EEOC Seal

U.S. Equal Employment Opportunity Commission



Fiscal Year 2013 Performance and Accountability Report 

PERFORMANCE RESULTS

Results Achieved in FY 2013 under Strategic Plan Performance Measures

Overview of the Strategic Plan and Performance Measures

This Performance and Accountability Report is based on the EEOC's Strategic Plan for Fiscal Years 2012 through 2016 ("Plan"), approved by the Commission on February 22, 2012. In the process of developing the Plan, the Commission engaged in a comprehensive assessment of the agency's programs and priorities. As a result, the EEOC believes it is prepared to support the agency's critical mission to stop and remedy unlawful employment discrimination, and to pursue its vision for the 21st century of justice and equality in the workplace, by focusing on the following three strategic objectives:

  • Strategic Objective I: To combat employment discrimination through strategic law enforcement. This Objective reflects the agency's primary mission of preventing unlawful employment discrimination through the use of: 1) administrative (investigation, mediation and conciliation) and litigation enforcement mechanisms with regard to private employers, labor organizations, employment agencies, and state and local government employers; and 2) adjudicatory and oversight mechanisms with regard to Federal employers. Seven performance measures were developed for Strategic Objective I.
  • Strategic Objective II: To prevent employment discrimination through education and outreach. This Objective acknowledges that to successfully prevent employment discrimination through education and outreach, the EEOC must also work to prevent employment discrimination before it occurs. Investigations, conciliations, and litigation are only some of the means by which the agency fulfills its mission and vision. The Commission is also authorized to engage in education and outreach activities, including providing training and technical assistance, for those with rights and responsibilities under employment antidiscrimination laws. Four performance measures were developed for Strategic Objective II.
  • Strategic Objective III: To deliver excellent and consistent service through a skilled and diverse workforce and effective systems. This Objective ensures that the EEOC will deliver excellent and consistent service through our efforts to support a skilled workforce and the deployment of effective systems. Two performance measures were developed for Strategic Objective III.

The final budgetary resource measure, Performance Measure 14, and the agency's strategic objectives, outcome goals, and 13 other performance measures identified in the Plan are depicted in the Strategic Plan Diagram below. Each measure is analyzed in greater detail on the following pages.

EEOC FY 2013 Performance

Measures

Met

Targets Met or Exceeded

Partially Met

Targets Partially Met1

Not Met

Targets Not Met

Not Applicable in FY 2013

14

7

7

0

0

1Partially Met Targets Partially Met: A rating assigned to target results where (1) at least half of the activities targeted for completion were completed, or (2) we were unable to assess the results because full year data is not yet available.

Strategic Plan
Mission
Stop and Remedy Unlawful Employment Discrimination
Vision
Justice and Equality in the Workplace
STRATEGIC OBJECTIVE I STRATEGIC OBJECTIVE II STRATEGIC OBJECTIVE III
Combat employment discrimination through strategic law enforcement. Prevent employment discrimination through education and outreach. Deliver excellent and consistent service through a skilled and diverse workforce and effective systems.

Outcome Goal I.A
Have a broad impact in reducing employment discrimination at the national and local levels.

Strategy I.A.1: Develop and implement a Strategic Enforcement Plan that: (1) establishes EEOC priorities and (2) integrates the EEOC's investigation, conciliation and litigation responsibilities in the private and state and local government sectors; adjudicatory and oversight responsibilities in the federal sector; and research, policy development, and education and outreach activities.

Strategy I.A.2: Rigorously and consistently implement charge and case management systems to focus resources and enforcement on the EEOC's priorities.

Strategy I.A.3: Use administrative and litigation mechanisms to identify and attack discriminatory policies and other instances of systemic discrimination.

Strategy I.A.4: Use EEOC decisions and oversight activities to target pervasive discriminatory practices and policies in federal agencies.

Outcome Goal I.B
Remedy discriminatory practices and secure meaningful relief for victims of discrimination.

Strategy I.B.1: Ensure that remedies end discriminatory practices and deter future discrimination.

Strategy I.B.2: Seek remedies that provide meaningful relief to individual victims of discrimination.

Outcome Goal II.A
Members of the public understand and know how to exercise their right to employment free of discrimination.

Outcome Goal II.B
Employers, unions and employment agencies (covered entities) prevent discrimination and better resolve EEO issues, thereby creating more inclusive workplaces.

Strategy II.A.1: Target outreach to vulnerable workers and underserved communities.

Strategy II.B.1 Target outreach to small and new businesses.

Strategy II.A.2 and II.B.2 Provide up-to-date and accessible guidance on the requirements of employment antidiscrimination laws.

Outcome Goal III.A
All interactions with the public are timely, of high quality, and informative.

Strategy III.A.1 Effectively engage in workforce development and planning, including identifying, cultivating, and sustaining a skilled and diverse workforce.

