EEOC FORM 462
ANNUAL FEDERAL EQUAL EMPLOYMENT OPPORTUNITY STATISTICAL REPORT OF DISCRIMINATION COMPLAINTS INSTRUCTION MANUAL
FISCAL YEAR 2007 REPORT

(OCTOBER 1, 2006-SEPTEMBER 30, 2007)

TABLE OF CONTENTS

Introduction

FY2007 Form 462 Reporting Enhancements

Visual Aids

Summary - All Parts - I. through XII.

Part I. Pre-Complaint Counseling

Part II. Formal Complaint Activities

Part III. Agency Resources, Training, Reporting Line

Part IV. Bases and Issues Alleged in Complaints Filed

Part V. Summary of Closures by Statute

Part VI. Summary of Closures by Category

Part VII. Summary Complaints closed With Corrective Action During Formal Complaint Stage

Part VIII. Summary of Pending Complaints By Category

Part IX. Summary of Investigations Completed

Part X. Summary of ADR Program Activities Informal Phase (Pre-Complaint)

Part XI. Summary of ADR Program Activities Formal Phase

Part XII. Summary of ADR Program Activities Training and Resources

Appendix A Reporting Requirements (Including Sub-element Reporting)

Appendix B Agency Administrator & Sub-Element Functions

Appendix C Website Navigation and Trouble Shooting Tips

Appendix D Definitions

Appendix E Mixed Case Complaints

Appendix F Part IV Grid

Appendix G Frequently Asked Questions or Data Requirements

Appendix H Frequently Asked Questions on Website Usage

Appendix I EEOC Form 462 Report

Appendix J FY 2007 Form 462 Report Edit Check List by Parts

Appendix K Cost of Investigations Worksheet

Introduction

In this document, we provide information that agency Form 462 preparers and EEO Directors need to understand the data that must be entered into the agency’s Annual Federal Equal Employment Opportunity Statistical Report of Discrimination Complaints (EEOC Form 462) for Fiscal Year (FY) 2007 (October 1, 2006 - September 30, 2007).

Agency reports, with all data certified as accurate, will be due on or before Wednesday, October 31, 2007.

Detailed data descriptions are provided in this Instruction Manual for each part of the Form 462 report. Additional information is provided in the Appendices.

A copy of this Instruction Manual, with Appendices, will be available on the Form 462 website homepage along with the Form 462. The Instruction Manual is in PDF format so that agencies can search for any information they need. Specific information also may be found by using the website Help feature.

Agency Form 462 website users must enter data on EEOC’s Form 462 website using Internet Explorer 5.0 or higher. Users will log onto the website to register, click on the “register” link, and fill in the required information (indicated by an * mark) on the screen which appears. Each user will choose their own user name and password and select their agency from a drop down menu. Sub-element users will also select their sub-element from a drop down menu. When all required information has been entered, users should click on the “Register” link. Each user will receive an email when their registration is approved. The approved user may then log onto the Form 462 website, enter their user name and password, and click on the “Sign-in” link to reach the 462 website’s home page screen.

Information on how to use the Form 462 website is provided in “Appendix B - Agency Administrator & Sub-element Functions” and “Appendix C - Website Navigation and Trouble Shooting Tips.”

FY 2007 Form 462 Reporting Enhancements

The EEOC Form 462 and website have been modified in an effort to increase understanding and collect more accurate EEO Complaints data. There are new reporting requirements in Part I., Part II., Part III., Part X., and Part XII. of the FY 2007 EEOC Form 462 report.

Part I. has been modified to identify counselings that are untimely and to include Remands in Part I.B. To enhance readability, Part I.I. was moved to page one of the EEOC Form 462 report. In Part II., remands are further delineated to account for duplication. While in Part III., modifications have been made to collect Contract staff resources. Furthermore, Part X.E.1.e. has been included to account for instances where the decision to file complaint is pending at the end of the reporting period. The addition to Part XII.C.4. will be used to identify the number of Contract staff who are used to perform ADR support, as compared to inhouse staff resources.

Label changes have been made to enhance clarity in Parts III., VI., VII., IX., X., XI., and XII. Additions have also been made to Part IX. to provide the automatic calculation for average cost of all investigations on the printed form. Moreover, the benefit categories have been standardized in Parts I., Part VII., and Part XI. All of these changes are detailed throughout the Instruction Manual which will be placed on the website in PDF format so that users will be able to search online for a needed instruction.

1. Part I. - Pre-Complaint Counseling

   Objective: To identify counselings that were completed within 31-90 days that were untimely. Account for instances where an individual was counseled due to remands by an ADR Intake Officer. Enhance readability by moving Part I.I. to page one of the EEOC Form 462 report.

   Additions

   • Part I.A.2.c. Counseled with 31-90 days that were untimely
   • Part I.B.2.c. Counseled with 31-90 days that were untimely
   • Part I.C.2.c. Counseled with 31-90 days that were untimely
   • Part I.B.4. Counseled due to remands

   Format Change

   • Part I.I. moved to page one of the EEOC Form 462 report
2. Part II. - Formal Complaint Activities

   Objective: Breakout of remands to account for duplication of Parts I.A. and/or B.

   Additions

   • Part II.C.1. Remands (not included in A or B)
   • Part II.C.2. Remands (included in A or B)

   Label Change

   • Part II.D. Total Complaints (no longer an automatic calculation; must be unduplicated total of complaints in inventory)
3. Part III. - Agency Resources

   Objective: Collect Contract resources

   Additions

   • Part III.A.2. Contract Staff Counselors
   • Part III. A.2.a. Full-Time
   • Part III.A.2.b. Part-Time
   • Part III.A.2.c. Collateral Duty
   • Part III.A.3. Contract Staff Investigators
   • Part III.A.3.a. Full-Time
   • Part III.A.3.b. Part-Time
   • Part III.A.3.c. Collateral Duty
   • Part III.A.4. Contract Staff Counselor/Investigator
   • Part III.A.4.a. Full-Time
   • Part III.A.4.b. Part-Time
   • Part III.A.4.c. Collateral Duty

   Label Changes

   • Part III.A. Agency & Contract Resources
   • Part III.B. Agency & Contract Staff Training
4. Part VI. Summary of Closures by Category

   Label Changes

   • Part VI.D.3. Hearing Requested; AJ Returned Case to Agency for FAD without AJ Decision (3a+3b)
   • Part VI.D.3.a. Agency issued FAD within 60 Days of Receipt of AJ Returned Case for FAD Issuance
   • Part VI.D.3.b. Agency Issued FAD more than 60 Days after receipt of AJ Returned Case for FAD Issuance
5. Part VII. Summary of Complaints Closed by Types of Benefits During Formal Complaint Stage

   Addition

   • Part VII.F.11. Lump Sum Payment (many agencies put this in as an “other” in the past)

   Label Change

   • Part VII. A thru F and Header was changed from “Corrective Action” to “Benefits”
6. Part IX. Summary of Investigations Completed
   • Part IX.A.1. Total Investigation Costs - system will automatically calculate values for averages and that number will actually appear on the final printed form.
7. Part X. Summary of ADR Program Activities - Informal Phase (Pre-Complaint)

   No Data Required/fields shaded for:

   • Part X.A. ADR Pending from Previous Reporting Period
   • Part X.E.2. Open Inventory - ADR Pending

   Addition

   • Part X.E.1.e. “Decision to file a complaint pending at the end of the reporting period.”
   • Part X.C.5. Federal Executive Board (as a type of Resource)
8. Part XI. Summary of ADR Program Activities - Formal Phase

   No data required/fields shaded for:

   • Part XI.A. ADR Pending from Previous Reporting Period
   • Part XI.E.2.Open Inventory - ADR Pending

   Addition

   • Part XI.C.5. Federal Executive Board (as a type of Resource)
9. Part XII. Summary of ADR Program Activities - EEO ADR Training and Resources

   Addition

   • Part XII.C. Added line (4) for Contract resources to distinguish from Inhouse

   Label Change

   • Part XII.A. Column header changed to “Cumulative Total Workforce Trained”
10. Part I., VII, & XI Standardization of Benefits
    • Hire
      1. Retroactive
      2. Non-Retroactive
    • Promotions
      1. Retroactive
      2. Non-Retroactive
    • Expungements (this should include what was placed in the row marked “Personnel file purged of adverse material” in prior year’s Part VII).
    • Reassignments
    • Removals Rescinded
      1. Reinstatement
      2. Voluntary Resignation
    • Accommodations
    • Training
    • Apology
    • Disciplinary Actions<
      1. Rescinded
      2. Modified
    • Performance Evaluation Modified
    • Leave Restored

Other Helpful Features Include:

• Two trends analysis tables (comparing data over 4 years) have been incorporated into form 462 website
• Edit Check listing
• Automated Edit Check
• FAQ’s
• Troubleshooting Tips
• What’s New

Visual Aids

The arrow icon points to definitions in the Instruction Manual text. In addition, all definitions are provided in alphabetical order in Appendix D - Definitions.

