIG has made 

several key efforts to streamline our operations. These included: 1) creating a full-time Counsel 

to the Inspector General and Assistant Inspector General for Operations position to advise the 

Inspector General and direct OIG administrative and management processes; 2) implementing 

education and outreach strategies (e.g., social media); and 3) continuing to work with an 

independent accounting firm to conduct construction audits for one of the AOC’s largest and 

most complex construction projects, the Cannon House Office Building Renewal (CHOBr) 

Project, all in order to target our resources to better assist the AOC in achieving its mission. 

The OIG believes that focusing senior leadership’s attention to the Statement will help improve 

service delivery, promote economy and efficiency, and reduce the potential for fraud, waste and 

abuse in the AOC’s programs and operations. 

While recognizing the AOC’s accomplishments in executing its core mission amid fiscal 

uncertainty and constraints, to include the COVID-19 pandemic response, the AOC must 

continue to monitor the management and performance challenges identified in the previous 

year’s PAR. In particular, eight management and performance challenges cited in the OIG’s 

Statement from the previous FY should remain on this list. These include: 

1) Human Capital Management; 

2) Auditability and Documentation to Support Decisions; 

3) Management of Concurrent Construction Projects; 

4) Cyber Security; 

5) Lack of a Whistleblower Protection; 

Office of Inspector General

Statement of Management Opportunities 

and Performance Challenges 2020 

T H E INSPEC TO R G EN ER AL’ S S TAT EM EN T O F M ANAG EM EN T O PPO R T UN I T IE S

AND PERFORMANCE CHALLENGES (continued)
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

146

2 

6) Property Accountability and Surplus Property Disposal; 

7) Balancing Safety and Security with Preservation and Heritage; and 

8) Duplication of Effort without a Working Capital Fund. 

In the OIG’s assessment, each of these challenges remain critical issues facing the agency. We 

do not repeat our summary of these challenges. 

To date, the AOC has made considerable progress to improve and eliminate the previously OIGidentified management challenges. Due to the emphasis the AOC has placed on continued 

improvement of prior years’ management challenges, we will not include challenges relative to 

the management of user-requested changes for the current FY since the OIG has observed 

improvements and non-recurring issues in these areas during recent reviews of AOC programs 

and construction projects. 

Additional OIG Management and Performance Challenges 

The OIG has identified two additional management challenges that impact the AOC; they are: 

9) Identifying and Managing Waste and Holding Personnel Accountable for Waste; 

and 

10) Records Retention and Access. 

Identifying and Managing Waste and Holding Personnel 

Accountable for Waste 

In the course of our work during this and previous FYs, the OIG has identified ambiguous 

language and directives in AOC orders and policies. The ambiguities reflect a vague definition of 

waste, a lack of well-defined or required roles and responsibilities, and inconsistent record 

keeping practices. The AOC orders and policies also lack comprehensive accountability 

standards pertaining to the wasteful use of government resources. In multiple instances, the OIG 

has identified substantiated cases of wasteful actions and behaviors that occur without the 

appropriate consequence according to AOC policy. 

The OIG has observed some inconsistencies in holding staff accountable for their actions that 

have the potential to create an agency culture where recurrent instances of waste of government 

resources could become commonplace. Some recent examples the OIG has encountered include 

actions that have gone without consequence such as the expenditure of end-of-year funds on 

unnecessary or unusable supplies that do not meet office requirements, and ordering equipment 

when a contract is already in place for that equipment instead of renegotiating the original 

contract. These examples give the appearance of stock piling, hoarding and waste, and positions 

the AOC for increased risk and financial loss if not properly addressed through policy, internal 

controls and setting the tone at the top with senior AOC leaders acknowledging and addressing 

waste. 

T H E INSPEC TO R G EN ER AL’ S S TAT EM EN T O F M ANAG EM EN T O PPO R T UN I T IE S

AND PERFORMANCE CHALLENGES (continued)
SECTION 4 Other Information

147

3 

Records Retention and Access 

Though related to the identified management challenge of auditability and documentation to 

support decisions, the separate management challenge of records retention and access is distinct 

enough that it bears discussion. 

As a best practice, many government agencies retain records according to the National Archives 

and Records Administration and Office of Personnel Management guidance even when not 

specifically required. The AOC’s retention of and access to records is a matter of efficiency for 

the OIG and other jurisdictional operations, and is necessary for effective preservation of 

institutional knowledge. From the OIG’s perspective, retention of and access to records, 

including employee emails and historical AOC orders and policies, is a challenge and should 

become a priority for the AOC. 

Through the course of its work, the OIG has identified instances when the AOC has not retained 

specific records, which creates inefficiencies and diminishes integrity in the preservation of AOC 

historical records. The AOC makes the most recent orders and policies transparent by posting 

them to their intranet; however, preceding polices are more difficult to ascertain. The OIG makes 

reasonable effort to consider the most current orders and polices in place for all audits, 

inspections and evaluations, and investigations, though some events occur prior to the most 

recent or published order or policy and, thus, the preceding order or policy must be consulted. 

The AOC does not adequately maintain or provide accessible, cataloged preceding orders or 

polices for consultation, which leads to gaps in OIG activities, and inconsistencies in AOC 

operations and internal controls. Similarly, the AOC does not consistently or reliably retain or 

catalog for retention pertinent employees’ emails. The OIG has identified instances when the 

AOC’s retention of emails could further identify and/or support substantiation of instances of 

fraud, waste and abuse to include harassment and sexual harassment. 

This challenge to the AOC creates opportunity for fraudsters and corrupt actors to take advantage 

of this records gap. To this end, a practice and policy supporting email retention could thwart 

corruption and a culture of harassment and help in diminishing this challenge for management. 

Records management to include email retention and policy cataloging should support 

transparency in oversight practices, promote integrity, and uphold a desire for informed 

continuity. By creating a sound records management and retention policy, the AOC would 

ensure that there are policies and procedures for managing all records, accounting and protecting 

valuable documents and records, and ensuring safe and thorough disposition of these records that 

could thereby be used as support for future decision-making, lessons learned, auditability and 

OIG activities. 

Conclusion 

All federal agencies have areas in which improvements are needed. This Statement, is written 

from the OIG’s perspective and should be taken in that context. The AOC has much to be proud 

of as it has worked to reduce or eliminate elements of the previous years’ challenges. The 

progress made on these challenges is very encouraging and the two new management challenges 

T H E INSPEC TO R G EN ER AL’ S S TAT EM EN T O F M ANAG EM EN T O PPO R T UN I T IE S

AND PERFORMANCE CHALLENGES (continued)
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

148

4 

included above will serve to improve the AOC’s efforts to prevent and detect fraud, waste and 

abuse, as well as improve the effectiveness and efficiency of its programs and operations. 

As the OIG finds additional specific challenges, we will inform management with findings and 

recommendations via audits, inspections and evaluations, investigations, and management 

advisories. The intent of these findings and recommendations is to improve the AOC’s 

operations to meet its overall mission to “Serve, Preserve and Inspire” and to support the AOC

by decreasing the potential for fraud, waste, abuse and mismanagement. 

T H E INSPEC TO R G EN ER AL’ S S TAT EM EN T O F M ANAG EM EN T O PPO R T UN I T IE S

AND PERFORMANCE CHALLENGES (continued)
SECTION 4 Other Information

S U M M A R Y O F F I N A N C I A L S TA T E M E N T A U D I T A N D 149

MANAGEMENT ASSURANCES

The AOC tracks audit material weaknesses, as well as other requirements of the Federal Managers’ Financial Integrity Act of 1982

(FMFIA). Tables 16 and 17 below present management’s summary of these matters, as required by OMB Circular A-136, 

Financial Reporting Requirements, revised. 

Table 16

Summary of Financial Statement Audit

AUDIT OPINION TYPE Unmodified

RESTATEMENT (YES/NO) No

MATERIAL WEAKNESSES

BEGINNING 

BALANCE NEW RESOLVED

CONSOLIDATED/

REASSESSED ENDING BALANCE

0 0 0 0 0

Total Material Weaknesses 0 0 0 0 0

Table 17

Summary of Management Assurances

EFFECTIVENESS OF INTERNAL CONTROL OVER FINANCIAL REPORTING (FMFIA, PARA. 2)

STATEMENT OF ASSURANCE Unmodified

MATERIAL WEAKNESSES

BEGINNING 

BALANCE NEW RESOLVED

CONSOLIDATED/

REASSESSED ENDING BALANCE

0 0 0 0 0

Total Material Weaknesses 0 0 0 0 0

EFFECTIVENESS OF INTERNAL CONTROL OVER OPERATIONS (FMFIA, PARA. 2)

STATEMENT OF ASSURANCE Unmodified

MATERIAL WEAKNESSES

BEGINNING 

BALANCE NEW RESOLVED

CONSOLIDATED/

REASSESSED ENDING BALANCE

0 0 0 0 0

Total Material Weaknesses 0 0 0 0 0

COMPLIANCE WITH FEDERAL FINANCIAL MANAGEMENT SYSTEM REQUIREMENTS (FMFIA, PARA. 4)

STATEMENT OF ASSURANCE Federal systems comply to financial system management requirements

NONCONFORMANCES

BEGINNING 

BALANCE NEW RESOLVED

CONSOLIDATED/

REASSESSED ENDING BALANCE

0 0 0 0 0

Total Nonconformances 0 0 0 0 0

COMPLIANCE WITH FEDERAL FINANCIAL MANAGEMENT IMPROVEMENT ACT (FFMIA)

AGENCY AUDITOR

1. System Requirements No lack of compliance noted No lack of compliance noted

2. Accounting Standards No lack of compliance noted No lack of compliance noted

3. U.S. Standard General Ledger at Transaction Level No lack of compliance noted No lack of compliance noted
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

150 PAYMENT INTEGRIT Y

Improper Payments

The Payment Integrity Information Act of 2019 (PIIA) requires 

federal agencies to reduce improper and erroneous payments. 

OMB Circular A-123, Appendix C, Requirements for 

Payment Integrity Improvement, also provides improper 

payment reporting guidance. As a legislative branch 

agency, the AOC is not subject to PIIA, nor to the related 

OMB guidance, and does not have a formal improper 

payments program. Therefore, the AOC does not provide 

payment accuracy data to OMB for display on its website. 

Nonetheless, as part of its internal control and risk 

assessment program, the AOC has an internal control 

plan in place to monitor payment accuracy. As part of this 

effort, the AOC refers to PIIA and OMB Circular A-123, 

Appendix C for guidance. 

In FY 2020, the AOC Office of Inspector General (OIG) 

completed four audits of construction project modifications. 

Three audits included examinations of the projects’ internal 

controls associated with the review and approval processes 

for the award of contract modifications: the Cannon 

Renewal Project, the Senate Underground Garage and 

Landscape Restoration Project and the Russell Exterior 

Envelope Project. The fourth audit addressed internal 

controls associated with the payment of selected invoices 

for the Cannon Renewal Project. The OIG found that the 

internal controls over the contract modification and pay 

application review and approval processes were adequate 

and effective. However, the audits revealed that the AOC 

approved unallowable costs for contract modifications to 

the Cannon Renewal and Senate Underground Garage 

and Landscape Restoration projects. These amounted to 

$102,189 for the Cannon Renewal Project and $49,112 

for the Senate Underground Garage and Landscape 

Restoration Project. In both cases, the unallowable costs 

were a small percentage of the modifications’ values. The 

audits of the Russell Exterior Envelope Project modification 

and Cannon Renewal Project invoices did not reveal 

unallowable costs. The AOC has planned or taken actions to 

implement the OIG’s recommendations aimed at preventing 

unallowable costs in the future. In addition, the AOC has 

recovered the unallowable costs from the Cannon Renewal 

Project construction contractor and is considering how 

best to recover the costs from the Senate Underground 

Garage vendor. 

In addition, by agency policy, the AOC conducts quarterly 

financial reviews (QFR) of its jurisdiction-level program 

obligations and spending. These reviews have improved the 

reliability of the AOC’s financial statements and budget 

execution reports. As part of this policy, the AOC’s Chief 

Financial Officer manages the reviews and uses them to 

identify inaccurate payments and determine the effectiveness 

of controls over obligation and payment processes. This fiscal 

year, the AOC modified its QFR process to specifically 

address the untimely de-obligation of unliquidated 

obligations. The AOC developed a new application, as 

well as provided related policy guidance and training, to 

automate the validation of open obligations.

The AOC does not administer grant, benefit or loan 

programs. The AOC’s most significant expenses are payroll 

and benefits for its employees, which are administered 

by the U.S. Department of Agriculture’s shared service 

provider, the National Finance Center. The AOC’s most 

substantial nonpayroll expenses are its payments to vendors 

for construction efforts, professional services and goods 

procured during the course of normal operations. More 

information on the AOC’s monitoring efforts is included in 

Section I: Management’s Discussion and Analysis under 

Management Assurances and Other Financial Compliances.

Do Not Pay Initiative

Treasury’s Do Not Pay Initiative provides resources for 

agencies to review payment eligibility for purposes of 

identifying and preventing improper payments to vendors. 

The AOC uses Treasury’s IPP, a secure online platform, to 

centralize its invoice payment process. The IPP partners 

with Treasury’s Do Not Pay business center to help prevent 

and reduce improper payments in a cost-effective manner. 

As such, through its IPP deployment, the AOC improves its 

payment accuracy with the Do Not Pay Initiative.

Fraud Reduction and Data Analytics Act of 2015

The Fraud Reduction and Data Analytics Act of 2015 requires 

executive branch agencies to identify and assess fraud risks, 

as well as to design and implement control activities to 

prevent, detect and respond to fraud. As a legislative branch 

agency, the AOC is statutorily excluded from the Fraud 

Reduction and Data Analytics Act of 2015 and has not formally 

incorporated this law into its policy.

Grants Oversight and New Efficiency Act

The Grants Oversight and New Efficiency Act requires all 

federal agencies to report a listing of federal grants awarded 

and the closeout status of each awarded grant. The AOC 

does not administer any federal grant programs. 
SECTION 4 Other Information

151

REAL PROPERT Y CAPITAL PLANNING

The OMB provides guidance on capital planning for 

federal real property. The updated federal reporting 

guidelines for FY 2020 require agencies to submit an annual 

document that outlines their capital planning process 

to the Federal Real Property Council. This document 

replaces the former Reduce the Footprint requirements. 

As a legislative branch agency, the AOC is not subject to 

this requirement. Therefore, the AOC continues to provide 

real property information in its annual Performance and 

Accountability Report. 

The AOC’s mission includes the responsibility for a unique 

real estate portfolio. As a best practice and in the interest of 

transparency, the AOC presents its total managed square 

footage for the current fiscal year as compared to the FY 

2015 baseline in Table 18. The total square footage reported 

includes all real property under the AOC’s care. In addition 

to office and inventory storage facilities, the real property 

portfolio includes a variety of property that is distinct to the 

AOC and its wide-ranging mission: congressional committee 

rooms, legislative chambers, a court chamber, exhibition 

space, a botanic conservatory, plant production facilities, a 

visitor center, gift shops, restaurants, a power plant, utility 

tunnels, book storage modules and other sites. As shown, the 

total square footage increased over the FY 2015 baseline. This 

is primarily due to the 2017 transfer of the O’Neill House 

Office Building to the AOC’s portfolio from the GSA. This 

space supports the U.S. House of Representatives and serves 

as swing space during the Cannon Renewal Project.

As the AOC’s real property needs are mission-driven, its 

footprint has increased to meet the needs of its congressional 

stakeholders and those who work within and visit the 

Capitol campus. The agency commits to using its facilities 

as efficiently as possible. This includes workplace strategies 

such as supporting the maximum use of telework. To reduce 

the operations and maintenance costs associated with its 

real property portfolio, the AOC implemented a number of 

efficiency improvements. These included enhancing building 

system controls and performance monitoring capabilities to 

reduce energy and water usage, implementing cogeneration 

technology at the Capitol Power Plant and using energy 

savings performance contracts to fund energy savings 

improvements on the Capitol campus.

