The U.S. Equal Employment Opportunity Commission

Table of Contents

Note - page numbers do not apply to the on-line version, and are included here only as a reference to the official print version.

Chapter 1  AGENCY AND EEOC AUTHORITY AND RESPONSIBILITY

I.   FEDERAL AGENCY. . . . . . . . . . . . . . . . . . . . . .1-1

II.  EQUAL EMPLOYMENT OPPORTUNITY COMMISSION . . . . . . . . .1-1

III. EEO DIRECTOR INDEPENDENT AUTHORITY AND REPORTING
     RELATIONSHIPS . . . . . . . . . . . . . . . . . . . . . .1-1

IV.  DELEGATION OF AUTHORITY TO RESOLVE DISPUTES . . . . . . .1-2

V.   SPECIAL EMPHASIS PROGRAM. . . . . . . . . . . . . . . . .1-3

VI.  EEO OFFICIALS CANNOT SERVE AS REPRESENTATIVES . . . . . .1-3

Chapter 2      EQUAL EMPLOYMENT OPPORTUNITY PRE-COMPLAINT
PROCESSING 

I.   INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . .2-1
     A.   Counseling Generally . . . . . . . . . . . . . . . .2-1
     B.   Full-Time Counselors . . . . . . . . . . . . . . . .2-1
     C.   EEO Counselor Training Requirements. . . . . . . . .2-1
     D.   ADR and EEO Counseling . . . . . . . . . . . . . . .2-2

II.  MANDATORY EEO COUNSELOR TRAINING REQUIREMENTS . . . . . .2-2
     A.   Minimum Requirements . . . . . . . . . . . . . . . .2-2
     B.   Initial Thirty-Two Hour Training for New EEO Counselors
           . . . . . . . . . . . . . . . . . . . . . . . . . .2-2
     C.   Continuing Training. . . . . . . . . . . . . . . . .2-3

III. THE EEO COUNSELING PROCESS. . . . . . . . . . . . . . . .2-4

IV.  PROVIDING INFORMATION TO THE AGGRIEVED PERSON . . . . . .2-5
     A.   Provide Required Written Notice. . . . . . . . . . .2-5
     B.   Provide Information On Other Procedures as Required.2-5
     C.   Statutes and Regulations . . . . . . . . . . . . . .2-6
          1.   Title VII of the Civil Rights Act of 1964, as
               amended . . . . . . . . . . . . . . . . . . . .2-6
          2.   Age Discrimination in Employment Act of 1967, as
               amended (ADEA). . . . . . . . . . . . . . . . .2-6
          3.   Rehabilitation Act of 1973, as amended. . . . .2-7
          4.   Fair Labor Standards Act of 1938, as amended (Equal
               Pay Act of 1963)(EPA) . . . . . . . . . . . . .2-7
          5.   Commission Regulations, Guidelines, and Policy
               Directives. . . . . . . . . . . . . . . . . . .2-7

V.   DETERMINE THE CLAIM(S) AND BASIS(ES) OF THE POTENTIAL
     COMPLAINT2-8. . . . . . . . . . . . . . . . . . . . . . . . 
     A.   Determining the Claim(s) . . . . . . . . . . . . . .2-8
          1.   Fragmentation . . . . . . . . . . . . . . . . .2-8
          2.   Identifying the claim(s). . . . . . . . . . . .2-8
     B.   Determining the Basis(es)  . . . . . . . . . . . . .2-9
     C.   When the Basis(es) is not Covered by the EEO Regulations
           . . . . . . . . . . . . . . . . . . . . . . . . . .2-9

VI.  PROCEDURES UPON INITIATION OF EEO COUNSELING. . . . . . 2-10
     A.   Conducting the Inquiry . . . . . . . . . . . . . . 2-10
     B.   Seeking Resolution . . . . . . . . . . . . . . . . 2-10
     C.   Resolution . . . . . . . . . . . . . . . . . . . . 2-11
          1.   Resolution of the Dispute . . . . . . . . . . 2-11
          2.   Failure to Resolve the Dispute. . . . . . . . 2-11
     D.   Issuing the Notice of Final Interview. . . . . . . 2-12
          1.   Right to Pursue the Claim Through the Formal
               Process . . . . . . . . . . . . . . . . . . . 2-12
          2.   Requirements of the Formal Complaint. . . . . 2-12
          3.   Name(s) of Person(s) Authorized to Receive
               Complaints. . . . . . . . . . . . . . . . . . 2-13
          4.   File May Be Seen by Persons Needing Access and Any 
               Confidentiality May Be Lost During Formal Process2-13
          5.   Provide the Aggrieved Person with a Written Notice
               of His/Her
               Right to File a Discrimination Complaint. . . 2-13
          6.   The EEO Counselor must advise the complainant 2-13

VII. PROCEDURES UPON ELECTION OF THE ADR PROGRAM . . . . . . 2-13
     A.   Election Between EEO Counseling and ADR. . . . . . 2-13
     B.   Completing the ADR Process . . . . . . . . . . . . 2-14
     C.   Filing of Complaint and Preparation of the EEO
          Counselor's Report Where ADR Fails . . . . . . . . 2-15

