The U.S. Equal Employment Opportunity Commission

Equal Employment Opportunity Commission
Annual Performance Report
Fiscal Year 2001

Submitted to the President and Congress March 2002

Table of Contents

Vision and Mission

Preface

COMPREHENSIVE ENFORCEMENT OF EEO LAWS

Strategic Goal 1

Enforce Federal Civil Rights Employment Laws

Strategic Objective 1.1.

Improve the effectiveness of the private sector enforcement program, including the use of charge prioritization, mediation and litigation.

Strategic Objective 1.2.

Enhance the effectiveness of the federal sector program .

Strategic Objective 1.3.

Promote coordination and enhance efficiency by strengthening partnerships with State and Local Fair Employment Practices Agencies (FEPAs) and Native American Tribal Employment Rights Organizations (TEROs).

PREVENTION OF EMPLOYMENT DISCRIMINATION

Strategic Goal 2

Promote Equal Opportunity in Employment.

Strategic Objective 2.1.

Encourage and facilitate voluntary compliance with equal employment opportunity laws among employers and employer groups in the private and federal sectors.

Strategic Objective 2.2.

Increase knowledge about individual rights under equal employment opportunity laws among the public and employee groups.

IMPROVING SERVICE TO THE PUBLIC THROUGH EXECUTIVE DIRECTION AND SUPPORT

Strategic Goal 3

Enhance agency effectiveness to achieve our mission and strategic goals.

Strategic Objective 3.1.

Enhance staff capabilities and substantive knowledge to improve work processes and job functions through training, partnership, team-based approaches, and customer-based principles.

Strategic Objective 3.2.

Provide policy direction and guidance to achieve all Strategic Goals.

Strategic Objective 3.3.

Improve the agency's infrastructure.

Verification and Validation

Program Evaluation

Vision and Mission

The Commission(1) is over 36 years old, yet its mission today is as vital as it was when it was formed as a result of the Civil Rights Act of 1964. In a message to employees, Chair Dominguez said: "... I believe that EEOC is a very special agency, rich in history. At my swearing-in, I said that the building materials used to erect this agency are not the typical ones; rather they include the blood, sweat, tears and struggles of those who saw wrong and tried to right it. I can think of no richer legacy, nor a more important mission, than the one we are here to discharge." Our Mission Statement conveys to employers and employees alike that "... no worker [will] be left behind for reasons as wasteful and abhorrent as prejudice and discrimination. ... [EEOC's] mission captures the promise of America and the mandate of our times."

Our Vision

Become the World's Preeminent Civil Rights Employment Law Agency and Serve as the Standard Bearer for Excellence in Outreach, Enforcement and Professionalism.

Our Mission

Eradicate Employment Discrimination at the Workplace.

Preface

This Report summarizes the results and accomplishments of the EEOC's performance measures for fiscal year 2001. As required by the Government Performance and Results Act of 1993, our Fiscal Year 2001 Annual Program Performance Report links to our Strategic Plan by incorporating its three broad strategic goals and eight strategic objectives. Using specific performance targets, we are able to track our progress towards achieving our mission to eradicate employment discrimination in the workplace.

During fiscal year 2001, several new Presidential initiatives were implemented by the new administration. The President's Management Agenda requires agencies to strategically manage human capital, integrate budget and performance by focusing on agency results, plan for competitive outsourcing of activities on its Federal Activities Inventory Reform (FAIR) Act list, improve performance for the timeliness and accuracy of financial data and payments, and expand electronic government to deliver services and benefits to Americans.

In addition to these key Presidential initiatives, the Commission has implemented a 5-Point Plan. The Plan focuses on key program elements: proactive prevention, proficient resolution, strategic enforcement and litigation, enhanced mediation and Alternative Dispute Resolution (ADR), and EEOC as a model workplace.

Finally, several other Presidential and Commission initiatives will complement and support these areas. For example, the President has required agencies to develop and implement a five-year Restructuring Plan. The Restructuring Plan will provide the core strategy to undertake a critical review of EEOC's organizational structure. Our five-year Restructuring Plan will be developed in fiscal year 2002 and implemented in fiscal year 2003. The Plan will help us become more customer-centered, with as little distance as possible between customers and decision-makers. The Plan will explore ways to reduce decision-making layers; increase the span of control at different organizational levels; ensure that the largest number of EEOC employees are in direct service-delivery positions; and, retrain and redeploy employees as an integral part of our restructuring efforts.