Above The AOC cares for more than 18.4 million square feet of facilities, including a variety of real property that reflects its wide-ranging mission: 

congressional committee rooms, legislative chambers, a botanic conservatory, plant production facilities, a visitor center, a power plant and utility 

tunnels, office and inventory storage facilities and the U.S. Capitol Building.

Table 18

Real Property Baseline Comparison

FY 2015 BASELINE (ROUNDED) FY 2020 (ROUNDED) CHANGE FROM BASELINE

Total Square Footage (in Millions) More than 17.4 More than 18.4 More than 18.4
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

152

E N E R G Y A N D S U S TA I N A B I L I T Y 

PROGRAM MANAGEMENT REPORT

As stewards of the Capitol campus and its off-site facilities, 

the AOC is required to meet annual reductions in energy 

consumption under the Energy Policy Act of 2005 and the Energy 

Independence and Security Act of 2007. This report was created 

to inform Congress and the public of the AOC’s progress on 

meeting its efficiency goals as well as its future commitments 

to sustainability and water efficiency. It includes details on 

the AOC’s energy expenditures and savings estimates, energy 

management and conservation projects and future priorities.

FY 2020 was a significant and rewarding year for the AOC’s 

energy and sustainability efforts. The AOC is four years 

into its ambitious performance requirements and trending 

ahead of its FY 2025 key energy reduction goal. As shown 

in Figure 47, the AOC reduced energy consumption by 50.8 

percent from its FY 2003 baseline, a major achievement. The 

AOC sustainability strategy focuses on energy, water, highperformance buildings and sustainable waste management. 

Performance highlights included: 

Figure 47

The AOC’s Energy Reduction Results FY 2008–FY 2020 

Above Major energy and sustainability infrastructure improvements at the AOC have been funded through public-private partnerships, including a 

utility energy service contract to fund the Capitol Power Plant’s cogeneration system.
SECTION 4 Other Information

153

 Added 3 percent new energy savings in FY 2020 by 

focusing on building thermal energy performance

 Completed monthly in-depth building performance 

analysis on select buildings using the agency’s performance 

monitoring system and retro-commissioning experts

 Began ESPC design and installation of energy 

conservation measures (ECM) in the Library Buildings 

and Grounds jurisdiction

 Completed a study of water consumption throughout the 

campus to support an increased focus on water use savings

 Reduced greenhouse gas by 39.8 percent from the 

FY 2008 baseline

Energy Expenditures and Savings Estimates

The agency’s implementation of multiple ESPCs, a utility 

energy service contract (UESC) and other infrastructure 

investments have saved the AOC more than $176 million 

in cost avoidance and reduced the agency’s long-term 

energy demand. From FY 2015 to FY 2020, the AOC 

voluntarily continued its partnership with stakeholders 

to manage one of the federal government’s most effective 

energy and sustainability programs. In FY 2020, the most 

impactful energy savings efforts included infrastructure and 

performance improvements. As detailed in Table 19, the 

AOC used approximately $1.0 million in direct appropriations 

toward efficiency improvements at the Capitol Power Plant 

and performance improvements such as building automation 

and lighting upgrades. Furthermore, the ESPCs implemented 

at the U.S. Capitol Building and the House and Senate office 

buildings during previous years continue to generate savings.

Energy Management and Conservation Projects

The AOC’s four principal program areas are to reduce 

resource risks through agile fiscal and resource management, 

transform the AOC’s culture, protect and reinvest in the 

environment and minimize the agency’s total life-cycle 

ownership costs of its facilities. 

The AOC promotes energy, water and sustainability 

initiatives, with a focus on performance metrics, metering, 

commissioning, building automation, recycling and 

integrated design. The agency’s FY 2020 targets included: 

 40 percent energy reduction (from FY 2003 baseline); 

goal met 

 42 percent greenhouse gas reduction; goal met

 26 percent water use reduction (from FY 2008 baseline); 

goal met

 48 percent diversion of building occupant waste; goal not met

 90 percent diversion of construction and demolition 

debris; goal met

 8 percent of waste compostable by the end of FY 2021; 

goal met 

 Enhanced energy and sustainability communications 

toward improved conservation, sustainable practices and 

health and wellness

Improving energy and sustainability performance provides: 

 Financial payoffs due to reduced operating costs 

 Customer service payoffs from increased client 

satisfaction and improved reputation 

 Agency payoffs from reduced staff risks and increased 

satisfaction

FY 2020 program highlights included:

 Employed cost-effective strategies to meet 

sustainability targets: The AOC focused attention on 

Table 19

FY 2020 Investments in Energy and Water Management

SOURCES OF INVESTMENT DIRECT APPROPRIATIONS FY 2020 ANNUAL GOAL-SUBJECT ENERGY SAVINGS (MMBTU)

Energy and Sustainability 

Program Expenditures $998,857 70,839 

ESPC/UESC EXPENDITURES FY 2020 ANNUAL PAYMENTS GUARANTEED ANNUAL COST SAVINGS FINAL PAYMENT

House Office Buildings ESPC $4,370,162 $4,401,122 FY 2027

Senate Office Buildings ESPC $4,261,830 $4,360,387 FY 2027

U.S. Capitol Building ESPC $2,327,616 $2,237,617 FY 2022

Capitol Power Plant 

Cogeneration UESC $2,933,575 $2,933,574 FY 2037

Library of Congress ESPC (project 

management only) $2,507,200 $1,410,970 FY 2039

FY 2020 Annual Payment Total $16,400,383 $15,343,670

Note: Table includes corrections for calculation errors, excess project energy, baselining new buildings and cogeneration site versus source credit. 

Annual consumption and cost figures do not reflect final FY 2020 expenditures. Energy savings are measured in million British Thermal Units (MMBTU), 

the measure of energy content in fuel.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

154 low-flow water fixtures, sustainability scorecards and 

sharing best practices across jurisdictions to reduce 

operating costs and conserve resources

 Utilized public-private partnerships: Some major 

energy and sustainability improvements at the AOC have 

been funded through public-private partnerships, such as 

multiple ESPCs and a UESC

 Implemented “Gold Days”: The AOC focused on peak 

electricity grid consumption days. This was supported by 

a robust lighting program to implement lighting retrofits 

and upgrades

 Continued retro-commissioning: The AOC employed 

retro-commissioning to address malfunctioning 

equipment, automation and control logic deviations

 Improved water efficiency: Strategies for improved water 

efficiency included the installation of drought-tolerant 

native landscaping, efficient irrigation and aggressive 

monitoring to find and repair water leaks

Future Priorities to Ensure Compliance 

The AOC will continue to identify life-cycle, cost-effective 

opportunities to improve energy and water performance, 

reliability and environmental conditions in its buildings. In 

FY 2020, modifications were made to building ventilation 

systems in response to the COVID-19 pandemic. These 

modifications added to the AOC’s energy consumption 

although this is expected to be a temporary increase that 

will be recovered when the pandemic ends. Projects such as 

the Library of Congress ESPC and the Cannon Renewal 

Project will ensure that the AOC maintains the energy 

reduction. The cornerstones of the energy and sustainability 

program are to maintain and optimize existing building 

performance through operational improvements and 

control strategies, to make incremental improvements 

through small-scale retrofits and equipment replacements, 

to continue long-term and interim building performance 

metrics and track them through metering and data 

analytics and to ensure operations and maintenance staff 

receive appropriate training. Additional priorities include 

workforce development, assessments and automated tracking 

and reporting.

Data Tables 

The data tables (Tables 19, 20 and 21) provide a summary 

of the AOC’s progress in meeting its requirements under 

the Energy Policy Act of 2005 and the Energy Independence 

and Security Act of 2007. The data presented in these tables 

include corrections for calculation errors, excess project 

energy, baselining new buildings and the cogeneration site 

versus source credit. Annual consumption and cost figures 

do not reflect final FY 2020 expenditures.

Table 20 

EPAct Goal Subject Buildings

 UTILITY TYPE

CONSUMPTION

UNITS

ANNUAL 

CONSUMPTION

ANNUAL COST 

($ IN THOUSANDS)

UNIT COST 

($)

UNIT OF 

MEASURE

SITE

DELIVERED 

BBTU

ESTIMATED 

SOURCE BBTU

Electric MWh 167,127.3 $16,214.6 $0.10 /kWh 570.2 1,790.5 

Fuel Oil KGal 116.0 $240.5 $2.07 /Gallon 16.2 16.2 

Natural Gas KCF 1,374,823.4 $8,915.6 $6.48 /KCF 1,374.8 1,443.6 

Coal Short Ton 0.0 $0.0 $0.00 /Short Ton 0.0 0.0 

Purchased Steam BBTU 21.0 $104.8 $5.00 /MMBTU 21.0 46.6 

Site/Source Credit* BBTU (495.8) /MMBTU (495.8)

Excluded Steam BBTU (161.5) ($6,416.2) $39.73 /MMBTU (161.5) (230.7)

Excluded CHW BBTU (27.7) ($538.0) $19.39 /MMBTU (27.7) (35.2)

Excluded Security BBTU (34.6) ($447.1) $12.92 /MMBTU (34.6) (108.7)

PURCHASED RENEWABLE

Electric MWh 34,440.4 $3,341.4 $0.10 /kWh 117.5 0.0

Other BBTU /MMBTU

Totals BBTU 1,380.1 $21,415.7 1,380.1 2,922.3 

FY 2020 Goal Subject Buildings 

Gross Square Feet (Thousands) 16,810.0 FY 2020 Goal Subject Buildings Actual KBTU/GSF 82.1 173.8 

KEY FOR ENERGY TABLES:

BBTU Billion British Thermal Units

CHW Chilled Water

GSF Gross Square Feet

KBTU Thousand British Thermal Units

KCF Thousand Cubic Feet

KGal Kilogallons

kWh Kilowatt Hours

MMBTU Metric Million British Thermal Units

MWh Megawatt Hours

Short Ton A unit of weight 

equal to 2,000 pounds

*Site/Source credit accounts for displaced grid electricity per DOE guidance.
SECTION 4 Other Information

155

Table 22

Goal Performance

ENERGY MANAGEMENT 

REQUIREMENT

FY 2003 

KBTU/GSF FY 2020 KBTU/GSF

PERCENT 

CHANGE

FY 2003–FY 2020 FY 2020 GOAL TARGET

Reduction in Energy Intensity in 

Facilities Subject to EPAct Goals 166.930 82.102 -50.8% -40.0%

RENEWABLE ENERGY REQUIREMENT

RENEWABLE ELECTRICITY USE 

(MWH)

TOTAL 

ELECTRICITY 

USE (MWH) PERCENTAGE

Eligible Renewable Electricity Use as a 

Percentage of Total Electricity Use 34,440 241,807 14.2%

WATER INTENSITY REDUCTION GOAL

FY 2007 

GALLONS/GSF FY 2020 GALLON/GSF

PERCENT 

CHANGE

FY 2007–FY 2020 FY 2020 GOAL TARGET 

Reduction in Potable Water 

Consumption Intensity 28.2 20.1 -28.8% -26.0%

SUSTAINABLE WASTE MANAGEMENT PERFORMANCE METRIC FY2016 GOAL FY2016 ACTUAL FY2020 GOAL FY2020 ACTUAL

Divert Building Occupant Waste Waste Diverted/ 

Total Occupant Waste 44.0% 40.0% 44.0% 38.0%

Reduce, Reuse and Recycle 

Construction and Demolition Debris

Waste Diverted/ 

Total Construction Waste 90.0% 80.0% 90.0% 98.0%

Compost Nonconstruction Waste Waste Diverted/ 

Total Occupant Waste NA NA 8.0% 8.3%

Table 21

EPAct Goal Excluded Buildings

 UTILITY TYPE

CONSUMPTION

UNITS

ANNUAL 

CONSUMPTION

ANNUAL COST 

($K)

UNIT COST 

($)

UNIT OF 

MEASURE

SITEDELIVERED 

BBTU

ESTIMATED 

SOURCE BBTU

Electric MWh 40,238.9 $3,904.0 $0.10 /kWh 137.3 431.1 

Fuel Oil KGal 374.7 $777.0 $2.07 /Gallon 52.5 52.5 

Natural Gas KCF 33,919.6 $220.0 $0.01 /KCF 33.9 35.6 

Coal

Purchased Steam

Excluded Steam BBTU 161.5 $6,416.2 $39.73 /MMBTU 161.5 230.7 

Excluded CHW BBTU 27.7 $538.0 $19.39 /MMBTU 27.7 35.2 

Excluded Security BBTU 34.6 $447.1 $12.92 /MMBTU 34.6 108.7 

Purchased Renewable

Electric 

Other 

Totals BBTU 447.5 $12,302.1 447.5 893.8 

FY 2020 Goal Excluded Buildings 

Gross Square Feet (Thousands) 1,083.3 FY 2020 Goal Excluded Buildings Actual KBTU/GSF 207.5 414.4 

COGENERATION OPERATIONAL PERIOD OPERATIONAL DAYS SITE VS. SOURCE CREDIT (BBTU) TOTAL MHH PRODUCED

Capitol Power Plant 

Combined Heat and Power

Oct 2019 

thru Sep 2020 344 495.8 62,099.5 

OTHER ENERGY AND WATER INFORMATION

UTILITY METERING

NUMBER OF BUILDINGS 

METERED METERED AREA (GSF)

PERCENT OF BUILDINGS 

METERED

PERCENT OF ADVANCED 

METERING

Electric 76 18,058,069 100% 91%

Steam 27 19,514,362 99% 99%

Natural Gas 21 1,768,311 100% 0%

Chilled Water 25 16,251,351 99% 99%

Potable Water 29 Buildings 

8 Other 17,381,130 99% w/meters 68% estimated 65%

Note: Tables 19–22 are issued with data as of November 10, 2020.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

156

S M A L L B U S I N E S S 

A C C O M P L I S H M E N T S R E P O R T 

As a best practice, the AOC voluntarily reports the agency’s 

performance against its small business procurement goals. 

The AOC procurement authority is separate from the 

Competition in Contracting Act and other laws affecting 

the executive branch, and the AOC is not authorized by 

law to use the Small Business Act for set-aside programs or 

subcontracting plans. However, the AOC’s procurement 

authority does provide discretion in the level of competition 

required when using small purchase procedures for open 

market purchases. To direct more business opportunities 

to the small business community, the AOC created a small 

business subcontracting program and a small business 

set-aside program for small purchases of $250,000 or less. 

The agency also works collaboratively with the U.S. Small 

Business Administration to implement and operate small 

business programs at the AOC. 

The AOC established socioeconomic goals through its 

small business programs for prime contract awards to small 

businesses, small disadvantaged businesses, women-owned 

small businesses, veteran-owned small businesses, servicedisabled veteran-owned small businesses, and Historically 

Underutilized Business Zone (HUBZone) small business 

concerns. In FY 2020, as shown in Table 23, a goal of 65 

percent of all agency contract awards were to go to small 

businesses. The percentage of awards to the various small 

business categories within this goal is also shown. The AOC 

exceeded the goals for every category of small business 

concerns through increased visibility in the small business 

community, consultations with small business concerns 

seeking information regarding the AOC’s procurements, 

ongoing data collection efforts on the types of businesses 

that the AOC uses, and actively seeking small business 

concerns for small purchases. 

In FY 2020, the AOC awarded contracts in excess of $31.7 million to small businesses.

Table 23

Small Business Program Accomplishments, October 1, 2019 to September 30, 2020

CATEGORY GOAL ACHIEVEMENTS* GOAL MET?