VIII.     THE COUNSELOR'S REPORT . . . . . . . . . . . . . . 2-15
     A.   Time Limits. . . . . . . . . . . . . . . . . . . . 2-15
     B.   Contents of Report . . . . . . . . . . . . . . . . 2-15
     C.   Confidentiality of Negotiations for Resolution or ADR2-16

IX.  COUNSELING CLASS ACTION COMPLAINTS. . . . . . . . . . . 2-16

Chapter 3 ALTERNATE DISPUTE RESOLUTION 

 I.  INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . .3-1

II.  DEVELOPING ADR PROGRAMS . . . . . . . . . . . . . . . . .3-1
     A.   Program Design - Flexibility and Incorporating Core
          Principles . . . . . . . . . . . . . . . . . . . . .3-1
          1.   Choosing Among ADR Techniques . . . . . . . . .3-2
          2.   Time Frames . . . . . . . . . . . . . . . . . .3-2
          3.   Representation of the Parties . . . . . . . . .3-3
          4.   Dealing with Non-EEO Issues . . . . . . . . . .3-3
          5.   Matters Inappropriate for ADR . . . . . . . . .3-4
          6.   Collective Bargaining Agreements and the Privacy
               Act . . . . . . . . . . . . . . . . . . . . . .3-4
     B.   Offering ADR During the Counseling Stage . . . . . .3-4
     C.   ADR After the Complaint is Filed . . . . . . . . . .3-5
     D.   ADR Throughout the Complaint Process . . . . . . . .3-5
     E.   Explanation of Procedural and Substantive Alternatives3-5

III. PROVIDING INFORMATION . . . . . . . . . . . . . . . . . .3-6
     A.   Agencies Must Fully Inform the Employees About the
          Counseling Process 
          and the ADR Program. . . . . . . . . . . . . . . . .3-6
     B.   Providing Information About the Agency ADR Program .3-6
     C.   Informing the Employee about Filing Rights . . . . .3-7
     D.   The Role of the Counselor. . . . . . . . . . . . . .3-8
          1.   If ADR is Chosen. . . . . . . . . . . . . . . .3-8
          2.   If ADR is not chosen  . . . . . . . . . . . . .3-9

IV.  NEUTRALS. . . . . . . . . . . . . . . . . . . . . . . . .3-9
     A.   Sources. . . . . . . . . . . . . . . . . . . . . . .3-9
     B.   Qualifications . . . . . . . . . . . . . . . . . . 3-11
          1.   Training in ADR Theory and Techniques . . . . 3-11
          2.   Knowledge of EEO Law. . . . . . . . . . . . . 3-11
     C.   Role of the Neutral. . . . . . . . . . . . . . . . 3-12
     D.   Promoting Trust. . . . . . . . . . . . . . . . . . 3-12

V.   RESOLUTIONS MUST BE IN WRITING. . . . . . . . . . . . . 3-13

VI.  OPERATION OF ADR PROGRAMS . . . . . . . . . . . . . . . 3-13
     A.   Written Procedures . . . . . . . . . . . . . . . . 3-13
     B.   Training Managers and Supervisors. . . . . . . . . 3-14
     C.   Recordkeeping. . . . . . . . . . . . . . . . . . . 3-15

VII. ADR CORE PRINCIPLES . . . . . . . . . . . . . . . . . . 3-15
     A.   Fairness . . . . . . . . . . . . . . . . . . . . . 3-15
          1.   Voluntariness . . . . . . . . . . . . . . . . 3-16
          2.   Neutrality. . . . . . . . . . . . . . . . . . 3-16
          3.   Confidentiality . . . . . . . . . . . . . . . 3-16
          4.   Enforceability. . . . . . . . . . . . . . . . 3-17
     B.   Flexibility. . . . . . . . . . . . . . . . . . . . 3-17
     C.   Training and Evaluation. . . . . . . . . . . . . . 3-18

VIII.     ADR TECHNIQUES AND DEFINITIONS . . . . . . . . . . 3-18
     A.   Alternative Dispute Resolution . . . . . . . . . . 3-18
     B.   Mediation. . . . . . . . . . . . . . . . . . . . . 3-18
     C.   Facilitation . . . . . . . . . . . . . . . . . . . 3-19
     D.   Fact Finding . . . . . . . . . . . . . . . . . . . 3-19
     E.   Early Neutral Evaluation . . . . . . . . . . . . . 3-20
     F.   Ombuds . . . . . . . . . . . . . . . . . . . . . . 3-20
     G.   Settlement Conferences . . . . . . . . . . . . . . 3-20
     H.   Minitrials . . . . . . . . . . . . . . . . . . . . 3-21
     I.   Peer Review. . . . . . . . . . . . . . . . . . . . 3-21
     J.   Combinations of Techniques . . . . . . . . . . . . 3-21

Chapter 4  PROCEDURES FOR RELATED PROCESSES 

I.   INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . .4-1

II.  MIXED CASE COMPLAINTS AND APPEALS   29 C.F.R.  1614.302.4-1
     A.   Definitions. . . . . . . . . . . . . . . . . . . . .4-1
     B.   Procedures . . . . . . . . . . . . . . . . . . . . .4-1
          1.   Standing. . . . . . . . . . . . . . . . . . . .4-2
          2.   Appealable Actions. . . . . . . . . . . . . . .4-3
          3.   Election to Proceed is Required . . . . . . . .4-3
          4.   Procedures for Handling Dual Filing . . . . . .4-4
          5.   Processing Where MSPB Dismisses a Mixed Case Appeal
               Because it Finds No Jurisdiction. . . . . . . .4-6
          6.   Processing Mixed Case Complaints Filed at the
               Agency. . . . . . . . . . . . . . . . . . . . .4-6