The Commission will also renew its role under Executive Order 12067 to coordinate federal civil rights employment discrimination programs and policies. This endeavor will foster consistent, interconnected outreach, education and enforcement policies in equal employment opportunity efforts across government. The Commission will also be a major participant in the Administration's New Freedom Initiative designed to ensure a level playing field in the workplace for people with disabilities. In addition, the Commission will focus on its own Freedom to Compete Initiative that will similarly seek to ensure that all of America's workers are free to compete on a fair and level playing field; a necessity for free and fair competition in the workplace.

All of the new initiatives will be interwoven into a full mosaic of plans and programs that create a synergy for accomplishing EEOC's mission in the future. The new initiatives, however, necessitate adjustments to our performance measurement approach-discontinuing or revising some measures or adopting others-in fiscal year 2002 and beyond that are focused on the new ways to work and new expectations for performance results. Our fiscal year 2001 Report on our performance results identifies some areas where we may adopt future changes to accommodate these initiatives.

Strategic Goal 1
Enforce Federal Civil Rights Employment Laws

Strategic Goal 1 covers three major programs involved in investigative and litigation activities: the private sector program, the federal sector program, and the state and local program.

STRATEGIC OBJECTIVE 1.1.

Improve the effectiveness of the private sector enforcement program, including the use of charge prioritization, mediation, and litigation.

The Commission's private sector enforcement program is vital to the statutes we enforce. Individuals file charges alleging employment discrimination. We assist them in the charge filing process, review and investigate their charges, offer mediation to both charging parties and respondents charged, and conduct other settlement efforts throughout the charge process. Finally, in appropriate cases, we file litigation based on the merits of a case, the legal precedents involved, and the effective, strategic use of the agency's resources.

Measures for Strategic Objective 1.1.

X=the stated measure/indicator is not used for the fiscal year.

M E A S U R E S
NO. STATEMENT 1999 2000 2001
1.1.1. Percent of resolved private-sector charges benefitting victims of discrimination. Target X 20% 20%
Results X 21.3% 22.1%
1.1.2. Percent of newly filed, administratively processed private-sector charges resolved within 180 calendar days. Target X X 60%
Results X X 64%
1.1.3. Percent of sampled district office charge files with information supporting the categorization of the charges as "A," "B," or "C" and any necessary attorney involvement. Target X X 90%
Results X X 90%
1.1.4. Percent of "A-1" charges received in the fiscal year with on-site investigations. Target X X At least 70%
Results X X 30%
1.1.5. Percent of "A" charges where attorneys are available to advise investigators. Target X X 100%
Results X X 100%
1.1.6. Percent of the cases filed in court involving multiple aggrieved parties (MAPs) or discriminatory policies. Target 32% 32% 36%
Results 28.5% 36% 34%
1.1.7. Percent of cases litigated during the fiscal year with investigators assigned. Target X X no less than 5%
Results X X 7.4%

In fiscal year 2001, we met or exceeded nearly all of the targets in our measures. We resolved newly filed private sector charges more quickly, benefitted more victims of discrimination and retained the quality by appropriately categorizing charges. Our mediation program was a major contributing factor for achieving these targets and, in fiscal year 2002, we intend to expand the use of ADR. Finally, our attorneys and investigators collaborated in fiscal year 2001 to litigate cases more effectively. One specific approach we used during the fiscal year was to assign investigators to cases under litigation. We substantially exceeded our goal in this area. This approach allowed investigators to gain valuable experience and insight into the type of evidence needed by attorneys during litigation of a charge to improve their own identification and collection of information during charge investigations.

Although we did not achieve the specific target to file litigation involving multiple aggrieved parties or discriminatory policy cases, only 8 additional cases would have achieved the measure. Consequently, over the course of the year we substantially achieved this goal. Finally, we did not conduct enough on-site investigations on our "A-1" charges to achieve our goal. In our opinion, however, this ultimately did not adversely affect the quality or timeliness of completing private sector charges in our program, since we successfully met or exceeded our other fiscal year 2001 measures.

STRATEGIC OBJECTIVE 1.2.

Enhance the effectiveness of the federal sector program.

Our federal sector enforcement program focuses on eradicating employment discrimination in the federal government. Its emphasis is different from EEOC's private sector enforcement program in several important ways, however. In the private sector program, individuals file charges directly with the Commission. Individuals in the federal sector file complaints with their own federal agencies first. The agencies initially investigate allegations of employment discrimination. Complainants can request a hearing by the EEOC on the allegations; a step that is not part of the private sector enforcement process. Also, a complainant or federal agency can file an appeal with the EEOC. This appeals procedure is also not part of the private sector enforcement process. If dissatisfied with the outcome, federal sector complainants can file a lawsuit in federal court, similar to a private sector charging party.

