Chief Operating Officer Leonora L. Guarraia swears in Commisioner Leslie E. Silverman, with her husband, Jon Bernstein
We are very pleased to present the Equal Employment Opportunity Commission's Annual Report for Fiscal Year (FY) 2002. In its pages, you will learn who we are; what we do; where we are going in this new century of exciting, yet challenging workplace issues; and how we will get there.
EEOC has a unique and rich history. Our mission captures the promise of America and the mandate of our times: that no worker be left behind for reasons as wasteful and abhorrent as prejudice and discrimination. EEOC has a pivotal role to play as we build a single nation of justice and opportunity. The Commission is keeper of laws reflecting the will of a people who envisioned a country defined by freedoms – freedom of expression, freedom of religion and freedom of economic opportunity – regardless of personal characteristics or circumstances of birth. In order to make full use of our nation's human capital, we must promote workplace practices that allow all workers to achieve their full potential and to make their full contributions.
During my first year at the agency, I enjoyed close
collaborations with fellow commissioners in all aspects of
EEOC's policy initiatives and other activities. In FY 2002,
we merged our ideas, energies and connections with stakeholders
toward three major strategic goals:
In FY 2002, EEOC operated at the most efficient levels in the Commission's history. We resolved charges more proficiently, simultaneously enhanced public outreach and education, and ended the year with the lowest charge inventory in 31 years. We managed, and will continue to manage, the Commission's activities through a Five-Point Plan.
FY 2002 brought challenges that tested our resolve, most notably the terrorist attacks of September 11, 2001, which destroyed our New York District Office at 7 World Trade Center. Additionally, the number of charges filed with the Commission – 84,442 – was one of the highest ever recorded. We embraced our responsibilities under the President's Management Agenda, New Freedom Initiative and Guidelines for Ensuring and Maximizing Information Quality – and launched our own Freedom to Compete campaign. Additionally, EEOC implemented innovative technologies to enhance management information systems throughout the agency and bench marking systems to track our program activities.
In front-line program areas, notably enforcement and outreach, we not only met, but surpassed, our own expectations. EEOC's National Mediation Program secured the highest number of resolutions since its inception. Through education, training and technical assistance efforts, we reached 360,000 people. Another nearly three million people visited our upgraded web site. But we have far to go to reach renewed goals, stay abreast of changing demographics and global competition, and meet evolving expectations in the face of an uncertain economy and national security concerns.
Mindful of the need to reduce paper and maximize information quality, this is a condensed Annual Report. Even so, the pages show the full range of what EEOC does, internally and externally, program by program, because we want our stakeholders to know how we work, as well as why we work. The Commission is proud of every accomplishment, innovation, idea and person in the agency. For it is EEOC's people, from Los Angeles to New York, Miami to Seattle, who reach out with education, training, enforcement and hope to touch the lives and guard the futures of America's 137 million workers. It is a privilege to serve the American public.
For more information about EEOC's mission and the laws we enforce, please visit our web site at www.eeoc.gov.
Cari M. Dominguez, Chair
SUMMARY OF FY 2002 ENFORCEMENT AND OUTREACH
COMMISSION'S RESPONSE TO SEPTEMBER 11th
POLICY AND PROGRAM INITIATIVES
EEOC's Freedom to Compete Initiative
The President's New Freedom Initiative
The President's Management Agenda
Office of Field Programs (OFP)
Office of Federal Operations (OFO)
Office of General Counsel (OGC)
Office of Equal Opportunity (OEO)
Office of the Chief Financial Officer and Administrative Services (OCFOAS)
Office of Communications and Legislative Affairs (OCLA)
Office of Human Resources (OHR)
Office of Research, Information and Planning (ORIP)
Office of Information Technology (OIT)
Office of Inspector General (OIG)
PREVIEW OF FISCAL YEAR 2003 ACTIVITIES
Alternative Dispute Resolution
District Office Jurisdictional Map
The EEOC was established by Title VII of the Civil Rights Act of 1964 and began operating on July 2, 1965. EEOC enforces these federal statutes:
With its headquarters in Washington, D.C., and through the operations of 51 field offices nationwide, EEOC coordinates all federal equal employment opportunity (EEO) regulations, practices and policies. The Commission interprets employment discrimination laws, monitors and conducts hearings in the federal sector employment discrimination program, sponsors outreach and technical assistance programs, and provides funding and support to state and local Fair Employment Practices Agencies (FEPAs) charged with enforcing anti-discrimination laws on state and local levels.
EEOC has five commissioners (appointed for staggered five-year terms) and a General Counsel (appointed for a four-year term) who are nominated by the President and confirmed by the Senate. The President designates a Chair, who serves as chief executive officer of the Commission, as well as a Vice Chair. The Commissioners make policy and approve most litigation.
Throughout FY 2002, Cari M. Dominguez was Chair of the Commission. Paul M. Igasaki served as Vice Chair until his term expired on August 31, 2002. Commissioner Leslie E. Silverman was sworn in on March 7, 2002. Commissioner Paul Steven Miller continued service in his third consecutive term. The General Counsel position, along with the fifth commissioner seat, were vacant.
Any individual who believes that he or she has been discriminated against in employment may file an administrative charge with EEOC. After investigating the charge, EEOC determines if there is "reasonable cause" to believe that discrimination has occurred. After a reasonable cause determination, EEOC attempts to conciliate the charge by reaching a voluntary resolution between the charging party and the respondent. If conciliation is not successful, the Commission may bring suit in federal court. As part of the administrative process, EEOC may issue a Right-to-Sue-Notice to a charging party, allowing that individual to file a private action in court without the agency's involvement. EEOC also offers mediation as an alternative means of dispute resolution. Rather than initially going through the traditional charge investigation process, the parties may first elect to resolve the charge voluntarily with the help of a neutral mediator.
Through the use of contractual work-sharing agreements, EEOC and the FEPAs automatically dual-file charges of discrimination under both federal and, where they exist, state and/or local laws. This arrangement avoids duplication of effort while ensuring that a charging party's rights are protected under all applicable laws.