Small Business 65% 83.4% Yes

Small Disadvantaged Business 8% 19.5% Yes

Women-Owned Small Business 11% 17.8% Yes

Veteran-Owned Small Business 4% 5.9% Yes

Service-Disabled Veteran-Owned 

Small Business

1% 2.1% Yes

HUBZone Small Business 1% 2.4% Yes

*Contract awards may fall under more than one category.
SECTION 4 Other Information

H U M A N C A P I TA L 157

M A N A G E M E N T R E P O R T 

The Architect of the Capitol Human Resources Act, 2 U.S.C. 

§1831 (HR Act) requires the AOC to evaluate its personnel 

management system for compliance with the HR Act and 

all other relevant laws, rules and regulations. The AOC 

provides the results of this evaluation on an annual basis 

to the speaker of the house, the House Office Building 

Commission, the Senate Committee on Rules and 

Administration and the Joint Committee of Congress on the 

Library. The AOC’s personnel management system includes: 

 Fair employment system 

 Equal employment opportunity/affirmative action 

programs 

 Classification of positions 

 Employee training and development 

 Performance appraisal system 

 Fair and equitable system to address misconduct and 

performance 

 Employee assistance program 

 Absence and leave 

Fair Employment System 

The HR Act requires the AOC to have a human resources 

system that ensures the agency appoints, promotes and 

assigns employees and applicants for employment based on 

merit and fitness, following fair and equitable consideration 

of all candidates through open competition. The AOC 

promotes fairness in hiring and promotion actions through 

policies and procedures that ensure equal employment 

opportunity to achieve a diverse workforce. Selection 

and advancement is determined based on operational 

requirements and the knowledge, skills and abilities of the 

candidates. The agency’s Order 335, Career Staffing Plan 

policy, provides uniformity in conducting and documenting 

the recruitment and hiring process. This policy supports the 

AOC’s mission and functions consistent with best practices 

in the federal government and the private sector. 

Program Highlights:

Integrated Talent Management. During FY 2020, the 

AOC finalized comprehensive talent management plans 

to address the workforce needs identified in the prior 

year. These plans prioritize workforce needs, training 

requirements and succession planning strategies. Strategic 

talent management efforts included expanding and engaging 

diverse channels of specialized recruiting networks for hardto-fill and mission critical positions, as well as developing 

an internal talent pipeline through Architect’s Mobility 

Program opportunities, temporary promotions, detail 

opportunities and career ladders. 

Strategic Talent Acquisition. To attract and retain talent 

in FY 2020, the AOC participated in recruitment events 

targeting skilled trades, veterans, professional associations 

and university and community college populations. These 

efforts included visits to initiate relationships with the 

Pennsylvania College of Technology, Tulane University and 

the University of Alabama to identify talent for hard-tofill and mission critical positions. The AOC also leveraged 

recruitment incentives, the student loan repayment program 

and negotiated salaries to attract sought-after job candidates 

and remain competitive with the private industry. Further, 

the AOC continued to build and promote its employer brand 

awareness through its online and social media presence 

as an “employer of choice.” The agency also increased its 

investments in advertising throughout recruitment sources 

and utilized online recruiting channels to attract, identify 

and engage with prospective employees. 

Equal Employment Opportunity/Affirmative 

Action Programs 

The HR Act requires the AOC to have an equal employment 

opportunity program that includes an affirmative employment 

program (AEP) for employees and applicants. The HR Act 

also requires that the AOC has procedures for monitoring its 

progress in ensuring a diverse workforce. The AOC’s Diversity, 

Inclusion and Dispute Resolution (DI/DR) office carries 

out the agency’s Equal Employment Opportunity Program, 

outlined in Policy Memorandum 24-3: Workforce Diversity, 

Inclusion and Equal Employment Opportunity. The AOC 

hires and advances individuals based on merit without regard to 

race, color, sex, religion, age, national origin, sexual orientation, 

gender identity, genetic information or disability. The DI/

DR office monitors employment data to promote affirmative 

employment, assists employees in addressing and resolving 

concerns and upholds the AOC’s commitment to a diverse and 

respectful work environment free of harassment, discrimination 

and retaliation. The DI/DR office also promotes full access and 

integration of qualified individuals with disabilities into the 

workforce through the AOC’s Reasonable Accommodation 

Program. The agency remains focused on ensuring an 

integrated strategy for a healthy workforce culture with clear 

goals and accountability.

Program Highlights: 

AOC Chooses Civility Initiative. The civility initiative is 

the cornerstone of the AOC’s diversity and inclusion program 

and is aimed at promoting the importance of inclusiveness 

and respect in the workplace. The initiative focuses on how 

employees interact with others and delivers civility training 

to senior leaders, supervisors and employees. It also provides 

toolkits to senior leaders and distributes program information 

to employees and offices across the agency. 

Prevention of Sexual Harassment Training. In FY 2020, 

the AOC developed a web-based curriculum for prevention 

of sexual harassment training, based on existing training 

that the agency developed in FY 2019 with the Office of 

Congressional Workplace Rights.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

158 New Workplace Anti-Harassment Policy Issued. In 

keeping with industry standards, the AOC issued a revised 

and expanded anti-harassment policy to replace its existing 

sexual harassment policy. The new policy addresses all forms 

of harassment, providing the agency with a more thoughtful 

and comprehensive anti-harassment plan.

Affirmative Employment Program. In FY 2020, the AOC 

continued to update its AEP. Updates included statistical 

analysis of female and minority employment utilization 

levels and hiring, promotion and termination patterns 

and equity analyses of employee gift rates, gift values and 

compensation levels. These analyses will identify target areas 

for further investigations of current employment practices. 

The AOC expects to complete the update by the end of 

calendar year 2020.

New Reporting Hotline. The DI/DR office now provides 

agency employees with a hotline to report any equal 

employment or harassment concerns. The service is available 

24/7 and callers speak with a live consultant.

Classification of Positions 

The HR Act requires the AOC to have a system for the 

classification of positions that considers the difficulty, 

responsibility and qualification requirements of the work 

performed, and which conforms to the principle of equal 

pay for substantially equal work. The AOC classification 

system fosters internal equity for employees with 

comparable qualifications and responsibilities for their 

respective occupations. The agency uses federal guidelines 

for the classification of General Schedule (GS) and wagegrade positions and to determine duties, responsibilities, 

qualification requirements, position titles, series and grade 

levels.13 The AOC pays prevailing rates to employees in 

recognized trades or in unskilled or skilled manual labor 

occupations, as well as work leaders or supervisors. The 

AOC also has exempt personnel positions that are Senior 

Rated (SR). Employees in these positions serve at the 

pleasure of the Architect of the Capitol. The classification 

program also seeks equity with similar positions in the 

external nonfederal sector. The AOC Order 532, Pay 

Under the Architect’s Wage System, provides agency policy 

on position classifications and employee compensation 

determinations. Section I: Management’s Discussion and 

Analysis depicts the AOC’s organizational structure as well 

as the number of positions in each jurisdiction. 

Program Highlight: 

Positions Classification Study. The AOC classification 

program uses trades studies to track and prioritize 

occupations for review and update. During FY 2020, the 

AOC completed classification studies for forklift operators, 

administrative support positions and staff assistant positions. 

As a result, as well as those conducted in FY 2019, the AOC 

13 Title 5 U.S.C. §5349 requires that rates for employees of the AOC be 

fixed and adjusted consistent with the public interest and in accordance 

with prevailing rates. OPM Position Classification Standards provide 

information on the occupational series, title, grade and pay system for 

positions performing white collar work in the federal government.

created career ladders and promoted 37 employees. The 

AOC also reviewed and completed 314 position descriptions 

for SR, supervisory, nonsupervisory, career ladder GS, 

single-grade GS, wage grade, summer intern and Architect’s 

Mobility Program positions.

Employee Training and Development 

The HR Act requires the AOC to have an employee training 

program that has among its goals improved employee 

performance and opportunities for employee advancement. 

The agency’s training and development program provides 

training to employees to develop desired behaviors, job-related 

knowledge, new skills and familiarity with industry standards. 

Employees receive training and development in accordance 

with the duties of their position, resulting in stronger technical 

competency and desired workplace behaviors. The AOC Order 

410-1, Training and Employee Development, provides agency 

policy for the training and development of employees.

Program Highlights: 

AOC Supervisory Symposium. The Human Capital 

Management Division (HCMD) Training and Employee 

Development Branch developed and executed the 

Supervisory Leadership Symposium in November 2019. 

Over 140 supervisors engaged with colleagues in innovative 

learning methods to renew, refresh and enrich their 

leadership abilities and competencies.

AOC’s Learning Management System. The AOC launched 

an online learning management system in FY 2020. “AOC 

Learn” provides users access to a searchable listing of online 

courses with detailed descriptions and online registration. 

The portal will track completion of mandatory training and 

send reminder emails that automatically notify users and 

their supervisors of incomplete training requirements. In 

FY 2020, the AOC completed the first launch phase, which 

included the AOC’s standards of conduct training. Future 

phases will modify the individualized training plans to 

include all mandatory training requirements (instructor-led 

and webinars) and enhance the tracking function so that 

training managers can individualize training requirements 

and set mandatory completion dates. Table 24 summarizes 

the most completed agency-sponsored training initiatives in 

FY 2020.

Performance Appraisal System 

The HR Act requires the AOC to have a formal performance 

appraisal system that will permit the accurate evaluation of 

job performance based on objective criteria for all agency 

employees. The AOC’s Performance Communication and 

Evaluation System (PCES) is based on OPM’s Performance 

Management System but is tailored to the AOC’s unique 

mission. The PCES links individual work elements to 

the AOC’s Strategic Plan, strengthens communication 

between supervisors and employees, improves individual 

and organizational performance, provides recognition and 

rewards and addresses unmet performance requirements. 

The AOC Order 430-1, Performance, Communication 

and Evaluation System, provides the agency’s performance 

management system policy. The AOC Order 430-2, 
SECTION 4 Other Information

Performance Management for Exempt Personnel, provides 159

the performance review policy for SR personnel. 

Program Highlight: 

Performance Management Program Enhancements. 

The AOC’s cross-jurisdictional PCES working group 

continued to enhance the performance management 

program. These enhancements will increase accountability, 

fairness and communication between supervisors and 

employees and reduce the administrative burden of the 

performance appraisal process. Specific enhancements 

include: transitioning the agency to one performance cycle; 

implementing performance-related supervisory training; 

streamlining the mid-year review process to focus on 

regular performance discussions between supervisors and 

employees; restructuring the performance rating system; 

updating performance evaluation documents to improve 

user friendliness; and procuring an online performance 

management system. The AOC expects to implement 

the new performance management program and online 

performance management system in FY 2021.

Fair and Equitable System to Address Misconduct 

and Performance 

The HR Act requires the AOC to have a fair and equitable 

system in place to address unacceptable conduct and 

performance by AOC employees, including a general 

statement of violations, sanctions and procedures, as well 

as a formal grievance system. The AOC has a progressive 

discipline policy that aligns with OPM’s Managing Federal 

Employees’ Performance Issues or Misconduct reference 

materials but is tailored to the AOC’s unique mission. 

The AOC Order 752-1, Discipline, as well as applicable 

collective bargaining agreements (CBAs) specify uniform 

procedures for disciplinary actions designed to address and 

correct inappropriate conduct of employees.14 The AOC 

Order 430-1, Performance, Communication and Evaluation 

System, provides the agency’s policy to address unacceptable 

performance. Like the discipline policy, applicable CBAs 

include the AOC’s policy for unacceptable performance. 

All agency employees have access to the AOC’s Human 

Resources policy manual via the agency’s intranet. 

The AOC Order 752-1, Discipline, provides a table of 

typical penalties for infractions. The AOC evaluates each 

instance of misconduct against the “Douglas Factors”15

established by OPM to ensure that agencies impose an 

appropriate penalty for employee misconduct. The AOC 

also reviews comparable disciplinary cases to ensure 

consistency. Likewise, the AOC is consistent in its handling 

of performance deficiencies. Regular reporting to the 

Architect of the Capitol and other appropriate management 

officials ensures further consistency. Appropriate coaching 

and accountability are important principles in addressing 

misconduct and performance issues. 

A formal grievance procedure is available to all employees. 

If a union represents an employee, then the AOC affords 

the employee formal grievance procedures under the 

appropriate CBA. Otherwise, the AOC affords the 

14 The AOC’s current CBAs include: American Federation of State, 

County and Municipal Employees (AFSCME) Council 20, Local 

626; AFSCME Council 20, Local 658; International Brotherhood of 

Electrical Workers (IBEW), Local 121; Sheet Metal, Air, Rail and 

Transportation (SMART) Workers, Local 100; United Association of 

Journeymen and Apprentices of the Plumbing and Pipefitting Industry 

of the United States and Canada (“Plumbers”), Local 5.

15 The Merit Systems Protection Board, in its landmark decision, Douglas 

vs. Veterans Administration, 5 M.S.P.R. 280 (1981), established criteria 

that supervisors must consider in determining an appropriate penalty 

to impose for an act of employee misconduct. The following relevant 

factors must be considered: the nature and seriousness of the offense, 

the employee’s job level and type of employment and the employee’s past 

disciplinary and work record, among others.

Table 24 

Most Completed Agency-Sponsored Training 

in FY 2020

COURSE DESCRIPTION COMPLETIONS

Recognizing and Preventing Sexual Harassment in 

the Workplace 2,533

Computer Security Awareness 2,284

COVID-19 Pandemic Operations Video 2,075

Annual Ethics 1,413

Standards of Conduct 1,299

AOC Fraud Awareness 495

Spills and Skills: Non-Emergency Hazardous 

Material Spill Response 272

U.S. Capitol Visitor Center (CVC) Bomb Threats 241

Mandatory Drug-Free Workplace Employee 

Education 238

CVC Suspicious Items 203

CVC Summer Weather 201

CVC Workplace Duress 197

Ethics for New Employees 187

Asbestos Operations and Maintenance Review 174

AOC Supervisory Symposium 146

Security of Controlled Unclassified Information 

Training and Awareness 143

Note: Completions indicate the total number of employees trained 

in FY 2020, which may include those that have separated from the 

agency and are no longer active employees.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

160 employee formal grievance procedures under the AOC 

Order 771-1, Grievances.

Program Highlights: 

This fiscal year, the AOC procured, configured, tested 

and began implementing an employee and labor relations 

database that will improve lifecycle management of 

discipline cases. While discipline is proposed on a caseby-case basis, the cloud-based, FedRAMP-certified16

database will assist the AOC in standardizing discipline in 

similar cases. The database provides an electronic platform 

to securely manage personally identifiable information, 

track discipline cases and identify and report trends and 

case outcomes. The database enhances transparency, 

provides real-time information and adds efficiencies to 

managing casework.

Employee Assistance Program 

The HR Act requires the AOC to provide services 

dealing with mental health, alcohol abuse, drug abuse 

and other employee problems, while ensuring employee 

confidentiality. The AOC Order 792-1, Employee Assistance

Program (EAP), defines the agency’s program to meet 

this requirement. The program helps employees define the 

problem, develop a plan of action, develop new or strengthen

existing skills and identify resources for problem resolution. 

Program services include initial assessment, short-term 

problem resolution, consultation, referral to community 

services and follow-up services. Participation in the EAP is 

voluntary and the AOC provides the program to employees 

and their immediate families free of charge (although 

employees are responsible for outside services). The AOC 

maintains confidentiality for employee participants and does

not share employee personal information without a signed 

release. The EAP seeks to address the whole person, as the 

AOC recognizes that employee wellness fosters a safe and 

healthy work environment. 

Program Highlights: 

In addition to general prevention and awareness articles 

on stress management, mental health issues and monthly 

observances, the EAP also provided guidance, support, 

self-care recommendations and resources for individual, 

family and work issues related to the COVID-19 pandemic. 

