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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.