Strategy III.A.2 Rigorously and consistently implement charge and case management systems to deliver excellent service.

Strategy III.A.3 Use innovative technology to facilitate responsive interactions and streamline agency processes.

STRATEGIC OBJECTIVE I STRATEGIC OBJECTIVE II STRATEGIC OBJECTIVE III

Performance Measures

Performance Measures

Performance Measures

Performance Measure 1 for Strategy I.A.1
By FY 2016, the EEOC develops, issues, implements, evaluates, and revises, as necessary, a Strategic Enforcement Plan.

Performance Measure 2 for Strategy I.A.2 and Strategy III.A.2
By FY 2016, TBD% of investigations and conciliations meet the criteria established in the new Quality Control Plan.

Performance Measure 3 for Strategy I.A.2 and Strategy III.A.2
By FY 2016, 100% of federal sector case inventory is categorized according to a new case management system and TBD% of hearings and appeals meet the criteria established in the new federal sector Quality Control Plan.

Performance Measure 4 for Strategy I.A.3
By FY 2016, TBD% of the cases in the agency's litigation docket are systemic cases.

Performance Measure 5 for Strategy I.A.4
By FY 2016, the EEOC uses an integrated data system to identify potentially discriminatory policies or practices in federal agencies and has issued and evaluated TBD number of compliance plans to address areas of concern.

Performance Measure 6 for Strategies I.B.1 and I.B.2
By FY 2016, a TBD% of the EEOC's administrative and legal resolutions contain targeted, equitable relief.

Performance Measure 7 for Strategies I.B.1 and I.B.2
By FY 2016, a TBD% of resolutions by FEPAs contain targeted, equitable relief.

Performance Measure 8 for Strategy II.A.1
By FY 2016, the EEOC is maintaining TBD significant partnerships with organizations that represent vulnerable workers and/or underserved communities.

Performance Measure 9 for Strategy II.B.1
By FY 2016, the EEOC is maintaining TBD significant partnerships with organizations that represent small or new business (or with businesses directly).

Performance Measure 10 for Strategies II.A.1 and II.B.1
By FY 2013, the EEOC implements a social media plan.

Performance Measure 11 for Strategies II.A.2 and II.B.2
The EEOC reviews, updates, and/or augments with plain language materials its sub-regulatory guidance, as necessary.

Performance Measure 12 for Strategy III.A.1
The EEOC strengthens the skills and improves the diversity of its workforce.

Performance Measure 2 for Strategy I.A.2 and Strategy III.A.2
By FY 2016, TBD% of investigations and conciliations meet the criteria established in the new Quality Control Plan.

Performance Measure 3 for Strategy I.A.2 and Strategy III.A.2
By FY 2016, 100% of federal sector case inventory are categorized according to a new case management system and TBD% of hearings and appeals meet the criteria established in the new federal sector Quality Control Plan.

Performance Measure 13 for Strategy III.A.3
The EEOC improves the private sector charge process to streamline services and increase responsiveness to customers throughout the process.

BUDGETARY RESOURCES MEASURE

Performance Measure 14

The EEOC's budgetary resources for FY 2014 - 2017 align with the Strategic Plan.

Results Achieved Under Specific Performance Measures

STRATEGIC OBJECTIVE I:
Combat employment discrimination through strategic law enforcement.

To aid in our ability to support a strategic law enforcement objective, we have focused our efforts toward achieving the following outcome goals that are critical to the success of the agency's mission to: 1) have a broad impact in reducing employment discrimination at the national and local levels; and 2) remedy discriminatory practices and secure meaningful relief for victims of discrimination.

To effectively reduce employment discrimination in a far reaching and extensive manner, we have identified four key strategies that are currently being developed and/or implemented, as directed by the agency's fiscal years 2012-2016 Strategic Plan and the administrative priorities established by the Office of the Chair:

  • Develop and implement a Strategic Enforcement Plan that: 1) establishes EEOC priorities; and 2) integrates EEOC's investigation, conciliation, and litigation responsibilities in the private and state and local government sectors; adjudicatory and oversight responsibilities in the federal sector; and research, policy development, and education and outreach activities;
  • Rigorously and consistently implement charge and case management systems to focus resources and enforcement on agency priorities;
  • Use administrative and litigation mechanisms to identify and attack discriminatory policies and other instances of systemic discrimination; and
  • Use agency decisions and oversight activities to target discriminatory practices and policies in federal agencies.

The agency's strategies for remedying discriminatory practices and seeking equitable relief where discrimination has occurred will: 1) ensure that the remedies end discriminatory practices and deter future discrimination; and 2) provide meaningful relief to individual victims of discrimination.

The EEOC has developed Performance Measures 1 through 6 to track its progress in pursuing these strategies and Performance Measure 7 to track the progress of its state and local partners.