EEOC's budget for FY 2002 was $310.4 million. The total number of agency staff nationwide, at headquarters and field offices, was 2,782 at the end of the year.
Chief Operating Officer Leonora L. Guarraia swears in
Commisioner Leslie E. Silverman, with her husband, Jon
Bernstein
In FY 2002, EEOC received 84,442 charges, 5% more than the 80,840 received in FY 2001. Through administrative resolutions and mediation, EEOC also obtained a record $310.5 million in monetary benefits for victims of employment discrimination, a 3.8% increase over the FY 2001 figure of $299.0 million. Other achievements in the private sector program include the following:
In FY 2002, EEOC's National Mediation Program secured 7,858 resolutions – the highest number ever – an increase of 13% over the previous year's 6,987. More than $111.5 million in benefits were realized from mediation resolutions, compared with $90.3 million obtained in FY 2001. Other achievements include the following:
EEOC continued to enhance the hearings program in its field offices and to curb the growth of the hearings inventory. At the end of FY 2002, the federal sector hearings inventory had decreased from 11,659 hearing requests pending at the end of FY 2001 to 10,072, a 14% decline. Additionally, $91 million in benefits were obtained for a total of 15,147 people.
Other highlights include:
FEPA charge receipts increased by 9%, from 58,303 in FY 2001 to 63,376 in FY 2002. During the year, FEPAs transferred a net total of 7,258 charges into EEOC's workload. FEPAs resolved 58,459 charges, 7% more than during the previous year. The FEPA pending inventory decreased to 65,833 from 66,170 in FY 2001.
The Commission, including both field and headquarters offices, hosted 4,136 educational, training and outreach events which reached 360,836 people. These figures compare with 3,233 events reaching 257,320 persons during FY 2001.
Four major types of events – 1,532 presentations, 654 training sessions (including Revolving Fund events), 251 stakeholder input meetings, and 250 expanded presence activities providing individual counseling and assistance to underserved constituents – reached 158,619 persons. Compared with FY 2001, the number of presentations increased by 43%, training events increased by 15%, and the number of persons reached through these major types of events grew by 36%.
Commissioner Silverman was especially busy on this front, traveling to Baltimore; Chandler, Arizona; Chicago; Dallas; New York; Philadelphia; San Diego; and around Washington, D.C. to provide outreach on the advantages of mediation as a form of alternative dispute resolution (ADR) in EEO disputes. She also led a focus group comprised of American Bar Association members to study the EEOC's private sector National Mediation Program. The group was formed to evaluate widespread acceptance and credibility of the program, identify its strengths and weaknesses, and make recommendations for improvement.
EEOC representatives distributed EEO informational materials at and attended 650 other public events with a combined audience of 122,744 persons. These events included information booths at job fairs, conventions, cultural expositions and conferences, and participation in many community organizations' meetings. The agency's offices sent informational materials out to another 79,265 persons. Field staff made 508 media presentations, including radio and television interviews, talk shows and press conferences – an increase of 85% over last year – that provided substantive EEO information to many thousands of stakeholders.
"My most moving experience has been welcoming back home
the seal of our New York office which was found in the rubble
of Ground Zero by retired firefighter John Misha"
As the close of FY 2001 approached, EEOC's New York District Office (NYDO) was destroyed in the terrorist attacks of September 11, 2001. The next day, an internal task force was established to restore agency services to the New York area. All EEOC departments aided this effort quickly and resolutely. Communication to staff, stakeholders, media and the public was immediately established, including a special-access web site for New York employees, the posting of Frequently Asked Questions and Answers on EEOC's main web site, a server based at headquarters for NYDO staff to access e-mail and field communications, and media access to EEOC spokespersons.
Limited operations of the NYDO were resumed out of EEOC's Newark Area Office in New Jersey effective October 3, 2001. Temporary space for the NYDO was secured and the office moved its operations to 201 Varick Street in Manhattan on October 17. NYDO management developed a complex work plan that implemented teleworking, staff rotation schedules, office sharing, volunteer flexi-place schedules, and continued staff presence at the Newark site.1
Through expansive coordination and cooperation with its stakeholders – charging parties, respondents, complainants, federal agencies, defense and plaintiff attorneys, and courts all providing copies of existing records – the NYDO was able to successfully complete the daunting task of reconstructing 950 enforcement charge files, 960 hearings complaint files and 45 pending litigation files, 60% of which were class cases, some of which had thousands of class members. To ensure direct contact and continued services to all stakeholders, contact letters were sent to each party with matters pending before the NYDO on September 11. To keep charging parties, respondents and class members apprised of the status of litigation pending with Fair Employment Practices Agencies (FEPAs), open letters were developed and posted on EEOC's web site.
Immediately following September 11, as lead agency, EEOC joined with the Departments of Justice and Labor to issue a statement reaffirming the government's commitment to the federal anti-discrimination laws. The statement focused on preventing and redressing incidents of harassment, discrimination and violence in the workplace, including any acts directed toward individuals who are, or are perceived to be, Arab, Muslim, Middle Eastern, South Asian or Sikh. EEOC also issued a fact sheet on discrimination based on religion, ethnicity or country of origin and created a special section on its web site devoted to post-September 11th employment issues.
Throughout the year, all of EEOC's commissioners were personally involved in nationwide outreach efforts to urge workplace tolerance and guard against unlawful discrimination based on national origin or religion. These efforts included partnerships with various Arab and Islamic organizations, including civil rights groups, neighborhood and student groups, mosques and Sikh temples. Programs were held in approximately 50 cities around the country. Additionally, EEOC sponsored or coordinated programs with other governmental agencies and organizations, including FEPAs; the Departments of Justice, Education, Housing and Urban Development; the Federal Aviation Administration; and the National Association of Attorneys General.
In order to track charges alleging employment discrimination related to the events of September 11, EEOC created a new database code, "Process Type Z." Between September 11, 2001, and September 10, 2002, 654 such charges were filed under Title VII alleging a combination of national origin, race and religious discrimination. Discharge and harassment were the most frequently cited issues. By the end of the one-year period, 449 Type Z charges had been closed, 95 of them with merit resolutions.