III. NEGOTIATED GRIEVANCE PROCEDURES . . . . . . . . . . . . .4-7
     A.   Where Agency is Covered by 5 U.S.C.  7121(d). . . .4-7
     B.   Where Agency is not Covered by 5 U.S.C.  7121(d). .4-8

IV.  AGE DISCRIMINATION COMPLAINTS . . . . . . . . . . . . . .4-8
     A.   Election of Administrative Process . . . . . . . . .4-8
     B.   Aggrieved May Bypass Administrative Process. . . . .4-9
     C.   Responsibilities Regarding Notices of Intent to Sue.4-9
          1.   The Aggrieved Person. . . . . . . . . . . . . .4-9
          2.   The Commission. . . . . . . . . . . . . . . . 4-10
          3.   The Agency. . . . . . . . . . . . . . . . . . 4-11

V.   EQUAL PAY ACT COMPLAINTS. . . . . . . . . . . . . . . . 4-11
 
Chapter 5  AGENCY PROCESSING OF FORMAL COMPLAINTS

I.   AGENCY SHALL ACKNOWLEDGE FORMAL COMPLAINT . . . . . . . .5-1

II.  THE AGENCY SHALL ALSO PROVIDE OTHER INFORMATION 
     AND NOTICE OF RIGHTS. . . . . . . . . . . . . . . . . . .5-2
     A.   Agency Shall Inform the Complainant of the Agency's
          Obligations. . . . . . . . . . . . . . . . . . . . .5-2
          1.   To Investigate in a Timely Manner . . . . . . .5-2
          2.   To Process Mixed Cases Timely . . . . . . . . .5-2
          3.   Unilateral Extension for Sanitizing Classified
               Information . . . . . . . . . . . . . . . . . .5-2
     B.   Agency Shall Inform Complainant of His/Her Rights. .5-3
          1.   The Right to Hearing. . . . . . . . . . . . . .5-3
          2.   The Right to Appeal . . . . . . . . . . . . . .5-3
          3.   The Right to File a Civil Action. . . . . . . .5-4

III.  AGENCIES MUST AVOID FRAGMENTING EEO COMPLAINTS . . . . .5-5
     A.   Identifying and Defining the Claim in an EEO Complaint5-5
               Example 1 . . . . . . . . . . . . . . . . . . .5-5
               Example 2 . . . . . . . . . . . . . . . . . . .5-6
               Example 3 . . . . . . . . . . . . . . . . . . .5-7
     B.   A Complainant May Amend A Pending Complaint. . . . .5-9
          1.   New Incident That Is Part of the Existing Claim5-10
               Example 4 . . . . . . . . . . . . . . . . . . 5-10
          2.   New Incident That Raises a New Claim Like or
               Related to the Pending Claim5-10. . . . . . . . . 
               Example 5 . . . . . . . . . . . . . . . . . . 5-11
               Example 6 . . . . . . . . . . . . . . . . . . 5-11
               Example 7 . . . . . . . . . . . . . . . . . . 5-12
          3.   New Incident Raises Claim That Is Not Like or
               Related to Pending Claim. . . . . . . . . . . 5-12
               Example 8 . . . . . . . . . . . . . . . . . . 5-13
     C.   Consolidation of Complaints. . . . . . . . . . . . 5-13
     D.   Partial Dismissals . . . . . . . . . . . . . . . . 5-14
     E.   No More Remands By Administrative Judges . . . . . 5-14
     F.   "Spin-off" Complaints. . . . . . . . . . . . . . . 5-14
     G.   Training . . . . . . . . . . . . . . . . . . . . . 5-15

IV.  AGENCY DISMISSAL PROCESS. . . . . . . . . . . . . . . . 5-15
     A.   Bases for Dismissals that May Exist As of the Filing of
          the Complaint 
          or Develop Thereafter. . . . . . . . . . . . . . . 5-15
          1.   Untimely Counseling Contact  1614.107(a)(2). 5-15
          2.   Untimely Filing of the Formal Complaint 
               1614.107(a) (2) . . . . . . . . . . . . . . . 5-16
          3.   Failure to State a Claim  1614.107(a)(1) . . 5-16
          4.   Abuse of Process  1614.107(a)(9) . . . . . . 5-17
               Example 1 . . . . . . . . . . . . . . . . . . 5-19
               Example 2 . . . . . . . . . . . . . . . . . . 5-20
          5.   States the Same Claim 1614.107(a)(1) . . . . 5-21
          6.   Complainant Files a Civil Action  1614.107(a)(3)5-21
          7.   Issue Has Been Decided  1614.107(a)(3) . . . 5-21
          8.   Allegation Raised in Negotiated Grievance
               Proceeding  1614.107(a)(4) . . . . . . . . . 5-22
          9.   Appeal Made to MSPB  1614.107(a)(4). . . . . 5-22
          10.  Complaint Alleges a Preliminary Step 
               1614.107(a)(5). . . . . . . . . . . . . . . . 5-22
          11.  Complaint is Moot  1614.107(a)(5). . . . . . 5-23
          12.  Dissatisfaction with the Processing of a
               Complaint 1614.107(a)(8). . . . . . . . . . . 5-23
     B.   Dismissals that Generally Occur After the Agency Accepts
          the 
          Complaint Based on Complainant's Actions or Inactions5-23
          1.   The Complainant Cannot Be Located  1614.107(a)(6) 
               . . . . . . . . . . . . . . . . . . . . . . . 5-23
          2.   The Complainant Failed to Respond or Proceed 
               in a Timely Fashion  1614.107(a)(7). . . . . 5-24
     C.   Processing of Partially Dismissed Complaints . . . 5-24
          1.   Where a Hearing is Requested. . . . . . . . . 5-24
          2.   Where a Final Decision By the Agency Is Requested5-25
     D.   Allegations of Dissatisfaction Regarding Processing of
          Pending Complaints . . . . . . . . . . . . . . . . 5-25