The AOC provided articles and website links on the agency’s 

intranet and directly to employees as a part of the daily 

coronavirus update. The EAP responded to management 

requests for consultations and workplace presentations, grief 

education and support, suicide awareness and prevention and 

stress management.

Absence and Leave 

The HR Act requires the AOC to have a formal policy 

statement regarding the use and accrual of sick and annual 

leave that the agency shall provide to all employees. The 

AOC provides comprehensive leave programs to maintain 

16 The Federal Risk and Authorization Management Program (FedRAMP) is a governmentwide standardized program for monitoring 

cloud-based products and services.

a productive workforce and help employees meet their 

personal and family needs. The agency has included its 

formal statement regarding the use and accrual of sick and 

annual leave in the AOC Orders 630-1: Absence and Leave, 

630-2: Family and Medical Leave and 610-1: Alternative 

Work Schedules. The policies cover the use and accrual 

of sick and annual leave, advanced annual and sick leave, 

compensatory time, leave without pay and other forms of 

leave. The policies also provide the procedures to ensure the 

uniform and consistent administration of leave programs. 

The AOC’s policies comply with federal regulations and the 

Office of Congressional Workplace Rights’ regulations on 

the Family and Medical Leave Act (FMLA). AOC employees 

receive these policies during onboarding and have access to 

the policies on the AOC intranet. Additionally, the AOC 

provides employees with the policies through an employee 

guide, policy memoranda and an extended absences 

brochure. 

Program Highlights: 

Family and Medical Leave Act. This fiscal year, the AOC 

implemented administrative improvements to the FMLA 

program and appointed a central point of contact to provide 

guidance and ensure that the agency administers FMLA 

consistently.

Paid Parental Leave. The National Defense Authorization 

Act for FY 2020 includes the Federal Employee Paid Leave 

Act. Agency employees will be eligible for 12 weeks of 

job-protected paid parental leave for the birth, adoption 

or placement of a foster child with the AOC employee 

occurring on or after October 1, 2020. This fiscal year, in 

preparation for the implementation of the act, the agency 

revised its parental leave policies and published information 

about the policy on the AOC’s intranet.

Families First Coronavirus Response Act (FFCRA). The 

FFCRA provides eligible AOC employees with up to 

80 hours of emergency paid sick leave, and 10 additional 

weeks of partially paid expanded family and medical 

leave, for specified COVID-19 related reasons. The AOC 

developed and issued policy guidance, an application, a 

self-certification form and an internal checklist for the 

administration of FFCRA leave requests.

COVID-19 Interactive Question and Answer Sessions. 

In response to the COVID-19 pandemic, the AOC 

initiated recurring interactive “Office Hours” sessions to 

assist employees in navigating work-related issues. Subject 

matter experts from HCMD, Information Technology 

Division, Safety, Fire and Environmental Programs, 

Diversity Inclusion and Dispute Resolution and the Office 

of Attending Physician all participated in the sessions. 

Many of the sessions focused on the administration of leave 

during COVID-19. Leave flexibilities in the workplace 

were discussed — including the use of maximum telework, 

rotational schedules and relaxed core hours — and HCMD 

staff fielded questions. The AOC posted recorded audio 

versions of each session on the AOC intranet for employees 

to access on demand.
SECTION 4 Other Information

Oversight and Evaluation 161

The HR Act requires the AOC to develop a system of 

oversight and evaluation to ensure that the agency’s 

personnel management system meets the requirements of the 

HR Act and complies with all other relevant laws, rules and 

regulations. The AOC has developed the following system of 

oversight and evaluation to meet these requirements: 

Chief Human Capital Officer. The chief human capital 

officer has oversight responsibility for the agency’s human 

capital programs, including talent acquisition, position 

classifications, employee training and development, 

performance appraisal system, fair and equitable system to 

address misconduct and performance, employee assistance 

and absence and leave. 

Director of Diversity, Inclusion and Dispute Resolution 

(DI/DR). The director of DI/DR has oversight 

responsibility for the AOC’s equal employment opportunity, 

affirmative employment, reasonable accommodation, 

diversity and inclusion and dispute resolution programs. 

Office of Inspector General (OIG). The OIG provides 

independent oversight of the AOC by auditing and 

evaluating various human capital programs. This fiscal year, 

the OIG evaluated the AOC’s compliance with its discipline 

order, which found that the AOC’s discipline program 

was generally strong and identified recommendations for 

program improvements.

Affirmative Employment Program Report. The Affirmative 

Employment Program Report provides statistics on the 

diversity of the AOC’s workforce, which measure the 

effectiveness of initiatives to ensure a diverse workforce. The 

report includes workforce data by jurisdiction and job group, 

personnel activity and compensation level. Affirmative 

employment data for FY 2016-FY 2018 was made available 

in FY 2020. 

Annual Review of Policies. The AOC Order 4-1, Issuing 

Policy and Procedural Guidance, requires regular review 

of agency policies. The AOC reviews its human resources 

policies annually to ensure that the policies are compliant 

with federal statute and continue to meet evolving agency 

needs. This year, HCMD developed a hard-copy version of 

its Human Resources policy manual that sets forth policies 

and procedures to assist AOC leaders, managers and 

supervisors in carrying out their assigned responsibilities. 

The manual was also designed to help ensure and protect 

the rights and responsibilities of both the agency and its 

employees. The manual supplements individual policies by 

subject matter that were already available online.

See the Infographic: Human Capital By the Numbers for a 

snapshot of the AOC’s workforce profile and related human 

capital statistics for FY 2020.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

162

Infographic

 

 

 

 

 

 

 

 

 

 

 
SECTION 4 Other Information

163

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A P P E N D I C E S 

165

Left The AOC supported the lying in state ceremony for Congressman 

Elijah Cummings in October 2019.

Appendices

APPENDIX A

ARCHITECTS OF THE CAPITOL

The position of the Architect of the Capitol has a legacy 

rooted in the very beginnings of Washington, D.C., when 

President George Washington selected Dr. William 

Thornton’s design for the U.S. Capitol Building. For his 

indelible impact on our national landscape, Dr. Thornton is 

honored as the first “Architect of the Capitol.” However, it 

was not until 1867 that the title was first officially used. It 

was then, under the tenure of Edward Clark, that Congress 

changed the title from “Architect of the Capitol Extension” 

to “Architect of the Capitol,” to reflect their expanded 

vision for the office. After Clark’s death in 1902, Congress 

dropped the title when it appointed Elliot Woods as the 

“Superintendent of the Capitol Buildings and Grounds” (this 

title was used because Woods was not a trained architect). 

In 1921, however, the title was resurrected and awarded to 

Woods for meritorious service. Ever since, “Architect of 

the Capitol” has remained the official title of both the head 

of the agency and the agency itself. On January 16, 2020, 

J. Brett Blanton was sworn into a 10-year term as the 12th 

Architect of the Capitol.

Each of the Architects of the Capitol are listed in Table 

25, along with their dates of service and hyperlinks to 

their biography.

Table 25

Architects of the Capitol

NAME DATES OF SERVICE BIOGRAPHY

Dr. William Thornton 1793 www.aoc.gov/about-us/history/architects-of-the-capitol/dr-william-thornton

Benjamin Henry Latrobe 1803–1811

1815–1817 www.aoc.gov/about-us/history/architects-of-the-capitol/benjamin-henry-latrobe

Charles Bulfinch 1818–1829 www.aoc.gov/about-us/history/architects-of-the-capitol/charles-bulfinch

Thomas Ustick Walter 1851–1865 www.aoc.gov/about-us/history/architects-of-the-capitol/thomas-ustick-walter

Edward Clark 1865–1902 www.aoc.gov/about-us/history/architects-of-the-capitol/edward-clark

Elliott Woods 1902–1923 www.aoc.gov/about-us/history/architects-of-the-capitol/elliott-woods

David Lynn 1923–1954 www.aoc.gov/about-us/history/architects-of-the-capitol/david-lynn

J. George Stewart 1954–1970 www.aoc.gov/about-us/history/architects-of-the-capitol/j-george-stewart

George M. White, FAIA 1971–1995 www.aoc.gov/about-us/history/architects-of-the-capitol/george-m-white-faia

Alan M. Hantman, FAIA 1997–2007 www.aoc.gov/about-us/history/architects-of-the-capitol/alan-m-hantman-faia

Stephen T. Ayers, FAIA, CCM, 

LEED AP 2010–2018 www.aoc.gov/about-us/history/architects-of-the-capitol/stephen-t-ayers-faia-leed-ap

J. Brett Blanton 2020–Present www.aoc.gov/about-us/history/architects-of-the-capitol/j-brett-blanton
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

166 APPENDIX B

MAJOR FACILITIES UNDER THE AOC’S CARE

As the builder and steward of the landmark buildings and grounds of Capitol Hill, the AOC is responsible for many of the most 

iconic buildings of the federal, legislative and judicial branches. Table 26 lists the major facilities under AOC stewardship.

Table 26

Major AOC Facilities

FACILITY LOCATION

YEAR BUILT OR ACQUIRED 

(if property was acquired after the year built, the 

AOC’s acquisition date appears in parentheses)

ASSIGNED (A) OR 

LEASED (L)

Capitol Building

U.S. Capitol Building Washington, DC Construction started in 1793, various other dates 

for multiple expansions A

Capital Construction and Operations

Construction Division Shops Washington, DC 1982 A

Construction Division Warehouse Landover, MD 2016 L

Capitol Grounds and Arboretum

Summerhouse Washington, DC 1880 A

Capitol Square Washington, DC 1894 A

Union Square Washington, DC Transferred 2011 A

Capitol Police Buildings, Grounds and Security

Eney, Chestnut, Gibson Memorial Building Washington, DC 1930 (Transferred 1986) A

Vehicle Maintenance Facility Washington, DC 1930 A

Courier Acceptance Facility Washington, DC 1980 A

Canine Facility Washington, DC 1996 (Transferred 2004) A

Fairchild Building Washington, DC 2004 A/L

Interim Off-Site Delivery Washington, DC 2006 A

Government Publishing Office Washington, DC 2005 L

Verizon Building Washington, DC 2011 L

Capitol Power Plant

Generator Building Washington, DC 1909 A

Main Boiler Plant Washington, DC 1909 A

Cogeneration Building (formerly East 

Refrigeration Plant) Washington, DC 1937 A

Administration Building Washington, DC 1978 A

West Refrigeration Plant Washington, DC 1978 and various dates for later expansions A

Utility Tunnels Washington, DC Various dates A

Coal Yard Facilities Washington, DC Various dates A

House Office Buildings

Cannon House Office Building Washington, DC 1908 A

Longworth House Office Building Washington, DC 1933 A

Rayburn House Office Building Washington, DC 1965 A

East and West House Underground Garages Washington, DC 1968 A

Ford House Office Building Washington, DC 1939 (Transferred 1974) A

House Page Dormitory Washington, DC 1940 (Transferred 1986) A

O’Neill House Office Building Washington, DC 1963 (Transferred 2017) A

Library Buildings and Grounds

Thomas Jefferson Building Washington, DC 1897 (Transferred 1922) A

John Adams Building Washington, DC 1938 A

James Madison Memorial Building Washington, DC 1980 A
A P P E N D I C E S 

Right Construction of the U.S. Capitol 167

Grounds’ Summerhouse began in 1879 

and was completed in 1881 by landscape 

architect Frederick Law Olmsted. The 

brick structure provides a quiet place for 

visitors to rest and enjoy the grounds.

Table 26

Major AOC Facilities

Special Services Facilities Center Washington, DC 1990 (Transferred 1991) A

Congressional Campus, which includes:

Fort Meade Warehouse Buildings Columbia, MD 1942 (Transferred 1993) A

Fort Meade Collection Storage Modules Columbia, MD Module 1: 2002, Module 2: 2005, 

Modules 3 and 4: 2009, Module 5: 2017

Packard Campus for Audio-Visual Conservation Culpeper, VA 2007 A

Senate Office Buildings

Russell Senate Office Building Washington, DC 1909 A

Senate Underground Garage Washington, DC 1932 A

Dirksen Senate Office Building Washington, DC 1958 A

Robert A. Taft Memorial and Carillon Washington, DC 1959 A

Hart Senate Office Building Washington, DC 1982 A

Daniel Webster Page Dormitory Washington, DC 1930 (Transferred 1993) A

Senate Employees’ Child Care Center Washington, DC 1998 A

Senate Mail Handing Facility Landover, MD 2008 A

107 D Street, NE Washington, DC 1885 A

Senate Storage Building Washington, DC 1993 A

Senate Sergeant At Arms (SSAA)/Secretary of 

the Senate Warehouse Facility Landover, MD 2005 L

SSAA Printing, Graphics & Direct Mail Facility Landover, MD 2011 L

SSAA Office Support (Postal Square) Washington, DC 1992 L

GPO — SSAA Cabinet Washington, DC 2012 L

GPO — Senate Furniture/Refinishing Washington, DC 2007 L

Supreme Court Building and Grounds

U.S. Supreme Court Building Washington, DC 1935 A

Thurgood Marshall Federal Judiciary Building Washington, DC 1992 A

U.S. Botanic Garden

Administration Building Washington, DC 1931 A

Bartholdi Fountain and Gardens Washington, DC 1932 A

Conservatory and surrounding gardens Washington, DC 1933 A

Production Facility Greenhouse, Headhouse Washington, DC 1993 A

Storage Facility Washington, DC 2017 A

U.S. Capitol Visitor Center

U.S. Capitol Visitor Center Washington, DC 2008 A

(continued)
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

168 APPENDIX C

T H E A O C J U R I S D I C T I O N S ’ K E Y A C C O M P L I S H M E N T S A N D P R I O R I T I E S 

The AOC is organized into 10 jurisdictions, each with 

distinct responsibilities for maintenance, operation, 

development and preservation of a specific area of the 

Capitol campus. The AOC receives a separate appropriation 

for each jurisdiction. In addition, the AOC receives 

appropriated funds for Capital Construction and Operations 

to provide shared program management and administrative 

support for the entire agency. Table 27 identifies the AOC 

jurisdictions and their corresponding responsibilities. 

This section supplements the major agency accomplishments 

described in the report’s Section I: Management’s 

Discussion and Analysis. These include preparing for the 

2021 presidential inauguration, continuing work on Phase 2 

of the Cannon Renewal Project, preserving the exterior stone 

on the U.S. Capitol Building and multiple other facilities and 

establishing the logistics for the AOC’s COVID-19 response. 

Looking at the agency from the jurisdiction level, this 

appendix highlights additional achievements and priorities in 

support of the AOC’s mission.

Table 27

The AOC Jurisdictions and Central Office

Capitol Building: Responsible for the maintenance, care and stewardship of the U.S. Capitol, an iconic and historically significant building and the 

centerpiece of Capitol Hill, and for the care and maintenance of the U.S. Capitol Visitor Center.

Capitol Grounds and Arboretum: Responsible for preserving and maintaining 286 acres of historic landscape and grounds infrastructure across 

Capitol Hill.

Capitol Police Buildings, Grounds and Security: Responsible for AOC security operations and the maintenance, care and operations of the U.S. 

Capitol Police buildings and grounds.

Capitol Power Plant: Responsible for providing centralized utility services for Capitol Hill and maintaining and operating the Capitol Power Plant, 

which provides steam and chilled water to heat and cool the U.S. Capitol and 22 other facilities.

House Office Buildings: Responsible for the operation and maintenance of the facilities supporting the office and committee space for the 

members of the U.S. House of Representatives and their staff.

Library Buildings and Grounds: Responsible for the life-cycle maintenance, operations and care of the Library of Congress facilities and grounds.

Senate Office Buildings: Responsible for the operation and maintenance of the facilities supporting the office and committee space for United 

States senators and their staff.