Courageous and dedicated New York District Office staff in
temporary Varick Street office ready to carry on the mission of
EEOC
Vice Chair Igasaki addresses Asian American Bar Association
Both to further the agency's mission and to respond to external events, EEOC integrated several strategic initiatives into every facet of its policies and programs.
EEOC's Five-Point Plan provides the foundation for the agency's vision and the framework for its operations. It is a broad, progressive approach reliant upon seeking out strategic alliances both within and outside the agency to enhance the effectiveness of all programs and services. The plan serves as a guide for exploring ways to make the best use of EEOC data, information and experiences. The plan places a premium on coordination, innovation and results.
There are several key reasons that EEOC's mediation program has been successful. First, mediation can be particularly effective when it is scheduled early in the process, before the parties become entrenched in their positions. Second, it is typically much faster than the traditional enforcement process. Third, unlike an investigation, the object of mediation is not fact finding. The parties can avoid having to respond to lengthy data requests. There are no witnesses involved. Mediators do not determine who is right or wrong. Perhaps most important, mediation leaves room for good will and workplace harmony.
In FY 2002, EEOC also expanded the use of ADR in the agency's federal sector program by continuing to explore new and different ADR approaches.
Freedom to Compete broadens EEOC's outreach activities by building partnerships and strategic alliances with groups and organizations not traditionally engaged with the agency. This initiative's goals are to attract, involve and commit influential groups and opinion leaders in partnering efforts to promote equal employment opportunity by removing workplace barriers that obstruct fair and open competition.
Through collaborative efforts, Freedom to Compete seeks to drive change in the workplace. In FY 2002, the Commission launched a series of meetings with a cross-section of stakeholders nationwide to explore partnering opportunities to more proactively address 21st century workplace issues. Outreach efforts included roundtable discussions, public service announcements, media presentations, work toward a best practices clearinghouse, and a more user-friendly and useful web site.
(Left to right) Lex Frieden, Chairperson of the National Council on Disability; Joe Bontke, EEOC Program Analyst; Richard Lane of Continental Airlines; Wendy Wilkenson, Director of the Disability and Business Technical Assistance Center on the ADA; and Laurie Redd of the Institute of Rehabilitation and Research discuss plans for a training video on workplace accomodations for people with disabilities.
In 2001, President Bush launched the New Freedom Initiative (NFI), a comprehensive strategy to build a single nation of justice and opportunity by achieving full integration of individuals with disabilities into all aspects of the nation's social and economic life. Because the unemployment rate of people with disabilities is estimated as high as 70%, access to employment is a critical aspect of full integration. As the agency responsible for enforcing the employment provisions of the ADA, EEOC worked closely with other federal agencies and the White House to implement the NFI in the nation's workplaces. Since the NFI emphasizes telework and assistive technologies as ways to increase the scope of employment for people with disabilities, this year EEOC began developing initiatives on both trends to aid employers with their obligation to provide reasonable accommodations.
The President's Management Agenda envisions a citizen-centered, results-oriented and market-based federal government. The President's Management Council, the Office of Management and Budget and the Office of Personnel Management have developed standards for success for each of five government-wide objectives, which are: strategic management of human capital, competitive sourcing, improved financial performance, expanded electronic government, and budget and performance integration. An Executive Branch Management Scorecard uses a simple grading system on which green signifies "success." EEOC has incorporated the agenda's objectives into the operations of all of its offices and programs, with the overall goal of "getting to green."
The Office of Field Programs' primary responsibility is the administrative enforcement of federal statutes prohibiting employment discrimination in the public and private sectors. EEOC has 51 offices throughout the country whose staff investigate charges and systemic cases, as well as conduct litigation.
OFP facilitated a record 4,136 outreach, education and technical assistance activities, reaching 360,836 people nationwide – including 347 no-cost events directed toward small business audiences attended by 13,530 individuals. These activities served EEOC's broad range of stakeholders and fostered ongoing relationships with individuals and organizations who share the common goal of ensuring equal employment opportunity in the workplace. Under the auspices of its Educational and Technical Assistance Revolving Fund2, EEOC continued to offer specialized and in-depth training and technical assistance to more than 24,000 individuals in private companies and government agencies. These services were accomplished through a variety of venues, including Technical Assistance Program Seminars (TAPS), customized on-site training at an employer's workplace, scheduled course offerings and direct sale of training tools and products.
EEOC field offices conducted 375 outreach events focused specifically on reaching the employer community to promote participation in the agency's mediation program and to discuss any reservations on behalf of employers about giving mediation a try. Throughout the year, OFP met with employer groups, such as the Society for Human Resource Management and the Equal Employment Advisory Council, and with ADR advocacy groups, such as the Association for Conflict Resolution, to learn more about the potential of ADR to resolve EEO conflicts. Also OFP staff often served as keynote speakers at TAPS held throughout the year to emphasize the benefits of the mediation program.
OFP helped produce the nationwide employee training program "Effective Negotiation and Resolution," with interactive exercises tailored to the work of the agency's legal and enforcement field staff, which was attended by more than 1,100 people. EEOC also sponsored the 2002 EEOC/FEPA National Training Conference to share best practices with FEPA partners on methods for proficient charge processing and resolution and to demonstrate how the Integrated Mission System (IMS) can enhance caseload management, as well as efficiently assist in tracking cases from intake through litigation.
EEOC also continued its commitment to expand the agency's presence in under-served communities and geographic regions by meeting with stakeholder groups, conducting community forums and town hall meetings, and performing off-site counseling. OFP was instrumental in forming partnerships with federal, state and local government agencies; employer groups, such as chambers of commerce and Industry Liaison Groups (ILGs); and employee/advocacy groups to conduct outreach, education and technical assistance activities. Additionally, EEOC worked with 64 Tribal Employment Rights Offices (TEROs) around the country to provide information and training about employment issues affecting Native Americans, and to enhance employment opportunities for Native Americans.