The finger icon points to a regulatory requirement.

The scissor icon points to a “caution” notice that explains data requirements and requires agencies to choose the proper line on which to include the data.

The exclamation icon emphasizes the importance of a “caution” notice not otherwise highlighted by a scissor icon.

The handwriting icon points to explanations for required comment boxes.

• To further assist the reader, needed information is displayed incolor-coded text boxes: regulations in a yellow text box, examples in a green text box, edit checks in a lilac text box, and clarifications in a blue text box:

Summary - All PARTS – I. THROUGH XII.

• Key definitions are included with the instructions for the Part where they are first needed. For example, “a counseling” is defined with the “Part One - Pre-complaint Counseling” instructions. “An investigation” is defined with the “Part Eight - Summary of Pending Complaints By Category” instructions. All definitions, including some definitions for specific line entries, are included in alphabetical order in “Appendix D - Definitions.”
• For purposes of the FY 2007 Form 462 Report, when these instructions refer to the “prior reporting period,” the instructions are referring to the FY 2006 reporting period, from October 1, 2005 through September 30, 2006.
• If there was no activity to report, a zero should be entered in the appropriate spaces. An automatic zero entry feature is described in “Appendix C - Website Navigation and Trouble Shooting Tips.” It is recommended that all actual data be entered before the “Fill with zeros” link is activated.
• If you need to provide an explanation for any line of the EEOC Form 462, click on the “Add new comment” link at the bottom of the data entry screen. A dialog box will appear where you can enter your comment. Drop-down menus have been added so that users need only select the line number and the subelement name or acronym (as applicable) and the information will be added to the comment box and appear as a footnote on the final report. When the user completes the comment, they must click on the “Add” link to save the comment.
• WARNING messages appear when the entered data differs significantly from the prior year report data or from the regulatory time limits for complaint processing. Agencies should verify that the data entered for the current reporting year is correct. Erroneous data should be corrected. If the data is correct, the preparer must so state in the comment box and also explain in the comment box why the data differs significantly from the prior year report data or from the regulatory time limits for complaint processing. The preparer must use the drop-down menus to insert the line number and, for agencies with subelements, the subelement acronym. The preparer then must click on “Save” and, if the warning re-appears, then click on “Save with errors”.

PART I. “PRE-COMPLAINT COUNSELING”

All Part I. Sections - A, B, C, D, E, F, G, H, and I:

• Definition of "counseling" “Counseling” is an instance where an EEO Counselor or an ADR Intake Officer performs the counseling duties described in Chapter 2 of MD 110 (provides information on the EEO process, the individual’s rights and responsibilities and the agency’s ADR Program; determines claims and bases; obtains information on timeliness and jurisdictional questions; seeks resolution of the dispute sought through the counseling or ADR process; and issues individual written notice of the right to file a formal complaint). It does not include brief responses to telephone inquiries or efforts to assist employees with non-EEO matters.
• Definition of "Completed/Ended Counselings" “Completed/Ended Counselings” are counseling which had been concluded/closed, either by a written settlement agreement, a written withdrawal from the counseling process, the issuance of a written notice of the right to file a formal complaint, the forwarding of a counseling to an Administrative Judge when requested/ordered by the Administrative Judge, or the filing of a complaint after the regulatory counseling period has expired even though not all counseling duties have been performed.
• Definition of "individual" An “individual” is a person, usually an agency current or former employee or applicant for agency employment, but occasionally a contract employee who seeks counseling believing (s)he is an agency "employee" or believes (s)he is otherwise entitled to EEO counseling. For additional information, please review guidance available on the EEOC Website.
• ADR stands for Alternative Dispute Resolution. It consists of those processes that individuals can use to resolve their disputes other than by using courts, trials, or administrative procedures, and in the federal EEO process, ADR is an alternative to Traditional Counseling. For purposes of Form 462 reporting, do not provide information concerning other ADR programs that your agency may use for resolving program disputes, contractor issues, suppliers concerns, or other non-EEO controversies. Other types of workplace disputes, administered through an agency’s early resolution/intervention programs or union grievances programs are likewise not reported on Form 462.
• Note: Part I collects data only on "completed/ended" counselings except in Part I.D. Lines I, 2, and 4. More details are provided below.

Deciding Whether to Report data in Part I., Section A. EEO Counselor or in Section B. ADR Intake Officer

• For each completed/ended counseling, an agency must determine whether counseling duties were performed by an EEO counselor or by an ADR intake officer (or other designated ADR staff member). All completed/ended counselings performed by an EEO counselor must be reported in Part I., Section A even if the individual participated in ADR. Only completed/ended counselings performed by an ADR intake officer (or other designated ADR staff member), not an EEO counselor, should be reported in Section B. ADR Intake Officer. See examples 1 and 2 below.
• The focus is on which office and by whom the EEO counseling was provided. This section’s concern is the number of EEO counselings and not the number of ADRs. If your agency has trained ADR staff to provide EEO counseling and permit employees to be counseled in the ADR office or in the EEO office, you need to pay particular attention to this information. If your agency does not provide EEO counseling by ADR staff, then Part I.B. will be zeroes.

Part I. Section A. EEO Counselor

• Part I. Line A. The “Total completed/ended counselings“ in the counselings column is automatically totaled. Agencies report the total number of “individuals” whose completed/ended counselings involved EEO Counselors on Part I. Line A. “Total Counseled.”

  Auto total: Part I., Section A, “Counselings” Column

  Part I. Line A. = Part I Line A.1. + Part I Line A.2. + Part I Line A.3. + Part I Line A.4.

  C There is no auto total in the “Individuals” column.

• Agencies must report 1) on Part I. Line A.1. the number of counselings and individuals with counselings completed/ended within 30 days (timely), 2) onPart I Line A.2. the number of counselings and individuals with counselings completed/ended within 31-90 days (may be timely or untimely), and 3) on Part I. Line A.3. the number of counselings and individuals with counselings completed/ended beyond 90 days (untimely).
• On Part I. Line A.1. “Counseled within 30 days, “Part I. Line A.2. “Counseled within 31-90 days,” and Part I. Line A.3. “Counseled beyond 90 days” agencies must report each EEO counselor completed counseling (except counselings completed due to remands from EEOC) according to the appropriate time frames on Part I.
• On Part I. Lines A.2.a. “Counseled within written extension period no longer than 60 days” and Part I. Line A.2.b. “Counseled within 90 days where individual participated in ADR” and Part I. Line A.2.c. which should include the remaining (untimely) counselings completed/ended within 31 to 90 days reported on Part I. Line A.2.

• Caution When counseling has been extended due to ADR participation and the counseling is completed/ended within 31 to 90 days, agencies must record the counselings on Part I. Line A.2. “Counseled within 31 to 90 days” and also on Part I. Line A.2.b. "Counseled within 90 days where ADR participation." In such instances, the counseling is not reported on Part I. Line A.2.a."Counseled within written extension period no longer than 60 days" even if there has been a written agreement extending the counseling period.
• Where a counseling has been extended for any reason other than ADR participation, see “Example 4: Extended Counseling Period” box below.