Supreme Court Building and Grounds: Responsible for the operations and maintenance of the U.S. Supreme Court Building and the Thurgood 

Marshall Federal Judiciary Building.

U.S. Botanic Garden: Responsible for the maintenance, operation and care of the U.S. Botanic Garden Conservatory, the outside gardens, support 

facilities, the Bartholdi Fountain and Gardens, USBG’s other heritage assets and plant collections.

U.S. Capitol Visitor Center: Responsible for visitor services and general operations at the U.S. Capitol Visitor Center, including informational 

exhibitions, a restaurant, two orientation theaters, a large auditorium and two gift shops.

Capital Construction and Operations: Responsible for providing direct support to the agency, including architectural and engineering design, 

construction management, project management, planning and development, safety monitoring, emergency operations, historic preservation, 

energy and water conservation, and other critical business services (including finance, human resources, information technology, legal 

and procurement).
A P P E N D I C E S 

169

Key Accomplishments in FY 2020

Replaced Old Senate Chamber Lighting: The jurisdiction 

replaced the lighting systems in the Old Senate Chamber, one 

of the Capitol Building’s most historic rooms, with customized 

light fixtures that simulate those adorning the building’s

historic exterior. The new systems enhance the visual aesthetic 

of the room and improve light quality and energy efficiency.

Fulfilled Environmental Requirements: The jurisdiction 

completed its first annual reporting and inspection under 

Title V of the Clean Air Act. As required by the permit 

program, the jurisdiction coordinated with the D.C. 

Department of Energy and Environment for its inspection 

under the new regulations, which it passed with no 

reportable violations or fines.

Accomplished Sustainability Goals: As part of the AOC’s 

comprehensive waste reduction and recycling efforts, the 

jurisdiction participated in an agencywide working group 

to advocate for sustainability projects, track material 

submissions and ensure the receipt of its respective recycling 

credits from a federal program administered by the General 

Services Administration. 

What’s Next? FY 2021 Priorities

Support the Presidential Inaugural: The jurisdiction will 

provide support for the 2021 presidential inaugural event, 

including the construction of the platform and special event 

planning in collaboration with the Joint Congressional 

Committee on Inaugural Ceremonies. Preparations include 

contingency plans to support a socially distanced event.

Build a More Inclusive Workplace: The jurisdiction will 

strive to exemplify the AOC’s stated intention to make 

substantive changes in its workplace culture and to build a 

more inclusive, respectful and rewarding environment for all 

of its employees. 

Key Accomplishments in FY 2020

Expanded Sustainable Landscape Practices: The 

jurisdiction used new methods to decrease the AOC’s carbon 

footprint and improve air quality, stormwater management 

and native pollinator habitats. Efforts included increasing 

the planting and maintenance operations on green roofs 

atop the O’Neill House Office Building and Dirksen Senate 

Office Building, installing heat-tolerant native plant species 

throughout the campus and procuring battery-operated 

rechargeable lawnmowers and other outdoor equipment to 

reduce noise and pollutants.

Enhanced Professional Development: The jurisdiction 

deepened its involvement with professional organizations 

such as the Professional Grounds Management Society, the 

Irrigation Association and the American Public Gardens 

Association, allowing employees to build relationships within 

the industry. Additionally, the jurisdiction provided its staff 

opportunities to attend specialized training that furthered 

knowledge in horticulture and equipment mechanics.

Improved Arboretum Management: The jurisdiction 

provided critical maintenance to mature trees to mitigate 

soil compaction, encourage optimum root growth, protect 

against stressors like bacteria and fungi, and improve the 

overall health of trees on the Capitol campus. With more 

than 4,600 trees on the U.S. Capitol Grounds — including 

many with historic or memorial associations — arboretum 

management is an ongoing effort.

What’s Next? FY 2021 Priorities

Continue Historic Landscape Preservation: The jurisdiction 

will continue to preserve and maintain the historic landscape 

of the Capitol campus, which includes its lawns, trees and 

supporting decorative features such as fountains and boundary 

walls. Continued preservation efforts will focus on the 

Olmsted-designed light fixtures and drainage grates. 

Increase Opportunities for Professional Development: The 

continued support of specialized employee training and the 

strengthening of its relationships with industry professional 

organizations will remain a key priority for the jurisdiction. 

Capitol Building

Capitol Grounds and Arboretum
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

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Key Accomplishments in FY 2020

Upgraded Lighting: The jurisdiction performed a series 

of lighting upgrades at the truck interdiction posts across 

the Capitol campus. In place of the temporary, dieselpowered light towers at the security kiosks, the jurisdiction 

constructed new light towers at the kiosks and designed and 

installed permanent, energy-efficient lighting systems.

Collaborated on New Security Standards for 

Construction Projects: The jurisdiction worked closely 

with the AOC’s Planning and Project Management team 

and the U.S. Capitol Police on establishing baseline 

security standards and procedures for construction projects 

on the Capitol campus. The jurisdiction’s leadership 

established working groups to increase coordination, 

improve communication and strengthen relationships 

with stakeholders, which resulted in significant security 

improvements for critical projects.

Implemented Security Improvements: To enhance the 

security of the U.S. Capitol Building, the jurisdiction 

completed a study and the program requirements for the 

design of enhanced exterior screening vestibules at the 

building’s north and south entrances. The jurisdiction 

developed a solution to replace the temporary light towers 

with new lighting along the facility’s West Front. 

What’s Next? FY 2021 Priorities

Provide Presidential Inaugural Support: The jurisdiction 

will provide security support for the 2021 presidential 

inauguration, including the installation of security 

elements across the Capitol campus and collaboration with 

multiagency command centers. 

Key Accomplishments in FY 2020

Improved Chemical Treatment Program: The jurisdiction 

made significant improvements to its chemical treatment 

program, implementing a new performance-based chemical 

supply contract and staffing a new position for a chemical 

treatment program manager. Additional improvements 

included the installation of new tanks, level controllers, 

pumps and a bulk delivery system, plus the redevelopment of 

standard operating procedures.

Initiated Tunnel Repairs: The jurisdiction initiated a 

comprehensive repair and waterproofing project for the 

Capitol campus’ interconnecting concrete utility service 

tunnels, which had begun deteriorating due to age and 

groundwater infiltration. The repairs use an innovative 

“curtain grouting” approach, which strengthens the tunnels 

and protects their foundations against groundwater seepage.

Developed a Utility Master Plan: The jurisdiction made 

meaningful progress in developing a comprehensive utility 

master plan to assess the condition of utility equipment 

and provide a road map for the AOC’s future energy needs. 

The first two phases of the project were completed, which 

included reviewing and developing existing system data, 

measuring baseline performance and establishing AOCwide master planning goals and objectives.

What’s Next? FY 2021 Priorities

Enhance Training Opportunities: The jurisdiction 

will continue to train and develop its staff through 

comprehensive qualification programs and new standard 

operating procedures for all aspects of plant operations. 

The training opportunities will be further developed by the 

creation and staffing of a new position for a training program 

manager.

Refine the Utility Master Plan: In phase three of the 

comprehensive utility master plan, the jurisdiction will meet 

with an advisory panel of national experts to screen various 

energy technologies, review system data and further develop 

AOC-wide master planning goals. 

Capitol Police Buildings, Grounds and Security

Capitol Power Plant
A P P E N D I C E S 

171

Key Accomplishments in FY 2020

Retro-Commissioned HVAC Systems: The jurisdiction 

retro-commissioned various components of the plumbing 

and HVAC systems that control both chilled water and 

steam for cooling and heating in the House facilities. 

The effort identified and replaced nearly a dozen leaking 

control valves that were causing stress to air handling units, 

allowing the systems to operate more efficiently. 

Upgraded Stairwell Lighting: During a period of lowoccupancy due to COVID-19, the jurisdiction upgraded the 

stairwell and escalator bank lighting in the Rayburn House 

Office Building. The newly installed LED lights provide for 

safe egress, while resulting in improved energy efficiency and 

a longer operating life. 

Developed Safety Plans and Environmental Policies:

The jurisdiction developed 14 new safety plans, policies 

and procedures to maintain compliance with enhanced 

environmental requirements. As part of these coordinated 

efforts, project managers and shop personnel received safety 

training to comply with the regulations when generating and 

handling hazardous waste. 

What’s Next? FY 2021 Priorities

Manage the 117th Congressional Transition: The 

jurisdiction will support the transition of the new Congress 

and its associated office and committee moves. During the 

transition, the jurisdiction will oversee the room selection 

process, perform safety inspections, manage temporary 

staffing needs, execute the moves and collect space data to 

improve future plans.

Support the Cannon Renewal Project: The jurisdiction 

will complete Phase 2 and initiate Phase 3 of the Cannon 

Renewal Project, focusing on the east wing of the building. 

The project is a five-phased, 10-year effort to upgrade 

infrastructure systems and repair the exterior stone façade of 

the historic Cannon House Office Building. 

Key Accomplishments in FY 2020

Enhanced Visitor Experience: The jurisdiction 

worked closely with the Library of Congress to begin 

implementation of its Visitor Experience Master Plan for 

the Thomas Jefferson Building. This fiscal year, the Library 

provided the first funds transfer to the AOC in support of 

the initial phase of design. The Master Plan’s first phase will 

create a renewed visitor orientation experience, including the 

relocation of the Thomas Jefferson Library Collection. These 

efforts will continue into FY 2021.

Conserved the Neptune Fountain: The jurisdiction 

performed significant conservation and repair work on the 

Court of Neptune, the fountain and bronze statuary at 

the front of the Thomas Jefferson Building. Conservation 

specialists cleaned the fountain, removed stains and mineral 

buildup and applied a wax finish to preserve its luster.

Updated Fort Meade Facility Requirements: The 

jurisdiction completed a comprehensive update to the Fort 

Meade Master Plan to accurately reflect its current Library 

Collections Storage Modules future anticipated growth and 

support needs, as well as to comply with extensive stormwater 

management requirements. The jurisdiction worked with 

the AOC’s Records Management Division to ensure their 

archive requirements were identified and incorporated. The 

jurisdiction also worked with other jurisdictions to identify 

current and future storage needs for the 100-acre site.

What’s Next? FY 2021 Priorities

Continue Implementation of Visitor Master Plan: The 

jurisdiction will begin extensive design and construction 

efforts in support of the Library’s Visitor Experience Master 

Plan, starting with its greeting and orientation components. 

When complete, this initiative will provide an enhanced 

experience for the visitors to the Library of Congress. 

House Office Buildings

Library Buildings and Grounds
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

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Key Accomplishments in FY 2020

Executed Socially Distanced Hearing Room Layouts:

Following the outbreak of COVID-19, the jurisdiction 

rapidly developed and implemented new hearing room 

layouts to accommodate social distancing measures for 

members, staff and witnesses during Senate events and 

supported new audiovisual recording requirements. The 

project was completed in a short time frame during a recess, 

limiting interruptions to Senate activities.

Replaced Senate Child Care Center Roof: The jurisdiction 

replaced the 20-year-old rubber roofing system at the Senate 

Employees’ Child Care Center with a new polyvinyl chloride 

roofing system. The project was scheduled in coordination 

with the replacement of the building’s air conditioning unit 

to minimize potential roof damage.

Implemented Event Planning Software: The jurisdiction 

implemented an event planning system that streamlines 

planning and coordination for hearing rooms and event 

spaces in the Senate office buildings. The technology 

allows clients to indicate their food, beverage, furniture 

setup and audiovisual preferences and special requests 

for upcoming events. Jurisdiction staff completed over 

60 hours of training on the platform to maximize the 

technology’s potential.

What’s Next? FY 2021 Priorities

Oversee Office and Committee Moves: The jurisdiction 

will coordinate the Senate office and committee moves to 

support the 117th Congress. The AOC has made further 

upgrades to the “Senate Suites” online suite selection tool to 

aid the move process. During this transition, the jurisdiction 

will coordinate deferred equipment maintenance and system 

infrastructure upgrades in the Senate office buildings.

Execute Major Construction Projects: The jurisdiction 

will complete the Senate Underground Garage and 

Landscape Restoration project and the third sequence of 

the Russell Exterior Envelope Project at the Russell Senate 

Office Building. 

Key Accomplishments in FY 2020

Renovated Office Work Environments: The jurisdiction 

renovated large office layouts throughout the entire 

Thurgood Marshall Federal Judiciary Building as part 

of a space realignment project. As a result of this capital 

improvement project, the reconfigured facility ensures a safe, 

comfortable and productive environment for its occupants.

Upgraded Thurgood Marshall Building Elevators: The 

jurisdiction completed an elevator modernization project 

that included 18 elevators at the Thurgood Marshall 

Building. The project upgraded the traction and hydraulic 

transportation systems, including the replacement of the 

mechanical systems, and updated the cab finishes for 12 

passenger elevators, one service elevator and five garage 

passenger elevators.

Completed the 2020 Facilities Conditions Assessment: 

The jurisdiction completed the 2020 FCA for the Supreme 

Court of the United States, resulting in a facility condition 

index rating of “very good.” This assessment is the result 

of many years of capital improvements and a meticulous 

preventive maintenance program.

What’s Next? FY 2021 Priorities

Advance Capital Improvement Initiatives: The jurisdiction 

will develop a construction execution plan and strategies for 

its stakeholders to advance capital improvement initiatives. 

Establish New Memorandum of Agreement: The 

jurisdiction plans to document financial and business 

engagement roles, responsibilities and rules with the 

Administrative Office of the U.S. Courts. The current 

memorandum of agreement (MOA) requires updating to 

reflect new process improvements that have been established 

for funds transfers. 

Supreme Court Building and Grounds

Senate Office Buildings
A P P E N D I C E S 

173

Key Accomplishments in FY 2020

Installed Green Roof Monitoring System: The jurisdiction 

installed an environmental monitoring system on the 

Conservatory’s new green roof to better understand its 

performance and benefits. The project takes an experimental 

approach for assessing the efficacy of two distinct plant 

communities in capturing and mitigating stormwater.

Renovated Conservatory Bridge: The jurisdiction designed 

and installed a new bridge in the Conservatory using 

environmentally friendly, low-maintenance materials. The new 

bridge addressed safety concerns and meets ADA requirements.

Championed Urban Agriculture: The jurisdiction partnered 

with the American Public Gardens Association to launch the 

Urban Agriculture Resilience Program, which helped sustain 

urban agriculture and community food growing efforts 

impacted by COVID-19. The program provides funding to 

28 public gardens in 19 states and Washington, D.C. to help 

them grow and distribute produce, maintain and expand 

urban agriculture programs and promote wellness.

What’s Next? FY 2021 Priorities

Renew Production Facility: The jurisdiction will initiate 

the design phase and advance the program requirements 

for the production facility renewal project. The project will 

enhance the plant production facility by removing the aging 

80,000 square-foot production greenhouse and replacing it 

with a new facility incorporating the latest in greenhouse 

technologies, building a new quarantine greenhouse to isolate 

incoming plants and constructing a new education center and 

urban farm.

Expand Online Programming: The jurisdiction will expand 

its national reach through online learning. This will include 

upgrading its on-site classroom with distance learning 

technology and producing online content for family, student 

and adult audiences on plant science. 

Key Accomplishments in FY 2020

Created an Online Gift Shop: The U.S. Capitol Visitor Center 

(CVC) designed and developed an online gift shop to enhance 

customer service. The gift shop integrates internal systems 

with the point of sale system, while adhering to AOC security 

protocols. Scheduled to open in FY 2021, the online gift shop 

will feature new products tailored for online customers.

Enhanced Visitor Experience: The jurisdiction developed 

an interactive digital kiosk that helps visitors locate their 

representative and senators. For non-English speaking visitors, 

the jurisdiction also piloted the use of translation devices in 

Spanish and Mandarin for guided tours. 