In addition to the hearings and appeals federal enforcement programs, our efforts include on-site reviews of federal agencies as part of our federal oversight role. These reviews help us identify concerns and discriminatory issues, as well as provide us with opportunities to advise federal agency managers about the federal sector process. Similar to the private sector program, we also establish policies in the federal sector to implement the equal employment opportunity laws and conduct outreach, education and technical assistance activities to prevent or correct discriminatory practices in the federal sector.

Measures for Strategic Objective 1.2.

X=the stated measure/indicator is not used for the fiscal year.

M E A S U R E S
NO. STATEMENT 1999 2000 2001
1.2.1. Percent of closed Hearings cases over 180 days old. Target X 5% reduction of cases over 180 days old at beginning of FY2000. 20% of closures are 360-days old and older.
Results X 6.8% reduction. 46%
1.2.2. Percent of Hearings cases resolved within 180 days. Target X X 20%
Results X X 19.4%
1.2.3. Percent of Appeals closures 500-days old or older. Target X 20% 30%
Results X 33% 38.4%
1.2.4. Percent of Appeals cases resolved within 180 days. Target X 10% of cases received in FY2000. 20% of cases received in FY2001.
Results X 21.9% 39.5%
1.2.5. Percent of Appeals resolved within 180 days involving breach of settlement agreements filed within the first 3 quarters of the fiscal year. Target X X 50%
Results X X 62.7%
1.2.6. Percent of Appeals resolved within 180 days alleging non-compliance with an agency's final action or final decision filed within the first 3 quarters of the fiscal year. Target X X 50%
Results X X 50%

We met or substantially exceeded all of our federal sector measures for fiscal year 2001. Over the past few years we have targeted our resources on portions of the hearings and appeals inventory to simultaneously close older cases while remaining current with new filings. In fiscal year 2001, we made substantial progress. We resolved a significant number of older cases in the hearings and appeals inventories, closing more than double our target percentage of hearings cases and almost a third more than our target percentage of appeals cases. In addition, we met our target percentage to resolve hearings cases within 180 days of filing and almost doubled our target percentage to resolve appeals cases within180 days of filing. For hearings cases, we believe that the increased use of ADR techniques in the federal sector has had a powerful impact on resolving cases quicker. Close case management, special projects, and increased use of technology contributed to our appeal case processing success. We expect to continue these gains and will enhance our focus on early resolution approaches in the federal sector in the future.

STRATEGIC OBJECTIVE 1.3.

Promote coordination and enhance efficiency by strengthening partnerships with State and Local Fair Employment Practices Agencies (FEPAs) and Native American Tribal Employment Rights Organizations (TEROs).

We work with many state and local FEPAs and TEROs throughout the country to augment efforts to enforce employment discrimination statutes. Partnering with these agencies/organizations, through our work-sharing agreements and other activities, benefits both the employer and employee communities for several important reasons.

We coordinate charges that are dual-filed under both state or local law and federal law. This effort prevents duplication of effort, coordinates enforcement activities, streamlines the charge resolution process for both charging parties and respondents, consistently applies enforcement practices, and conserves limited government resources. A respondent usually responds to only one agency, but has the opportunity to resolve both state or local and federal actions simultaneously.

In addition, we provide training on investigative and legal issues and conduct joint activities to benefit our mutual constituencies, such as outreach to provide education and technical assistance. We contract with our TERO partners to promote employment opportunity on Indian reservations and tribal lands.

Measures for Strategic Objective 1.3.

X=the stated measure/indicator is not used for the fiscal year.

M E A S U R E S
NO. STATEMENT 1999 2000 2001
1.3.1. The number of FEPAs receiving technological capabilities to improve the efficiency and effectiveness of charge processing procedures. Target 18 X 8
Results 22 X 10
1.3.2. Effectively train FEPAs and TEROs. Target Train 30 FEPAs Train FEPAs/ TEROs. Provide training materials on at least 2 employment discrimination subjects. Train FEPAs/ TEROs.
Results 49 FEPAs trained 93 FEPAs & 61 TEROs trained. Materials on 2 subjects distributed 91 FEPAs and 64 TEROs trained
1.3.3. The number of dual-filed charges contracted with FEPAs. Target X approx.