V.   CONDUCTING THE INVESTIGATION. . . . . . . . . . . . . . 5-27
     A.   Agency Retains Responsibility. . . . . . . . . . . 5-27
     B.   Investigations Must be Finished Timely . . . . . . 5-27
     C.   What Must be Done for an Investigation to be Considered
          Appropriate. . . . . . . . . . . . . . . . . . . . 5-28

VI.  FINAL ACTIONS . . . . . . . . . . . . . . . . . . . . . 5-28
     A.   Final Action By Agency Following An Administrative
          Judge's Decision . . . . . . . . . . . . . . . . . 5-28
     B.   Final Actions in All Other Circumstances . . . . . 5-29

Chapter 6 DEVELOPMENT OF IMPARTIAL AND APPROPRIATE
FACTUAL RECORDS

I.   INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . .6-1

II.  MINIMUM TRAINING REQUIREMENTS FOR ALL INVESTIGATORS . . .6-1
     A.   New Investigator Training Requirement. . . . . . . .6-2
     B.   Continuing Investigator Training . . . . . . . . . .6-2

III. CONTENTS OF A COMPLAINT FILE. . . . . . . . . . . . . . .6-3

IV.  RESPONSIBILITIES. . . . . . . . . . . . . . . . . . . . .6-4
     A.   Director of Equal Employment Opportunity . . . . . .6-4
     B.   Equal Employment Opportunity Investigator. . . . . .6-4
     C.   Complainant. . . . . . . . . . . . . . . . . . . . .6-5

V.   INVESTIGATION . . . . . . . . . . . . . . . . . . . . . .6-5
     A.   Methods of Investigation . . . . . . . . . . . . . .6-5
     B.   Purpose of the Investigation . . . . . . . . . . . .6-6
     C.   General Investigative Requirements . . . . . . . . .6-5

VI.  THE ROLE OF THE INVESTIGATOR. . . . . . . . . . . . . . .6-6
     A.   Collecting and Discovering Factual Information . . .6-6
     B.   Variety of Methods Available . . . . . . . . . . . .6-6
     C.   Investigator Must Be Unbiased and Objective. . . . .6-7
     D.   Investigator Must Be Thorough. . . . . . . . . . . .6-8

VII. EVIDENCE. . . . . . . . . . . . . . . . . . . . . . . . .6-8
     A.   Quality of Evidence. . . . . . . . . . . . . . . . .6-8
          1.   Material Evidence . . . . . . . . . . . . . . .6-9
          2.   Relevant Evidence . . . . . . . . . . . . . . .6-9
          3.   Reliable Evidence . . . . . . . . . . . . . . .6-9
     B.   Types of Evidence. . . . . . . . . . . . . . . . . 6-10
          1.   Comparative Evidence. . . . . . . . . . . . . 6-10
          2.   Direct Evidence . . . . . . . . . . . . . . . 6-11
          3.   Statistical Evidence. . . . . . . . . . . . . 6-11
     C.   Sources of Evidence. . . . . . . . . . . . . . . . 6-11
          1.   The Complainant . . . . . . . . . . . . . . . 6-11
          2.   The Agency. . . . . . . . . . . . . . . . . . 6-12
          3.   Witnesses . . . . . . . . . . . . . . . . . . 6-12
          4.   Documentary Evidence. . . . . . . . . . . . . 6-13
     D.   Evidence on the Question of Remedies . . . . . . . 6-13

VIII.     WITNESSES AND REPRESENTATIVES IN THE FEDERAL EEO PROCESS
           . . . . . . . . . . . . . . . . . . . . . . . . . 6-14
     A.   Disclosure of Investigative Material to Witnesses. 6-14
          1.   To the complainant. . . . . . . . . . . . . . 6-14
          2.   To other witnesses. . . . . . . . . . . . . . 6-14
     B.   Travel Expenses. . . . . . . . . . . . . . . . . . 6-14
          1.   Witness Employed by the Federal Government. . 6-14
          2.   Outside Complainant or Applicant Not Employed by
               Federal Government6-15. . . . . . . . . . . . . . 
     C.   Official Time. . . . . . . . . . . . . . . . . . . 6-15
          1.   Reasonable Amount of Official Time. . . . . . 6-15
          2.   Meeting and Hearing Time. . . . . . . . . . . 6-16
          3.   Preparation Time. . . . . . . . . . . . . . . 6-16
          4.   Aggregate Time Spent on EEO Matters . . . . . 6-16
          5.   Requesting Official Time. . . . . . . . . . . 6-17
          6.   Denial of Official Time . . . . . . . . . . . 6-17
     D.   Duty Status/Tour of Duty . . . . . . . . . . . . . 6-17
     E.   Use of Government Property . . . . . . . . . . . . 6-18