Inventory management was a high priority. Continuation of Priority Charge Handling Procedures culminated in the lowest pending private sector inventory in more than 30 years. From a historic peak of more than 111,000 charges back in 1995, the pending private sector inventory was reduced to just over 29,000 charges by the end of FY 2002. The average time to process a charge was reduced to 171 days. EEOC resolved approximately 95,000 charges, 6% more than in FY 2001, securing more than $310 million in relief which went directly to victims of discrimination. Additionally, some charging parties secured non-monetary benefits, such as being placed in a training program or an employer-instituted program to prevent workplace harassment.
The principal challenge faced by field offices in FY 2002 was how to be more effective, with fewer resources, in eliminating discrimination. Innovative strategies in investigations and conciliations led to faster, better and cheaper outcomes, as in the following examples:
During this year, field offices tackled novel EEO issues and worked with respondent employers to implement creative forms of relief for victims of discrimination. The following are a few examples:
In FY 2002, EEOC renewed its commitment to Executive Order 12067, which calls for the agency to reinvigorate its role as the lead federal civil rights agency for coordinating employment discrimination policy. The Commission began a thorough review of its federal sector hearings program with the intention of incorporating "lessons learned" from its private sector program to further efficient and effective resolution of complaints at the hearings stage.
EEOC finalized and implemented in its district offices a new Handbook for Administrative Judges covering the gamut of issues involved in the federal sector hearings process.
FY 2002 was a record-breaking year for EEOC's National Mediation Program. In addition to resolving more than 7,800 charges, the settlement rate using this form of ADR was 68%. The average time to mediate a charge was only 82 days, compared with a 171-day processing average for all charges. Additionally, mediation sessions yielded more than $111 million in monetary benefits for charging parties.
Customer feedback has been equally favorable. A previous year's independent study found that 96% of participating respondents, and 91% of charging parties, were happy with the mediation process and would be willing to try it again if party to an EEOC charge. In FY 2002, 30% of employers offered mediation, and 83% of charging parties, agreed to participate.
During the year, OFP offered mediation at additional stages of the enforcement process. Previously, EEOC had not offered mediation as an option for charges deemed more likely to emerge as meritorious after a complete investigation. Also for the first time, charges in conciliation – that is, those with reasonable cause findings and in the process of talks with the employer about working out a voluntary agreement – became eligible for mediation.
One particular example clearly demonstrates just how effective ADR can be in resolving a charge at any time. A mediation conducted by EEOC's Tampa Area Office addressed 26 separate race discrimination charges filed against a single employer. The charges were so far along in the enforcement process that conciliation talks already had commenced. Nonetheless, a successful "marathon" mediation session was held, beginning at 9:00 a.m. one day and continuing through 9:00 a.m. the next day, with all of the charging parties participating.
The agency pursued Universal Agreements to Mediate (UAMs) as one strategy to bring more charges into mediation. Participating employers agree to mediate all eligible charges filed with EEOC naming them as respondents, as long as charging parties are also willing. Either party can still opt out of mediation on a case-by-case basis. National UAMs cover an employer's facilities nationwide. Local UAMs pertain to a geographic area within the jurisdiction of a particular EEOC district office. By year's end, EEOC had more than tripled the number of UAMs in place, with three established national UAMs and 109 local UAMs spanning 19 field offices.
OFP also increased use of ADR in the federal sector hearings program, which contributed to a 29% increase in the number of settlements and withdrawals for the year. EEOC and the U.S. Postal Service (USPS) jointly implemented a mediation program to resolve complaints against the USPS, aimed at achieving a mutually satisfactory outcome without a hearing. A separate nationwide pilot program implemented in EEOC's district offices encouraged the use of different types of ADR to resolve cases at the hearings stage of the process. The federal sector hearings inventory was reduced by 13.6% to 10,072 cases by the end of the year.
The best way to combat discrimination is to prevent it from happening in the first place. The Birmingham District Office discusses issues of mutual concern with stakeholders.
Sandra Simmons, Jeffrey Morgan and Erania Ebron of EEOC New Orleans District Office Legal Unit
Angela Lamebull, Tribal Employment Rights Office (TERO) Director for the KIOWA Tribe of Oklahoma; EEOC Dallas District Mediator Gloria Smith; and Jeff Foster, TERO Director for the Four Tribes of Oklahoma, at an outreach seminar.
The Office of Federal Operations develops policy guidelines for federal agencies' affirmative employment programs. OFO provides guidance and oversees a hearings program for federal discrimination complaints. In accordance with EEOC regulations found at 29 C.F.R. Part 1614, OFO adjudicates appeals from federal agency decisions on EEO complaints and negotiated bargaining agreements where allegations of discrimination are raised. Also, OFO provides federal sector EEO training under the auspices of the Commission's Revolving Fund.
Because the costs of discrimination are so very high, OFO is committed to proactive prevention – providing federal agencies, federal employees and applicants, the public, and all stakeholder organizations – with clear and easy-to-access information on how to comply with federal anti-discrimination statutes.
In FY 2002, OFO greatly expanded its outreach, education and technical assistance activities through the Commission's Revolving Fund. Examples include a 16-hour EEO Training Course for Managers, initially developed for the U.S. Environmental Protection Agency and delivered during more than 60 onsite visits, and EEO counselor and investigator courses delivered across the country. Additional training courses and products under development included a multi-day course on final agency decision writing. OFO expanded the availability of and access to federal sector informational materials and publications; continued to provide no-cost speakers for engagements addressing EEO matters within the federal government; and coordinated an ADR web page posted on EEOC's web site to provide basic ADR information for interested federal employees as well as detailed information for agencies' ADR professionals.
The 2002 EXCEL federal sector training conference had the highest and most geographically diverse attendance in its five-year history, with a total of 545 federal managers, attorneys and employee representatives participating. The acronym for this annual four-day event stands for "Examining Conflicts in Employment Laws." New this year was a "Best Practices" panel of EEO directors from both large and small agencies who provided valuable insights on practices and challenges facing their profession in the 21st century.
