EEO for Investigators

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Description: This is a course for EEO investigators (i.e., those who investigate the formal complaint and prepare a Report of Investigation (ROI). The topics covered include the EEO laws (i.e., Title VII, the ADEA, the Rehabilitation Act, the Civil Rights Act of 1991, the Equal Pay Act), the theories of discrimination, the 1614 regulations, MD-110 and other EEOC Guidance, the Civil Service Reform Act, the investigator’s role, sticking to the issue, addressing like and related issues, assisting in resolution, collecting evidence, interviewing witnesses and taking statements, documenting the report and Writing the ROI.

Length: 4 days.

TABLE OF CONTENTS
Page

I: Purpose and Description of the Manual 1

II. Background and History of the EEO Process 3

III: An Overview of Federal Sector EEO Laws and Theories 5

A. The Bases Of Discrimination In Federal Employment 5

B. Customs Service EEO Complaints - FY 1999 6

C. The Four EEO Laws 7

1. Title VII (race, color, sex, religion, national origin) 7
2. The Rehabilitation Act (disability) 8
3. Age Discrimination in Employment Act (age) 8
4. Equal Pay Act (equal pay for equal work) 9

D. The Department of the Treasury Rules of Conduct Concerning Discrimination 10

E. Sexual Orientation Discrimination 11

F. The Theories 14

1. Title VII 14
a. Disparate Treatment 14
b. Accommodation (religion) 20
c. Retaliation 22
d. Disparate Impact 23
e. Special Problems (National Origin) 24
(1) Speak English only 24
(2) Foreign accent 24
(3) Sexual and EEO Based Harassment 25
(4) Constructive Discharge 26

2. The Rehabilitation Act of 1973 27

3. The Age Discrimination in Employment Act (ADEA) 28

IV. The Federal Sector EEO Complaint Process 30

A. The Authority 30

B. The Steps of the Administrative Process 30

1. Contact With a Counselor 30
2. Resolution and ADR 31
3. Formal Complaint 31
4. Acceptance or Rejection of Formal Complaint 32
5. Investigation 33
6. EEOC Hearing and Final Decision by Agency 33
7. Review by EEOC 35
8. Federal District Court Complaint 36

C. Additional Observations 36

V. Inquiries: Approaches and Techniques 37

A. Purpose 37

B. The Inquiry into the Merits 37
1. Summary of Stages of the Inquiry 37

C. A Closer Look at the Steps of the Inquiry 37

1. Initial Interview with Aggrieved 37
2. Preparation for Inquiry &
Development of Resolution Strategy 39
3. Interviewing Agency Officials 40
4. Interviewing Other Witnesses 41
5. Collecting Documents 42
6. Additional Meetings with the Parties 43
7. Recording the Inquiry 52
8. Evaluating the Information 53
9. Writing the Report 56

D. Troubleshooting 58
VI. Specific Inquiries Concerning the Procedures 66

A. Are There Any Procedural Problems? 67

B. Should a Formal Complaint be Accepted or Rejected by the
Dept. of the Treasury After a Formal Complaint is Filed? 69

1. Timeliness 70
2. Failure to State a Claim 77
3. States a Claim That Is Pending Before Or Been Decided By The EEOC 78
4. Basis Of A Civil Action In A United States
District Court 79
5. Raised In A Negotiated Grievance Procedure 80
6. Raised Before The MSPB 82
7. Mootness 84
8. A Proposed Personnel Action Or Other
Preliminary Step To Taking A Personnel Action 85
9. The Complainant Cannot Be Located 86
10. Failure To Prosecute/Cooperate 87
11. "I Was Mislead" 87
12. Claimed Breach of a Settlement Agreement 88
13. Claimed Dissatisfaction With the Processing
of a Previously Filed EEO Complaint 89