Strategic Enforcement Plan

Performance Measure 1: By FY 2016, the EEOC develops, issues, implements, evaluates, and revises, as necessary, a Strategic Enforcement Plan.

FY 2013

TARGET

The agency distributes implementation guidance for the Strategic Enforcement Plan.

The agency begins to implement the Strategic Enforcement Plan.

If required in the Strategic Enforcement Plan, District Offices and the Office of Federal Operations develop local and federal sector enforcement plans by March 29, 2013.

RESULT

The SEP was implemented; implementation guidance was developed and reviewed. The Federal Sector Complement Plan was approved on July 30, 2013. District Complement plans were delayed until 1st QTR 2014

Partially Met

Target Partially Met

* Partially Met Target(s) Partially Met: A rating assigned to target results where (1) at least half of the activities targeted for completion were completed, or (2) EEOC was unable to assess the results because full year data was not yet available.

Under its first objective, the Strategic Plan directed the Commission to develop a Strategic Enforcement Plan (SEP), which was approved on December 17, 2012. The plan establishes priorities and integrates all components of EEOC's private, public, and federal sector enforcement. The purpose of the SEP is to focus and coordinate the EEOC's programs to have a sustainable impact in reducing and deterring discriminatory practices in the workplace.

The six SEP priorities are: 1) eliminating barriers in recruitment and hiring; 2) protecting immigrant, migrant and other vulnerable workers; 3) addressing emerging and developing issues; 4) enforcing equal pay laws; 5) preserving access to the legal system; and 6) preventing harassment through systemic enforcement and target outreach. Its implementation will ensure a targeted, concentrated, and deliberate effort to pursue priority issues and practices that significantly affect applicants, employees, and employers.

For FY 2013, the target for this measure was to distribute implementation guidance and begin implementation of the SEP. After Commission approval in December 2012, the agency began implementing the SEP, including releasing and developing the Strategic Enforcement Team recommendations, directing staff to incorporate the SEP priorities into their enforcement work, and developing a multi-year plan for reviewing and updating sub-regulatory guidance-i.e., a Sub-regulatory Plan. The Commission approved the Federal Sector Complement Plan (FCP) on July 30, 2013. The Chair extended the May 31 deadline for completion of the 15 District Complement Plans (DCPs), plus the Washington Field Office plan to allow for more time to coordinate the plans among offices and ensure consistency. The Committee of Advisors on Systemic Enforcement (CASE) submitted their recommendations for improving systemic enforcement to the Chair in June 2013. The State and Local Fair Employment Practices Agencies (FEPAs) Engagement Plan (FEPA Engagement Plan) to ensure that FEPAs are working with the EEOC to further the pursuit of SEP and DCP priorities was approved by the Chair in September 2013.

The agency also began work on several other plans and recommendations for improved integration and priority implementation required by the SEP, including the Communications and Outreach Plan and the Research and Data Plan.

The Communications and Outreach Plan is currently under development and is scheduled for approval by the Chair in FY 2014. The Research and Data Plan has been drafted and is targeted for Commission vote in FY 2014. Also underway is the SEP is the Federal Sector Organization Plan, which was not completed in FY 2013 to allow time for the Commission to contract with the Administrative Conference of the United States to conducted a study of the agency's organizational structure for the federal sector hearings program. Other key items, authorized by the SEP and completed in FY 2013, include the transfer of the EEOC's public website function in support of the agency's overall communications strategy, the adoption of quarterly reporting requirements to support SEP enforcement, and small changes to the delegation of litigation authority within the EEOC.

Quality Control Plan

Performance Measure 2: By FY 2016, TBD% of investigations and conciliations meet the criteria established in the new Quality Control Plan.

FY 2013

TARGET

The agency develops a draft Quality Control Plan that establishes criteria to measure the quality of investigations and conciliations and develops a peer review assessment system.

The Commission votes on a Quality Control Plan no later than February 28, 2013.

RESULT

A draft QCP and peer review assessment process were developed and are pending review and approval.

A Commission vote is anticipated in 2nd QTR 2014.

Partially Met

Target Partially Met

* Partially Met Target(s) Partially Met: A rating assigned to target results where (1) at least half of the activities targeted for completion were completed, or (2) EEOC was unable to assess the results because full year data was not yet available.

Performance Measure 2 requires the EEOC to develop a draft Quality Control Plan (QCP) with appropriate criteria for measuring the quality of investigations and conciliations to impact the effectiveness and efficiency of the EEOC's investigations and conciliations. It also requires the agency to develop a peer review assessment system for evaluating the quality of the EEOC's investigations and conciliations to ensure that criteria established in the QCP are met, as directed by the EEOC's Strategic Plan for Fiscal Years 2012-2016.