53,000

approx.

55,000

Results X 53,683 55,020
1.3.4. The number of joint outreach programs conducted with FEPAs to educate and assist small businesses covered by EEOC enforced statutes and under-served communities and groups. Target X X 20
Results X X 30

We met or exceeded all of our fiscal year 2001 state and local measures. In fiscal year 2001, we contracted with 91 FEPAs to resolve 55,020 dual-filed charges and contracted with 64 TEROs to promote employment opportunity on Indian reservations. Our successes with our state and local partners fully support Administration efforts to focus resources on directly serving customers. We will continue our nationwide collaborative relationships with our FEPA and TERO partners to enforce our respective laws and prevent discrimination in the workplace.

Strategic Goal 2
Promote Equal Opportunity in Employment

Preventing employment discrimination from occurring in the workplace in the first place is preferable to remedying the consequences of discrimination. A major component of EEOC's enforcement strategy and our 5-Point Plan is our outreach, education and technical assistance initiatives to assist employers, employees and stakeholder groups understand and voluntarily prevent employment discrimination. We believe that discrimination can be averted if companies, federal agencies and individuals know their legal rights and responsibilities and learn ways to resolve concerns or disputes early.

Our Government Performance and Results Act (GPRA) Strategic Plan establishes separate objectives and measures for employer and employee groups. Although employers and employees, and their respective stakeholders, attend many of our outreach, education and technical assistance events or benefit from our educational activities, we have separately focused on the unique issues and perspectives of each group.

STRATEGIC OBJECTIVE 2.1.

Encourage and facilitate voluntary compliance with equal employment opportunity laws among employers and employer groups in the private and federal sectors.

We believe that it is important for employers to know about practices and behaviors that can lead to unlawful employment discrimination and to find ways to voluntarily resolve disputes. With this knowledge and understanding, they have a better opportunity for eliminating or changing policies or practices that violate EEO laws. Since the employer community is a key component of the equation to eradicate employment discrimination at the workplace, our enforcement strategy and plan includes extensive outreach, education and technical assistance efforts to assist private sector and federal sector employers voluntarily comply with the laws we enforce.

Measures for Strategic Objective 2.1.

X=the stated measure/indicator is not used for the fiscal year.

M E A S U R E S
NO. STATEMENT 1999 2000 2001
2.1.1. The number of consultations with employer stakeholders on operational and legal issues. Target 500 1,200 1,200
Results 1,232 1,213 1,546
2.1.2. The number of representatives of private-sector and federal-sector employers attending technical assistance activities, other than Revolving Fund activities. Target 10,000 At least 46,500. 50,000
Results 46,500 49,766 52,983
2.1.3. The number of outreach events provided to employers to encourage participation in EEOC's mediation program. Target X X 250
Results X X 251
2.1.4. The number of small employers with approximately 15-99 employees provided EEOC's education and information materials, as part of a special outreach initiative. Target X X 5,000
Results X X 5,000
2.1.5. The number of Revolving Fund activities conducted for private-sector and federal-sector employers. Target 75 175 275
Results 292 296 367
2.1.6. Develop and implement an outreach plan for fiscal years 2000-2002 to provide education and technical assistance and to proactively distribute EEOC's education and information materials to small private-sector employers and to federal-sector employers. Target Develop plan. Implement plan activities for FY2000. Implement plan activities for FY2001.
Results Plan developed. Implemented FY2000 activities. Implemented FY 2001 activities.
2.1.7. The number of outreach, education, or other technical assistance activities conducted to assist federal agencies make EEO program improvements, including establishing alternative dispute resolution (ADR) programs throughout the EEO process. Target X X 120
Results X X 224
2.1.8. The number of on-site evaluations of federal agency EEO programs conducted. Target X 14 20
Results X 20 24

We met two and exceeded six of our eight measures for fiscal year 2001; continuing our strong support to assist the employer community. We engaged in over 1,500 consultations with private sector employers on operational and legal issues involving employment discrimination. Small employers received educational materials while a substantial number of both private and federal sector employers attended many of our technical assistance initiatives outside of our Revolving Fund activities. The number of Revolving Fund activities exceeded our target by over one-third; providing a large number of employers with additional assistance opportunities to help them achieve equal employment opportunity in their workplaces.

