Note - page numbers do not apply to the on-line version, and are included here only as a reference to the official print version.
Chapter 1 AGENCY AND EEOC AUTHORITY AND RESPONSIBILITY I. FEDERAL AGENCY. . . . . . . . . . . . . . . . . . . . . .1-1 II. EQUAL EMPLOYMENT OPPORTUNITY COMMISSION . . . . . . . . .1-1 III. EEO DIRECTOR INDEPENDENT AUTHORITY AND REPORTING RELATIONSHIPS . . . . . . . . . . . . . . . . . . . . . .1-1 IV. DELEGATION OF AUTHORITY TO RESOLVE DISPUTES . . . . . . .1-2 V. SPECIAL EMPHASIS PROGRAM. . . . . . . . . . . . . . . . .1-3 VI. EEO OFFICIALS CANNOT SERVE AS REPRESENTATIVES . . . . . .1-3 Chapter 2 EQUAL EMPLOYMENT OPPORTUNITY PRE-COMPLAINT PROCESSING I. INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . .2-1 A. Counseling Generally . . . . . . . . . . . . . . . .2-1 B. Full-Time Counselors . . . . . . . . . . . . . . . .2-1 C. EEO Counselor Training Requirements. . . . . . . . .2-1 D. ADR and EEO Counseling . . . . . . . . . . . . . . .2-2 II. MANDATORY EEO COUNSELOR TRAINING REQUIREMENTS . . . . . .2-2 A. Minimum Requirements . . . . . . . . . . . . . . . .2-2 B. Initial Thirty-Two Hour Training for New EEO Counselors . . . . . . . . . . . . . . . . . . . . . . . . . .2-2 C. Continuing Training. . . . . . . . . . . . . . . . .2-3 III. THE EEO COUNSELING PROCESS. . . . . . . . . . . . . . . .2-4 IV. PROVIDING INFORMATION TO THE AGGRIEVED PERSON . . . . . .2-5 A. Provide Required Written Notice. . . . . . . . . . .2-5 B. Provide Information On Other Procedures as Required.2-5 C. Statutes and Regulations . . . . . . . . . . . . . .2-6 1. Title VII of the Civil Rights Act of 1964, as amended . . . . . . . . . . . . . . . . . . . .2-6 2. Age Discrimination in Employment Act of 1967, as amended (ADEA). . . . . . . . . . . . . . . . .2-6 3. Rehabilitation Act of 1973, as amended. . . . .2-7 4. Fair Labor Standards Act of 1938, as amended (Equal Pay Act of 1963)(EPA) . . . . . . . . . . . . .2-7 5. Commission Regulations, Guidelines, and Policy Directives. . . . . . . . . . . . . . . . . . .2-7 V. DETERMINE THE CLAIM(S) AND BASIS(ES) OF THE POTENTIAL COMPLAINT2-8. . . . . . . . . . . . . . . . . . . . . . . . A. Determining the Claim(s) . . . . . . . . . . . . . .2-8 1. Fragmentation . . . . . . . . . . . . . . . . .2-8 2. Identifying the claim(s). . . . . . . . . . . .2-8 B. Determining the Basis(es) . . . . . . . . . . . . .2-9 C. When the Basis(es) is not Covered by the EEO Regulations . . . . . . . . . . . . . . . . . . . . . . . . . .2-9 VI. PROCEDURES UPON INITIATION OF EEO COUNSELING. . . . . . 2-10 A. Conducting the Inquiry . . . . . . . . . . . . . . 2-10 B. Seeking Resolution . . . . . . . . . . . . . . . . 2-10 C. Resolution . . . . . . . . . . . . . . . . . . . . 2-11 1. Resolution of the Dispute . . . . . . . . . . 2-11 2. Failure to Resolve the Dispute. . . . . . . . 2-11 D. Issuing the Notice of Final Interview. . . . . . . 2-12 1. Right to Pursue the Claim Through the Formal Process . . . . . . . . . . . . . . . . . . . 2-12 2. Requirements of the Formal Complaint. . . . . 2-12 3. Name(s) of Person(s) Authorized to Receive Complaints. . . . . . . . . . . . . . . . . . 2-13 4. File May Be Seen by Persons Needing Access and Any Confidentiality May Be Lost During Formal Process2-13 5. Provide the Aggrieved Person with a Written Notice of His/Her Right to File a Discrimination Complaint. . . 2-13 6. The EEO Counselor must advise the complainant 2-13 VII. PROCEDURES UPON ELECTION OF THE ADR PROGRAM . . . . . . 2-13 A. Election Between EEO Counseling and ADR. . . . . . 2-13 B. Completing the ADR Process . . . . . . . . . . . . 2-14 C. Filing of Complaint and Preparation of the EEO Counselor's Report Where ADR Fails . . . . . . . . 2-15 VIII. THE COUNSELOR'S REPORT . . . . . . . . . . . . . . 2-15 A. Time Limits. . . . . . . . . . . . . . . . . . . . 2-15 B. Contents of Report . . . . . . . . . . . . . . . . 