IX.  COMPLAINT FILE. . . . . . . . . . . . . . . . . . . . . 6-18
     A.   Contents of the Complaint File . . . . . . . . . . 6-18
     B.   Features of the Complaint File . . . . . . . . . . 6-19
     C.   Format for the Complaint File. . . . . . . . . . . 6-19
     D.   Availability of Complaint Files. . . . . . . . . . 6-20
     E.   Disposition of Complaint Files . . . . . . . . . . 6-21

X.   THE INVESTIGATIVE SUMMARY . . . . . . . . . . . . . . . 6-22

XI.  COMPLAINANTS' OPPORTUNITY TO REVIEW THE INVESTIGATIVE FILE6-22

XII. SANCTIONS FOR FAILURE TO COOPERATE DURING THE INVESTIGATION6-23

XIII.     SANCTIONS FOR FAILURE TO DEVELOP AN IMPARTIAL 
     AND APPROPRIATE FACTUAL RECORD. . . . . . . . . . . . . 6-24

XIV.      OFFER OF RESOLUTION. . . . . . . . . . . . . . . . 6-25
     A.   Elements of the Offer. . . . . . . . . . . . . . . 6-25
     B.   Model Language for the Offer . . . . . . . . . . . 6-26

Chapter 7 HEARINGS

I.   INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . .7-1

II.  THE ROLE OF THE AGENCY AT THE HEARING STAGE . . . . . . .7-2
     A.   Forward Complaint File to EEOC . . . . . . . . . . .7-2
     B.   Hearing Room and Production of Witnesses . . . . . .7-3
     C.   Hearings are Closed to the Public. . . . . . . . . .7-3
     D.   Verbatim Hearing Transcripts and Court Reporters . .7-3
     E.   The Site of the Hearing. . . . . . . . . . . . . . .7-4
     F.   Request for Change in Venue. . . . . . . . . . . . .7-5
     G.   Agency Costs . . . . . . . . . . . . . . . . . . . .7-5

III.      THE ROLE OF THE ADMINISTRATIVE JUDGE . . . . . . . .7-5
     A.   Administrative Judge's Review. . . . . . . . . . . .7-5
     B.   Developing the Record in Complaints with Inadequate
          Records. . . . . . . . . . . . . . . . . . . . . . .7-6
     C.   Dismissal of Complaint by Administrative Judge . . .7-8
     D.   Administrative Judge's Authority . . . . . . . . . .7-8
          1.   Issue decisions on complaints . . . . . . . . .7-8
          2.   Administer oaths. . . . . . . . . . . . . . . .7-8
          3.   Regulate the conduct of hearings. . . . . . . .7-8
          4.   Limit the number of witnesses . . . . . . . . .7-8
          5.   Order discovery . . . . . . . . . . . . . . . .7-9
          6.   Issue protective orders . . . . . . . . . . . .7-9
          7.   Exclude any person who is disruptive. . . . . .7-9
          8.   Issue decisions without a hearing . . . . . . .7-9
          9.   Limit the hearing to the issues in dispute. . .7-9
          10.  Impose appropriate sanctions on parties who fail to
               comply with orders or requests. . . . . . . . .7-9
          11.  Calculate compensatory damage awards. . . . . 7-10
          12.  Order a medical examination . . . . . . . . . 7-11
          13.  Calculate and award the amount of attorney's fees
               or costs. . . . . . . . . . . . . . . . . . . 7-12
          14.  Engage the parties or encourage the parties to
               engage in settlement discussions. . . . . . . 7-13
          15.  Issue an order determining full relief. . . . 7-13
          16.  Hold a hearing in abeyance. . . . . . . . . . 7-14
     E.   Decisions Without a Hearing. . . . . . . . . . . . 7-14
          1.   On Motion of a Party. . . . . . . . . . . . . 7-14
          2.   On Administrative Judge's Determination . . . 7-15
          3.   Oral Argument or Testimony on Summary Judgment
               Motion. . . . . . . . . . . . . . . . . . . . 7-15
          4.   Legal Standard for the Use of Summary Judgment7-15
     F.   Transmittal of the Decision and Hearing Record . . 7-16