• Parts I.A.2.c., I.B.2.c., and I.C.2.c. “Counseled within 31-90 days that were untimely”: This is a new data requirement, for all three sections, which allows for identification of untimely counselings that were completed within 31-90 days.
• Part I. Line A.4. “Counseled due to remands”: Counselings completed due to remands from EEOC are reported on Part I. Line A.4.
• Caution Remand counselings are not reported on the time category lines in Part I. Sections A or B.

Part I. Section B. ADR Intake Officer

• On Part I. Line B. “Total Completed/Ended Counselings”: Report the total number of “counselings” and the total number of “individuals” counseled by ADR Intake Officers.
• On Part I. Line B.1. "Counseled within 30 days,” Part I. Line B.2. “Counseled within 31-90 days," and Part I. Line B.3. "Counseled beyond 90 days": Agencies will report each ADR Intake Officer completed/ended counselings according to the appropriate time frames in Part I. Section B.

• Part I.B.2.c. “Counseled within 31-90 days that were untimely”: This is a new data requirement which allows for identification of counselings completed within 31-90 days that were untimely.
• Part I.B.4. “Counseled due to remands”: Counselings completed due to remands from EEOC at ADR Intake are a new requirement and are reported on Part I. Line B.4. if the counseling is remanded to the ADR Intake Officer.

Part I. Section C. Combined Total

• Section C. The website automatically enters all of the data in the counseling column in Part I. Section C by adding the data entered in Part I. Section A and Section B.
• Agencies must enter the combined data in the individual’s column because some individuals may have more than one completed/ended counseling during the reporting period. There is no auto total for the “individuals” column.

• Part I.C.2.c. “Counseled within 31-90 days that were untimely”: This is a new data requirement which allows for identification of counselings that were completed within 31-90 days that were untimely.

Part I.D. Counseling Activities

• Reminder: Part I. collects data only on “completed/ended” counselings except in Part I.D. Line 1, 2, and 4.
• The Part I.D. “Counseling Activities” collects data on counseling activities in the same way that Part II. “Formal Complaint Activities” collects data on complaint activities. See format below.
• Note: Part I.D. includes EEO Counselor and ADR Intake Officer information. (See Appendix G, Part I., Question 1 for more details).

Part I.D. Counseling Activities

• Part I. Line D.1. "On hand at the beginning of the Reporting Period." A counseling "On hand at the beginning of the Reporting Period" is a counseling that was requested during the prior reporting period but not completed/ended on or before the last day of the prior reporting period.
• Part I. Line D.4. "Counseling Pending at the End of the Reporting Period." A counseling "Pending at the End of the Reporting Period" is a counseling that was requested during the current reporting period, but not completed/ended on or before the last day of the reporting period.
• Part I. Line D.2. "Initiated during the Reporting Period." A counseling initiated during a reporting period is a counseling that was requested on the first day of the current reporting period, on the last day of the reporting period, or on any day between the first and last day of the reporting period. Part I. Line D.2. may include both completed/ended counselings and counselings that had not been completed by the last day of the reporting period.
• Part I. Line D.3. "Completed/Ended Counselings.” On Part I. Line D.3. agencies report the total number of individuals whose counselings have been completed/ended during the reporting period. The total number of completed/ended counselings is automatically entered by the website and equals the sum of the number of completed/ended counselings reported on Part I Lines D.3.a., D.3.b., D.3.c, and D.3.d.
• Under Part I. Line D.3. “Completed/Ended Counselings” are four additional reporting lines, one for each possible counseling outcome: Part I. Line I.D.3.a. “Settlements (Monetary and Non-Monetary)”; Part I. Line D.3.b. “Withdrawals/no complaint filed”; Part I. Line D.3.c. “Complaint filings”; and Part I. Line D.3.d. “Decision to file a complaint pending at the end of the reporting period”. Agencies must report all completed counselings on one of the four lines under it: Part I. Line D.3.a. or .D.3.b. or D.3.c. or D.3.d.
• Note: The date a counseling is concluded is the date the notice of right to file a formal complaint is mailed for agencies that do not conclude counseling with a face-to-face meeting. (See Appendix G., Part I., Question 6 for more details).
• Part I. Line D.3.a. "Settlements (Monetary and Non-monetary)". Agencies are required to report the number of counselings that were closed during the reporting period by a written settlement agreement (ADR and non-ADR) which promised monetary benefit(s) or non-monetary benefit(s) or both. Agencies also are required to report the number of individuals that were a party to one or more settlement agreements that resolved a counseling during the reporting period.
• Part I. Line D.3.b. "Withdrawal/No complaint filed." If a counseled individual was given a notice of right to file a formal complaint, and if the 15-day period for filing a complaint expired in time for the agency to receive a complaint prior to the end of the reporting period, and if no complaint was received, the agency is required to report the counseling and individual on Part I. Line D.3.b. “Withdrawal/No complaint filed.” Agencies also should report on Part I. Line D.3.b. “Withdrawal/No complaint filed” the counselings of individuals who notified the agency in writing that they were withdrawing from counseling.
• Note: Preparers should report on line I.D.3.b. “Withdrawals” all instances where the counselee withdrew from the counseling process and all instances where the counselee received the notice of right to file a formal complaint and chose not to file a complaint. (See Appendix G., Part I., Question 2 for more details)
• Part I. Line D.3.c. "Counselings completed/ended in the reporting period that resulted in complaint filings in the reporting period." Agencies are required to report the number of counselings completed in the reporting period that resulted in the filing of a complaint in the reporting period, and the number of individuals counseled in the reporting period that filed one or more complaints in the reporting period. See Example 5 below.

• Part I. Line D.3.d. "Decision to file a complaint pending at the end of the reporting period." If a counseled individual was given a notice of right to file a formal complaint, and if the agency did not receive a complaint from the individual and if the 15-day period for filing a complaint did not expire in time for the agency to receive a complaint prior to the end of the reporting period (or prior to the report data preparation of report date if the agency waits for a few days after the end of the reporting period to see if complaints were filed by mail during the reporting period), the agency must report the counseling and individual on Part I. Line D.3.d. "Decision to file a complaint pending at the end of the reporting period."
• Part I. Line D.4. "Counseling Pending at the end of the Reporting Period." A counseling "Pending at the end of the Reporting Period" is a counseling that was requested during the current reporting period but not completed on or before the last day of the reporting period. See Example 6 below.

• Caution A counseling may be reported on Part I. Line D.3.d. “Decisions to file complaint pending at the end of the reporting period” or on Part I. Line D.4. “Counselings pending at the end of the reporting period,” but not on both lines. The key question is whether the counseling was pending completion by the agency or whether the individual’s decision to file a complaint was pending at the end of the reporting year. If the counseling was completed during the reporting period, and if the 15-day period for filing a complaint did not end in time for the agency to receive a complaint filed by mail, the counseling must record the counseling on Part I. Line D.3.d. “Decision to file complaint pending at the end of the reporting year”. If the counseling was not completed during the reporting period, the counseling must be reported on Part I. Line D.4. “Counseling pending at the end of the reporting period” because the counseling was pending completion. See Example 6 above.
• Note: Part I. Line D.3.c "Counselings completed in the reporting period that resulted in complaint filings in the reporting period" may or may not equal Part II. Line B. “Complaints Filed.” depending on an agency’s data.
• The number of completed/ended counselings and number of individuals with completed/ended counselings reported in Section C and in Section D must be the same. If the numbers do not match, check the data that was automatically totaled to locate the source of the error.

Part I., Section E, and Section G, Pre-Complaint Monetary Benefits

• A monetary benefitfor Part I. Pre-complaint reporting purposes is a payment that an agency agrees in a settlement agreement to provide a counseled individual.
• Monetary benefits for Part I Form 462 reporting purposes include several categories of payments: “Compensatory damages”, Backpay/Frontpay”, “Lump sum payment”, “Attorney fees and costs.” If needed, additional “other” monetary benefit categories may be added by an agency’s Form 462 Report Administrator.
• Monetary benefits are reported in Part I. Section E. or Part I. Section G. only where the counseled individual is promised a payment.
• Caution Every counseling with monetary and/or non-monetary benefit promised in a settlement agreement must be reported on the total line and on as many of the specific benefit lines as apply. See Example 11 of this Instruction Manual.