2-15 C. Confidentiality of Negotiations for Resolution or ADR2-16 IX. COUNSELING CLASS ACTION COMPLAINTS. . . . . . . . . . . 2-16 Chapter 3 ALTERNATE DISPUTE RESOLUTION I. INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . .3-1 II. DEVELOPING ADR PROGRAMS . . . . . . . . . . . . . . . . .3-1 A. Program Design - Flexibility and Incorporating Core Principles . . . . . . . . . . . . . . . . . . . . .3-1 1. Choosing Among ADR Techniques . . . . . . . . .3-2 2. Time Frames . . . . . . . . . . . . . . . . . .3-2 3. Representation of the Parties . . . . . . . . .3-3 4. Dealing with Non-EEO Issues . . . . . . . . . .3-3 5. Matters Inappropriate for ADR . . . . . . . . .3-4 6. Collective Bargaining Agreements and the Privacy Act . . . . . . . . . . . . . . . . . . . . . .3-4 B. Offering ADR During the Counseling Stage . . . . . .3-4 C. ADR After the Complaint is Filed . . . . . . . . . .3-5 D. ADR Throughout the Complaint Process . . . . . . . .3-5 E. Explanation of Procedural and Substantive Alternatives3-5 III. PROVIDING INFORMATION . . . . . . . . . . . . . . . . . .3-6 A. Agencies Must Fully Inform the Employees About the Counseling Process and the ADR Program. . . . . . . . . . . . . . . . .3-6 B. Providing Information About the Agency ADR Program .3-6 C. Informing the Employee about Filing Rights . . . . .3-7 D. The Role of the Counselor. . . . . . . . . . . . . .3-8 1. If ADR is Chosen. . . . . . . . . . . . . . . .3-8 2. If ADR is not chosen . . . . . . . . . . . . .3-9 IV. NEUTRALS. . . . . . . . . . . . . . . . . . . . . . . . .3-9 A. Sources. . . . . . . . . . . . . . . . . . . . . . .3-9 B. Qualifications . . . . . . . . . . . . . . . . . . 3-11 1. Training in ADR Theory and Techniques . . . . 3-11 2. Knowledge of EEO Law. . . . . . . . . . . . . 3-11 C. Role of the Neutral. . . . . . . . . . . . . . . . 3-12 D. Promoting Trust. . . . . . . . . . . . . . . . . . 3-12 V. RESOLUTIONS MUST BE IN WRITING. . . . . . . . . . . . . 3-13 VI. OPERATION OF ADR PROGRAMS . . . . . . . . . . . . . . . 3-13 A. Written Procedures . . . . . . . . . . . . . . . . 3-13 B. Training Managers and Supervisors. . . . . . . . . 3-14 C. Recordkeeping. . . . . . . . . . . . . . . . . . . 3-15 VII. ADR CORE PRINCIPLES . . . . . . . . . . . . . . . . . . 3-15 A. Fairness . . . . . . . . . . . . . . . . . . . . . 3-15 1. Voluntariness . . . . . . . . . . . . . . . . 3-16 2. Neutrality. . . . . . . . . . . . . . . . . . 3-16 3. Confidentiality . . . . . . . . . . . . . . . 3-16 4. Enforceability. . . . . . . . . . . . . . . . 3-17 B. Flexibility. . . . . . . . . . . . . . . . . . . . 3-17 C. Training and Evaluation. . . . . . . . . . . . . . 3-18 VIII. ADR TECHNIQUES AND DEFINITIONS . . . . . . . . . . 3-18 A. Alternative Dispute Resolution . . . . . . . . . . 3-18 B. Mediation. . . . . . . . . . . . . . . . . . . . . 3-18 C. Facilitation . . . . . . . . . . . . . . . . . . . 3-19 D. Fact Finding . . . . . . . . . . . . . . . . . . . 3-19 E. Early Neutral Evaluation . . . . . . . . . . . . . 3-20 F. Ombuds . . . . . . . . . . . . . . . . . . . . . . 3-20 G. Settlement Conferences . . . . . . . . . . . . . . 3-20 H. Minitrials . . . . . . . . . . . . . . . . . . . . 3-21 I. Peer Review. . . . . . . . . . . . . . . . . . . . 3-21 J. Combinations of Techniques . . . . . . . . . . . . 