To satisfy the Plan's requirements, the Chair convened a Quality Control Plan Working Group (QCPWG), headed by several senior agency officials, and a panel of advisory group members, comprised of EEOC front-line staff and managers, in December 2012. The goal of the QCPWG was to develop a draft QCP that would establish the necessary criteria and the peer review assessment system required for this measure in FY 2013. The Strategic Enforcement Plan (SEP) amended the deadline for voting on the QCP to April 30, 2013.

The work group began meeting in January 2013. In February, they requested written input for the development of the plan. See http://www.eeoc.gov/eeoc/newsroom/release/2-12-13.cfm. In March, the Commission held a public meeting featuring three roundtables of internal and external experts on the EEOC's investigatory process. See http://www.eeoc. gov/eeoc/meetings/3-20-13/index.cfm. In May, the work group requested public input on a set of principles for the QCP. See http://www.eeoc.gov/eeoc/newsroom/release/5-10-13c.cfm. The EEOC also welcomed a new Commissioner in May of 2013. To allow for additional Commission review and input by the full Commission, a vote by the Commission on the draft QCP was postponed until the second quarter of FY 2014. Approval by the Commission will permit EEOC to apply these criteria and the peer review assessment system to a statistically significant sample of investigations and conciliations in FY 2014-a necessary step prior to developing a baseline and projecting targets for improved quality standards that the agency will measure in FYs 2015 and 2016.

Case Management System

Performance Measure 3: By FY 2016, 100% of federal sector case inventory is categorized according to a new case management system and TBD% of hearings and appeals meet the criteria established in the new federal sector Quality Control Plan.

FY 2013

TARGET

Develop categories for federal sector cases. Develop, pilot and implement new processes and technology, ensuring appropriate guidance, documentation, and staff training.

RESULT

Prepared a draft case categorization system and management proposal. Pilot period reevaluated and extended for six months through mid FY 2014. Implementation also delayed until FY 2014.

Partially Met

Target Partially Met

* Partially Met Target(s) Partially Met: A rating assigned to target results where (1) at least half of the activities targeted for completion were completed, or (2) EEOC was unable to assess the results because full year data was not yet available.

For FY 2013, Performance Measure 3 required the agency to develop a federal sector case management system and correspondingly to develop, pilot, and implement new processes and technology that ensures appropriate guidance, documentation, and staff training. In third quarter FY 2012, a Federal Sector Case Management Subgroup ("Subgroup") was established to implement this measure. The Subgroup, in consultation with the Office of Information Technology (OIT) that developed the requirements for implementing the case management system, prepared a draft case categorization and management proposal - including the requirements for modifying the federal sector components of the Commission's Integrated Mission System (IMS). With these modifications to IMS, program staff can identify and track those appeals that implicate Strategic Enforcement Plan/Federal Sector Complement Plan priorities, and classify appeals in a manner designed to better utilize resources consistent with the Commission's Strategic Plan and the federal sector priorities. Staff tested the appellate categories module in September 2013. Staff also developed guidance and training materials on the case management system so that the agency would be prepared to categorize appeals beginning at the start of FY 2014.

With regard to the federal hearings categories module in IMS, OIT completed the design and development of the hearings module based on the categorization requirements provided by the Subgroup in the third and fourth quarters of FY 2013. During this period, the agency identified the four offices that would pilot the hearings case management system and discussed how to best tailor the categorization process for those offices. Beginning in FY 2014, selected staff will test the module in advance of its release to the four hearings units targeted for piloting the new case management process for the hearings program and its general release to all hearings units.

The original estimate for the duration of the pilot period for the new case management system was scheduled for three months. The agency subsequently reevaluated that time frame and extended the period to six months in order to effectively pilot and evaluate the new case management process. A six month pilot would allow EEOC to assess the effectiveness of the categorization process and the initial conference requirement on both the overall movement of cases at the hearings and appellate levels and the proper allocation of resources to priority cases. The requirement for a longer pilot period, coupled with the need to modify and enhance the technological infrastructure necessary for an effective pilot and case management process meant that the goal for this measure would not be fully met in FY 2013. However, since the new case management process will be piloted in a number of Hearings units across the country, the agency will be well positioned to identify the resources needed to fully implement the case management process across the country, including the staff support, equipment, and technology required in the future.

In furtherance of the requirement to pilot and implement new processes and technology, ensuring appropriate guidance, documentation and staff training under this measure, OIT completed the development of the appeals categorization module in FY 2013 and testing was successful. As a result, the agency will be fully implementing the appeals categorization module with all staff in FY 2014.

Systemic Cases

Performance Measure 4: By FY 2016, TBD% of the cases on the agency's active litigation docket are systemic cases.

FY 2013

TARGET

Increase targets (i.e., the percentage of systemic cases on the active docket) to 18-21%.