Part I., Sections F, and H, Pre-Complaint Non-Monetary Benefits

• Part I.F. & Part I.H. have been modified in an effort to standardize labeling of categories for the types of benefits in Part VII. and Part XI.
• A non-monetary benefit for Part I pre-complaint purposes is an employment-related action that an agency agrees to provide a counseled individual in a settlement agreement.
• For Form 462, Part I Section F. and H. pre-complaint reporting purposes, non- monetary benefits include “New hires”, “Promotions”, “Reinstatements”, “Expungements”, “Transfers”, “Removals rescinded and voluntary resignations”, “Reasonable accommodations”, “Training”, “Apology”. If needed, additional “other” non-monetary benefit categories may be added by an agency’s Form 462 Report Administrator.

• Caution Every counseling where a monetary and/or a non-monetary benefit promised in a settlement agreement must be reported on the total line and on as many of the specific benefit lines as apply. See Example 11 of this Instruction Manual.
• Note: Some benefits categorized as “non-monetary” for Form 462 purposes have a monetary value, for example, leave restoration. However, leave restoration is categorized as a non-monetary benefit on Form 462 because the employee does not receive a monetary payment when leave is restored.

Part I. Section I. “Non-ADR Settlements”

• A “Non-ADR settlement” in Part I. “Pre-complaint Counseling” is a written settlement agreement obtained by an EEO Counselor which provides the counseled Individual with one or more monetary benefits or non-monetary benefits in exchange for the individual’s promise not to file a formal complaint on the counseled matters.
• The agency is required to report on Part I. Line I. the total number of counselings that were closed during the report period by a written non-ADR settlement agreement that provided the counseled individual with one or more monetary benefits, one or more non-monetary benefits, or both monetary and non-monetary benefits. The agency also is required to report on Part I. Line I. the number of counseled individuals who were parties to such settlements during the reporting period.

• Note: Part I. Section I. has been repositioned on the EEOC Form 462 report. This section now appears at the bottom of page 1 beneath Part I. Section H.

PART II. “FORMAL COMPLAINT ACTIVITIES”

• The agency enters the number of complaints pending at the beginning of the reporting period (Part II. Line A.), the number of complaints filed during the reporting period (Part II. Line B), and the number of complaints remanded to the agency for processing by an EEOC appellate decision (Part II. Line C.) The website no longer automatically totals these three numbers to obtain the agency’s total complaint processing inventory for the current reporting period (Part II. Line D.). "Generally II.A+B+C should equal D. If II.D does not equal that sum, please indicate in a comment, e.g. ---[one] of the complaints on hand at the beginning of the reporting period was also remanded back to the agency from OFO in the current reporting period so it is counted in both Parts II.A and II.C---" A complaint filed in the current reporting period may have also been included in Line II.C. as a remand. The value in Part II.D. should be the total unduplicated number of complaints in an agency’s inventory for the reporting period.

• Additional line items are included in Part II.C. to record remand information in such a way to indicate any duplication with Parts II.A. or B.
• Part II. D., the summation in parentheses has been removed (since this total is now an unduplicated count which the agencies must enter and it may not be the sum of Parts II. A+B+C as previously calculated).
• The agency enters the number of individuals who filed complaints (Part II. Line J.).
• The number of individuals who filed complaints must be equal to or less than the number of complaints filed.
• A complaint can only be counted and reported as closed when all the issues in the complaint have been resolved.
• An agency reports the number of complaints that were consolidated for processing on Part II. Line G. and the number of consolidated complaints that were closed on Part II. Line H.
• An agency reports the number of complaints that were not consolidated for processing Part II Line E. and the number of unconsolidated complaints that were closed on Part II. Line F.

• Consolidated complaints. When two or more complaints are filed by one individual these complaints must be consolidated for processing. Consolidations are permitted (not required) when a complaint with the same issue is filed by multiple individuals.

  Joint processing unit. When two or more complaints are consolidated for processing as one unit, the new unit is called a joint processing unit. An agency reports the number of joint processing units that were created during the reporting period on Part II. Line K. For example, a complainant may file three complaints which the agency consolidates for processing as one joint processing unit. The agency may also choose to consolidate complaints received from five different complainants, alleging discrimination in the same hiring decision, for processing as one joint processing unit. In this example, the agency would record eight complaints on line II. B, six individuals who filed complaints on line II.J, and two joint processing units on line II.K. (See Appendix G., Part II., Question 1 for more details.) When those 8 complaints are closed, the status of each one should be recorded in Part VI.

• Note: If an Administrative Judge consolidates cases after an investigation at the hearings stage, the cases are consolidated and recorded in the appropriate sections of Part II.

PART III. “AGENCY & CONTRACT RESOURCES, TRAINING, REPORTING LINES”

• Agencies will be required to collect information pertaining to the number and percentage of Contract counselors, investigators and counselor/investigators.
• New label for Part III. “AGENCY RESOURCES, TRAINING, REPORTING LINE”
• New label for Part III. Section A. “Agency & Contract Resources”.

Part III. Section A. “Agency & Contract Resources”

• Part III. Line A.1.a. “Total Work Force” includes all full-time, part-time, temporary, and intermittent employees employed by the agency on the last day of the reporting period. Contractors would not be included in the total workforce recorded in Part III. 1.a.
• Part III. Line A.1.b. “Permanent Employees” includes all permanent employees (full-time and part-time) employed by the agency on the last day of the reporting period. Contractors would not be included in the total workforce recorded in Part III. 1.b.
• New requirement this year for contract staff resources in Part III.A. (sections 2,3, 4)
• The total number of counselors (Part III. Line A.2.), total number of investigators (Part III. Line A.3.), and the total number of counselor/investigators (Part III. Line A.3.) are automatically calculated by the website. The agency enters the total numbers of full-time (working full-time schedule), part-time (scheduled for fewer than full-time hours), and collateral duty (added to regular job duties unrelated to EEO) counselors, investigators, and counselor/investigators employed by the agency or provided by contract staff on the last day of the reporting period.
• The website calculatesthe percentages in Part III, Section A. (for example, the percentage of total number of agency investigators that were full-time investigators).

Part III. Section B. “Agency & Contract Staff Training”

• New staff - any counselor, investigator, or counselor/investigator who has been newly hired by agency or contractor since the beginning of the reporting period.
• Experienced staff – any counselor, investigator, or counselor/investigator who was a part of the EEO office/staff or contractor staff at the beginning of the reporting period.
• The agency reports the number of staff that received the 32 hours of new staff training and/or the 8 hours of experienced staff training in each of the categories listed in Section B (agency counselors, investigators, counselor/investigators, and contractor counselors, investigators, and counselor/investigator). Please be mindful that a new staffer could receive the required 32 hours training required for new staff in addition to another 8 hour course usually given to experienced staff. The same can be true of an experienced staffer.
• If any staff person (agency or contractor) did not receive the required training during the reporting period, or if the agency does not know whether the staff person received all of the required training, it should be recorded in lines 1.c. or 2.c. and add a new comment box to explain why the requisite training was not given.
• The Department of Defense agencies should not include staff numbers and staff training data for investigators in Part III. A & B. if all their investigations are done by OCI because this information will be captured on the Defense, Washington Headquarters Services’ (formally named the Office of the Secretary of Defense) EEOC Form 462 report. If you have any questions or concerns regarding this matter, please contact DOD/WHS or EEOC for a copy of the guidance memorandum.

Part III. Section C. “Reporting Line”

• The agency indicates on Part III. Line C.1. whether the agency’s EEO Director Reports to the agency head.
• If the answer on Part III. Line C.1. is “no” the agency provides the name and title of the person to whom the EEO Director reports. Use the “Add new comment” link to provide the organizational level of that person. For example, Deputy Secretary – one level from agency head.
• If the answer on Part III. Line C.1. is “yes”, Part III.C.2. should remain blank. Data input is required in Part III.C.1., Part III.C.3., and Part III.C.4. Data is only required in Part III.C.2. if “no” is inputted into Part III.C.1.
• To determine, more specifically, who is responsible for the day-to-day operations of a Department’s/Agency’s EEO Program and to whom they report, questions III.C.3. and III.C.4. require additional responses from every agency.