In our federal sector program, we vigorously promoted additional efforts to prevent discrimination by providing comprehensive outreach, training, technical assistance and education activities. In fiscal year 2001, we almost doubled our target number of activities held to assist federal agencies make improvements in their EEO processes. In addition, we exceeded our target for more on-site evaluations of federal agency programs.

All of these efforts helped employers understand discriminatory employment situations better. We will continue our efforts towards the employer community even more in fiscal year 2002.

Strategic Objective 2.2.

Increase knowledge about individual rights under equal employment opportunity laws among the public and employee groups.

We make extensive information available to private sector and federal sector employee groups to help educate them about their rights and assist them in the important steps they need to take to exercise those rights. The agency recognizes that employees, or applicants for employment, are valuable partners in the quest to eradicate employment discrimination. We have implemented measures designed to reach the private sector and federal sector employee communities and provide special attention with programs to ensure that we are able to reach this important, broad audience.

Measures for Strategic Objective 2.2.

X=the stated measure/indicator is not used for the fiscal year.

M E A S U R E S
NO. STATEMENT 1999 2000 2001
2.2.1. The number of consultations with employee stakeholders on operational and legal issues. Target 500 1,200 3,900
Results 1,533 3,918 2,702
2.2.2. The number of employees and employee representatives provided EEOC's education and information materials, including representatives from under-served groups or communities. Target X X 30,000
Results X X 96,842
2.2.3. Develop and implement an outreach plan for fiscal years 2000-2002 to inform under-served constituencies of their rights, and to proactively distribute EEOC's educational and informational materials to employee stakeholders. Target Develop plan. Implement plan activities for FY2000. Implement plan activities for FY2001.
Results Plan developed. Implemented FY2000 activities. Implemented FY 2001 activities.
2.2.4. The number of additional EEOC publications most frequently requested in an alternate format and translated and available in 7 alternate languages (Spanish, Haitian/Creole, Vietnamese, Russian, Korean, Arabic and Chinese). Target X X Initiate efforts to make 15 publications available by the end of FY2002.
Results X X Initiated efforts on 18 publications. Made an additional 13 publications available in alternate formats
2.2.5. Make information about employment discrimination and the federal EEO procedures available for the approximately 2 million federal employees, using the EEOC's web site and other innovative means. Target X X Make information available.
Results X X Information made available to federal employees.
2.2.6. Provide EEOC informational materials to federal-sector employees and major employee groups identified in the prior fiscal year(s) and give appropriate follow-up assistance when contacted. Target X X Materials and assistance provided for those identified in FY2000.
Results X X Materials and assistance provided

We met or substantially exceeded all but one of our six measures designed to reach this employee community in fiscal year 2001. We exceeded our target by more than three times in our effort to provide this community with educational and technical assistance materials. We fully implemented our second year of our comprehensive outreach plan to reach employees. We are well on our way to completing important documents in alternate languages and formats to serve previously under-served employee communities. Finally, we provided an extensive amount of material on our web site and in other ways to assist our federal sector employee constituencies.

We did not achieve our target for the number of consultations held with employee stakeholders. We have been raising the bar for this measure by considerable amounts over the past few years, however. In fiscal year 1999, we more than tripled the consultations required based on our 500 consultation target that year. Consequently, we established the higher standard for fiscal year 2000 and again more than tripled the number of consultations over the target. There were special consultation efforts made in fiscal year 2000, however, because of initiatives begun by the President for the Asian American/Pacific Islander communities. The much higher level could not be sustained in fiscal year 2001, but our efforts were actually more than double the fiscal year 2000 target number of consultations had we maintained the same standard as the previous year. Except for this one measure, we met or substantially achieved all of the other measures for this objective. The extensive amount of activities conducted in fiscal year 2001 required us to balance our resources among all of our initiatives.

Strategic Goal 3
Enhance Agency Effectiveness to Achieve Our Mission and Strategic Goals

In fiscal year 1997, when the Commission developed its first Government Performance and Results Act (GPRA) Strategic Plan, it established a separate Strategic Goal to clearly delineate the importance of our executive direction and support functions. Strategic Goal 3 encompasses one of the key points of our 5-Point Plan: to become a model workplace. Each of the three Strategic Objectives for this Goal are essential for achieving our enforcement and prevention initiatives-sending a powerful message that all three of our Strategic Goals, working together, are necessary to accomplish our mission.

STRATEGIC OBJECTIVE 3.1.

Enhance staff capabilities and substantive knowledge to improve work processes and job functions through training, partnership, team-based approaches, and customer-based principles.