RESULT

23.4%

Target Exceeded

Target Exceeded

The FY 2013 target for Performance Measure 4 was to increase the percentage of systemic cases on the agency's litigation docket to approximately 18-21 percent of all active cases. Under the agency's Strategic Plan, systemic cases are defined as pattern or practice, policy, or class cases where the alleged discrimination has a broad impact on the industry, occupation, or geographic area. A baseline of 20 percent was established by the agency in FY 2012 because it represented the proportion of systemic cases on the active litigation docket at the end of the fiscal year. Utilizing the baseline, as well as a comprehensive review of historical suit filing and resolution trends, and systemic case development trends, the agency projected targets for performance through FY 2016. By FY 2016, the agency projects that 22-24 percent of cases on the EEOC's active litigation docket will be systemic cases by FY 2016. In FY 2013, the agency reported that 54 out of 231, or 23.4 percent, of the cases on its litigation docket were systemic, exceeding the annual target.

Federal Sector Workforce Analysis

Performance Measure 5: By FY 2016, the EEOC uses an integrated data system to identify potentially discriminatory policies or practices in federal agencies and has issued and evaluated TBD number of compliance plans to address areas of concern.

FY 2013

TARGET

Create and implement a data system of complaint, hearing, and statistical employee data in order to establish priorities in the federal sector.

RESULT

Designed and implemented several data capture/reporting sources to be used in the new online data system.

Time line for development of a fully operational, online registration platform extended through FY 2014.

Partially Met

Target Partially Met*

* Partially Met Target(s) Partially Met: A rating assigned to target results where (1) at least half of the activities targeted for completion were completed, or (2) EEOC was unable to assess the results because full year data was not yet available.

The Federal Government is the largest employer in the United States. Therefore, reducing unlawful employment discrimination in the federal sector is an integral part of achieving Strategic Objective I and fulfilling the mission of the agency. The FY 2013 target for Performance Measure 5 was to create and implement a data system of complaint, hearing, and statistical employee data in order to establish priorities in the federal sector; i.e., an integrated data system that can identify discriminatory policies or practices in those agencies and help set priorities for the prevention of discrimination in the Federal government.

In an effort to meet all the requirements of this measure, the agency began to develop the requisite data systems in FY 2012, including the technological requirements for developing an online database. Timely performance of this measure depended on developing a fully operational, online registration platform in the Federal Sector EEO Portal (FedSEP), which is necessary to collect the required MD-715 and Form 462 data. (Note: EEOC's Management Directive 715 or MD-715 (effective October 1, 2003), provides policy guidance and standards for establishing and maintaining effective affirmative programs of equal employment opportunity under Section 717 of Title VII (PART A) and effective affirmative action programs under Section 501 of the Rehabilitation Act (PART B). Form 462, allows Federal agency administrators to enter complaints processing data for the Annual Federal Equal Employment Opportunity Statistical Report of Discrimination Complaints on EEOC's Form 462 website.)

During FY 2013, the agency successfully designed and implemented the Federal Sector EEO Portal (FedSEP) to capture MD-715 data. The EEOC also successfully modified FedSEP to collect the Form 462 data for implementation during the October reporting cycle. However, due to staffing and resource-related considerations, it was determined that the hearings and appeals data necessary for this online database would not be captured in FedSEP until FY 2014. As a result, it is possible that the subsequent targets projected through FY 2016 may need to be modified to reflect the new completion date for development of a fully operational registration platform.

Administrative and Legal Resolutions with Targeted Relief

Performance Measure 6: By FY 2016, a TBD% of the EEOC's administrative and legal resolutions contain targeted, equitable relief.

FY 2013

TARGET

Collect data on the percentage of administrative and legal resolutions currently containing targeted, equitable relief. Establish baseline of existing targeted, equitable relief in resolutions and project future targets for different types of targeted, equitable relief.

RESULT

Designed and implemented enhancements to IMS to collect TER data. Established a baseline of 64% resolutions achieved with TER, and projected targets through 2016.

Target Met

Target Met

The FY 2013 target for Performance Measure 6 was to collect data on the percentage of administrative and legal resolutions currently containing targeted, equitable relief (TER). Targeted, equitable relief means any non-monetary and non-generic relief (other than the posting of notices in the workplace about the case and its resolution), which explicitly addresses the discriminatory employment practices at issue in the case, and which provides remedies to the aggrieved individuals or prevents similar violations in the future. In addition, the agency was required to establish a baseline of existing resolutions containing TER in order to project future targets for different types of TER.