PART IV. “BASES AND ISSUES ALLEGED IN COMPLAINTS FILED”

• Part IV. requires that the number of complaints raising each issue and bases be reported. A complaint must contain at least one bases and at least one issue. For example, agencies must report the number of complaints alleging that the complainant was not promoted/selected for a position because of the complainant's race (Black).
• Where two or more categories of bases and/or issues are included in a single complaint, the agency must record each category of basis and each category of issue alleged in the appropriate columns(s).
• Note: Part IV asks for bases and issues data on all complaints filed during the reporting period, including data on bases and issues added by amendment during the reporting period to the same complaints. (See Appendix G., Part IV, Question 1 for more details)
• Note: Part IV include all issues and bases that allege discrimination or retaliation/reprisal under one or more EEO statutes. (See Appendix G., Part IV, Question 2)
• Note: A complainant alleging National Origin discrimination, Cuban, should be recorded as National Origin - Hispanic. (See Appendix G, Part IV., Question 6 for more details)

• Because complainants often include more than one basis and/or issue in a single complaint, the number of bases and issues recorded may be greater than the total number of individual complaints filed.
• The agency must also enter data on the total number of complaints by bases and issues, and the total number of complainants by bases and issues.
• The totals in the columns and rows "Total Complaints" must be greater than or equal to the totals in the columns and rows "Total Complainants."
• The totals include mixed and non-mixed case complaints.
• To save time on Part IV, agencies are advised to enter appropriate data and then click on the “Fill with zeros” link to populate all remaining data lines to avoid error messages.
• The bases of alleged discrimination associated with reasonable accommodation only includes religion, reprisal, and/or disability.
• “Other” categories must be defined by the agency Form 462 Administrator and added to the website prior to data entry. Before creating an “other” category, the agency Form 462 Administrator should review proposed “other” entries to determine if they might more appropriately fit into one of the specified issues categories.

• Involuntary separations must be recorded in the appropriate place: All issues regarding removals based on disciplinary actions should be reported in Part IV. Line E.4. (Disciplinary Action, Removal). Terminations (e.g. for performance, probation-related, etc.) should be reported in Part IV. Line Q. (Termination). Issues regarding terminations involving reduction-in-force action(s) should be reported under an added category in Part IV. Section U.
• To facilitate data entry, Part IV is broken down into 19 website pages for data entry. A grid with nineteen (19) numbered boxes is displayed on each Part IV website page. The agency preparer may move from one Part IV website page to another by clicking on the numbered box. The table in Appendix F describes the content of the 19 website pages within Part IV.

PART V. “SUMMARY OF CLOSURES BY STATUTE”

• Closed complaints alleging discrimination based on race, color, religion, sex, and/or national origin arise under Title VII and should be included on Part V. Line A.1.
• Closed complaints alleging discrimination based on age (40 years or older) arise under the Agency Discrimination in Employment Act (ADEA) and should be included on Part V Line A.2.
• Closed complaints alleging discrimination based on physical and/or mental disability arise under the Rehabilitation Act and should be included on Part V. Line A.3.
• Closed complaints alleging discrimination in salary/wage based on sex arise under Title VII and the Equal Pay Act and should be included on both Part V. Line A.1. and Part V. Line A.4.
• Closed complaints alleging retaliation/reprisal for prior EEO activity may arise under one or more of the statutes, depending on the nature of the prior EEO activity. For example, if a complainant previously had filed a complaint alleging discrimination based on age and during the reporting period filed a complaint alleging retaliation for the filing of the prior complaint, the retaliation complaint would be included on Part V. Line A.2. “ADEA.”
• If a closed complaint was filed under more than one statute, include the complaint under each applicable statute.

PART VI. “SUMMARY OF CLOSURES BY CATEGORY”

• The website calculates the average number of processing days for Part VI. Agencies enter data on the number of complaint closures and the total days for each type of complaint closure. Total days for each complaint are calculated from the date each complaint was filed or remanded after an appeal (or remanded from MSPB for lack of jurisdiction), to the date each complaint was closed.

Part VI., Section A. “Total Number of Closures” Data under Part VI. Line A.1. "Withdrawals" and Part VI. Line A.2. "Settlements"

• Agencies report the non-ADR complaint withdrawals and ADR complaint withdrawals separately on Part VI. Line A.1.a. and Part VI. Line A.1.b. Total days are calculated from the date of complaint filing to the date of withdrawal.
• Agencies report non-ADR complaint settlements and ADR complaint settlements separately on Part VI. Line A.2.a. and Part VI. Line A.2.b. Total days are calculated from the date of complaint filing to the date of settlement.
• The website automatically calculates average days for Part VI. Line A.1 and Part VI. Line A.2.
• Note: A case that has been investigated and settled before an election notice is issued should be recorded in Part VI.2.a. (See Appendix G, Part VI, Question 8 for more details)

Part VI., Section B. “Final Agency Decisions without an Administrative Judge Decision”

• Agencies enter the number and total days (from the date of complaint filing to the date of issuance of the agency’s final decision) for each type of final agency decision: finding discrimination, finding no discrimination, and complaint dismissals.
• If a final agency decision contains a finding of discrimination and a finding of no discrimination, the decision should be recorded on Part VI. Line B.1. “Finding Discrimination.”
• All agency decisions dismissing the entire complaint (no finding of discrimination and no finding of no discrimination) are reported on Line B.3. Dismissals.
• Caution An agency dismissal decision is reported on Line B.3. only if it dismisses the entire complaint. Decisions to investigate one or more claims, but not all claims are not final agency decisions.
• The website automatically calculates the total reported on Line B by adding Lines B.1.+B.2.+B.3.
• Note: Partial dismissals are no longer allowed under the new 1614 regulations dated November, 1999. If you are investigating some claims in a complaint and not investigating others, the ones you are not investigating do not get a separate final agency decision. Rather, the complainant is generally notified that the agency will not be investigating those particular claims (relevant bases and issues) but will investigate the others. Only one final agency decision is rendered after the entire complaint is closed. This final agency decision/final agency action is reported in Part VI in the appropriate category (See Appendix G, Part VI., Question 7 for more details).

Part VI., Section C. “Final Agency Actions on an Administrative Judge (AJ) Decision”

• When an agency receives an AJ decision, it must issue an order either fully implementing the AJ decision or not fully implementing the AJ decision.
• Agencies enter the number and total days (from the date of complaint filing to the date of issuance of the agency’s final order) for each type of AJ decision that they will fully implement: finding discrimination (Part VI. Line C.1.a.), finding no discrimination (Part VI. Line C.1.b.), and complaint dismissals (Part VI. Line C.1.c.).
• Agencies enter the number and total days (from the date of complaint filing to the date of issuance of the agency’s final order) for AJ decisions finding discrimination that they will not fully implementon one of three lines: Part VI. Line C.2.a.i. “Agency appealed finding but not remedy,” Part VI. Line C.2.a.ii. “Agency appealed remedy but not finding,” and Part VI. Line C.2.a.iii. “Agency appealed both finding and remedy,”
• Agencies enter the number and total days (from the date of complaint filing to the date of issuance of the agency’s final order) for two other types of AJ decision that they will not fully implement: finding no discrimination (Part VI. Line C.2.b.), and complaint dismissals (Part VI. Line C.2.c.).
• All agency decisions dismissing the entire complaint (no finding of discrimination and no finding of no discrimination) that the agency does not promise to fully implement are reported on Part VI. Line C.2.c. Dismissal of complaints.