IV.  DISCOVERY . . . . . . . . . . . . . . . . . . . . . . . 7-16
     A.   Introduction . . . . . . . . . . . . . . . . . . . 7-16
          1.   General . . . . . . . . . . . . . . . . . . . 7-16
          2.   Avoidance of Delay. . . . . . . . . . . . . . 7-16
     B.   Right to Seek Discovery. . . . . . . . . . . . . . 7-17
          1.   Notice of Right to Seek Discovery . . . . . . 7-17
          2.   Discovery is Designed to Supplement the Record7-17
          3.   Discovery Time Frames Will Be Strictly Regarded7-17
     C.   Methods of Discovery . . . . . . . . . . . . . . . 7-17
          1.   Evidence may be developed using a variety of
               methods . . . . . . . . . . . . . . . . . . . 7-17
               a.   Interrogatories. . . . . . . . . . . . . 7-17
               b.   Depositions. . . . . . . . . . . . . . . 7-17
               c.   Stipulations . . . . . . . . . . . . . . 7-18
               d.   Requests for Admissions. . . . . . . . . 7-18
               e.   Requests for the Production of Documents 7-18
          2.   Informal methods of discovery . . . . . . . . 7-18
     D.   Discovery Procedures . . . . . . . . . . . . . . . 7-19
          1.   Commencing Discovery. . . . . . . . . . . . . 7-19
               a.   Requests for authorization to commence . 7-19
               b.   Exchange of requests . . . . . . . . . . 7-19
          2.   Response to Discovery Request . . . . . . . . 7-20
          3.   Failure to Respond to Request for Discovery . 7-21
          4.   The Administrative Judges Will Rule Expeditiously
               on Discovery Issues . . . . . . . . . . . . . 7-21
          5.   Administrative Judge's Orders to Comply . . . 7-22
          6.   Failure to Respond or Comply With Administrative 
               Judge's Order May Result in Sanctions . . . . 7-22
     E.   Failure to Request Discovery Implies Waiver of Subsequent
          Requests for Documents . . . . . . . . . . . . . . 7-22
     F.   Cost of Discovery. . . . . . . . . . . . . . . . . 7-23

V.   EXCLUSION AND DISQUALIFICATION. . . . . . . . . . . . . 7-23
     A.   Exclusion from a Hearing . . . . . . . . . . . . . 7-23
          1.   Relationship to other sanctions . . . . . . . 7-24
          2.   Preventive measures . . . . . . . . . . . . . 7-25
          3.   General standard for exclusion. . . . . . . . 7-25
          4.   Standard for exclusion of representative. . . 7-26
          5.   Procedure for exclusion . . . . . . . . . . . 7-26
     B.   Disqualification of a Representative from Future Hearings
           . . . . . . . . . . . . . . . . . . . . . . . . . 7-28
          1.   Standard for suspension and disqualification. 7-28
          2.   Procedure for suspension and disqualification 7-28
     C.   Referral of Attorney Representatives to Bar Association
           . . . . . . . . . . . . . . . . . . . . . . . . . 7-29

Chapter 8 COMPLAINTS OF CLASS DISCRIMINATION IN THE 
FEDERAL GOVERNMENT

I.   INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . .8-1

II.  PRE-CERTIFICATION PROCEDURES. . . . . . . . . . . . . . .8-1
     A.   Pre-Complaint Processing . . . . . . . . . . . . . .8-1
     B.   Filing and Presentation of the Class Complaint . . .8-2

III. CERTIFICATION OR DISMISSAL    1614.204(d). . . . . . . .8-3
     A.   Class Complaint Criteria . . . . . . . . . . . . . .8-4
     B.   Developing the Evidence for Purpose of Certification
          Determination. . . . . . . . . . . . . . . . . . . .8-4
     C.   Individual Complaints Filed on Bases and Issues Identical
          to Class Complaints. . . . . . . . . . . . . . . . .8-4

IV.  CERTIFICATION DECISION    1614.204(d)(7) . . . . . . . .8-5
     A.   Administrative Judge Issues Decision on Certification8-5
     B.   Transmittal of Decision. . . . . . . . . . . . . . .8-5
     C.   Right to Appeal the Administrative Judge's Decision.8-6

V.   NOTIFICATION    1614.204(e). . . . . . . . . . . . . . .8-6
     A.   Timing and Method of the Notice. . . . . . . . . . .8-6
     B.   Content of the Notice. . . . . . . . . . . . . . . .8-7
     C.   Individuals May Not Opt Out. . . . . . . . . . . . .8-7
     D.   Settlement Notice. . . . . . . . . . . . . . . . . .8-7

VI.  DEVELOPING THE EVIDENCE    1614.204(f) . . . . . . . . .8-7
     A.   The Process of Developing the Evidence . . . . . . .8-7
     B.   Use of Agency Facilities by Class Agent. . . . . . .8-8

VII.      RESOLUTION    1614.204(g) . . . . . . . . . . . . .8-9
     A.   Resolution by the Parties. . . . . . . . . . . . . .8-9
     B.   Notice of Proposed Resolution. . . . . . . . . . . .8-9
     C.   Administrative Judge Shall Review Resolution . . . .8-9

VIII.     HEARING    1614.204(h) and (i) . . . . . . . . . 8-10
     A.   Hearing Procedures . . . . . . . . . . . . . . . . 8-10
     B.   Site of the Class Hearing. . . . . . . . . . . . . 8-10
     C.   Travel Expenses  . . . . . . . . . . . . . . . . . 8-10
     D.   Official Time for Agency Employees . . . . . . . . 8-11

IX.  ADMINISTRATIVE JUDGE'S RECOMMENDED DECISION . . . . . . 8-11

X.   AGENCY DECISION    1614.204(j) and (k) . . . . . . . . 8-12
     A.   Action on Administrative Judge's Report of Findings and
          Recommendations. . . . . . . . . . . . . . . . . . 8-12
     B.   Required Features of the Agency Final Decision . . 8-12
     C.   Binding Nature of Agency Decision. . . . . . . . . 8-12
     D.   Notification of Agency Final Decision. . . . . . . 8-13