3-21 Chapter 4 PROCEDURES FOR RELATED PROCESSES I. INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . .4-1 II. MIXED CASE COMPLAINTS AND APPEALS 29 C.F.R. § 1614.302.4-1 A. Definitions. . . . . . . . . . . . . . . . . . . . .4-1 B. Procedures . . . . . . . . . . . . . . . . . . . . .4-1 1. Standing. . . . . . . . . . . . . . . . . . . .4-2 2. Appealable Actions. . . . . . . . . . . . . . .4-3 3. Election to Proceed is Required . . . . . . . .4-3 4. Procedures for Handling Dual Filing . . . . . .4-4 5. Processing Where MSPB Dismisses a Mixed Case Appeal Because it Finds No Jurisdiction. . . . . . . .4-6 6. Processing Mixed Case Complaints Filed at the Agency. . . . . . . . . . . . . . . . . . . . .4-6 III. NEGOTIATED GRIEVANCE PROCEDURES . . . . . . . . . . . . .4-7 A. Where Agency is Covered by 5 U.S.C. § 7121(d). . . .4-7 B. Where Agency is not Covered by 5 U.S.C. § 7121(d). .4-8 IV. AGE DISCRIMINATION COMPLAINTS . . . . . . . . . . . . . .4-8 A. Election of Administrative Process . . . . . . . . .4-8 B. Aggrieved May Bypass Administrative Process. . . . .4-9 C. Responsibilities Regarding Notices of Intent to Sue.4-9 1. The Aggrieved Person. . . . . . . . . . . . . .4-9 2. The Commission. . . . . . . . . . . . . . . . 4-10 3. The Agency. . . . . . . . . . . . . . . . . . 4-11 V. EQUAL PAY ACT COMPLAINTS. . . . . . . . . . . . . . . . 4-11 Chapter 5 AGENCY PROCESSING OF FORMAL COMPLAINTS I. AGENCY SHALL ACKNOWLEDGE FORMAL COMPLAINT . . . . . . . .5-1 II. THE AGENCY SHALL ALSO PROVIDE OTHER INFORMATION AND NOTICE OF RIGHTS. . . . . . . . . . . . . . . . . . .5-2 A. Agency Shall Inform the Complainant of the Agency's Obligations. . . . . . . . . . . . . . . . . . . . .5-2 1. To Investigate in a Timely Manner . . . . . . .5-2 2. To Process Mixed Cases Timely . . . . . . . . .5-2 3. Unilateral Extension for Sanitizing Classified Information . . . . . . . . . . . . . . . . . .5-2 B. Agency Shall Inform Complainant of His/Her Rights. .5-3 1. The Right to Hearing. . . . . . . . . . . . . .5-3 2. The Right to Appeal . . . . . . . . . . . . . .5-3 3. The Right to File a Civil Action. . . . . . . .5-4 III. AGENCIES MUST AVOID FRAGMENTING EEO COMPLAINTS . . . . .5-5 A. Identifying and Defining the Claim in an EEO Complaint5-5 Example 1 . . . . . . . . . . . . . . . . . . .5-5 Example 2 . . . . . . . . . . . . . . . . . . .5-6 Example 3 . . . . . . . . . . . . . . . . . . .5-7 B. A Complainant May Amend A Pending Complaint. . . . .5-9 1. New Incident That Is Part of the Existing Claim5-10 Example 4 . . . . . . . . . . . . . . . . . . 5-10 2. New Incident That Raises a New Claim Like or Related to the Pending Claim5-10. . . . . . . . . Example 5 . . . . . . . . . . . . . . . . . . 5-11 Example 6 . . . . . . . . . . . . . . . . . . 5-11 Example 7 . . . . . . . . . . . . . . . . . . 5-12 3. New Incident Raises Claim That Is Not Like or Related to Pending Claim. . . . . . . . . . . 5-12 Example 8 . . . . . . . . . . . . . . . . . . 5-13 C. Consolidation of Complaints. . . . . . . . . . . . 5-13 D. Partial Dismissals . . . . . . . . . . . . . . . . 5-14 E. No More Remands By Administrative Judges . . . . . 5-14 F. "Spin-off" Complaints. . . . . . . . . . . . . . . 5-14 G. Training . . . . . . . . . . . . . . . . . . . . . 5-15 IV. AGENCY DISMISSAL PROCESS. . . . . . . . . . . . . . . . 5-15 A. Bases for Dismissals that May Exist As of the Filing of the Complaint or Develop Thereafter. . . . . . . . . . . . . . . 5-15 1. Untimely Counseling Contact § 1614.107(a)(2). 5-15 2. Untimely Filing of the Formal Complaint § 1614.107(a) (2) . . . . . . . . . . . . . . . 5-16 3. Failure to State a Claim § 1614.107(a)(1) . . 5-16 4. Abuse of Process § 1614.107(a)(9) . . . . . . 5-17 Example 1 . . . . . . . . . . . . . . . . . . 5-19 Example 2 . . . . . . . . . . . . . . . . . . 5-20 5. States the Same Claim §1614.107(a)(1) . . . . 5-21 6. Complainant Files a Civil Action § 1614.107(a)(3)5-21 7. Issue Has Been Decided § 1614.107(a)(3) . . . 5-21 8. Allegation Raised in Negotiated Grievance Proceeding § 1614.107(a)(4) . . . . . . . . . 5-22 9. Appeal Made to MSPB § 1614.107(a)(4). . . . . 5-22 10. Complaint Alleges a Preliminary Step § 1614.107(a)(5). . . . . . . . . . . . . . . . 5-22 11. Complaint is Moot § 1614.107(a)(5). . . . . . 5-23 12. Dissatisfaction with the Processing of a Complaint 1614.107(a)(8). . . . . . . . . . . 