Part VI., Section D. "Final Agency Merit Decisions Issued"

• Only agency merit decisions without an AJ decision are reported in Section VI.D.
• The total number of “final agency merit decisions” reported on Part VI. Line D. must equal the sum of the number of final agency decisions “Finding discrimination” recorded on Part VI. Line B.1. and the agency decisions “finding no discrimination” on Part VI. Line B.2.
• The total days and average days agency merit decision without an AJ decision reported in Section VI.B. and VI.D. must not match. Days reported in Section VI.B. will be longer because they are calculated from the date of complaint filing and include investigation time.
• Days in Part VI Section D are calculated from the date the agency became obligated to issue a final merit decision without an AJ decision. If the agency issues the merit decision within 60 days, it is timely issued. If the agency issues the merit decision beyond 60 days, it is untimely issued.
• Agencies report on the timeliness of issuance of final agency decisions (FADs) on the merits of complaints in Part VI.D. Total days are calculated from the date described on Lines D.1.a, D.1.b., D.2.a., D.2.b., D.3.a, or D.3.b. to the date the final merit decision is issued. See table below.

• Part VI.D.3. : The label has been changed to Hearing Requested; AJ Returned Case to Agency for FAD without AJ Decision (3a+3b)
• Part VI.D.3.a.: The label has been changed to Agency issued FAD within 60 Days of Receipt of AJ Returned Case for FAD Issuance
• Part VI.D.3.b.: The label has been change to Agency Issued FAD more than 60 Days after receipt of AJ Returned Case for FAD Issuance
• Where an immediate merit FAD has been requested, the agency records FAD data in Part VI. Line D.1.a. “Agency timely issued FAD(within 60 days of receipt of FAD request)” or Part VI. Line D.1.b.“Agency untimely issued FAD (more than 60 days after receipt of FAD request).”
• Where neither a hearing or an immediate FAD has been requested, the agency records FAD data in Part VI. Line D.2.a. “Agency timely issued FAD (within 60days of end of 30-day election period)” or Part VI. Line D.2.b. “Agency untimely issued FAD (more than 60 days after end of 30-day election period).”
• Time limits are established by regulation. See box below.

• In Part VI.D., agencies also report FAD data separately in situations where an Administrative Judge (AJ) returned a complaint for final agency decision without an AJ decision. Timeliness is measured from date of agency receipt of the AJ returned case to the date the final agency decision is issued. In such a situation, the agency records FAD data in Part VI. Line D.3.a. “Agency timely issued FAD (within 60 days of receipt of AJ returned case for FAD issuance)” or Part VI. Line D.3.b. “Agency untimely issued FAD (more than 60 after receipt of AJ returned case for FAD issuance).”
• Caution As described above, agencies must calculate and report “total days” differently in Part VI. Section D. than in Part VI. Sections A, B, and C. Therefore, “total days” and “average days” reported on Part VI. Line B. 1 and Part VI. Line B.2. will be greater than “total days” and “average days” reported on each line in Part VI. Section D.

PART VII. “SUMMARY COMPLAINTS CLOSED WITH BENEFITS DURING FORMAL COMPLAINT STAGE”

• Agencies report the total number of closures with benefits (monetary and/or non-monetary) on Part VII. Line A. This number must equal the sum of the number of closures reported on Part VI. Line A.2. Settlements, on Part VI. Line B. 1. FADs without an AJ Finding Discrimination, and Part VI. C.1.(a). Fully Implemented AJ Decisions Finding Discrimination.
• A monetary benefit for Part VII. reporting purposes is a payment that an agency agrees to provide a complainant in a settlement agreement, a final agency decision finding discrimination, or a final agency order agreeing to fully implement an Administrative Judge’s decision that contains a payment award.
• All closures with monetary benefits are reported as appropriate on lines Part VII. Lines B.1., B.2., B.3., and C. and in the Monetary Benefit column in Part VII. F. only where the counseled individual is promised a monetary payment.
• The automatic total on Part VII. Line B. “Closures with Monetary Benefits” adds three categories of monetary payments: “Backpay/frontpay” reported on Part VII. Line B.1. “Lump sum payment” reported on Part VII. Line B.2., and “Closures with compensatory damages” reported on Line B.3. “Closures with attorney fees and costs” also are monetary benefits but currently are not included in the automatic monetary benefit total on Part VII. Line B. Instead, Attorney Fees and Costs are reported by agency in Part VII. Line C. and the subtotal of ALL monetary benefits are automatically totaled and recorded on Part VII.D.
• The total number of closures with non-monetary benefits must be reported on Part VII. Line E.“Closures with Non-Monetary Benefits”.

Changes to form for 2007:

• New label for Part VII.F. : Types of Benefits (instead of corrective actions)
• Part VII. F. has been modified in an effort to standardize labeling with categories for benefits in Part I. and Part XI. Also, item 12. Lump Sum Payment was added as a new item because agencies were reporting this information as an “other” category in prior years.

• Types of Benefits for Part VII reporting purposes is an employment-related action/benefit that an agency agrees to provide a complainant in a settlement agreement, a final agency decision finding discrimination, or a final agency order agreeing to fully implement an Administrative Judge’s decision that orders the agency to take an employment-related action.
• Types of Benefits for Part VII., Section F. reporting purposes include Hire(Retroactive and Non-retroactive), Promotion (Retroactive and Non-retroactive), Expungements, Reassignments, Removals Rescinded (Reinstatement or Voluntary Resignation), Accommodations, Training, Apology, Disciplinary Actions (Rescinded or Modified), Performance Evaluation Modified, and Leave Restored.

• Lump Sum Payment has been included as a category in Part VII. F. 11. as many agencies included it as an “other” category in prior years.
• Other types of benefit categories may be added by the agency’s Form 462 administrator, as needed.

• Caution Every monetary award promised in a settlement agreement or awarded in a final agency decision or order must be reported on the appropriate monetary lines (Part VII. Lines B.1., B.2., D, and E, and if accompanied by a type of benefit in the monetary column (Part VII. F. Lines 1 through 13).

Two columns in Part VII.F. Types of Benefits: “Number of closures with Monetary Benefits” and “Number of Closures with Non-Monetary Benefits”

• Two columns in Part VII.F. are labeled “Number of Closures with Monetary Benefits” and the “Number of Closures with Non-Monetary Benefits”. The row lines in Part VII.F. list types of benefits, such as “hire” (includes appointment) and “performance evaluation modified”.
• Agencies should include in the “Number of Closures with Monetary Benefits” column the numbers of complaint closures where the complainant received a monetary payment (backpay/frontpay, lump sum payment, compensatory damages, and/or attorney fees and costs) associated with one or more types of benefits (hire, performance evaluation modified, etc).
• Agencies should include In the “Number of Closures with Non-Monetary Benefits” column only the numbers of complaint closures where the complainant received one or more types of benefits (e.g., leave restored) and no monetary payment (i.e., no backpay/frontpay, lump sum payment, compensatory damages, or attorney fees and costs). Types of Benefits that could involve additional future earnings, for example, hire/appointment or promotion, are still listed in the “Number of Closures with Non-Monetary Benefits” column if the complainant did not receive a separate monetary payment (backpay/frontpay, lump sum, compensatory damages, and/or attorneys fees and costs) in addition to the types of benefits.
• Caution Every complaint closure with a type of benefit must be reported on the specific types of benefit (e.g.reassignment) in one of two columnsin Part VII. Section F. If the benefit is awarded with a monetary payment, it is reported in the “Number of Closures with Monetary benefits” column. If a benefit is awarded with no monetary payment (e.g. leave restored), it is reported in the “Number of Closures with Non-Monetary Benefits” column. The total number of closures with types of benefits and no monetary payment must also be reported on Part VII. Line E. “Closures with Non-Monetary Benefits”.

Note: Some types of benefits have a monetary value, for example, leave restoration. However, leave restoration is reported in the non-monetary column because the employee does not receive a monetary payment when leave is restored.

PART VIII. “SUMMARY OF PENDING COMPLAINTS BY CATEGORY”

Part VIII. Line A.1. “Complaints pending written notification”

• Caution Agencies must report on this line only complaints for which a written notification or an acknowledgment letter had not been issued before the end of the reporting period.
• A written notification (sometimes referred to as an acknowledgment letter) is a notice/letter that acknowledges that the agency has received the complaint, states the date on which the complaint was filed, and provides the information on the rights and responsibilities described in 29 C.F.R. §1614.106(e).
• A written notification/acknowledgment letter does not define the issues and bases of the discrimination claims. It also does not accept a complaint for investigation.
• The “number of days pending written notification”is the total number of days a complainant had been waiting for the issuance of the acknowledgment letter, from the date of complaint filing (date of mailing, hand-delivery or facsimile transmission) to the end of the reporting period, or from the date of remand after an appeal to the end of the reporting period.