Our employees' skills and abilities are key to successful enforcement of our statutory responsibilities. We must provide our employees with the necessary information and tools to do a quality job because employment patterns and skills and technological requirements are quickly changing in our society. Part of the Administration's new Management Agenda emphasizes critical components of human resource management, because federal agencies are now facing challenges to retain current employees and recruit and select new employees. Our measures address several of these important areas to enhance staff effectiveness.

Measures for Strategic Objective 3.1.

X=the stated measure/indicator is not used for the fiscal year.

M E A S U R E S
NO. 1999 2000 2001
3.1.1. Train EEOC employees. Target Train all employees. Train employees implementing the Compre-hensive Enforce-ment Program (CEP). Identify critical skill gaps and conduct training to address them.
Results Trained virtually all employees. Trained 82% of employees implementing CEP. Identified critical skill gaps and provided nationwide and local training to address them.
3.1.2. The number of training prototypes developed from approaches identified for technology-based learning. Target X X Identify tech-based learning approaches.
Results X X Several approaches have been identified to augment delivery of classroom training
3.1.3. The number of training videos prepared on recently adopted Commission guidance and distributed for EEOC employees. Target X X 2
Results X X 2
3.1.4. The number of EEOC offices piloting and implementing the Quality Peer Review Program for the outreach and initial contact phases of the private-sector enforcement process. Target X X Pilot in 3 field offices.
Results X X Piloted in 3 field offices.
3.1.5. The percent of participants rating each Technical Assistance Program Seminar (TAPS) overall quality as acceptable or better. Target X X 90%
Results X X 99%

In fiscal years 2001, we again met or exceeded our measures. We built a foundation for developing a prototype for technology-based learning in subsequent fiscal years. We created training videos to inform our widely dispersed staff about the latest developments and interpretation of recently adopted Commission guidance in a timely manner.

We piloted a Quality Peer Review program in the intake and outreach portions of our private sector enforcement program. This initiative was designed to test the feasibility of new, innovative ways to facilitate employee-to-employee learning, knowledge-sharing, collaboration and assistance; and continuously improve the Commission's work. The agency began to evaluate the pilot results in late fiscal year 2001 and will complete it and present options to the Chair on future implementation during fiscal year 2002.

We have consistently received high marks from participants to our Technical Assistance Program Seminars (TAPS), conducted by our Revolving Fund, for the quality of our materials and program. Last fiscal year was no exception. Our TAPS and other training courses provide practical information and assistance to encourage voluntary compliance with the federal laws prohibiting job discrimination. With a target of 90%, we achieved an acceptable or better rating on the overall quality of the TAPS from 99% of the participants.

We have worked diligently to train our staff in critical areas; allowing them to do their jobs better. In fiscal year 2000, we conducted an agency-wide training assessment to identify critical skill gaps in our major occupational groups. We began to train front-line employees in that fiscal year and continued into fiscal year 2001 to address those skill gaps with extensive nationwide and local training efforts. Employees in key front-line positions as investigators, mediators, attorneys and administrative judges received training designed to enhance their capabilities in order to improve work processes and service delivery.

STRATEGIC OBJECTIVE 3.2.

Provide policy direction and guidance to achieve all Strategic Goals.

Internal and external policy direction and guidance assists employers, employees, courts, Congress and our own employees to understand EEOC's interpretation of our statutory and regulatory authorities. Policy direction and guidance provides valuable information about individual and employer rights and responsibilities. It also encourages voluntary compliance with federal employment discrimination laws. With this policy direction and guidance, our employees apply investigative and legal standards accurately, effectively and consistently nationwide. In addition, federal courts have often deferred to Commission regulations and policy guidance when interpreting employment discrimination law.

Our policy direction and guidance is also an effective component for establishing the Commission as a model employer; a key feature of our 5-Point Plan. We believe that it is critical to adopt and implement policies and guidance that allow each of our employees to work in an environment free of discrimination or other conflicts that detract from performing their work.

Measure for Strategic Objective 3.2.

X=the stated measure/indicator is not used for the fiscal year.

M E A S U R E S
NO. 1999 2000 2001
3.2.1. Prepare Question and Answer documents in a simplified format to accompany all Commission approved policy. Target X X Prepare

Q & As.

Results X X Prepared

Q & As.