5-23 B. Dismissals that Generally Occur After the Agency Accepts the Complaint Based on Complainant's Actions or Inactions5-23 1. The Complainant Cannot Be Located § 1614.107(a)(6) . . . . . . . . . . . . . . . . . . . . . . . 5-23 2. The Complainant Failed to Respond or Proceed in a Timely Fashion § 1614.107(a)(7). . . . . 5-24 C. Processing of Partially Dismissed Complaints . . . 5-24 1. Where a Hearing is Requested. . . . . . . . . 5-24 2. Where a Final Decision By the Agency Is Requested5-25 D. Allegations of Dissatisfaction Regarding Processing of Pending Complaints . . . . . . . . . . . . . . . . 5-25 V. CONDUCTING THE INVESTIGATION. . . . . . . . . . . . . . 5-27 A. Agency Retains Responsibility. . . . . . . . . . . 5-27 B. Investigations Must be Finished Timely . . . . . . 5-27 C. What Must be Done for an Investigation to be Considered Appropriate. . . . . . . . . . . . . . . . . . . . 5-28 VI. FINAL ACTIONS . . . . . . . . . . . . . . . . . . . . . 5-28 A. Final Action By Agency Following An Administrative Judge's Decision . . . . . . . . . . . . . . . . . 5-28 B. Final Actions in All Other Circumstances . . . . . 5-29 Chapter 6 DEVELOPMENT OF IMPARTIAL AND APPROPRIATE FACTUAL RECORDS I. INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . .6-1 II. MINIMUM TRAINING REQUIREMENTS FOR ALL INVESTIGATORS . . .6-1 A. New Investigator Training Requirement. . . . . . . .6-2 B. Continuing Investigator Training . . . . . . . . . .6-2 III. CONTENTS OF A COMPLAINT FILE. . . . . . . . . . . . . . .6-3 IV. RESPONSIBILITIES. . . . . . . . . . . . . . . . . . . . .6-4 A. Director of Equal Employment Opportunity . . . . . .6-4 B. Equal Employment Opportunity Investigator. . . . . .6-4 C. Complainant. . . . . . . . . . . . . . . . . . . . .6-5 V. INVESTIGATION . . . . . . . . . . . . . . . . . . . . . .6-5 A. Methods of Investigation . . . . . . . . . . . . . .6-5 B. Purpose of the Investigation . . . . . . . . . . . .6-6 C. General Investigative Requirements . . . . . . . . .6-5 VI. THE ROLE OF THE INVESTIGATOR. . . . . . . . . . . . . . .6-6 A. Collecting and Discovering Factual Information . . .6-6 B. Variety of Methods Available . . . . . . . . . . . .6-6 C. Investigator Must Be Unbiased and Objective. . . . .6-7 D. Investigator Must Be Thorough. . . . . . . . . . . .6-8 VII. EVIDENCE. . . . . . . . . . . . . . . . . . . . . . . . .6-8 A. Quality of Evidence. . . . . . . . . . . . . . . . .6-8 1. Material Evidence . . . . . . . . . . . . . . .6-9 2. Relevant Evidence . . . . . . . . . . . . . . .6-9 3. Reliable Evidence . . . . . . . . . . . . . . .6-9 B. Types of Evidence. . . . . . . . . . . . . . . . . 6-10 1. Comparative Evidence. . . . . . . . . . . . . 6-10 2. Direct Evidence . . . . . . . . . . . . . . . 6-11 3. Statistical Evidence. . . . . . . . . . . . . 6-11 C. Sources of Evidence. . . . . . . . . . . . . . . . 6-11 1. The Complainant . . . . . . . . . . . . . . . 6-11 2. The Agency. . . . . . . . . . . . . . . . . . 6-12 3. Witnesses . . . . . . . . . . . . . . . . . . 6-12 4. Documentary Evidence. . . . . . . . . . . . . 6-13 D. Evidence on the Question of Remedies . . . . . . . 6-13 VIII. WITNESSES AND REPRESENTATIVES IN THE FEDERAL EEO PROCESS . . . . . . . . . . . . . . . . . . . . . . . . . 6-14 A. Disclosure of Investigative Material to Witnesses. 6-14 1. To the complainant. . . . . . . . . . . . . . 6-14 2. To other witnesses. . . . . . . . . . . . . . 6-14 B. Travel Expenses. . . . . . . . . . . . . . . . . . 6-14 1. Witness Employed by the Federal Government. . 6-14 2. Outside Complainant or Applicant Not Employed by Federal Government6-15. . . . . . . . . . . . . . C. Official Time. . . . . . . . . . . . . . . . . . . 6-15 1. Reasonable Amount of Official Time. . . . . . 6-15 2. Meeting and Hearing Time. . . . . . . . . . . 6-16 3. Preparation Time. . . . . . . . . . . . . . . 6-16 4. Aggregate Time Spent on EEO Matters . . . . . 6-16 5. Requesting Official Time. . . . . . . . . . . 