Expanded Program Offerings: The jurisdiction added new 

programming to commemorate the centennial of the 19th 

Amendment, as well as to celebrate Native American Heritage 

Month. The CVC hosted its first Homeschool Day, which 

provided age-appropriate tours and interactive programs to 

more than 300 participants. The jurisdiction also developed 

two video tours — a general tour suitable for all audiences and 

a 20-minute tour for middle school students. A follow-along 

worksheet and quiz accompanied the middle school tour.

What’s Next? FY 2021 Priorities

Complete Exhibition Hall Renovations: The jurisdiction’s 

comprehensive redesign of Exhibition Hall will continue in 

FY 2021. This redesign will create a more educational and 

interactive environment that will inform, engage and inspire 

visitors about the role of Congress in the democratic process. 

The redesigned Exhibition Hall will open in 2022.

Provide Additional Online Engagement Opportunities:

The jurisdiction will develop additional ways to engage 

visitors online. These include a website redesign, an 

augmented reality app, web-based versions of successful 

on-site programs, a slate of new online school programs and 

the development of short videos spotlighting the National 

Statuary Hall Collection. 

U.S. Botanic Garden

U.S. Capitol Visitor Center
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

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Key Accomplishments in FY 2020

Developed Online Emergency Management Training:

The AOC developed a series of online emergency 

preparedness training for AOC staff. This effort began in 

advance and independent of the COVID-19 pandemic, but 

proved useful in continuing staff training once the agency 

implemented remote work policies during the pandemic.

Implemented Talent Management Plans: The AOC 

developed talent management plans for each jurisdiction. The 

effort outlined current and future workforce requirements that 

supported a comprehensive workforce analysis. The annual 

plans serve to build candidate pipelines, remediate talent 

gaps and ensure the agency meets succession planning needs, 

particularly involving hard-to-fill positions.

Enhanced Central Service Capabilities: The AOC 

added two planning and program managers dedicated 

to developing project charters. The charters provide a 

comprehensive, documented understanding of roles and 

responsibilities for construction and renovation work, 

leading to better outcomes. The charters document early 

project requirements (such as scope, schedule and funding), 

identify challenges, encourage stakeholder involvement and 

streamline work development. The agency implemented 

five formal project charters within the e-Builder project 

management system and two informal charters. 

Upgraded Financial Review Process: The AOC developed 

a new, quarterly financial review SharePoint application. 

This web-based tool automates the process to validate open 

obligations, thus alleviating the administrative burden 

placed on the agency’s small community of fund managers 

and reducing the likelihood of untimely fund de-obligations.

What’s Next? FY 2021 Priorities

Implement New Management Systems: The agency will 

complete the implementation of a project management 

information system, e-Builder, to manage major construction 

projects, while beginning to employ a new enterprise 

asset management program to more effectively track and 

manage assets agencywide. The AOC will also complete the 

introduction of Treasury’s Budget Formulation and Execution 

Manager tool to standardize and improve budget processes.

Develop a Human Capital Management Strategy: The 

AOC will develop a five-year Human Capital Strategic 

Plan that supports the agency through strategic workforce 

planning and talent acquisition, talent management and 

employee engagement programs. 

Capital Construction and Operations
A P P E N D I C E S 

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2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

176 APPENDIX D

MAJOR STONE REPAIR AND PRESERVATION PROJECTS

Stone preservation is a top priority for the AOC, as nearly every building across the Capitol campus is constructed of stone. 

Weather, age and insufficient maintenance have damaged many of the finer details of these historic stone edifices. If preservation 

work is not performed, water infiltration will result in building operational issues, pose safety risks and potentially damage 

the architectural features and the historic artwork within. This appendix summarizes the AOC’s major stone repair and 

preservation projects.

Cannon Renewal Project

Project description: The Cannon House Office Building 

— the oldest congressional office building other than the 

U.S. Capitol Building — is undergoing a complete renewal. 

Finished in 1908, more than a century of weather and 

continuous operation has led to the deterioration of the 

stone façade, as well as building and utility infrastructure. 

The systems are past the end of their useful lives and the 

risk of their failure jeopardizes the building’s long-term 

functionality and safety. Other necessary work includes 

restoring the stone exterior and original wood windows,

as well as demolishing and rebuilding a new fifth floor.

Olmsted Terrace Preservation

Project description: Over the last 120 years, the condition 

of the Olmsted Terrace’s stone and its metal fixtures has 

deteriorated due to insufficient maintenance. To properly 

restore the terrace, a multiphase project is underway to 

clean and repair the marble and granite on its walls and 

approaches. During each phase, the walls, pedestals, steps 

and curbing will be cleaned, repointed and repaired.

Russell Exterior Envelope Project

Project description: The second of three phases of 

restoration to the exterior envelope of the Russell Senate 

Office Building is currently underway. Work includes: 

cleaning, pointing and repairing the marble, limestone 

and granite; restoration of the wood windows and doors; 

replacement and seismic upgrade of roof balustrades; and 

restoration and conservation of the highly ornamental 

bronze light fixtures, railings and gates.
A P P E N D I C E S 

177

Thurgood Marshall Façade 

Repair Program

Project description: Work on a pilot project at the front 

entrance of Thurgood Marshall Federal Judiciary Building 

continues with the removal and replacement of granite 

panels at Columbus Circle Plaza. In FY 2020, the AOC 

completed Phase 1 — a pilot project that included forensic 

analysis to inform the design of follow-on phases — and 

began studies for targeted repairs for remaining areas of 

the façade.

Grant Memorial Restoration

Project description: The AOC completed restoration of the 

Ulysses S. Grant Memorial. The four-year project addressed 

decades of corrosion, stained marble and damaged and 

missing bronze pieces. The AOC conserved the memorial by 

cleaning, repatinating and coating the bronze components, 

replacing missing bronze pieces and repointing and cleaning 

the marble pedestals.

U.S. Capitol Exterior Stone and 

Metal Preservation Project

Project description: A multiphase exterior restoration of 

the U.S. Capitol Building will extend the life expectancy 

of deteriorated stone and replace missing architectural 

elements. Phase 2 of the project focuses on the stone and 

metalwork of the South House Extension and will conclude 

before the 2021 presidential inauguration. Planning for the 

next phase — which will focus on the building’s west façade 

— is underway, and the restoration work will commence 

following the inauguration.

For more information, visit www.aoc.gov/what-we-do/projects/stone-preservation-capitol-campus
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

178 APPENDIX E

MAJOR EXHIBITIONS AND PROGRAMS

The U.S. Botanic Garden (USBG) and U.S. Capitol Visitor Center (CVC) create and offer extraordinary exhibitions and 

programs for the visiting public. Their FY 2020 exhibitions and programs included: 

Patrick Dougherty Stickwork 

Sculpture Installation 

October 2019–ongoing

In celebration of its bicentennial, the USBG installed a 

custom sculpture in collaboration with renowned artist 

Patrick Dougherty, whose installations are woven from plant 

materials. Volunteers and employees worked with Dougherty 

and his team over three weeks to create the unique, 

interactive piece of art, which is located on the lawn west of 

the Conservatory. 

Season’s Greenings: America’s Gardens

November 2019–January 2020

The annual holiday exhibition explored botanic gardens 

from around the United States and featured plant-based 

recreations of conservatories, fountains and sculptures. 

The USBG Conservatory was decorated with thousands 

of flowers, including a showcase of heirloom and newly 

developed poinsettia varieties. The USBG’s collection of 

D.C. landmarks made from plant materials returned to fill 

the Garden Court, and the galleries featured a decorated 

tree and model trains. 

U.S. Botanic Garden at 200: 

Deeply Rooted, Branching Outward

February 2020–ongoing

For the yearlong celebration of the USBG’s bicentennial, this 

exhibition invited the public to engage with the Garden’s 

distinctive plant collection and unique place in American 

history. The exhibition provided historic images of the USBG, 

presented a history of plant exploration and shared the 

USBG’s day-to-day operations. The exhibition also featured 

3D images through original 19th century stereoscope photos, 

interactive children’s programming that evoked 19th-century 

botanical exploration and a life-size bronze sculpture of the 

USBG’s infamous corpse flower. 

Discover the World of Orchids

February 2020–March 2020

In partnership with Smithsonian Gardens, the USBG 

hosted an orchid show celebrating how advances in 

technology help us understand, conserve and grow orchids. 

The 25th annual orchid exhibition included thousands 

of blooming orchids from the USBG’s and Smithsonian 

Gardens’ specialty plant collections. 
A P P E N D I C E S 

Relocated U.S. Capitol Visitor 179

Center Exhibitions 

March 2019–ongoing

During the renovation-related closure of Exhibition Hall, 

several artifacts were moved to the lower level of the CVC for 

public display, including models of Capitol Square and the 

Lincoln Table. Banner exhibitions about women’s suffrage, 

the Constitution and the Bill of Rights were created in 

support of CVC student programs and the “We the People” 

partnership that serves students in Washington, D.C. 

CVC Special Programs and Encounters

The CVC offered three specialty tours: “Halls of the 

Senate,” showcasing the art in the Brumidi Corridors; 

“Freedom Fighters in the Capitol Collection,” spotlighting 

significant individuals who impacted civil rights; and 

“Votes for Women,” which shares the stories of women who 

fought for gender equality leading up to the ratification of 

the 19th Amendment. The jurisdiction offered a seasonal 

walking tour of the U.S. Capitol Grounds and Arboretum. 

In addition, family programs and “This Day in History” 

programs were held each month.

Online Exhibitions and Programs

Due to COVID-19, both the USBG and CVC were 

closed to the visiting public in mid-March 2020 and 

remained closed at the end of the fiscal year. Both 

organizations adapted by moving many exhibitions, 

programs and events online.

The USBG launched a variety of free online content 

with “USBG at Home.” The website featured programs 

such as cooking demos, plant trivia nights, guided yoga 

practices and the online American Roots Concert Series. 

The website also offered virtual courses on a variety of 

topics and information about the USBG as a plant rescue 

center. The USBG’s social media platforms provided 

daily posts of activities, as well as photos and stories 

celebrating the USBG’s bicentennial. Activities for 

children and families included printable coloring books, 

orchid-themed origami and at-home lessons. Virtual 

tours provided 360-degree views of the Conservatory and 

outdoor gardens.

The CVC unveiled website enhancements to showcase 

a robust roster of online exhibitions and educational 

offerings. These offerings included downloadable lesson 

plans for teachers, a middle school video tour, testing 

materials, student activity guides and essays. The CVC’s 

online archive allowed visitors to explore image galleries 

from previous exhibitions and learn about the history of 

Congress and the U.S. Capitol. The CVC education staff 

also led presentations during a virtual teacher workshop 

sponsored by the White House Visitor Center celebrating 

the centennial of the 19th Amendment.

Exhibitions and information are available online at: www.usbg.gov/exhibits 

and www.visitthecapitol.gov/exhibitions

Shaping History Podcast 

The CVC introduced its premiere podcast, “Shaping 

History: Women in Capitol Art.” The podcast provides 

a rich narration featuring curators, historians, artists, 

descendants of honored subjects and eyewitnesses, providing 

insight into the women artists and subjects found in the 

National Statuary Hall Collection. 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

180 APPENDIX F

U.S. CAPITOL CAMPUS VISITATION STATISTICS

Table 28

Number of Visitors by Month, FY 2020 

(Rounded to the nearest 1,000)

MONTH

U.S. CAPITOL 

VISITOR 

CENTER

U.S. 

BOTANIC 

GARDEN

LIBRARY 

BUILDINGS 

AND 

GROUNDS

October 2019 202,000 56,000 149,000 

November 2019 146,000 70,000 112,000

December 2019 110,000 182,000 96,000 

January 2020 95,000 50,000 69,000 

February 2020 106,000 50,000 79,000 

March 2020 64,000 40,000 44,000 

April–

September 2020 — — —

Monthly Average 121,000 75,000 92,000

Total 723,000 448,000 549,000 

Note: The monthly averages are based on the six months the Capitol 

campus was open to visitors.

Table 29

Number of Visitors by Year, FY 2015–FY 2020 

(Rounded to the nearest 1,000)

FISCAL YEAR

U.S. CAPITOL 

VISITOR 

CENTER

U.S. 

BOTANIC 

GARDEN

LIBRARY 

BUILDINGS 

AND 

GROUNDS

2015 2,001,000 1,317,000 1,586,000 

2016 2,205,000 1,184,000 1,429,000 

2017 2,447,000 953,000 1,559,000 

2018 2,376,000 952,000 1,605,000 

2019 2,375,000 1,004,000 1,593,000

2020 723,000 448,000 549,000

Total 

FY 2015–FY 2020 12,127,000 5,858,000 8,321,000

6-Year Average 2,021,000 976,000 1,387,000 

Note: Starting in mid-March 2020, the Capitol campus was 

temporarily closed to the public due to COVID-19 and remained 

closed at the end of the fiscal year.
A P P E N D I C E S 

181 APPENDIX G

R E I M B U R S A B L E A CC O U N T S S U M M A R Y 

In limited circumstances, the AOC has the authority 

to provide reimbursable services. Depending on the 

reimbursable authority, the AOC either posts the collected 

funds to a specific AOC appropriation or transfers the 

reimbursements to Treasury. The AOC’s audited financial 

statements include the assets, liabilities and transactions 

associated with the reimbursable accounts.

AOC Reimbursements Collected and Posted to a 

Specific AOC Appropriation

Battery Recharging Stations (2 U.S.C. § 2170, P.L. 112-

167 [Senate]; 2 U.S.C. § 2171, P.L. 112-170 [House]; and 2 

U.S.C. § 2171a, P.L. 114-113 [Library]). The AOC operates 

battery recharging stations for privately owned vehicles 

used by members of Congress or covered employees in the 

parking areas managed by the Senate Office Buildings, 

the House Office Buildings and the Library Buildings and 

Grounds jurisdictions. These recharging stations operate 

at no net cost to the federal government. The AOC credits 

the appropriations account for the Capitol Power Plant 

with all fees or charges collected for the electricity provided 

by the recharging stations. Monies deposited are available 

for obligation in the fiscal year collected and the following 

fiscal year.

Capitol Complex E85 Refueling Station (2 U.S.C. § 2169; 

P.L. 110-140, Title V, § 502). The AOC operates a fuel tank 

and pumping system for E85 fuel. The pumping station 

is available for all E85 fuel-compatible vehicles used by 

the AOC and other legislative branch agencies. All other 

legislative branch agencies using the station to fuel their 

vehicles must reimburse the AOC for the cost of the fuel.

Disposition of Surplus or Obsolete Personal Property 

(2 U.S.C. § 1817a; P.L. 111-68, Div. A, Title I, § 1301). 

The AOC has authority to dispose of surplus or obsolete 

personal property through interagency transfer, donation, 

sale, trade-in or discard. Any amounts the AOC receives 

for the disposition of personal property is available for the 

AOC’s operations for the acquisition of the same or similar 

property. The funds are available for the fiscal year received 

and the following fiscal year.

Utility Reimbursements for Steam and Chilled Water 

(P.L. 116-94; 40 U.S.C. § 6111(b)(1)(A) [U.S. Supreme 

Court]; 40 U.S.C. § 6502(e) [Thurgood Marshall Federal 

Judiciary Building]; 40 U.S.C. § 6909 [Union Station]; 91 

Stat. 1374 [Folger Shakespeare Library]; and 42 Stat. 767 

[Postal Square and the Government Publishing Office 

Building]). The Capitol Power Plant provides lighting, 

heating, power, water and sewer services for the Capitol 

campus and, on a reimbursable basis, for other public 

buildings designated by Congress. These reimbursable 

services include heating the Government Publishing Office 

and Washington City Post Office and heating and providing 

chilled water for air conditioning the Supreme Court of the 

United States, the Union Station complex, the Thurgood 

Marshall Building and the Folger Shakespeare Library. The 

Capitol Power Plant’s appropriation is credited with up to 

$10 million of reimbursable amounts collected during FY 

2020. The AOC deposits any amounts collected in excess of 

$10 million in the Treasury’s general fund. 