3.2.2. Prepare for the Chairwoman's consideration by October 1 the proposed fiscal year regulatory agenda. Target X X Prepare agenda.
Results X X Prepared agenda.
3.2.3. Address the regulatory agenda by preparing for the Chairwoman's consideration final regulations or notices of proposed regulations, or recommendations that regulatory matters be postponed or not completed and removed from the agenda. Target X X Address regulatory agenda.
Results X X Addressed agenda
3.2.4. Percent reduction in the average number of days to process internal EEO complaints from the previous fiscal year. Target X 15%

Use innovative approaches, including ADR.

15%
Results X 25%

Implemented ADR program & other innovative approaches.

7.7% increase

We met three of our four fiscal year 2001 policy and guidance measures. We provided support to external stakeholders and our own offices and staff by preparing question and answer documents and managing regulatory issues arising in the regulatory agenda.

EEOC intends to be a model employer as the lead civil rights agency with the responsibility for enforcing EEO laws in the federal sector. Although we substantially exceeded our target to reduce the average number of days to process an internal EEO complaint in fiscal year 2000, we did not sustain that progress for several important reasons. In fiscal year 2001, we began to address several older complaints while improving the processing times for newly filed complaints. We were successful in moving some of these complaints to the next stage in the process, but the total number of days already accrued for these cases prevented us from meeting the expected target. It was more important, however, to process these cases, which we will continue to do to complete these older investigations, until we have a current docket of complaints. Also, we made organizational and processing changes in the EEO office that support more effective and efficient resolution of issues and complaint processing. In January 2001, we shifted the responsibility for managing hearings to our Office of Federal Operations to mirror the process in the rest of the federal sector and allay any adverse perceptions about the impartiality of the program. Finally, we will enhance our approach to resolve any conflicts as early as possible, including the use of mediation/ADR techniques and the provision of appropriate training to employees.

STRATEGIC OBJECTIVE 3.3.

Improve the agency's infrastructure.

Our third Strategic Objective includes the central components of the agency's infrastructure-financial and human resource management, and technology and administrative support systems. It is vital that our infrastructure aligns with our program initiatives. Without this critical alignment, our front-line operations would not be able to effectively and efficiently accomplish the agency's mission.

Measure for Strategic Objective 3.3.

X=the stated measure/indicator is not used for the fiscal year.

M E A S U R E S
NO. 1999 2000 2001
3.3.1. Percent or number of streamlined, updated, or eliminated internal directives in effect as of September 30, 1998. Target 10% 10% 17 directives
Results 5% 16% 17 directives
3.3.2. Implement a new Integrated Financial Management System (IFMS). Target Implement system. X Complete transition plans for implementation
Results System implemented. X Completed
3.3.3. Continue development, test and pilot a number of subsystems of the EEOC's Integrated Mission System (IMS). Target X Continue to develop IMS. Test 4 subsystems: private sector, federal-sector, litigation and outreach.
Results X IMS development continued. Tested private sector, federal sector, litigation and outreach subsystems.
3.3.4. Implement a new human resources and payroll system. Target X X Complete 2-year transition and implementation of system.
Results X X Completed transition plans and successfully implemented the Federal Personnel & Payroll System (FPPS) in headquarters, and the time & attendance system in headquarters and field offices
3.3.5. Convert regularly used forms to a user-friendly electronic format and assure they are readily and easily available to all employees. Target X X Convert and make available regularly used forms.
Results X X 91 forms were converted to WordPerfect and Quattro Pro format and made available on InSite with links to OPM and GSA .
3.3.6. Develop and implement a new, standardized federal EEO Complaint Collection and Reporting System to improve the collection of data from federal agencies and provide more efficient reporting of federal EEO complaints. Target X Initiate development of federal EEO data system. Complete 2-year system development and implemen-tation in 5 pilot federal agencies during FY2002 .
Results X Identified requirements for a new data system and initiated contractor selection Completed development and testing of a new federal web-based data collection system
3.3.7. Percent of properly completed travel vouchers paid within 15 business days after receipt in headquarters. Target X X 80%
Results X X 70%
3.3.8. Percent of procurement actions for less than $25,000 awarded within 25 business days after acceptance of the request. Target X X 90%
Results X X 71%
3.3.9. Average number of business days to reduce to, and maintain, for awarding properly prepared procurement actions of $25,000 or more. Target X X 105
Results X X 59
3.3.10. Number of calendar weeks, on average, to deliver a list of qualified candidates (a certificate) to the requestor after the request to post a vacancy announcement, assuming the Office of Personnel Management (OPM) maintains open investigator announcements and classifies, posts and issues certificates for complex positions. Target X X Within 8
Results X X 4 weeks
3.3.11. Number of calendar days to complete each non-routine personnel action requested. (These actions include establishment/classification of positions, reasonable accommodation requests, and some separation actions, i.e., involuntary separations and transfers to other government agencies.) Target X X 90
Results X X 60
3.3.12. Number of calendar days to accurately complete routine personnel actions received. (These actions include non-competitive reassignments and promotions, changes in benefits and accessions.) Target X X 10
Results X X 25 days