6-17 6. Denial of Official Time . . . . . . . . . . . 6-17 D. Duty Status/Tour of Duty . . . . . . . . . . . . . 6-17 E. Use of Government Property . . . . . . . . . . . . 6-18 IX. COMPLAINT FILE. . . . . . . . . . . . . . . . . . . . . 6-18 A. Contents of the Complaint File . . . . . . . . . . 6-18 B. Features of the Complaint File . . . . . . . . . . 6-19 C. Format for the Complaint File. . . . . . . . . . . 6-19 D. Availability of Complaint Files. . . . . . . . . . 6-20 E. Disposition of Complaint Files . . . . . . . . . . 6-21 X. THE INVESTIGATIVE SUMMARY . . . . . . . . . . . . . . . 6-22 XI. COMPLAINANTS' OPPORTUNITY TO REVIEW THE INVESTIGATIVE FILE6-22 XII. SANCTIONS FOR FAILURE TO COOPERATE DURING THE INVESTIGATION6-23 XIII. SANCTIONS FOR FAILURE TO DEVELOP AN IMPARTIAL AND APPROPRIATE FACTUAL RECORD. . . . . . . . . . . . . 6-24 XIV. OFFER OF RESOLUTION. . . . . . . . . . . . . . . . 6-25 A. Elements of the Offer. . . . . . . . . . . . . . . 6-25 B. Model Language for the Offer . . . . . . . . . . . 6-26 Chapter 7 HEARINGS I. INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . .7-1 II. THE ROLE OF THE AGENCY AT THE HEARING STAGE . . . . . . .7-2 A. Forward Complaint File to EEOC . . . . . . . . . . .7-2 B. Hearing Room and Production of Witnesses . . . . . .7-3 C. Hearings are Closed to the Public. . . . . . . . . .7-3 D. Verbatim Hearing Transcripts and Court Reporters . .7-3 E. The Site of the Hearing. . . . . . . . . . . . . . .7-4 F. Request for Change in Venue. . . . . . . . . . . . .7-5 G. Agency Costs . . . . . . . . . . . . . . . . . . . .7-5 III. THE ROLE OF THE ADMINISTRATIVE JUDGE . . . . . . . .7-5 A. Administrative Judge's Review. . . . . . . . . . . .7-5 B. Developing the Record in Complaints with Inadequate Records. . . . . . . . . . . . . . . . . . . . . . .7-6 C. Dismissal of Complaint by Administrative Judge . . .7-8 D. Administrative Judge's Authority . . . . . . . . . .7-8 1. Issue decisions on complaints . . . . . . . . .7-8 2. Administer oaths. . . . . . . . . . . . . . . .7-8 3. Regulate the conduct of hearings. . . . . . . .7-8 4. Limit the number of witnesses . . . . . . . . .7-8 5. Order discovery . . . . . . . . . . . . . . . .7-9 6. Issue protective orders . . . . . . . . . . . .7-9 7. Exclude any person who is disruptive. . . . . .7-9 8. Issue decisions without a hearing . . . . . . .7-9 9. Limit the hearing to the issues in dispute. . .7-9 10. Impose appropriate sanctions on parties who fail to comply with orders or requests. . . . . . . . .7-9 11. Calculate compensatory damage awards. . . . . 7-10 12. Order a medical examination . . . . . . . . . 7-11 13. Calculate and award the amount of attorney's fees or costs. . . . . . . . . . . . . . . . . . . 7-12 14. Engage the parties or encourage the parties to engage in settlement discussions. . . . . . . 7-13 15. Issue an order determining full relief. . . . 7-13 16. Hold a hearing in abeyance. . . . . . . . . . 7-14 E. Decisions Without a Hearing. . . . . . . . . . . . 7-14 1. On Motion of a Party. . . . . . . . . . . . . 7-14 2. On Administrative Judge's Determination . . . 7-15 3. Oral Argument or Testimony on Summary Judgment Motion. . . . . . . . . . . . . . . . . . . . 7-15 4. Legal Standard for the Use of Summary Judgment7-15 F. Transmittal of the Decision and Hearing Record . . 7-16 IV. DISCOVERY . . . . . . . . . . . . . . . . . . . . . . . 7-16 A. Introduction . . . . . . . . . . . . . . . . . . . 7-16 1. General . . . . . . . . . . . . . . . . . . . 7-16 2. Avoidance of Delay. . . . . . . . . . . . . . 7-16 B. Right to Seek Discovery. . . . . . . . . . . . . . 7-17 1. Notice of Right to Seek Discovery . . . . . . 7-17 2. Discovery is Designed to Supplement the Record7-17 3. Discovery Time Frames Will Be Strictly Regarded7-17 C. Methods of Discovery . . . . . . . . . . . . . . . 7-17 1. Evidence may be developed using a variety of methods . . . . . . . . . . . . . . . . . . . 