XI.  RELIEF FOR INDIVIDUAL CLASS MEMBERS    1614.204(l) . . 8-13
     A.   Claims for Individual Relief by Class Members Where
          Discrimination is Found8-13. . . . . . . . . . . . . . 
     B.   Timing of Agency Decision on Individual Claims for Relief
           . . . . . . . . . . . . . . . . . . . . . . . . . 8-13
     C.   Oversight of Individual Claims for Relief. . . . . 8-14
     D.   Limits on the Duration of a Finding of Class-Wide
          Discrimination . . . . . . . . . . . . . . . . . . 8-15
     E.   Where Class-Wide Discrimination is Not Found . . . 8-15

XII. REPRISAL. . . . . . . . . . . . . . . . . . . . . . . . 8-16

Chapter 9 APPEALS TO THE COMMISSION 

I.   INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . .9-1

II.  ADVISING THE PARTIES OF THEIR APPEAL RIGHTS . . . . . . .9-2
     A.   Rights Following Administrative Judge Issuance of a
          Decision . . . . . . . . . . . . . . . . . . . . . .9-2
          1.   Merits/Class Certification Cases. . . . . . . .9-2
          2.   Procedural Dismissal. . . . . . . . . . . . . .9-3
          3.   Class Action Settlement Agreements. . . . . . .9-3
     B.   Agency Final Action. . . . . . . . . . . . . . . . .9-4
          1.   Agency Final Action . . . . . . . . . . . . . .9-4
          2.   Notice of Rights. . . . . . . . . . . . . . . .9-4
               a.   Full Implementation. . . . . . . . . . . .9-4
               b.   Less than Full Implementation. . . . . . .9-5
     C.   Agency Final Decision. . . . . . . . . . . . . . . .9-5
     D.   Agency Procedural Decision . . . . . . . . . . . . .9-6
     E.   Mixed Case Complaints. . . . . . . . . . . . . . . .9-6

III. PERSONS WHO MAY APPEAL. . . . . . . . . . . . . . . . . .9-6
     A.   A Complainant May Appeal . . . . . . . . . . . . . .9-6
     B.   An Agency Must Appeal. . . . . . . . . . . . . . . .9-7
     C.   An Agency May Appeal . . . . . . . . . . . . . . . .9-7
     D.   A Class Agent May Appeal . . . . . . . . . . . . . .9-8
     E.   A Class Member May Appeal. . . . . . . . . . . . . .9-8
     F.   A Grievant May Appeal. . . . . . . . . . . . . . . .9-9

IV.  FILING THE APPEAL AND RESPONSE. . . . . . . . . . . . . .9-9
     A.   How to Appeal. . . . . . . . . . . . . . . . . . . .9-9
     B.   Service of Notice of Appeal. . . . . . . . . . . . 9-11
     C.   Dismissal of Appeal. . . . . . . . . . . . . . . . 9-11
     D.   Briefs and Supporting Documents. . . . . . . . . . 9-11
     E.   Statements in Opposition to an Appeal. . . . . . . 9-11
     F.   Submission of Case File. . . . . . . . . . . . . . 9-12

V.   APPELLATE PROCEDURE . . . . . . . . . . . . . . . . . . 9-12
     A.   Appeal Will Be Acknowledged. . . . . . . . . . . . 9-12
     B.   Where Record is Complete . . . . . . . . . . . . . 9-12
     C.   Where Record Requires Supplementation. . . . . . . 9-13
     D.   Sanctions. . . . . . . . . . . . . . . . . . . . . 9-13
     E.   Appeals Decisions are Final. . . . . . . . . . . . 9-14

VI.  STANDARDS OF REVIEW ON APPEAL . . . . . . . . . . . . . 9-14
     A.   Review of Final Decisions Issued by the Agency . . 9-15
     B.   Review of Decisions Issued by Administrative Judges9-15
     C.   The Responsibility of the Parties. . . . . . . . . 9-17

VII. RECONSIDERATION . . . . . . . . . . . . . . . . . . . . 9-17
     A.   Reconsideration is Not an Appeal . . . . . . . . . 9-17
     B.   Reconsideration Procedures . . . . . . . . . . . . 9-18
     C.   Reconsideration Decision is Final. . . . . . . . . 9-18

VIII.     REMEDIES . . . . . . . . . . . . . . . . . . . . . 9-18
     A.   An Agency Shall Provide Full Relief After Finding
          Discrimination . . . . . . . . . . . . . . . . . . 9-18
     B.   Clear and Convincing Standard Needed to Limit
          Relief; Duty to Cure Discrimination Remains. . . . 9-19
     C.   Interest on Back Pay . . . . . . . . . . . . . . . 9-19
     D.   Offer of a Position Must Be in Writing . . . . . . 9-19
     E.   Compensatory Damages . . . . . . . . . . . . . . . 9-19
     F.   Attorney's Fees: 29 C.F.R.  1614.501(e) . . . . . 9-20
     G.   Computation of Service Time. . . . . . . . . . . . 9-20
     H.   Relief in Class Cases. . . . . . . . . . . . . . . 9-20