To meet the FY 2013 goal, the EEOC enhanced its Integrated Mission System (IMS) database to collect data and generate reports on resolutions with different types of TER. In addition, the agency developed guidance for determining which types of relief qualified as TER and conducted comprehensive i-Seminars to train staff on this new TER feature. The IMS enhancements to the Private-EEOC component were implemented and available in January 2013. Based on TER data captured in IMS during the fiscal year, the agency formulated a baseline of 64 percent of resolutions containing TER in FY 2013. The agency also developed a range of future targets for TER through FY 2016 to include: an increase in resolutions with TER to 63%-67% in FY 2014; 64%-68% in FY 2015; and 65%-70% in FY 2016.

FEPA Resolutions with Targeted Relief

Performance Measure 7: By FY 2016, a TBD% of resolutions by FEPAs contain targeted, equitable relief.

FY 2013

TARGET

Collects data from FEPAs, establishes baseline of existing targeted, equitable relief in resolutions and project future targets for different types of targeted equitable relief.

RESULT

Designed and implemented enhancements to IMS to collect TER data from FEPAs. Established a baseline of 14% FEPA resolutions achieved with TER , and projected targets through 2016.

Target Met

Target Met

The FY 2013 target for Performance Measure 7 was to identify, design, and implement, in accord with the state and local Fair Employment Practices Agencies (FEPAs), a new reporting process for determining what percentage of FEPA resolutions contain targeted, equitable relief (TER). Based on input from its FEPA partners, the agency developed content for OIT to use in the data collection plan for TER and related reporting for both FEPAs and the EEOC. The design for the reporting process was developed with an eye toward consistency within the Integrated Mission System (IMS) for recording TER data. These IMS enhancements to the Private-FEPA component were implemented and made available in January 2013.

The agency conducted comprehensive i-Seminars on TER enhancements for over 168 FEPA staff, and provided all FEPA partners the instructional tools to train staff on this new TER feature. FEPA agencies were also provided a link to a recorded version of the training for their staff who could not attend one of the designated, live i-Seminars. The agency reached out to the FEPAs that utilize a data system separate from IMS to ensure that their benefits data could be recorded as TER data when it is transferred to EEOC's IMS.

Based on TER data captured in IMS by the reporting FEPAs, the agency determined that the baseline percentage of merit factor resolutions containing TER for FY 2013 was 14 percent. In addition, the agency developed a range of future targets for TER through FY 2016 to include: an increase in FEPA resolutions with TER to 13%-15% in FY 2014; 14%-16% in FY 2015; and 15%-17% in FY 2016. (Baseline percentages established under Performance Measure 7 for FEPAs are different from Performance Measure 6 for EEOC because the charge processing systems among the numerous FEPAs with whom the EEOC have work-sharing agreements do not uniformly match the EEOC's charge processing system. This distinction was articulated and discussed in depth during the FY 2012 EEOC-FEPA Conference. In particular, FEPA representatives noted that because of their different charge processing systems the measure of TER should include those cases resolved at any stage during their charge process and not only for those cases where reasonable cause had been found. Consequently, the data collected from the FEPAs considers merit factor resolutions that includes successful conciliations (resulting from the parties agreeing to settlement after the agency has found a violation), negotiated settlements (obtained prior to the agency's reaching a final determination), and those settlements resulting from mutual agreement between the parties and the Charging Party to request a withdrawal of the charge in lieu of receiving a final determination on the merits of the charge.

STRATEGIC OBJECTIVE II:
Prevent employment discrimination through education and outreach.

In FY 2013, we continued our robust outreach program to meet the needs of diverse audiences across the Nation. The EEOC partnered with the employer community, colleges and universities, advocacy groups, immigrant and farm worker communities, governmental entities, and other stakeholders to foster strategies to recognize and prevent discrimination in the workplace.

Under Strategic Objective II of the Plan, the agency established the following outcome goals: 1) members of the public understand and know how to exercise their right to employment free of discrimination; and 2) employers, unions, and employment agencies (covered entities) better address and resolve EEO issues, thereby creating more inclusive workplaces.

The three strategies for achieving the goals of Strategic Objective II can be summarized as follows:

  • Target outreach to vulnerable workers and underserved communities;
  • Target outreach to small and new businesses; and
  • Provide up-to-date and accessible guidance on the requirements of employment antidiscrimination laws.

Performance Measures 8 through 11 were developed to track our progress in pursuing these strategies.

Vulnerable and Underserved Communities

Performance Measure 8: By FY 2016, the EEOC is maintaining TBD significant partnerships with organizations that represent vulnerable workers and/or underserved communities.

FY 2013

TARGET

The number of significant partnerships with organizations that represent vulnerable workers and/or underserved communities increases by 10%, nationally, or to 99.

RESULT

Guidance was issued to District Offices including approaches to identifying partners and activities, and reporting on results.

The number of significant partnerships increased to 102.