AOC Reimbursements Collected and Transferred to 

the U.S. Department of Treasury

Rent from The Monocle Restaurant (P.L. 91-382). The 

AOC has authority to lease the lot where The Monocle 

Restaurant is located. The AOC deposits all receipts from 

this lease in Treasury’s general fund.
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

182 APPENDIX H

KEY PERFORMANCE INDICATORS

Table 30

Key Performance Indicators Scheduled for FY 2020

KEY PERFORMANCE INDICATOR IDENTIFIER

Goal 1: Maintain Awe-Inspiring Facilities

NEW! Projects Delivered On Time, Within Budget and Safely AIF KPIs 1, 2 and 3

Energy and Sustainability Targets AIF KPI 4

NEW! Facility Condition Index AIF KPI 5

NEW! Energy Reduction by Building AIF KPI 6

NEW! Americans with Disabilities Act Remediation AIF KPI 7

Goal 2: Provide Extraordinary Services

Customer Satisfaction with Projects ES KPI 1

NEW! Employees Trained on the AOC’s Customer Service Philosophy ES KPI 2

NEW! TripAdvisor Ratings ES KPI 3

NEW! Adherence to Procurement Acquisition Lead Times ES KPI 4

Goal 3: Foster an Innovative and Empowered Workforce

Employee Nonmandatory Training IEW KPI 1

NEW! Supervisors Trained in PCES IEW KPI 2

NEW! Customer Service Performance Standards Developed IEW KPI 3

Business Units with a Bureaucracy Reduction IEW KPI 4

Nonselected Internal Candidates Offered Feedback IEW KPI 5

NEW! Supervisors Trained in Fair Hiring Procedures IEW KPI 6

Injuries and Illnesses Rate IEW KPI 7

Injuries and Illnesses Rate (Rolling Five-Year Average) IEW KPI 8

NEW! Workers’ Compensation Cases IEW KPI 9

Business Units That Have Reviewed Emergency Procedures Within the Fiscal Year IEW KPI 10

Business Units That Conducted Emergency Exercises Within the Fiscal Year IEW KPI 11

Jurisdictions That Completed All Routine Self-Inspections on Time IEW KPI 12

External Safety and Environmental Inspection Findings IEW KPI 13

Favorability Ratings for FEVS Development Dimension IEW KPI 14

Favorability Ratings for FEVS Accountability Dimension IEW KPI 15

Favorability Ratings for FEVS Coaching Dimension IEW KPI 16

Best Places to Work Ranking IEW KPI 17

Best Places to Work Favorability Score IEW KPI 18

Favorability Ratings for FEVS Innovation Dimension IEW KPI 19

Favorability Ratings for FEVS Rewards and Recognition Dimension IEW KPI 20

Favorability Ratings for FEVS Hiring and Promotions Dimension IEW KPI 21

Favorability Ratings for FEVS Safety Dimension IEW KPI 22

Favorability Ratings for FEVS Security Dimension IEW KPI 23

Goal 4: Operate as One Team, Dedicated to One Mission

NEW! Number of Days to Fill a Position: Competitive / Direct Hire OTOM KPI 1

Favorability Ratings for FEVS Collaboration Dimension OTOM KPI 2

Favorability Ratings for FEVS Communication Dimension OTOM KPI 3

Favorability Ratings for FEVS Alignment Dimension OTOM KPI 4

NEW! Opportunities Provided (own jurisdiction) OTOM KPI 5

NEW! Opportunities Provided (other jurisdictions) OTOM KPI 6

NEW! Participated in Opportunities (own jurisdiction) OTOM KPI 7

NEW! Participated in Opportunities (other jurisdictions) OTOM KPI 8
A P P E N D I C E S 

183

Table 31

Key Performance Indicators Removed or Not Scheduled

KEY PERFORMANCE INDICATOR STRATEGIC 

OBJECTIVE STATUS EXPLANATION

Preventive Maintenance Work Order Timeliness AIF 2.0 Removed Removed from the Strategic Plan

Corrective Maintenance Work Order Timeliness AIF 2.0 Removed Removed from the Strategic Plan

Facility Management Standards for Emergency 

Generators and Switchgear AIF 2.0 Removed This was a one-time effort for FY 2019

Gardens and Grounds Standards Established AIF 2.0 Removed This was a one-time effort for FY 2019

Service Request Work Order Timeliness ES 1.0 Removed Removed from the Strategic Plan

Favorability Ratings for Peer Customer Satisfaction ES 1.0 Not Scheduled Measured on a biennial basis

Customer Experience Program ES 1.0 Removed This was a one-time effort for FY 2019

Peer Survey Favorability Rating for Competency 

Dimension IEW 1.0 Not Scheduled Measured on a biennial basis

Peer Survey Favorability Rating for Customer Service 

Dimension IEW 1.0 Not Scheduled Measured on a biennial basis

Continuous Process Improvement Program Established IEW 2.0 Removed This was a one-time effort for FY 2019

Business Units With Successfully Implemented Partnering 

Plans OTOM 1.0 Removed Removed from the Strategic Plan

Employees Placed in Cross-Organizational Opportunities OTOM 1.0 Removed Removed from the Strategic Plan

Cross-Organizational Employee Opportunities OTOM 1.0 Removed Removed from the Strategic Plan

Favorability Rating for AOC Peer Survey Collaboration 

Dimension OTOM 1.0 Not Scheduled Measured on a biennial basis

Favorability Rating for AOC Peer Survey Communication 

Dimension OTOM 1.0 Not Scheduled Measured on a biennial basis

Favorability Rating for AOC Peer Survey Alignment 

Dimension OTOM 1.0 Not Scheduled Measured on a biennial basis

Workforce Study Pilot of the Planning and Project 

Management Division and Present Findings OTOM 2.0 Removed This was a one-time effort for FY 2019

Adopt an Integrated Planning, Programming, Budgeting, 

Execution and Evaluation Framework OTOM 2.0 Removed This was a one-time effort for FY 2019

Develop Jurisdiction Talent Management Plans OTOM 2.0 Removed This was a one-time effort for FY 2019
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

184 APPENDIX I

GLOSSARY

Americans with Disabilities Act (ADA): This federal law 

prohibits discrimination in employment, transportation, 

public accommodations, communications and government 

activities and guarantees people with disabilities equal 

opportunity. 

Architect of the Capitol Human Resources Act: This act 

requires the AOC to establish, implement, maintain, 

evaluate and annually report to Congress on the agency’s 

personnel management system. The act also requires that all 

personnel actions affecting AOC employees are free from 

any discrimination. 

Architect’s Mobility Program (AMP): This program offers 

opportunities for employees who lack qualifying experience 

to enter other fields. This program addresses the AOC’s 

commitment to employee development, while providing 

continuity of talent and critical trade skills. 

Backlog: The total deferred maintenance plus capital 

renewal projects that are expected to become deferred 

maintenance within a five-year window. 

Brumidi Corridors: The vaulted, ornately decorated 

corridors on the first floor of the Senate wing in the U.S. 

Capitol Building. They are named in honor of Constantino 

Brumidi, the 19th-century Italian artist who designed the 

murals and other major elements.

Capital Construction and Operations: Appropriation 

providing the essential construction, central management, 

operational support and professional support in connection 

with the facilities under the AOC’s care. 

Capital Improvements Plan: Projects annual funding 

requirements and provides an evaluation of capital projects 

based on key criteria including regulatory compliance, security, 

mission accommodation, historic preservation, economic 

considerations, energy considerations and sustainability.

Capitol Christmas Tree: Since 1964, a Capitol Christmas 

Tree is erected and decorated on the West Front Lawn of 

the U.S. Capitol Building to celebrate the holiday season. 

The AOC’s Capitol Grounds and Arboretum’s director is 

responsible for overseeing the tree’s selection, installation 

and decoration. 

Capitol Complex Master Plan (CCMP): The comprehensive, 

long-range framework that guides the AOC in its mission to 

maintain, renovate and develop the Capitol campus. 

Chief Financial Officers Act of 1990 (CFO Act): This act 

established a chief financial officer in each major executive 

branch agency, assigned OMB with the responsibility 

for setting accounting and financial reporting standards, 

increased internal controls, required annual independent 

financial statement audits for agencies and established 

financial management systems requirements. 

Cogeneration: The Capitol Power Plant’s cogeneration 

system uses natural gas in a combustion turbine to 

simultaneously generate electricity and steam. 

Congressional Gold Medal Ceremony: This ceremony 

recognizes those who have been awarded the Congressional 

Gold Medal by the U.S. Congress. Awardees are chosen 

based on achievements that have impacted American 

history and culture. 

Congressional Office Moves: The member and committee 

office moves and space reassignments are associated with 

the biennial November elections for the United States 

Senate and U.S. House of Representatives. Related activities 

include: managing the suite selection process; developing 

architectural layouts; moving furniture; painting offices; 

removing, relocating and installing partitions; and updating 

the electrical, data and telecommunications infrastructure. 

Construction Work-in-Progress (CWIP): Construction 

work-in-progress is a general ledger account used to record 

both the direct costs and allocated indirect costs that are 

associated with constructing a fixed asset.

Contact Tracing: Contact tracing helps to slow or stop the 

spread of infectious diseases. With respect to COVID-19, 

contact tracing slows its spread by letting people know 

when they may have been exposed to the disease and should 

monitor their health for symptoms, helping people who 

may have been exposed to the disease get tested and asking 

people to self-isolate or self-quarantine, as appropriate. 

Coronavirus Aid, Relief, and Economic Security (CARES)

Act: The CARES Act was passed by the 116th Congress and 

signed into law in March 2020. This $2.2 trillion economic 

stimulus relief package was passed to protect the American 

people from the health and economic impacts of the 

COVID-19 pandemic.

Coronavirus Disease 2019 (COVID-19): In February 2020, 

the World Health Organization announced an official name for 

the disease that is causing the 2019 novel coronavirus outbreak: 

“coronavirus disease 2019,” abbreviated as COVID-19.

Corrective Maintenance: Corrective, or emergency, 

maintenance activities are those undertaken to identify, isolate 

and rectify an unscheduled deficiency of equipment or systems.

Cox Corridors: The three corridors located on the first floor 

of the U.S. Capitol Building’s House wing were designed by 

renowned artist Allyn Cox. The Cox Corridors are decorated 

with wall and ceiling murals that depict the development 

and growth of the United States. 

Deferred Maintenance and Repairs (DM&R): These are 

maintenance and repairs that were not performed when they 

should have been, or were scheduled to be, and are delayed 

to a future period. 
A P P E N D I C E S 

Emancipation Hall: The U.S. Capitol Visitor Center’s 185

Emancipation Hall is a central gathering place for visitors to 

the U.S. Capitol Building. The hall was named to recognize 

the contributions of the enslaved laborers who helped build 

the U.S. Capitol. 

Energy Independence and Security Act of 2007 (EISA2007): 

An act of Congress intended to move the U.S. toward greater 

energy independence and security, increase the production 

of renewable fuels, protect consumers, increase the efficiency 

of products, buildings and vehicles, promote research on and 

deploy greenhouse gas capture and storage, and improve the 

energy performance of the federal government. 

Energy Savings Performance Contract (ESPC): These 

contracts represent public-private partnerships for financing 

energy savings construction projects. ESPCs were used by the 

AOC to finance needed energy preservation improvements 

for three of its jurisdictions (Capitol Building, House Office 

Buildings and Senate Office Buildings) and will be used for a 

fourth jurisdiction (Library Buildings and Grounds). 

Enterprise Risk Management (ERM): The process by 

which management and leadership identify, assess and 

manage risks across an enterprise to make informed 

decisions toward risk reduction. 

Exchange of Critical Expertise and Learning (ExCEL): 

A workforce program to improve organizational efficiencies 

and increase employee knowledge through the exchange of 

skills and knowledge across the AOC. 

Exhibition Hall: The U.S. Capitol Visitor Center’s 

Exhibition Hall is home to “E Pluribus Unum — Out of 

Many, One,” the exhibition dedicated to telling the story of 

the U.S. Congress and the U.S. Capitol.

Facility Condition Assessment (FCA): A program that 

assesses the condition of building components, systems, 

remaining life and deferred maintenance requirements. 

Facility Condition Index (FCI): An overall assessment of the 

condition of a facility. It is measured by the ratio of deferred 

maintenance costs to estimated building replacement costs. 

Federal Employee Viewpoint Survey (FEVS): A U.S. 

Office of Personnel Management tool that measures 

employees’ perceptions of whether, and to what extent, 

conditions characterizing successful organizations are 

present in their agencies. 

Federal Financial Management Improvement Act of 1996 

(FFMIA): A statute that advanced federal financial 

management by ensuring that federal financial management 

systems provide accurate, reliable and timely financial 

information to the government’s managers. 

Federal Managers’ Financial Integrity Act of 1982 (FMFIA): 

A statute amending the Accounting and Auditing Act of 1950 

and requiring the establishment of guidelines for evaluating 

agencies’ systems of internal control with three objectives: 

operational effectiveness and efficiency, regulatory and 

statutory compliance and reliable financial reporting. 

Generally Accepted Accounting Principles (GAAP): The 

accounting concepts and standards for the U.S. government, 

as prescribed by the Federal Accounting Standards 

Advisory Board. 

Government Performance and Results Act of 1993 (GPRA): 

A statute that provided for the establishment, testing and 

evaluation of strategic planning and performance measurement 

in the federal government. Later amended by GPRAMA. 

Government Performance and Results Modernization Act 

of 2010 (GPRAMA): A statute that updated GPRA to 

create a more defined performance framework, including 

the designation of cross-cutting federal priority goals and 

agency-level priority goals. 

Heritage Asset: The buildings, structures, landscapes, 

fine art, architectural fine art, decorative art, architectural 

decorative art, monuments, memorials, archival records, 

photographic records, living botanical assets, views and vistas, 

archeological resources, and stored art and architectural 

materials in the care of the AOC that have historical, 

architectural, artistic, cultural or educational significance. 

Jurisdiction: The AOC has oversight responsibility for several 

jurisdictions. Each jurisdiction is responsible for a designated 

geographic area and/or facility of the Capitol campus. 

Leadership in Energy and Environmental Design 

(LEED): A green building certification program, sponsored 

by the U.S. Green Building Council, which recognizes bestin-class facility strategies and practices.

Legislative Branch Financial Management System (LBFMS): 

The consolidated shared service financial management system 

used for legislative branch financial operations. 

Living Botanical Asset: A plant specimen that should be 

granted preservation consideration. At the AOC, these 

typically (though not exclusively) fall into the categories of 

living accessions of the U.S. Botanic Garden, memorial trees 

and plants identified as significant in cultural landscape reports. 

Memorial Trees: The living heritage assets planted to honor 

distinguished citizens, groups and national events. The AOC 

is responsible for the care of the memorial trees. 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

186 National Finance Center (NFC): The U.S. Department 

of Agriculture’s shared services provider for financial 

management and human resources. The NFC administers 

the AOC’s payroll and benefits. 

National Statuary Hall Collection: This collection 

is comprised of statues donated by individual states to 

honor notable individuals in their history and is displayed 

throughout the U.S. Capitol Building and the U.S. Capitol 

Visitor Center. The AOC is responsible for the care and 

preservation of the entire collection, which consists of 100 

statues contributed by 50 states (two statues each). 

Olmsted Plan: A grand landscape architecture plan for the 

U.S. Capitol Grounds, it was designed between 1874 and 

1892 by Frederick Law Olmsted, the father of landscape 

architecture in America. 