IX.  COMPLIANCE. . . . . . . . . . . . . . . . . . . . . . . 9-20
     A.   Relief Ordered in a Decision on Appeal . . . . . . 9-20
     B.   Interim Relief9-21 . . . . . . . . . . . . . . . . . . 
     C.   Sanctions. . . . . . . . . . . . . . . . . . . . . 9-22
     D.   Priority Consideration for Cases Remanded for
          Investigation. . . . . . . . . . . . . . . . . . . 9-23
     E.   Remand of Dismissed Claims . . . . . . . . . . . . 9-23
     F.   Complainant May File an Appeal Alleging a Breach of a
          Settlement Agreement . . . . . . . . . . . . . . . 9-23
     G.   Complainant May Petition the Commission for Enforcement
          of a Decision
          Issued Under the Commission's Appellate Jurisdiction9-23
     H.   Complainant May Appeal to the Commission for Enforcement 
          of an Agency Final Action. . . . . . . . . . . . . 9-24

X.   CIVIL ACTIONS . . . . . . . . . . . . . . . . . . . . . 9-24

XI.       NOTICE REQUIREMENTS. . . . . . . . . . . . . . . . 9-24

Chapter 10     ADMINISTRATIVE APPEALS, CIVIL ACTIONS AND 
APPOINTMENT OF COUNSEL

I.   INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . 10-1

II.  ADMINISTRATIVE APPEALS. . . . . . . . . . . . . . . . . 10-1
     A.   Time Limits for Appeals to the Commission   29 C.F.R 
          1614.402 . . . . . . . . . . . . . . . . . . . . . 10-1
     B.   Appeals to the Commission    1614.504(a). . . . . 10-3
     C.   Petitions to Consider MSPB Decisions . . . . . . . 10-4
     D.   Appeal to MSPB on Mixed Case Complaint . . . . . . 10-4

III. CIVIL ACTIONS . . . . . . . . . . . . . . . . . . . . . 10-4
     A.   Time Limits for Civil Actions. . . . . . . . . . . 10-4
          1.   Title VII, Age Discrimination in Employment Act, 
               Rehabilitation Act    1614.407 . . . . . . . 10-4
          2.   The Equal Pay Act    1614.408. . . . . . . . 10-5
     B.   Termination of EEOC Processing . . . . . . . . . . 10-5
     C.   Mixed Case Complaints. . . . . . . . . . . . . . . 10-5

IV.  NOTICE OF COMPLAINANT'S RIGHT TO REQUEST COURT APPOINTMENT 
     OF COUNSEL AND STATEMENT OF RIGHT TO APPEAL . . . . . . 10-5

Chapter 11     ATTORNEY'S FEES AND COSTS

I.   INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . 11-1

II.  DETERMINATION OF PREVAILING PARTY STATUS. . . . . . . . 11-1

III. PRESUMPTION OF ENTITLEMENT  . . . . . . . . . . . . . . 11-2

IV.  AWARDS TO PREVAILING PARTIES IN NEGOTIATED SETTLEMENTS. 11-3

V.   AWARDS OF COSTS AND FEES FOR EXPERT AND NON-LAWYER SERVICES11-4

VI.  COMPUTATION OF ATTORNEY'S FEES. . . . . . . . . . . . . 11-5

VII. CONTENTS OF FEE APPLICATION AND PROCEDURE FOR
     DETERMINATION . . . . . . . . . . . . . . . . . . . . . 11-8

VIII.MISCELLANEOUS ISSUES . . . . . . . . . . . . . . . . . 11-10

Chapter 12    SETTLEMENT AUTHORITY

I.   INTRODUCTION  . . . . . . . . . . . . . . . . . . . . . 12-1

II.  AUTHORITY . . . . . . . . . . . . . . . . . . . . . . . 12-1

III. TITLE VII AUTHORITY INDEPENDENT OF BACK PAY ACT . . . . 12-3

IV.  NO FINDING OF DISCRIMINATION NECESSARY FOR SETTLEMENTS. 12-5

V.   CASH AWARDS WITHOUT CORRESPONDING PERSONNEL ACTIONS . . 12-5
 
VI.  PERSONNEL ACTIONS WITH LUMP SUM PAYMENTS  . . . . . . . 12-6

VII. IMPLEMENTING SETTLEMENT AGREEMENTS  . . . . . . . . . . 12-7



APPENDICES

Appendix A     EEO Counseling Techniques 

Appendix B     EEO Counselor Checklist

Appendix C     Information on Other Procedures

Appendix D     Notice of Possible Applicability of 5 U.S.C.
7121(d) to Alleged Discriminatory Action

Appendix E     Sample Resolution Letter

Appendix F     Notice of Right to File a Discrimination Complaint

Appendix G     EEO Counselor's Report

Appendix H     EEOC Notice   Alternative Dispute Resolution

Appendix I     Appealable Actions -- 5 C.F.R.

Appendix J     Equal Employment Opportunity Commission District
Offices and Geographic Jurisdictions

Appendix K     Notice of Appeal/Petition (EEOC Form 573) not yet available

Appendix L     Model Analyses

Appendix M     Sample Title Page

Appendix N     Request for a Hearing Form

This page was last modified on September 30, 2003.

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Appendix O Notice of Appeal Agency