7-17 a. Interrogatories. . . . . . . . . . . . . 7-17 b. Depositions. . . . . . . . . . . . . . . 7-17 c. Stipulations . . . . . . . . . . . . . . 7-18 d. Requests for Admissions. . . . . . . . . 7-18 e. Requests for the Production of Documents 7-18 2. Informal methods of discovery . . . . . . . . 7-18 D. Discovery Procedures . . . . . . . . . . . . . . . 7-19 1. Commencing Discovery. . . . . . . . . . . . . 7-19 a. Requests for authorization to commence . 7-19 b. Exchange of requests . . . . . . . . . . 7-19 2. Response to Discovery Request . . . . . . . . 7-20 3. Failure to Respond to Request for Discovery . 7-21 4. The Administrative Judges Will Rule Expeditiously on Discovery Issues . . . . . . . . . . . . . 7-21 5. Administrative Judge's Orders to Comply . . . 7-22 6. Failure to Respond or Comply With Administrative Judge's Order May Result in Sanctions . . . . 7-22 E. Failure to Request Discovery Implies Waiver of Subsequent Requests for Documents . . . . . . . . . . . . . . 7-22 F. Cost of Discovery. . . . . . . . . . . . . . . . . 7-23 V. EXCLUSION AND DISQUALIFICATION. . . . . . . . . . . . . 7-23 A. Exclusion from a Hearing . . . . . . . . . . . . . 7-23 1. Relationship to other sanctions . . . . . . . 7-24 2. Preventive measures . . . . . . . . . . . . . 7-25 3. General standard for exclusion. . . . . . . . 7-25 4. Standard for exclusion of representative. . . 7-26 5. Procedure for exclusion . . . . . . . . . . . 7-26 B. Disqualification of a Representative from Future Hearings . . . . . . . . . . . . . . . . . . . . . . . . . 7-28 1. Standard for suspension and disqualification. 7-28 2. Procedure for suspension and disqualification 7-28 C. Referral of Attorney Representatives to Bar Association . . . . . . . . . . . . . . . . . . . . . . . . . 7-29 Chapter 8 COMPLAINTS OF CLASS DISCRIMINATION IN THE FEDERAL GOVERNMENT I. INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . .8-1 II. PRE-CERTIFICATION PROCEDURES. . . . . . . . . . . . . . .8-1 A. Pre-Complaint Processing . . . . . . . . . . . . . .8-1 B. Filing and Presentation of the Class Complaint . . .8-2 III. CERTIFICATION OR DISMISSAL § 1614.204(d). . . . . . . .8-3 A. Class Complaint Criteria . . . . . . . . . . . . . .8-4 B. Developing the Evidence for Purpose of Certification Determination. . . . . . . . . . . . . . . . . . . .8-4 C. Individual Complaints Filed on Bases and Issues Identical to Class Complaints. . . . . . . . . . . . . . . . .8-4 IV. CERTIFICATION DECISION § 1614.204(d)(7) . . . . . . . .8-5 A. Administrative Judge Issues Decision on Certification8-5 B. Transmittal of Decision. . . . . . . . . . . . . . .8-5 C. Right to Appeal the Administrative Judge's Decision.8-6 V. NOTIFICATION § 1614.204(e). . . . . . . . . . . . . . .8-6 A. Timing and Method of the Notice. . . . . . . . . . .8-6 B. Content of the Notice. . . . . . . . . . . . . . . .8-7 C. Individuals May Not Opt Out. . . . . . . . . . . . .8-7 D. Settlement Notice. . . . . . . . . . . . . . . . . .8-7 VI. DEVELOPING THE EVIDENCE § 1614.204(f) . . . . . . . . .8-7 A. The Process of Developing the Evidence . . . . . . .8-7 B. Use of Agency Facilities by Class Agent. . . . . . .8-8 VII. RESOLUTION § 1614.204(g) . . . . . . . . . . . . .8-9 A. Resolution by the Parties. . . . . . . . . . . . . .8-9 B. Notice of Proposed Resolution. . . . . . . . . . . .8-9 C. Administrative Judge Shall Review Resolution . . . .8-9 VIII. HEARING §§ 1614.204(h) and (i) . . . . . . . . . 8-10 A. Hearing Procedures . . . . . . . . . . . . . . . . 8-10 B. Site of the Class Hearing. . . . . . . . . . . . . 8-10 C. Travel Expenses . . . . . . . . . . . . . . . . . 8-10 D. Official Time for Agency Employees . . . . . . . . 8-11 IX. ADMINISTRATIVE JUDGE'S RECOMMENDED DECISION . . . . . . 8-11 X. AGENCY DECISION § 1614.204(j) and (k) . . . . . . . . 