Part VIII. Line A.2. “Complaints pending investigation”

• Caution Agencies must report on this line all complaints for which a written notification or an acknowledgment letter had been issued, but for which the investigative file and the immediate decision/hearing election letter had not been issued to the complainant before the end of the reporting period. This category includes complaints where the acceptance letter or dismissal decision has not been issued.
• The “number of days pending” investigation is the total number of days a complainant had been waiting for the issuance of the investigative file and the immediate decision/hearing election letter, from the date of complaint filing (date of mailing, hand-delivery or facsimile transmission), or from the date of remand after an appeal to the end of the reporting period.
• Note: This line collects data on the entire investigative period, from the date of complaint filing (date of mailing, hand-delivery or facsimile transmission) to the end of the reporting period. It includes more than the time in which the complaint has been assigned to an investigator.
• Note: Cases held in abeyance for class certification that become un-certified are recorded in Part VIII. A.2. The date is calculated from the Formal File Date, then stops at the Abeyance Start Date, and then resumes at the Abeyance End Date. (See Appendix G, Part VIII., Question 9 for more details)

Part VIII. Line A.3. “Complaints pending in hearings”

• Agencies must report on this line all complaints for which the complainant requested a hearing and for which, prior to the end of the reporting period, the agency had not received from the Administrative Judge (AJ) a decision on the complaint or an order for the issuance of a final agency decision without a hearing.
• The “number of days pending” in hearings is the total number of days a complainant had been waiting for the issuance of the decision on his/her complaint, from the date of complaint filing (date of mailing, hand-delivery or facsimile transmission), or from the date of remand after an appeal to the end of the reporting period.

Part VIII. Line A.4. “Complaints pending final agency decision/action”

• Caution Agencies must report on this line all complaints for which the investigative file and the immediate decision/hearing election letter were issued; and one of the following applied: no hearing request was received by the end of the reporting period, or an AJ returned complaint to agency for final agency decision(without an AJ decision) that the agency did not issue by the end of the reporting period or an AJ issued a decision on which the agency did not issue a final agency action by the end of the reporting period.
• The “number of days pending” is the total number of days a complainant had been waiting for the issuance of the decision on his/her complaint, from the date of complaint filing (date of mailing, hand-delivery or facsimile transmission), or from the date of remand after an appeal to the end of the reporting period.

PART IX. “SUMMARY OF INVESTIGATIONS COMPLETED”

New Calculations

• Part IX.A. Investigations Completed During Reporting Period (System automatically calculates value for average and displays it on form)
• Part IX.A.2. Agency Investigation Costs (System automatically calculates value for average and displays it on form)
• Part IX.A.4. Contractor Investigation Costs (System automatically calculates value for average and displays it on form)
• Caution All investigation completion times are calculated from the date of complaint filing (date of mailing, hand-delivery or facsimile) or the date of remand after an appeal, to the date the investigative file and the immediate decision/hearing election letter were issued to the complainant.
• Agencies report timeliness data separately for investigations completed by agency personnel (under Part IX. Line A.1.) and investigations completed by contractors (under Part IX. Line A.3.).
• Department of Defense agencies should report the number of investigations conducted by OCI in Part IX, Section A.1., Investigations Completed by Agency Personnel.

Data on Part IX. Line A.1.b. "Investigations Completed in 181-360 Days" and Part IX. Line A.3.b. "Investigations Completed in 181-360 Days"

• Investigations completed in 181-360 days may be timely or untimelydepending upon whether the 180-day investigation period was extended pursuant to regulation. See Regulation text box below.

• Part IX. Line b.1. "Timely completed investigations" and Part IX. Line b.2. "Untimely completed investigations" under Part IX.A.1. "Investigations Completed in 181-360 Days" by agency personnel and under Part IX.A.3. "Investigations Completed in 181-360 Days" by contractors, track the number of timely and untimely completed investigations. See format below.
• The website will automatically enter data on Part IX. Line A.1.b."Investigations Completed in 181-360 Days" by agency personnel and Part IX. Line A.3.b. "Investigations Completed in 181-360 Days" by contractors” by adding together Part IX. Line A.1.b.1. "Timely completed investigations" and Part IX. Line A.1.b.2. "Untimely completed investigations" and adding together Part IX. Line A.3.b.1. "Timely completed investigations" and Part IX. Line A.3.b.2.
• Caution Include only investigations completed in 181-360 days in Part IX. Lines b.1 and b.2. Special reporting is not needed for the other time periods because all investigations completed in 180 days or less (Part IX. Lines A.1.a. and A.3.a.) are timely, and all investigations completed in 361 days or more (Part IX. Lines A.1.c. and A.3.c.) are untimely.
• Agencies will continue to enter data in Part IX. Line A.1.a."Investigations Completed in 180 days or less " by agency personnel, Part IX. Line A.3.a. "Investigations Completed in 180 days or less" by contractors, Part IX. Line A.1.c. “Investigations Completed in 361 or more days" by agency personnel, and Part lX. Line A.3.c. “Investigations Completed in 361 or more days" by contractors.

Clarification of Reporting Requirements for Investigation Costs

• The Department of Defense agencies should include per unit investigation cost data in Part IX.A.3. in accordance with information and instructions provided by the Defense, Washington Headquarters Services. If you have any questions or concerns regarding this matter, please contact EEOC for a copy of those instructions or the Defense, Washington Headquarters Services.
• Part IX. Line A.2.“Cost of Agency Investigations” - include both salaries and miscellaneous costs for completed investigations. The entire agency EEO budget should not be included in this calculation.
• Part IX. Line A.4.“Cost of Contract Investigations” - include the amount of the investigation costs reflected in contract and the agency salary and miscellaneous costs of agency staff involved in awarding and administering the contracts for completed investigations which might include salary cost of agency employees, EEO Director, contract monitor, support staff, etc. involved in reviewing investigative reports for completeness etc. and performing related administrative support tasks.
• Salary costs. For agency investigations, determine the salary cost based on the number and grade-level of agency employees (EEO Investigator, EEO Director, support staff, etc.) involved in the completed investigations and the percentage of work time they expended in conducting the investigations, preparing and reviewing investigative reports for completeness, etc., and performing related administrative support tasks.

  For contract investigations, determine the agency salary cost expended on awarding and administering the completed investigation contracts as noted in Part IX. Line A.4. above.

• Miscellaneous costs. Miscellaneous costs for agency investigations include the cost of photocopying, supplies, mailing, travel, court reporting, witnesses, training on conducting investigations., etc.

  For contract investigations, include applicable miscellaneous costs (photocopying, mailing, travel, court reporting, etc.) expended by agency, if they are not already included in contract costs.

PART X. “SUMMARY OF ADR PROGRAM ACTIVITIES INFORMAL PHASE (PRE-COMPLAINT)”

• Note: Part X collects data only on “Completed/Ended” counselings. Data will not be collected for Parts X.A. and Part X.E.2. and those boxes are shaded on the Form and no information needs to be provided.
• The focus of ADR activity is for completed/ended counselings and information concerning “pending” inventory is not critical for this year’s report. Collection of ADR data in completed/ended counselings in Part X permits better correlation to Part I. data when calculating Offer rate, Acceptance/Participation rate, and other percentages.
• Caution The total number of individual counselees does not have to equal the total number of counselings. The total number of individual counselees should be less than or equal to the total number of counselings.
• Note: Report only EEO matters on the EEOC Form 462 Report. (See Appendix G, Part X. and XI. for more details)

Part X., Section A. “ADR Pending From Previous Reporting Period”

Part X., Section B. “ADR Actions in Completed/Ended Counselings”

• Note: Requests made for ADR but not offered by the Agency are not reported on the EEOC Form 462 report. Only offers that are accepted or rejected are recorded on the EEOC Form 462 report. (See Appendix G,, Part X. and XI. for more details)
• Part X. Line B.1 “ADR Offered By Agency”

  “Counselings” Report the total number of counselings where the Agency offered ADR during the pre-complaint stage for completed/ended counselings in this reporting period.