During the year, OFO conducted 159 training events reaching 6,500 people who have responsibilities within the federal sector discrimination complaint process. EEO counselor "refresher" courses and new investigator courses were delivered to a variety of agencies, as well. EEOC offered 29 additional courses in EEO counseling and investigating federal sector EEO complaints nationwide, drawing more than 800 participants.
Taking proficient resolution to the heart of its operations, OFO resolved 9,452 appeals, a slight increase from the 9,333 resolutions issued in FY 2001. In doing so, OFO dramatically reduced the appellate inventory to 4,809, a 36.2% reduction from FY 2001. Furthermore, OFO reduced the age of the remaining open appellate inventory to 256 days, a 40.4% reduction from the previous year. The inventory of appeals more than 500 days old was reduced from 2,884 in FY 2001 to 660 in FY 2002 – a 77% reduction. In addition, OFO resolved 40.3% of new appeals received in FY 2002 within 180 days. Moreover, OFO attorneys issued 14% more findings of discrimination as compared with the previous year. OFO issued a total of 4,383 merits decisions – 227, or 5.2%, with findings of discrimination. As the result of compliance monitoring of appellate decisions, OFO obtained $16.9 million in monetary benefits – a record amount – for complainants.
In response to widespread requests by stakeholders, OFO streamlined case processing procedures, implemented the Federal Appeals Inventory Review (FAIR) Project, installed new technology to make operations more efficient, and achieved record-level production by its staff attorneys.
Strategic enforcement requires accurate and timely EEO data. OFO completed the first year of Internet-based data collection for information on agencies' EEO program activities, using a system embedded with edit checks to increase data validation by agencies prior to and after submission.
Philadelphia District Director Marie Tomasso speaks at Excel Conference
The Office of General Counsel's mission is to conduct litigation on behalf of the Commission in order to obtain relief for victims of employment discrimination and to ensure compliance with EEOC-enforced statutes.
OGC had an active docket of 855 cases. By year's end, the Commission had filed 332 merit lawsuits (which include direct suits, interventions and suits to enforce administrative settlement agreements). Of these, 223 (67.2%) were individual cases and 109 (32.8%) were class3 cases.
During this year, the agency resolved 345 merit suits, recovering $52.8 million in backpay and damages for America's workers. Of these, 232 had been filed as individual cases and 113 as class cases. The rate of merit suits (includes consent decrees, settlement agreements and favorable court orders) successfully resolved was 91.6%. Most frequently alleged bases in suits resolved were largely similar to those among suits filed. Sex discrimination (33.9%) and retaliation (32.5%) led the list, followed by race (22.6%), disability (17.7%), national origin (7.8%), age (7.0%) and religious (4.9%) discrimination. Equal pay suits represented 2.0% of suits resolved.
Several pervasive employment discrimination issues took center stage on EEOC's docket:
In addition to aggressively addressing these more "traditional" types of discrimination, the Commission assumed leadership with regard to emerging issues:
In EEOC v. Waffle House, an ADA case, the Supreme Court ruled that a private arbitration agreement between an individual and an employer does not prevent the Commission from filing a court action in its own name and recovering victim-specific remedies (for example, back pay and punitive damages) for the individual. The Court recognized that EEOC has the prerogative, as a federal enforcement agency, to decide what relief is appropriate. The decision is a ringing endorsement of the Commission's public enforcement role and that Title VII's enforcement scheme, incorporated into the ADA, makes the Commission the "master of its own case."
In keeping with the President's Management Agenda and to further strategic enforcement and litigation, Chair Dominguez requested that OGC conduct a study of EEOC's litigation program from FY 1997 through FY 2001. The study represents EEOC's first comprehensive litigation review. Key findings for the five-year period showed that the Commission had:
The complete study is available at www.eeoc.gov.
During the 1980s, EEOC entered into separate agreements with two major corporations to establish educational endowment funds for women and minorities as settlement of suits alleging systemic discrimination on the bases of sex and race. Monies remaining after victims received their share of settlement amounts were awarded to 68 colleges and universities – among them Ivy League schools, Historically Black Colleges and Universities, Hispanic-Serving Institutions, Native American schools and community colleges – to establish scholarship opportunities.
Over the past two decades, the invested funds have doubled in value. More than 7,500 students have received scholarships from the interest on those funds, and the Commission's work will endure by benefitting thousands more students for years to come.
Acting Deputy General Counsel Nicholas Inzeo and Staff
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3A "class" case challeges a policy that applies to a group of similarly situated individuals or a practice that affects a group of similarly situated individuals.
The Office of Legal Counsel serves as the principal advisor to the Commission on enforcement matters. OLC represents the Commission in defensive litigation and administrative hearings. It also prepares Commission decisions on charges involving issues for which there is no precedent, writes regulations, conducts outreach and education efforts, and coordinates all federal issuances affecting equal employment opportunity
OLC attorneys participated in more than 140 outreach and education programs. These efforts were aimed at training employers to prevent discrimination in the workplace, informing employees and other interested individuals about the protections afforded by the federal employment discrimination laws, and strengthening partnerships between EEOC and its various stakeholders. Presentations were made to private employers, federal agencies, non-profit legal associations, employee advocacy groups, labor unions and international human rights organizations. Key topics included contingent workers, arbitration, ADA, national origin and post-September 11th backlash discrimination, employee benefits and pregnancy discrimination.
EEOC took a leadership role in advancing the President's New Freedom Initiative. Working with the Commission's field offices across the nation, OLC launched a series of free outreach events for small businesses to provide practical advice on the ADA's requirements and encourage the hiring of people with disabilities. Additionally, a handbook, The Americans with Disabilities Act: A Primer for Small Business, was developed to explain the law in a simple, easy-to-read format appropriate for employers without on-staff access to professional human resources expertise.
OLC also worked with the Department of Labor to develop two disability-related projects: DisabilityInfo.gov, a federal interagency disability web site, and an instrument to assess the accessibility of One-Stop career centers, which provide a variety of federally funded employment and training services at the community level.