(based on 3 quarters of data)

We met or exceeded many of these goals; some by a significant amount. We streamlined directives(2); implemented a new financial management system (implemented on October 1, 2001); implemented a new personnel and payroll system, which will link to our financial system to provide more effective cost information; tested key systems of our new Integrated Mission System to ensure its viability; completed development and testing of a new federal EEO data system (which was fully implemented in November 2001); completed a category of procurement actions faster than ever before, and 50% faster than the target anticipated; and improved our performance in several areas to provide human resources assistance to our offices.

We did not achieve the target values for three of our measures, however, we have already rectified the underlying causes for these circumstances. The three measures cover aspects of finance (travel voucher payments), procurement (awards of smaller procurement actions) and human resources (timely processing of routine personnel actions). At the end of fiscal year 2001, we implemented our new finance and personnel systems that will enable us to address the issues that prevented us from meeting two of the three goals. A new procurement module will be implemented in fiscal year 2002 and will address our procurement goals.

VERIFICATION AND VALIDATION OF AGENCY INFORMATION

Accurate and reliable data are critical for planning and allocating our resources. Our major front-line programs- private sector enforcement and federal sector programs-require data to determine the efficiency and effectiveness of our programs; for example, the number and status of matters pending or financial and human resources deployed.

In fiscal year 2001, we made significant progress on our 5-year technology plan. We implemented as of October 1, 2001, the core accounting and budget components of a new Integrated Financial Management System (IFMS) through a partnership with the Department of Interior. The new system includes an automated interface with our new human resource and payroll system, as well as an automated bank card interface.

We implemented our new Federal Personnel and Payroll System. The system integrates human resource and payroll data includes a new web-based time and attendance system, and interfaces with our financial management system to provide critical information necessary for managers to make budgetary and human capital decisions.

We also completed the testing of four sub-systems in our Integrated Mission System (IMS): private sector enforcement processing, federal sector hearings processes, litigation, and outreach. IMS consolidates the Commission's charge intake, investigation, mediation, litigation, and outreach functions into a single shared system to improve accuracy of the information and decision-making capabilities.

The deployment and integration of these systems will provide enhancements, such as additional computerized edit routines and elimination of duplicative data entry, to better ensure the validity of agency information.

In addition to these three systems, which are the core components of an integrated information architecture at EEOC, the agency completed the development and testing of a web-based federal EEO data collection system. This system was implemented in November 2001 to collect information from all federal agencies. The new system improves the collection and reporting of aggregated EEO complaint data from federal agencies.

PROGRAM EVALUATIONS

We conduct evaluation activities to inform employees, managers, and stakeholders of the effectiveness of programs. For example, we conduct evaluations of our prevention and training programs, which are both addressed in our Strategic Plan.

Prevention Programs

In fiscal year 2001, we took several steps to assess our outreach, education and technical assistance programs for employers, employees and stakeholder groups. Throughout the year, at least quarterly, outreach results were reviewed and checked against our outreach plans, using data and reports submitted by field offices. Using this information, our overall outreach performance is reviewed to ensure that we are making progress towards meeting our GPRA goals. Finally, we use participant evaluation forms to evaluate our fee-based training programs held by the Revolving Fund.

Training

We used several mechanisms to evaluate and guide our training programs and activities. We surveyed agency managers about training needs to determine how best to allocate training resources. We evaluated different training methodologies used by EEOC offices nationwide to meet their individual training needs and identified creative techniques that could be shared to improve agency training initiatives. We developed and used a computerized data system to identify recurring employee developmental needs. Finally, we developed tools to assess the extent to which staff training initiatives improved the achievement of key program indicators.

1. EEOC, Commission and agency are used interchangeably throughout this Report.

2. The agency decided to change the characterization of the goal for this measure from a percentage to an absolute number for fiscal year 2001, because the remaining number of potential directives available for review was relatively small compared to the total already revised in previous fiscal years.


This page was last modified on April 11, 2002.

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