  “Individuals” Report the total number of individual counselees who were offered ADR during the pre-complaint stage for counselings completed/ended in this reporting period.

  Note: Agencies should count ADR offers by counting the numbers of counselings in which there was ADR activity and not the number of multiple ADR offers. Agencies can also reference in a Comment note the number of counselings involving multiple ADR offers, if such distinction is desired by the agency at this time.

• Part X. Line B.2. “Rejected By Counselee”

  “Counselings” Report the total number of counselings where the individual declined the agency’s offer for ADR during the pre-complaint stage for counselings completed/ended in this reporting period.

  “Individuals” Report the total number of individual counselees who declined the agency’s offer for ADR during the pre-complaint stage for counselings completed/ended in this reporting period.

• Part X. Line B.3. “Rejected By Agency (includes all management officials)”

  “Counselings” Report the total number of counselings where the Agencyor any of its management officials declined to participate in ADR after the individual elected ADR during the pre-complaint stage for counselings completed/ended in this reporting period such that the ADR process ends. While this may be considered a withdrawal of the Offer of ADR it is to be recorded as a rejection by the Agency since an ADR offer was made and accepted by the counselee.

  “Individuals” Report the total number of individual counselees where the Agency or any of its management officials declined to participate in ADR after the individual elected ADR during the pre-complaint stage for counselings completed/ended in this reporting period such that the ADR process ends. While this may be considered a withdrawal of the Offer of ADR it is to be recorded as a rejection by the Agency since an ADR offer was made and accepted by the counselee.

• Part X. Line B.4. “Total Accepted Into ADR Program”

  “Counselings” Report the total number of counselings for which both parties agreed to participate in ADR during the pre-complaint stage for counselings completed/ended in this reporting period. The term “participated” is also used for this category. The parties are the couselee and the agency.

  “Individuals” Report the total number of individual counselees where both parties of the dispute agreed to participate in ADR during the pre-complaint stage for counselings completed/ended in this reporting period. The parties are the counselee and the agency.

  Note: The regulations establish that the agency must offer ADR – BEFORE the counselee can make an ADR election. Some agencies inform the counselee of ADR and allow the counselee to make a request (not an election) for ADR. If the agency decides not to offer ADR because, for example, it has determined that the matter is not appropriate for ADR, then it doesn’t get reported to us because the agency did not initially offer ADR. Remember: The agency received a Request (or an expression of interest in ADR) but didn’t follow through on it (the agency did not offer ADR). An agency must offer ADR before an individual can make an election. A Request for ADR is not an election. ADR is an alternative to traditional counseling – it is an election which is done at initial counseling or within a reasonable time thereafter. If the Agency allows management officials to determine that the Agency will not participate in ADR after it has been offered and accepted by the counsel than the rejections are to be reported in Part X.B.3. While an agency may consider this a withdrawal of the Offer of ADR and then not report it as an Offer, it is to be recorded as a rejection by the Agency. The parties are the counselee and the agency.

Part X., Section C. “ADR Resources Used in Completed/Ended Counselings”

• Part X.C.4. The label has been changed to Multiple Resources Used (Please specify in a comment box) to remind agencies to note what resources were used.
• An ADR Resource is a resource from which an agency obtains neutrals to conduct ADR attempts.
• If an agency obtains neutrals from a source not listed in Section C., other sources may be added.
• “Counselings” Report the total number of counselings in which the particular source of neutrals (rows 1-7) was used for counselings completed/ended in this reporting period.
• “Individuals” Report the total number of individual counselees for which the particular source of neutrals (rows 1 - 7) was used in an ADR for a completed/ended counseling during the reporting period.
• Caution If your agency used more than one source of neutrals in a particular case (i.e., an in-house employee and a private contractor), please report the use of those neutrals for counselings and individuals only as “Multiple Resources Used” and identify the sources of neutrals in a comment box..

Part X., Section D. “ADR Techniques Used in Completed/Ended Counselings”

• Part X.D. The label has been changed to ADR Techniques Used in Completed/Ended Counselings
• Part X.D.8. The label has been changed to Multiple Techniques Used (Please specify in a comment box)
• Part X, Section D requires information on ADR techniques used by the agency.
• An ADR technique is one of several non-litigation processes used to resolve EEO disputes. Chapter 3 of the EEO- MD-110 (November 1999) provides a description of each ADR technique. These techniques are also defined in Appendix D of this Instruction Manual.
• If an agency used an ADR method/technique not listed in Section D., other methods/techniques may be added.

• “Counselings” Report the total number of counselings in which your agency used a particular ADR technique (rows 1 - 11) for counselings completed/ended during the reporting period.
• “Individuals” Report the total number of individuals with whom your agency used a particular ADR technique (rows 1 - 11) for counselings completed/ended during the reporting period.
• “Days” To complete Part X.D. Line 1. through 11. for each ADR method category used during the ADR process, calculate the total number of days for each ADR method category used in completed/ended counselings during the reporting period. To determine the duration of each ADR process, calculate the number of days from the date the counselee elected ADR (accepted the agency’s ADR offer) to the date that the ADR process ended and enter the total days of each method category, recorded on each respective line, in the Days column. It is incorrect to calculate and enter just the period of time/days that an ADR session(s) (the time spent with the neutral) occurred. Do not report just the time spent “at the table” during an ADR session. The time “spent at the table” is included in the duration of the process.
  • Example: If your agency had three mediations with three different individuals and the first had a duration of the ADR process of 30 days, the second had a duration of 34 days, and the third had a duration of 38 days, for a total of 102 days, you would enter 102 in the DAYS column and three in the counselings and individuals columns. If the mediation sessions with the mediator each lasted one day, you DO NOT insert that number (3) in the DAYS column because the session time periods are included in the duration period, i.e., the date that the counselee elected ADR (accepted the agency’s ADR offer) to the date that the ADR process ended.
• Caution If your agency has used more than one type of ADR technique for a particular case (i.e., a fact finding and a mediation), report the counselings and individuals for those ADR attempts only as “Multiple Techniques Used” and identify the types of techniques in a comment box.

Part X., Section E. “Status of Cases in Completed/Ended Counselings”

• Caution Because of the addition of Part X.E.1.e., the preparer needs to be very careful not to “double count” completed/ended counselings in more than one category. See additional comments below.
• Note: Part X.E.1. “Total Closed.” An ADR case can only be recorded in Part X.E in one of four categories. There is no “Other” category. The ADR case can be a) settled with benefits; b) no formal complaint filed (withdrawal); c) a complaint is filed (No Resolution and No ADR Attempt categories); and d) decision to file pending at the end of the fiscal year. These four categories relate to the four subparts in Part I.D.3. which lists how counseling activities for completed/ended counselings conclude. Remember: Part I. D. provides for recording data from both ADR activities and Counseling activities. Therefore, Part X.E.1.a. data is included in Part I.D.3.a. data along with Counseling Settlements. Part X.E.1.b. data is included in Part I.D.3.b. data along with Counseling activities that resulted in Withdrawal/No Complaint filed. Part X E 1.c. “No Resolution” data and Part X.E.1.d. “No ADR Attempt” data, both of which are categories to be considered as resulting in the filing of a formal complaint are included in Part I.D.3.c. “Counselings completed/ended in reporting period that resulted in complaint filing in reporting period.” “No Resolution” and “No ADR Attempt” ADR cases which conclude with no complaint being filed/withdrawal should be recorded in Part X.E.1.b. and included in Part I.D.3.b. and not double counted.

The fourth category to record a closed ADR case is Part X.E.1.e. In the event that the fiscal year ended and the time period to file a complaint has not expired during the fiscal year and the counselee did not file a written withdrawal or did not file a complaint during the fiscal year then use Part X.E.1.e. to record this event, i.e., decision to file complaint pending at the end of the reporting period. Do not count the event in other cat