Finally, in response to post-September 11th concerns about the evacuation of people with disabilities, OLC prepared a fact sheet for employers on obtaining and using medical information in developing or re-evaluating emergency procedures.
With counsel from OLC, EEOC published one final rule, completed substantial work on three proposed rulemakings, and coordinated two other significant regulatory issues with various other federal agencies in FY 2002. EEOC's final rule updating its regulation on disability discrimination in the federal government was published in the Federal Register. The Commission voted to rescind its policy on the application of the ADEA to retiree health plans, and announced that it would amend its ADEA regulations to exempt from the prohibitions of the ADEA the practice of altering, reducing or eliminating employer-sponsored retiree health benefits when retirees become eligible for Medicare. The Commission also issued a Notice of Proposed Rulemaking (NPRM) to amend its regulations on processing age discrimination charges. Additionally, the Commission approved an NPRM amending its Privacy Act regulations.
The Office of Equal Opportunity develops policies and implements approved affirmative action employment programs to ensure equal employment opportunity within EEOC. It executes procedures for prompt and fair resolution of internal EEO complaints.
At the beginning of the year, 71 formal complaints were pending. During the year, EEOC employees filed an additional 42 complaints. By the end of FY 2002, OEO had closed 60 complaints, far surpassing the 21 closures reported for the previous year. This office was able to reduce its complaint inventory by 43% by year's end, yielding a pending inventory of 50 open complaints at the start of FY 2003.
The most frequently cited basis of discrimination – alleged in 52% of new complaints – was retaliation/reprisal. Race, sex and disability were alleged as bases in 43%, 36% and 26%, respectively, of the new claims. The most frequently alleged issues were non-sexual harassment (43%) and denial of promotion/non-selection (36%). Complaints were filed in 19 different EEOC district offices as well as at headquarters. In addition, 100 individuals sought and received counseling from OEO during the year.
During the year, 18 EEOC employees elected to use mediation to resolve disputes. Through this process, six complaints were resolved, five of them at the pre-complaint stage. Although the numbers are small, this ratio suggests that the likelihood of successful resolution through mediation is greatest before an employee files a formal complaint.
As a first step to promote and enhance EEOC's mediation and other ADR services, a survey was conducted to determine what factors most influence an EEOC employee's decision to try mediation. Of 40 past complainants contacted, only 17 indicated that they had been offered mediation, and only nine had elected to participate. As a result, OEO counselors have made a concerted effort to ensure that they offer mediation to every complainant. Also, new mediation brochures and handbooks were developed and are now sent to all employees engaged in the counseling process.
EEONet, OEO's complaint tracking system, was introduced in FY 2002. The new system allows OEO to track complaints, including appeals, from the pre-complaint stage through final disposition. The system offers a time management feature that notifies counselors of time frames and expiration periods throughout the complaint process. Additionally, it is designed to generate the Annual Federal Equal Opportunity Statistical Report of Discrimination Complaints (EEOC Form 462).
The overall mission of the Office of the Chief Financial Officer and Administrative Services is to establish, monitor and maintain controls over federal funds appropriated by the Congress for Commission operations and over accounting for such funds; administer the Commission's contracts and procurement programs; and plan, develop and administer management support and informational distribution programs.
OCFOAS led the following three initiatives under the President's Management Agenda in FY 2002, developing action plans to "get to green":
EEOC's servicing partner, the Department of the Interior's National Business Center. The system includes highly automated interfaces with EEOC's payroll/personnel system and purchase credit card processor/partner, Bank of America. OCFOAS also piloted online Travel Manager software.
OCFOAS increased by 70% the dollar amount of goods and services purchased using the government purchase card. This expansion greatly reduced the need for staff expense requests and reporting, as well as reimbursements, while at the same time ensuring audit-level processing. Total credit card purchases for FY 2002 exceeded $5 million. EEOC was selected by Bank of America as a best practice agency for a benchmark study of federal agency purchase card practices.
The Office of Communications and Legislative Affairs serves as the Commission's primary link with the news media, the U.S. Congress, constituency groups and the public. In addition, OCLA conducts internal communications.
As EEOC's window to the world, OCLA received thousands of telephone calls from the general public seeking information and referrals within the agency on matters relating to equal employment opportunity.
Highlights of the communications staff's work included responding to hundreds of inquiries from print, broadcast and electronic media about the Commission's activities; arranging dozens of in-person and telephone interviews with news outlets for Chair Dominguez and other EEOC commissioners; providing speechwriting support for the Chair's numerous public speaking engagements; and performing other writing and editing functions for various agency publications.
Two videotapes produced during FY 2002 met with acclaim from a wide range of stakeholders. "Marching Toward Opportunity" depicts the history of the Commission from its inception through the present, including news coverage of high-profile issues. "EEOC in New York: Phoenix Rising" archives the experiences of EEOC New York District Office staff, as told in their own words, who went to work at 7 World Trade Center on September 11, 2001.
OCLA helped develop, coordinate production for and distribute a series of television Public Service Announcements (PSAs) to create nationwide visibility for the Commission's Freedom To Compete initiative. Aired primarily during the Winter Olympic Games, the PSAs won several national juried awards for raising public awareness about the importance of equal opportunity in the workplace through open and fair competition.
In the aftermath of September 11, 2001, OCLA conducted an extensive media outreach and public education campaign urging workplace tolerance in the wake of possible backlash discrimination against vulnerable groups. Strategies included widespread dissemination of a joint statement with the Departments of Justice and Labor, and coordinating extensive media coverage of a Commission Meeting addressing backlash. For its efforts, among other media, the agency received favorable coverage in the New York Times, the Washington Post, USA Today and the Los Angeles Times, and on CBS News, Radio PBS and CNBC-TV.
Additionally, OCLA kept the media and the public informed about the destruction of EEOC's former New York District Office at 7 World Trade Center and efforts to maintain EEOC services for that region.