8-12 A. Action on Administrative Judge's Report of Findings and Recommendations. . . . . . . . . . . . . . . . . . 8-12 B. Required Features of the Agency Final Decision . . 8-12 C. Binding Nature of Agency Decision. . . . . . . . . 8-12 D. Notification of Agency Final Decision. . . . . . . 8-13 XI. RELIEF FOR INDIVIDUAL CLASS MEMBERS § 1614.204(l) . . 8-13 A. Claims for Individual Relief by Class Members Where Discrimination is Found8-13. . . . . . . . . . . . . . B. Timing of Agency Decision on Individual Claims for Relief . . . . . . . . . . . . . . . . . . . . . . . . . 8-13 C. Oversight of Individual Claims for Relief. . . . . 8-14 D. Limits on the Duration of a Finding of Class-Wide Discrimination . . . . . . . . . . . . . . . . . . 8-15 E. Where Class-Wide Discrimination is Not Found . . . 8-15 XII. REPRISAL. . . . . . . . . . . . . . . . . . . . . . . . 8-16 Chapter 9 APPEALS TO THE COMMISSION I. INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . .9-1 II. ADVISING THE PARTIES OF THEIR APPEAL RIGHTS . . . . . . .9-2 A. Rights Following Administrative Judge Issuance of a Decision . . . . . . . . . . . . . . . . . . . . . .9-2 1. Merits/Class Certification Cases. . . . . . . .9-2 2. Procedural Dismissal. . . . . . . . . . . . . .9-3 3. Class Action Settlement Agreements. . . . . . .9-3 B. Agency Final Action. . . . . . . . . . . . . . . . .9-4 1. Agency Final Action . . . . . . . . . . . . . .9-4 2. Notice of Rights. . . . . . . . . . . . . . . .9-4 a. Full Implementation. . . . . . . . . . . .9-4 b. Less than Full Implementation. . . . . . .9-5 C. Agency Final Decision. . . . . . . . . . . . . . . .9-5 D. Agency Procedural Decision . . . . . . . . . . . . .9-6 E. Mixed Case Complaints. . . . . . . . . . . . . . . .9-6 III. PERSONS WHO MAY APPEAL. . . . . . . . . . . . . . . . . .9-6 A. A Complainant May Appeal . . . . . . . . . . . . . .9-6 B. An Agency Must Appeal. . . . . . . . . . . . . . . .9-7 C. An Agency May Appeal . . . . . . . . . . . . . . . .9-7 D. A Class Agent May Appeal . . . . . . . . . . . . . .9-8 E. A Class Member May Appeal. . . . . . . . . . . . . .9-8 F. A Grievant May Appeal. . . . . . . . . . . . . . . .9-9 IV. FILING THE APPEAL AND RESPONSE. . . . . . . . . . . . . .9-9 A. How to Appeal. . . . . . . . . . . . . . . . . . . .9-9 B. Service of Notice of Appeal. . . . . . . . . . . . 9-11 C. Dismissal of Appeal. . . . . . . . . . . . . . . . 9-11 D. Briefs and Supporting Documents. . . . . . . . . . 9-11 E. Statements in Opposition to an Appeal. . . . . . . 9-11 F. Submission of Case File. . . . . . . . . . . . . . 9-12 V. APPELLATE PROCEDURE . . . . . . . . . . . . . . . . . . 9-12 A. Appeal Will Be Acknowledged. . . . . . . . . . . . 9-12 B. Where Record is Complete . . . . . . . . . . . . . 9-12 C. Where Record Requires Supplementation. . . . . . . 9-13 D. Sanctions. . . . . . . . . . . . . . . . . . . . . 9-13 E. Appeals Decisions are Final. . . . . . . . . . . . 9-14 VI. STANDARDS OF REVIEW ON APPEAL . . . . . . . . . . . . . 9-14 A. Review of Final Decisions Issued by the Agency . . 9-15 B. Review of Decisions Issued by Administrative Judges9-15 C. The Responsibility of the Parties. . . . . . . . . 9-17 VII. RECONSIDERATION . . . . . . . . . . . . . . . . . . . . 9-17 A. Reconsideration is Not an Appeal . . . . . . . . . 9-17 B. Reconsideration Procedures . . . . . . . . . . . . 9-18 C. Reconsideration Decision is Final. . . . . . . . . 9-18 VIII. REMEDIES . . . . . . . . . . . . . . . . . . . . . 9-18 A. An Agency Shall Provide Full Relief After Finding Discrimination . . . . . . . . . . . . . . . . . . 9-18 B. Clear and Convincing Standard Needed to Limit Relief; Duty to Cure Discrimination Remains. . . . 9-19 C. Interest on Back Pay . . . . . . . . . . . . . . . 9-19 D. Offer of a Position Must Be in Writing . . . . . . 9-19 E. Compensatory Damages . . . . . . . . . . . . . . . 9-19 F. Attorney's Fees: 29 C.F.R. § 1614.501(e) . . . . . 