Target Exceeded

Target Exceeded

Performance Measures 8 and 9 focus on rewarding and encouraging interactive and sustained partnerships with community organizations and businesses that are in the communities we are trying to reach. For these two measures, the agency defined "significant partnerships" as an interactive and sustained relationship with an organization, community group, advocacy group, etc., that represents or serves vulnerable or underserved communities and enhances EEOC's ability to reach those communities.

The baseline established in FY 2012 identified approximately 90 significant partnerships within the vulnerable worker and underserved communities for Performance Measure 8. The FY 2013 target for this measure was to increase the number of significant partnerships with organizations that represent vulnerable workers and/or underserved communities by 10 percent, nationally over the 2012 baseline, or to 99 total partnerships. In January 2013, the agency scheduled individual discussions with each office planning to increase their partnership representation in 2013. Discussions held during January and February 2013 with district directors and program analysts provided guidance on how to maximize outreach efforts and partnership development strategies within the vulnerable worker and/or underserved communities that EEOC supports.

Throughout the fiscal year, the agency used monthly outreach submissions from each district, as well as district descriptions of their relationships with various organizations, to make two key assessments. First, whether the partnerships that were used to create the baseline, were still viable under the Plan-determining whether outreach events, training, planning sessions or other activities occurred during FY 2013 to warrant keeping baseline partnerships on the list or whether certain partnerships should be removed. (During the year, there were four instances where baseline partnerships were removed due to circumstances not within the control of the EEOC. However, in each instance, other partnerships that met the "significant" definition were added; keeping the baseline number intact.) Second, whether the submissions from the districts with newly added organizations met the "significant" threshold in FY 2013 for purposes of this measure. As a result, the number of partnerships increased by 12 (or 13 percent), making the current total number of significant partnerships 102 for FY 2013.

Small and New Businesses

Performance Measure 9: By FY 2016, the EEOC is maintaining TBD significant partnerships with organizations that represent small or new business (or with businesses directly).

FY 2013

TARGET

The number of significant partnerships with organizations that represent small or new businesses (or with businesses directly) increases by 10%, nationally, or to 78.

RESULT

Guidance was issued to District Offices including approaches to identifying partners and activities, and reporting on results.

The number of significant partnerships increased to 81.

Target Exceeded

Target Exceeded

In FY 2012, the agency established a baseline of approximately 71 significant partnerships with organizations that represent small and new businesses (or with businesses directly), which contributes to the agency's objective of preventing employment discrimination through education and outreach to employers, The FY 2013 target for this measure was to increase the number of significant partnerships with organizations that represent small or new business communities (or with businesses directly) by 10 percent, nationally over the 2012 baseline, or to 78 total partnerships. Concurrent with the January 2013 notification issued by the agency for the previous measure, discussions were also held in January and February 2013 with district directors and program analysts on how to maximize outreach efforts and partnership development strategies within the small and new business communities. Guidance was issued to District Offices that included approaches for identifying potential partners and outreach activities, as well as methods for reporting results for both Performance Measures 8 and 9.

Throughout the fiscal year, the agency employed the same methodology for assessing whether: 1) the baseline partnerships were still viable; and 2) the new partnerships were considered "significant" for purposes of this measure, as were applied to Performance Measure 8, above. As a result, the number of partnerships increased by 10 (or 14 percent), making the current total number of significant partnerships 81 for FY 2013.

Social Media Plan

Performance Measure 10: By FY 2013, the EEOC implements a social media plan.

FY 2013

TARGET

Implement the social media plan.

RESULT

Began implementing the social media plan.

Partially Met

Target Partially Met

* Partially Met Target(s) Partially Met: A rating assigned to target results where (1) at least half of the activities targeted for completion were completed, or (2) EEOC was unable to assess the results because full year data was not yet available.

Performance Measure 10 ensures that the agency moves into the 21st century through the utilization of social media technologies to reach the EEOC's customers.

The social media plan will build upon existing efforts to make the content on the agency's Web site more accessible and user-friendly. It will foster better use of the internet and other technology in the private and state and local government sectors and the federal sector charge processes. It will use multiple forms of social media platforms and educational content appropriate for each platform, with the goal of informing users about their rights and responsibilities under the laws the agency enforces. Ideally, the plan will drive our customers to the agency's Web site for more information. It will also ensure that the agency's social media strategies are consistent with the Strategic Enforcement Plan and other administrative priorities and appropriate directives.

The FY 2013 target for Performance Measure 10 was to implement the agency's social media plan, including the adoption of the agency's social media guidelines and instituting a YouTube channel (YouTube.com/theeeoc) that is regularly updated. Twitter accounts were institutionalized in both Spanish and English that have reached 2,760 Twitter followers of @EEOCNews and where the EEOC has transmitted 1,638 tweets. As of January 2013, the agency started a new Spanish-language Twitter feed @EEOCespanol, which now has 164 followers, and the EEOC has transmitted 1,605 tweets. In addition, the agency began implementing the social media guidelines, first by piloting them internally to determine how they would operate and what rules would need to be adjusted/developed based on EEOC's use. It was determined during the pilot phase, for example, that the agency needed to develop submission guidelines for the YouTube channel to ensure consistency and transparency in the decision-making process governing what content to post.