VII. Specific Inquiries Concerning the Merits of Issues Raised
by the Aggrieved Employee Or Applicant 90

A. Issue: EEO Based Harassment 90

1. Background 90
2. The “guts" of EEO harassment claims 92
3. The Inquiries (i.e., questions to ask) 92
Questions to Ask of the Aggrieved 93
Questions to Ask of the Alleged Harasser 96
Questions to Ask of Management 97
Questions to Ask of Others 98
4. Documents 100
5. Glossary Terms 100
6. The Customs EEO Harassment Procedure 101 7. Specific Settlement Provisions 101
B. Issue: Sexual Harassment 102

1. Background 102
2. The “guts" of claims of sexual harassment 105
3. The Inquiries (i.e., questions to ask) 105
Questions to Ask of the Aggrieved 106
Questions to Ask of the Alleged Harasser 109
Questions to Ask of Management 109
Questions to Ask of Others 109
4. Documents 109
5. Glossary Terms 110
6. The Customs EEO Harassment Procedure 110 7. Specific settlement provisions 110

C. Issue: Non-Selection 111

1. Background 111
2. The “guts" of non selection claims 113
3. The Inquiries (i.e., questions to ask) 114
Questions to Ask of the Aggrieved 114
Questions to Ask of the Selecting Official 116
Questions to Ask of the Selectee or Other Witnesses 119
4. Documents 119
5. Glossary Terms 120
6. The Customs EEO Selection Procedure 120 7. Specific settlement provisions 120

D. Issue: Discipline 121

1. Background 121
2. The “guts" of discipline claims 121
3. The Inquiries (i.e., questions to ask) 122
Questions To Ask of the Aggrieved 122
Questions To Ask of Management 124
Questions To Ask of Witnesses 125
4. Documents 125
5. Glossary Terms 126
6. The Customs Procedure 126 7. Specific settlement provisions 126

E. Basis: Disability / Accommodation 127

1. Background 127
2. The “guts" of disability claims 129
3. The Inquiries (i.e., questions to ask) 130
Questions To Ask of the Aggrieved 130
Questions To Ask of Management 131
Questions To Ask of Witnesses 133
4. Documents 133
5. Glossary Terms 133
6. The Customs Procedure 134 7. Specific settlement provisions 134

F. Basis: Religion / Accommodation 135

1. Background 135
2. The “guts" of religion discrimination claims 137
3. The Inquiries (i.e., questions to ask) 138
Questions To Ask of the Aggrieved 138
Questions To Ask of Management 139
Questions To Ask of Witnesses 141
4. Documents 141
5. Glossary Terms 141
6. The Customs Procedure 141 7. Specific settlement provisions 141

G. Basis: Reprisal 142

1. Background 142
2. The “guts" of reprisal claims 143
3. The Inquiries (i.e., questions to ask) 144
Questions To Ask of the Aggrieved 145
Questions To Ask of Alleged Retaliating Official 146
Questions To Ask of Others 148
4. Documents 148
5. Glossary Terms 149
6. The Customs Procedure 149 7. Specific settlement provisions 149

Attachment A: Glossary of Terms 150

Attachment B: Glossary Of Sample Settlement Paragraphs 184

Attachment C: Letter Of Introduction And Appointment 207

Attachment D: The EEO Counselor’s Plan 208

Attachment E: 73 Specific Settlement Options 214

Attachment F: The Caucus 221

Attachment G: Sample Opening Remarks 225

Attachment H: The EEO Counselor's Report 227

Attachment I: Proof Models 230

Attachment J: Summaries of EEO Non-Selection Cases 239

Attachment K: Sample Settlement Agreements 249

Attachment L: Specific Customs Service Policies 250

1. The Customs Service Policy on EEO Based Harassment 250
2. The Customs Service Policy on Disciplinary Actions 252
3. The Customs Service Policy on Selection 254

Attachment M: Letter to the Parties Regarding a Joint Meeting 256

Attachment N: Writing the Settlement Agreement 258

Attachment O: The Customs Service Negotiated ADR Policy 262

The Federal EEO Process The last page