Presidential Inauguration: The presidential inauguration 

is perhaps the most widely known of the ceremonies held 

at the U.S. Capitol Building. Every four years, the AOC is 

responsible for constructing the inaugural platform on the 

building’s West Front, setting up the seating and fencing 

on the grounds and coordinating activities with the Joint 

Congressional Committee on Inaugural Ceremonies. 

Preventive Maintenance: The recurring or scheduled care 

and servicing of equipment, systems and facilities to keep 

them in good operating condition by providing inspection, 

detection and correction of failures, either before they occur 

or before they develop major defects. 

Reimbursable Accounts: The AOC has reimbursable 

budget authority provided by statute to establish certain 

reimbursable agreements. See Appendix G: Reimbursable 

Accounts Summary. 

Safety Observations and Reflections (SOAR): The AOC 

safety training program for employees, supervisors and 

managers focusing on the behavioral aspects of individual 

safety performance.

Short Ton: A unit of weight equal to 2,000 pounds. 

State of the Union Address: The State of the Union address 

is derived from the U.S. Constitution, which states: “He 

(the president) shall from time to time give to the Congress 

information of the State of the Union.” The AOC works 

behind the scenes to ensure that everything is impeccable 

for this important event, including readying the House 

Chamber where the address occurs. 

Sustainable SITES Initiative® (SITES®): A standards and 

certification system for sustainable landscape development 

and management created through a partnership of the 

American Society of Landscape Architects, the Lady Bird 

Johnson Wildflower Center at The University of Texas at 

Austin and the U.S. Botanic Garden. 

Statue of Freedom: The bronze Statue of Freedom is the 

crowning feature of the U.S. Capitol Dome. The statue’s 

plaster model is on display in the U.S. Capitol Visitor 

Center’s Emancipation Hall. 

Union Square: The 13-acre plaza to the west of the U.S. 

Capitol Building containing the Ulysses S. Grant Memorial 

and the Capitol Reflecting Pool. In 2011, the property was 

transferred from the National Park Service to the AOC. 

U.S. Capitol Dome: The U.S. Capitol Dome, situated 

atop the U.S. Capitol Building, was designed by the fourth 

Architect of the Capitol, Thomas U. Walter. Construction 

of the 8.9 million pound cast-iron Dome began in 1855 and 

was finished in 1866. 

U.S. Capitol Grounds: The U.S. Capitol Grounds are 

comprised of 286 acres of grounds that provide a park-like 

setting for the U.S. Capitol. The grounds were designed by 

noted American landscape architect Frederick Law Olmsted 

and designated an accredited arboretum in 2017. 

U.S. Capitol Rotunda: The large, domed, circular room 

located in the center of the U.S. Capitol Building. The 

Rotunda is visited by thousands of people daily and is also 

used for ceremonial events. 

U.S. Capitol Visitor Center: The U.S. Capitol Visitor 

Center, the newest addition to the U.S. Capitol Building, 

is located underground on the east side of the U.S. Capitol. 

Since opening in December 2008, more than 24 million 

visitors have entered the U.S. Capitol through the U.S. 

Capitol Visitor Center.
A P P E N D I C E S 

187 APPENDIX J

ABBREVIATIONS AND ACRONYMS

A

ACBA	 American College of the Building Arts

ACM	 Asbestos-Containing Materials

ADA		 Americans with Disabilities Act

AEP	 Affirmative Employment Program

AFSCME	 American Federation of State, County and 

Municipal Employees

AGA		 Association of Government Accountants

AIA	 American Institute of Architects

AIC	 American Institute for Conservation

AICPA		 American Institute of Certified 

Public Accountants

AIF	 Maintain Awe-Inspiring Facilities

AMMD		 Acquisition and Material 

Management Division

AMP	 Architect’s Mobility Program

AOC	 Architect of the Capitol

B

BAR	 Budget and Accrual Reconciliation 

BBTU		 Billion British Thermal Unit

C

CAO		 Chief Administrative Officer

CAP		 Cross-Agency Priority goals

CARES	Act	 Coronavirus Aid, Relief, and Economic 

Security Act

CBA	 Collective Bargaining Agreement

CCM		 Certified Construction Manager

CCMP		 Capitol Complex Master Plan

CCO		 Capital Construction and Operations

CCRC		 Central Contractor Registration Connector

CDC	 Centers for Disease Control and Prevention

CEAR		 Certificate of Excellence in 

Accountability Reporting

CERCLA	 Comprehensive Environmental Response, 

Compensation and Liability Act

CFM		 Certified Facilities Manager

CFO		 Chief Financial Officer

CFO	Act	 Chief Financial Officers Act

CGFM		 Certified Government Financial Manager

CHW	 Chilled Water

CIR	 Collections Information Repository

COO		 Chief Operating Officer

COTS		 Commercial Off-the-Shelf

COVID-19	 Coronavirus Disease 2019

CPA		 Certified Public Accountant

CSRS		 Civil Service Retirement System

CVC	 Capitol Visitor Center

CVC	POS	 Capitol Visitor Center Point of Sale System

CWIP	 Construction Work-in-Progress

CX	 Customer Experience

D

DATA	Act	 Digital Accountability and Transparency Act

DDC	 Direct Digital Controls

DI/DR	 Diversity, Inclusion and Dispute Resolution

DM&R		 Deferred Maintenance and Repairs

DOE	 U.S. Department of Energy 

DOL		 U.S. Department of Labor

E

EAP	 Employee Assistance Program

ECM	 Energy Conservation Measures

EISA2007	 Energy Independence and Security Act of 2007

EPA	 U.S. Environmental Protection Agency 

EPAct	 Energy Policy Act of 2005

ERM		 Enterprise Risk Management

ES	 Provide Extraordinary Services

ESPC		 Energy Savings Performance Contract

ExCEL		 Exchange of Critical Expertise and Learning

F

FAIA		 Fellow, American Institute of Architects

FASAB		 Federal Accounting Standards 

Advisory Board

FBWT		 Fund Balance with Treasury

FCA		 Facility Condition Assessment

FCI	 Facility Condition Index

FECA		 Federal Employees Compensation Act

FedRAMP	 Federal Risk and Authorization 

Management Program 

FEGLI	 Federal Employees Group Life Insurance

FEHB	 Federal Employees Health Benefits

FEMA	 U.S. Federal Emergency 

Management Agency 
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

188 FERS		 Federal Employees Retirement System

FEVS	 Federal Employee Viewpoints Survey 

FFCRA	 Families First Coronavirus Response Act 

FFMIA		 Federal Financial Management 

Improvement Act

FISMA		 Federal Information Security Management Act

FMFIA		 Federal Managers’ Financial Integrity Act 

of 1982

FMLA	 Family and Medical Leave Act

FMS		 Financial Management System

FY		 Fiscal Year

G

GAAP	 Generally Accepted Accounting Principles

GAO		 U.S. Government Accountability Office

GPO		 U.S. Government Publishing Office

GPRA	 Government Performance and Results Act

GPRAMA	 GPRA Modernization Act

GS	 General Schedule

GSA	 U.S. General Services Administration

GSF		 Gross Square Feet

GTAS		 Governmentwide Treasury Account Symbol 

Adjusted Trial Balance System

H

HCMD		 Human Capital Management Division

HR	Act	 Architect of the Capitol Human Resources Act

HUBZone	 Historically Underutilized Business Zone

HVAC		 Heating, Ventilation and Air Conditioning

HVAC/R	 Heating, Ventilation, Air Conditioning 

and Refrigeration

I

I&I		 Injuries and Illnesses

IBEW	 International Brotherhood of 

Electrical Workers

ICS		 Inventory Control System

IEW	 Foster an Innovative and 

Empowered Workforce

IPAC	 Intragovernmental Payment and Collection

IPP		 Invoice Processing Platform

IRMD	 Integrated Risk Management Division

ISMS	 Integrated Safety Management System

IT		 Information Technology

K

KBTU	 Thousand British Thermal Units

KCF		 Thousand Cubic Feet

KGal		 Kilogallons

kWh	 Kilowatt Hours

KPI		 Key Performance Indicator

L

LBFMS		 Legislative Branch Financial 

Management System

LED		 Light-Emitting Diode

LEED	AP		 Leadership in Energy and Environmental 

Design Accredited Professional

LICP		 Line Item Construction Program

M

MB	 Megabytes 

MD&A		 Management’s Discussion and Analysis

MMBTU	 Metric Million British Thermal Units

MOA	 Memorandum of Agreement

MWh	 Megawatt Hours

N

NFC		 National Financial Center

NIST		 National Institute of Standards 

and Technology

O

OAP	 Office of Attending Physician 

OCWR	 Office of Congressional Workplace Rights

ODS		 Operational Data Store

OIG		 Office of Inspector General

OMB		 Office of Management and Budget

OPM		 U.S. Office of Personnel Management

OSHA	 Occupational Safety and 

Health Administration 

OTOM	 Operate as One Team, Dedicated to 

One Mission

P

PAM		 Payment Automation Manager 

PAR		 Performance and Accountability Report

PCES	 Performance, Communication and 

Evaluation System

PE		 Professional Engineer
A P P E N D I C E S 

PIAA	 Payment Integrity Information Act of 2019 189

PIC		 Project Information Center

PIID	 Procurement Instrument Identifier 

P.L.		 Public Law

PMIS	 Project Management Information System

PP&E		 Property, Plant and Equipment

PPE	 Personal Protective Equipment

PPM		 Planning and Project Management

PPS	 Partnership for Public Service 

PY	 Prior Year

Q

QFR		 Quarterly Financial Review

R

RACI	 Responsible, Accountable, Consulted and 

Informed Matrices

RMAB	 Records Management and Archives Branch

RSI		 Required Supplementary Information

RSS		 Rich Site Summary

S

SAM		 System for Award Management

SBR		 Combined Statement of Budgetary Resources

SCNP		 Statement of Changes in Net Position

SFEP	 Safety, Fire and Environmental Programs

SFFAS		 Statement of Federal Financial 

Accounting Standards

SIEM	 Security Information and 

Event Management

SITES		 Sustainable SITES Initiative

SMART	 Sheet Metal, Air, Rail and Transportation

SNC		 Statement of Net Cost

SOAR	 Safety Observations and Reflections

SR	 Senior Rated

SSAA	 Senate Sergeant At Arms

T

TIPPS		 Teamwork, Integrity, Professionalism, 

Pride, Safety

TSP		 Thrift Savings Plan

Treasury		 U.S. Department of Treasury

U

UCFE	 Unemployment Compensation for 

Federal Employees

UESC	 Utility Energy Service Contract

ULO	 Unliquidated Obligation

USBG		 U.S. Botanic Garden

U.S.C.		 United States Code

USCP		 U.S. Capitol Police

USSGL		 U.S. Standard General Ledger
2020 Performance and Accountability Report ARCHITECT OF THE CAPITOL

190 APPENDIX K

ACKNOWLEDGEMENTS

This Performance and Accountability Report was produced with the energies and talents of the AOC staff. To these dedicated 

individuals, we offer our sincerest thanks. In particular, we recognize the following individuals for their contributions:

J. Brett Blanton, 

Architect of the Capitol

Thomas J. Carroll III, 

CFM, Acting Chief 

of Operations, Chief 

Financial Officer

Jonathan Kraft, Acting 

Chief Financial Officer 

William R. O’Donnell, 

Chief Administrative 

Officer

Joseph Abriatis

Peggy Almanza

Mona Amatie, CGFM

Nik Apostolides

Laila Atayee

Peter Bahm

Teresa Bailey

Jason Baltimore 

Natalie Barnes, CGFM

Lawrence Barr

Raynell Bennett

Thomas Bergeron

Jennifer Blancato 

Jessica Blanche

Susanne Bledsoe

Dorothy Blum 

Joe Bocianoski, CCM

Franklin Bradley

Chere Brown-Rexroat

Liz Buday

Christine Camera

Joseph Campbell

Tom Casey

Michael Cason

Saharah Moon Chapotin, Ph.D.

Douglas Chiles

Trista Claxon

Kimberly Coats

Michele Cohen, Ph.D. 

Laura Condeluci

Marvin Cortez

Erin Courtney

William Curley

Sarah Davis

Migdali Delgado

Andrew Dentamaro

Barron Dill

Devin Dotson

James Drummond

Michael Dunn

Patrick Easton

Antonio Edmonds

Mark Flemming

Kristen Frederick

Sean Greene

Valerie Hasberry

Douglas Helmann

Bonnie Holod, AIA, 

LEED AP

Anthony Hutcherson

Charles Iliff

James Kaufmann

John Kelly

Justin Kieffer

Paul Kirkpatrick, AIA, 

LEED AP

Brian Kohler

Cesar Korzeniewicz

Michael Lewis

Doug Lipscomb

Latania Maise

Jason McIntyre

Curtis McNeil

Michaela McNichol

John McPhaul 

Suzanne Mead

Chris Miles

Erica Miller

Kristy Miller

Peter Mueller, PE, PMP

Erin Nelson 

Cristin O’Brien

Charles O’Hanlon, 

PE, CCM

James O’Keefe 

Mary Oehrlein

Joe Okes 

Fay Ott

Mary Jean Pajak, PE 

Tina Pearson

Susan Pell, Ph.D. 

Joseph Peter, CPA, CGFM 

Fatimah Pierce, Ph.D.

Beth Plemmons 

Christopher Potter

Stefanie Pryor 

Mark Reed, PE, CFM

Dewitt Roseborough III 

James Rosenthal

Hajira Shariff

Kathy Sherrill, CPA

Michael Shirven, PE

Victoria Singer

Nancy L. Skinkle, AIA, 

LEED AP 

Diane Soriano

Eric Swanson

Deatra Trinidad 

Christopher Vetick

Kyle Wallick

Jay Wiegmann

Lori Williams

Patricia Williams

Darryl Williamson

Alesia Wubben

Elizabeth Yoder

We offer special thanks to the AOC’s Photography Branch for providing the photographs contained in this report. 

The FY 2020 Performance and Accountability Report was prepared with the assistance of OmniStudio, Inc. 

and Ilion Management Strategies LLC. In addition, Grant Thornton assisted with the preparation of the AOC’s 

financial statements.

Copyedited by Joseph Peter and Darryl Williamson.

This report is issued with data as of November 23, 2020 unless otherwise noted.
WE WOULD LIKE TO HEAR FROM YOU

Thank you for your interest in the Architect of the Capitol and its 

Fiscal Year 2020 Performance and Accountability Report (PAR). 

We welcome your comments on how we can make this report more 

informative for our readers. Please send your comments to:

Email aocpar@aoc.gov

Phone 202.226.2552

Mail Chief Financial Officer — PAR

 Architect of the Capitol

 Ford House Office Building, Room H2-205

 2nd & D Street, SW

 Washington, DC 20515

FOR COPIES OF THIS REPORT

Electronic copies of this report and its companion highlights 

report are available on the AOC website: www.aoc.gov/par. 

For desktop users, the AOC publishes Section 508-compliant 

versions of this report and the corresponding highlights report 

for individuals with disabilities. A reader-friendly, interactive 

digital version of this report is also available for desktop users. 

A mobile app, or e-reader, version of this report is also available 

for both Apple and Android tablets. The mobile app version 

includes the current print edition of the Performance and 

Accountability Report, plus features such as bonus photos and 

videos, landscape or portrait views, zoom view for individual 

sections, bookmarking capability and use other interactive 

functions. To download the report to your tablet device, visit the 

App Store from your iPad or Google Play from your Android 

tablet and search for “Architect of the Capitol.”

Above The AOC continued work on the multi-year Senate Underground Garage and Landscape Restoration project. The project includes the rehabilitation of 

the garage, central fountain, reflecting pool, planters and surrounding pavement area. The AOC will complete this project in FY 2021.
U.S. Capitol | Washington, DC 20515

www.aoc.gov