9-20 G. Computation of Service Time. . . . . . . . . . . . 9-20 H. Relief in Class Cases. . . . . . . . . . . . . . . 9-20 IX. COMPLIANCE. . . . . . . . . . . . . . . . . . . . . . . 9-20 A. Relief Ordered in a Decision on Appeal . . . . . . 9-20 B. Interim Relief9-21 . . . . . . . . . . . . . . . . . . C. Sanctions. . . . . . . . . . . . . . . . . . . . . 9-22 D. Priority Consideration for Cases Remanded for Investigation. . . . . . . . . . . . . . . . . . . 9-23 E. Remand of Dismissed Claims . . . . . . . . . . . . 9-23 F. Complainant May File an Appeal Alleging a Breach of a Settlement Agreement . . . . . . . . . . . . . . . 9-23 G. Complainant May Petition the Commission for Enforcement of a Decision Issued Under the Commission's Appellate Jurisdiction9-23 H. Complainant May Appeal to the Commission for Enforcement of an Agency Final Action. . . . . . . . . . . . . 9-24 X. CIVIL ACTIONS . . . . . . . . . . . . . . . . . . . . . 9-24 XI. NOTICE REQUIREMENTS. . . . . . . . . . . . . . . . 9-24 Chapter 10 ADMINISTRATIVE APPEALS, CIVIL ACTIONS AND APPOINTMENT OF COUNSEL I. INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . 10-1 II. ADMINISTRATIVE APPEALS. . . . . . . . . . . . . . . . . 10-1 A. Time Limits for Appeals to the Commission 29 C.F.R § 1614.402 . . . . . . . . . . . . . . . . . . . . . 10-1 B. Appeals to the Commission § 1614.504(a). . . . . 10-3 C. Petitions to Consider MSPB Decisions . . . . . . . 10-4 D. Appeal to MSPB on Mixed Case Complaint . . . . . . 10-4 III. CIVIL ACTIONS . . . . . . . . . . . . . . . . . . . . . 10-4 A. Time Limits for Civil Actions. . . . . . . . . . . 10-4 1. Title VII, Age Discrimination in Employment Act, Rehabilitation Act § 1614.407 . . . . . . . 10-4 2. The Equal Pay Act § 1614.408. . . . . . . . 10-5 B. Termination of EEOC Processing . . . . . . . . . . 10-5 C. Mixed Case Complaints. . . . . . . . . . . . . . . 10-5 IV. NOTICE OF COMPLAINANT'S RIGHT TO REQUEST COURT APPOINTMENT OF COUNSEL AND STATEMENT OF RIGHT TO APPEAL . . . . . . 10-5 Chapter 11 ATTORNEY'S FEES AND COSTS I. INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . 11-1 II. DETERMINATION OF PREVAILING PARTY STATUS. . . . . . . . 11-1 III. PRESUMPTION OF ENTITLEMENT . . . . . . . . . . . . . . 11-2 IV. AWARDS TO PREVAILING PARTIES IN NEGOTIATED SETTLEMENTS. 11-3 V. AWARDS OF COSTS AND FEES FOR EXPERT AND NON-LAWYER SERVICES11-4 VI. COMPUTATION OF ATTORNEY'S FEES. . . . . . . . . . . . . 11-5 VII. CONTENTS OF FEE APPLICATION AND PROCEDURE FOR DETERMINATION . . . . . . . . . . . . . . . . . . . . . 11-8 VIII.MISCELLANEOUS ISSUES . . . . . . . . . . . . . . . . . 11-10 Chapter 12 SETTLEMENT AUTHORITY I. INTRODUCTION . . . . . . . . . . . . . . . . . . . . . 12-1 II. AUTHORITY . . . . . . . . . . . . . . . . . . . . . . . 12-1 III. TITLE VII AUTHORITY INDEPENDENT OF BACK PAY ACT . . . . 12-3 IV. NO FINDING OF DISCRIMINATION NECESSARY FOR SETTLEMENTS. 12-5 V. CASH AWARDS WITHOUT CORRESPONDING PERSONNEL ACTIONS . . 12-5 VI. PERSONNEL ACTIONS WITH LUMP SUM PAYMENTS . . . . . . . 12-6 VII. IMPLEMENTING SETTLEMENT AGREEMENTS . . . . . . . . . . 12-7 APPENDICES Appendix A EEO Counseling Techniques Appendix B EEO Counselor Checklist Appendix C Information on Other Procedures Appendix D Notice of Possible Applicability of 5 U.S.C. 7121(d) to Alleged Discriminatory Action Appendix E Sample Resolution Letter Appendix F Notice of Right to File a Discrimination Complaint Appendix G EEO Counselor's Report Appendix H EEOC Notice Alternative Dispute Resolution Appendix I Appealable Actions -- 5 C.F.R. Appendix J Equal Employment Opportunity Commission District Offices and Geographic Jurisdictions Appendix K Notice of Appeal/Petition (EEOC Form 573) not yet available Appendix L Model Analyses Appendix M Sample Title Page Appendix N Request for a Hearing Form
This page was last modified on September 30, 2003.