In an effort to improve the agency's responses to the public as well as Congressional correspondence, and to fulfill the President's Management Agenda objective of expanded electronic government, OCLA had a key role in creating an electronic correspondence control system for EEOC. New procedures were implemented, providing one standard of style and format for all agency correspondence, and a new style manual was created and distributed. An electronic tracking system, which moved OCLA into a paperless environment with regard to Congressional correspondence, was developed and implemented. As a result, both the quality and efficiency of the agency's outgoing correspondence were improved.
The Office of Human Resources provides leadership in the recruitment, development and retention of a high quality and diverse workforce in support of EEOC's mission.
On the first day of the fiscal year, EEOC launched the new Federal Personnel/Payroll System (FPPS). FPPS is a mainframe-based, integrated, on-line/real-time personnel and payroll system. It is a highly sophisticated management system, providing an extensive array of human resources and payroll automation support. All data are defined in a single database, which provides for ease of maintenance and ensures data integrity.
The agency and the National Council of EEOC Locals No. 216 completed negotiations on a Collective Bargaining Agreement (CBA) which became effective on September 2, 2002. This process was completed within a record time of three-and-one-half weeks because of the willingness of both parties to compose a well-balanced document that did not compromise the rights of either management or labor. Among the subjects covered in this CBA are the agency's Telecommuting Program; the establishment of the Labor Management Leadership Advisory Council, the agency's staff development program; and a pledge by both management and labor to develop jointly an internal alternative dispute resolution program.
EEOC partnered with the Office of Personnel Management and the Department of Transportation's Virtual University to initiate an e-Learning pilot in the agency for 700 users. This resource broadened the scope of learning and development activities available to the agency's employees and is consistent with the electronic government and knowledge management objectives in the President's Management Agenda, as well as the Five-Point Plan goal of EEOC as a Model Workplace. A one-year pilot which began in September 2002 brought more than 1,800 courses to the desktops of agency users.
EEOC staff discussing a human capital initiative
Commissioner Silverman with Pete the Eagle Award given to EEOC employees for performance excellence
The Office of Research, Information and Planning aids the Commission in its efforts to strategically plan its mission, goals and objectives by researching, collecting and analyzing relevant information to improve its operations. ORIP also provides library and information research services to the Commission and to the public.
Throughout FY 2002, ORIP facilitated EEOC's extensive planning program. The results included a vision statement, a restated mission statement on core agency activities, and an integrated Five-Point Plan of focused, forward-looking statements to steer the agency's future work. In addition, these efforts guided, and will continue to guide, the agency's development of its performance plans for fiscal years 2003 and 2004; an ongoing redesign of its strategic plan under the Government Performance and Results Act of 1993 (GPRA); the integration of the President's Management Agenda; and implementation of the agency's Freedom to Compete Initiative and the President's New Freedom Initiative.
ORIP helped cascade this work throughout the agency by establishing specific office plans to implement and support EEOC's Five-Point Plan and strategic plan. These office plans already have led to significant accomplishments, including an internal dispute resolution program to be piloted in FY 2003. Through this work, a comprehensive strategic enforcement and litigation plan was also developed, identifying key issues on which to focus administrative and legal resources. EEOC will be able to maximize the agency's impact by establishing a cohesive, coordinated national policy of enforcement and litigation strategies over the next several years.
EEOC's Internet site (www.eeoc.gov) provided more information to the public than all of the agency's other outreach programs combined. Average user sessions increased steadily throughout the year, ultimately rising 20% to 246,756 hits per month. ORIP continued to expand and update the site's content. New features included a page focusing on Federal Sector Alternative Dispute Resolution, a page describing the agency's role in coordinating the federal government's efforts to eradicate discrimination in the American workplace, a section commemorating the 12th anniversary of the Americans with Disabilities Act, and the posting of information about Freedom to Compete, as well as The Americans with Disabilities Act: A Primer for Small Business.
ORIP fulfilled Congress's FY 2001 mandate that federal agencies adopt guidelines to ensure quality information is developed and made available to the public. In reviewing and monitoring agencies' implementation, the Office of Management and Budget noted that EEOC's quality guidelines, which are available at www.eeoc.gov, were among the best of all the federal agencies.
The overall mission of the Office of Information Technology is to plan, develop and implement the agency's information technology program, policies and procedures.
Information technology plays a key role in the agency's enforcement and outreach efforts. As per the Five-Point Plan and the President's Management Agenda, key initiatives are currently underway to expand access to critical agency data, and redesign and improve work processes through the use of technology. These include:
The Integrated Mission System (IMS) consolidates the agency's charge intake, investigation, mediation, litigation, federal complaint adjudication and outreach functions into a new single shared information system which eliminates several of EEOC's antiquated vertical systems. Through this integration of business functions and data, EEOC will improve data integrity and work efficiency by eliminating redundant data entry, information storage, and duplicated processes and procedures. In addition, the IMS provides improved user-accessibility and friendliness through a web-based interface, and integrates word processing and spreadsheet operations. The IMS was piloted in four field offices during the summer of FY 2002.
EEOC implemented two new enterprise systems, the new Federal Personnel and Payroll System (FPPS) and the new Integrated Financial Management System (IFMS). The FPPS allows EEOC to better manage human resources and payroll activities. Prior to the deployment of this system, EEOC used paper "bubble-charts" to process time and attendance. The FPPS allows managers to certify staff work and leave hours on-line, thereby eliminating manual processing of time cards and related inefficiencies. Through the FPPS, personnel actions (SF 52s) can be processed and electronically transmitted to EEOC's Office of Human Resources, eliminating paperwork and reducing processing times. In addition, the agency implemented two related web-based applications, Employee Express, which allows EEOC employees to change basic personnel and benefit information on-line, and Quick Hire, which provides a public web-based site for job recruitment.
To improve the timeliness and accuracy of financial data and payments, EEOC deployed the IFMS, a new financial management system, to all headquarters and district offices. The IFMS interfaces with the new personnel system described above and facilitates e-commerce. It provides managers with on-line access to budget and financial information, automates the agency's acquisition processes, generates on-line forms, and integrates inventory management with procurement and financial functions. To further expand e-government processes and enhance internal efficiencies, a web-based travel management module was piloted to convert paper-based travel authorization and voucher processing to an electronic system that speeds up approval and payment activities.
In addition, EEOC implemented two new tracking systems: the Correspondence Tracking System (CTS) and the EEO Complaint Tracking System. The CTS manages controlled correspondence handled through the Executive Secretariat, the Office of Communications and Legislative Affairs and the Office of the Chair. It is based on electronic document management system technology and therefore maintains scanned images/text as well as correspondence information. The CTS incorporates automated workflow and status tracking and integrates with e-mail notification to alert staff to incoming work items. To this end, the CTS automated a manual process, eliminated paperwork and improved inter-office coordination along with the consistency and quality of responses to incoming correspondence. The new EEO Complaint Tracking System manages internal EEO complaint information and enhances efficiencies in complaint processing and resolution. This system interfaces with the FPPS to maintain employee data, generates required letters and forms, manages activities and deadlines, and prepares management reports.
The Office of the Inspector General is an independent and objective unit responsible for assisting management in its effort to ensure that EEOC operations serve the public interest. OIG conducts internal and external investigations and audits related to the programs and operation of the Commission.
As an independent audit department, OIG submits semiannual reports directly to Congress. These reports are available at www.eeoc.gov.
OIG Special Agent Thomas Spellman accepts an award for excellence in investigations from Barry Snyder, Chairman of the President's/Executive Council on Integrity and Efficiency.
Chair Dominguez (center) and EEOC attorney Corbett Anderson (second from left) pose with members of the House of Commons, Standing Committee on Human Resources Development and the Status of Persons with Disabilities
Chair Dominguez with Gurbax Malhi, a committee member, and Judi Longfield, committee Chair
EEOC has a tradition of sharing expertise and experiences with other nations around the globe. Under the leadership of Chair Dominguez, the Commission has continued its practice of international cooperation on civil rights employment issues. For example, in FY 2002:
Commissioner Miller traveled to Israel to discuss employment issues facing Arab Israeli citizens.
EEOC will continue to use its Five-Point Plan as its strategic framework to improve operations and to broaden the agency's reach through increased education, outreach, mediation, and strategic enforcement and litigation. In FY 2003, the following program areas will be at the forefront of the Commission's agenda:
In FY 2003, EEOC will pilot two innovative mediation programs in the private sector. A "referral back" initiative to be launched in the agency's Philadelphia District Office will involve private employers that have established internal dispute resolution programs meeting a set of specified criteria. When charges are filed against these participating employers, the agency will suspend charge processing for 60 days so that the parties may voluntarily use the employer-provided ADR program to resolve these disputes. Charging parties will not give up any rights, and any resulting settlements will become part of the charge file, even though EEOC will not participate in drafting or be a signatory.
The other program will involve partnering with state and local FEPAs which have their own established mediation programs to mediate charges for EEOC on a contractual basis. In the federal sector ADR program, EEOC will continue to collaborate with the U.S. Postal Service to implement a joint program using mediation to resolve complaints at the hearings stage of the process. First piloted in the Miami District Office in 2001, the program will be phased in at all EEOC district offices.
Additionally, an independent study is underway to evaluate why employers are sometimes reluctant to participate in mediation. The results will be presented in FY 2003.
Stakeholders representing both complainants and federal agencies have long voiced concerns that the federal sector discrimination complaint process currently available to 2.7 million federal employees is much too slow, far too expensive, unnecessarily intricate and inherently unfair. Reform of that system will be a priority for FY 2003. The Commission anticipates proposing a plan through a Notice of Proposed Rulemaking.
The agency will review existing racial and ethnic categories under Form EEO-1 and other EEOC reporting forms. The Office of Legal Counsel will continue to coordinate with the Office of Management and Budget, the Departments of Labor and Justice, and the Office of Personnel Management regarding the development of an updated Form EEO-1 to increase the current five categories and possibly allow self-identification and selection under more than one category.
As the magnitude of Internet recruitment, resume posting and job applications becomes ever more obvious, one of the agency's primary regulatory goals is to continue work on the question of what types of EEO records employers need to maintain as part of their recruitment practices. The Office of Legal Counsel will continue to work with the Departments of Labor and Justice and the Office of Personnel Management to develop questions and answers regarding who is an applicant for purposes of Internet recruitment and hiring under the Uniform Guidelines on Employee Selection Procedures.
In FY 2002, the Commission voted to rescind its policy on the application of the ADEA to the practice of coordinating employer-sponsored retiree health benefits with Medicare eligibility. In FY 2003, the Commission will continue to work toward a resolution of this issue by proposing to amend its ADEA regulations to exempt this practice. A new rule would ensure that the application of the ADEA does not discourage employers from providing health benefits to their retirees.
As part of the President's Management Agenda, each federal agency was required to prepare a five-year restructuring plan as part of its 2003 budget request. In FY 2002, EEOC commissioned the National Academy of Public Administration (NAPA) to review the agency's organization and make recommendations which effectively support implementation of government-wide objectives. NAPA is an independent, nonprofit, nonpartisan organization chartered by Congress and dedicated to improving the performance of governance systems. Report recommendations will serve as a guidepost for organizational realignments and restructuring efforts in FY 2003 and beyond.
EEOC will continue strong employer outreach, voluntary compliance and corporate alliances efforts. Under development are a nationwide best practices recognition program, stand-alone training materials and programs for employers on EEO rights and responsibilities to use in their workplaces, an Internet-based technical assistance service and a third volume for EEOC's Essential Guide Series focusing on ways to promote free and fair competition in the workplace.
Following FY 2002's successful rollout of 36 workshops for small businesses on the ADA and benefits of hiring people with disabilities, EEOC's Office of Legal Counsel will present additional events throughout the country. FY 2003 materials in development include a fact sheet on telework as a reasonable accommodation; a fact sheet addressing assistive technology in the workplace; and outreach and technical assistance specifically for disability organizations and individuals with disabilities.
This page was last modified on July 31, 2003