The EEOC is currently developing the agency's Communications and Outreach Plan, as identified in the Strategic Enforcement Plan, which will incorporate the agency's social media policy and the mechanism for its implementation. Further research is being conducted to assess what social media accounts are currently used by EEOC's program offices and how best to use social media to advance the agency's legislative work (i.e., how to expand our digital reach). Finally, the agency convened the Communications Content Committee (C3), a group of key program offices to help strategically manage and develop content for the EEOC web site that can be subsequently used for any social media platform developed by the agency.

Sub-Regulatory Guidance Review and Revision

Performance Measure 11: The EEOC reviews, updates, and/or augments with plain language materials its sub-regulatory guidance, as necessary.

FY 2013

TARGET

Consistent with Commission priorities, submit at least two plain language revisions of substantive policy documents to replace at least two other outdated guidance documents.

RESULT

Twelve documents were submitted to the Office of the Chair for consideration.

Target Exceeded

Target Exceeded

* Partially Met Target(s) Partially Met: A rating assigned to target results where (1) at least half of the activities targeted for completion were completed, or (2) EEOC was unable to assess the results because full year data was not yet available.

Performance Measure 11 ensures that the EEOC's sub-regulatory guidance and documents are reviewed and that, where necessary, they are updated and accompanied by plain language text. The agency's enforcement work in the private sector, its adjudicatory and oversight work in the federal sector, and its outreach and education work all depend on the availability of up-to-date and accessible materials explaining the laws it enforces and how to comply with those laws. While the regulations the EEOC issues set the basic legal framework for the implementation of those laws, sub-regulatory materials, including the EEOC Compliance Manual, provide more tangible assistance to those with rights and responsibilities under such laws.

During the fiscal year, the agency exceeded that target for performance under this measure by submitting 12 documents to the Office of the Chair (OCH) for review and consideration. On October 12, 2013, the Commission issued "The Application of Title VII and the ADA to Applicants or Employees who Experience Domestic or Dating Violence, Sexual Assault, or Stalking," to address how Title VII and the ADA may apply to employees. A draft technical assistance document on Online Recruitment and Screening was submitted to OCH on January 18, 2013. Two documents on Reasonable Accommodations for Employees with Mental Health Conditions (for providers and individuals) were submitted for consideration to OCH and the provider document, "The Mental Health Provider's Role in Client's Request for a Reasonable Accommodation at Work," was issued on May 1, 2013.

Four revisions to the American with Disabilities Act (ADA) Questions and Answers Series were issued on May 15, 2013. Two final rules: 1) The Availability of [FOIA] Records was issued on June 19, 2013, and 2) Correcting Procedural Regulations, was issued on September 6, 2013. Finally, two technical assistance documents on background checks-developed jointly with the Federal Trade Commission were submitted for review and both documents have been approved for issuance by both agencies. In all, 12 substantive policy and/or sub-regulatory documents were submitted to OCH in FY 2013-a substantial increase over the annual goal.

STRATEGIC OBJECTIVE III: Deliver Excellent and Consistent Service through a Skilled and Diverse Workforce and Effective Systems.

The intent of this objective is to ensure that the EEOC delivers excellent and consistent service through its efforts to support a skilled workforce while deploying effective systems-many of which service the public directly. Effective customer service and operating systems can positively influence the general public's understanding of the Commission's ability to address their employment discrimination concerns in the workplace. As a result, this measure was designed to focus on issues regarding staff and infrastructure, which are mission critical components of any successful organization.

The ultimate benefit is that all interactions with the public are timely, of high quality, and informative. As noted in Strategic Objective I, it is a significant agency priority to enhance the timeliness and ensure the continued quality of enforcement activities in the private, state and local government, and federal sectors. However, the EEOC must also invest in the people who carry out the agency's mission on a daily basis. To meet the evolving needs of the modern workplace and any changes in EEO law interpretation, it is necessary to invest adequately in workforce development and planning. Because all employees benefit with a diverse workforce in federal government, the EEOC must serve not only as an example to other private, state and local government, and federal employers, but should reflect the populations it serves. Finally, to improve the agency's customer service, the EEOC must ensure the effectiveness of its systems by leveraging technology to streamline, standardize, and expedite its critical functions.

To these ends, the Commission developed three strategies for achieving Strategic Objective III:

  • Effectively engage in workforce development and planning, including identifying, cultivating, and sustaining a skilled and diverse workforce;
  • Rigorously and consistently implement charge and case management systems to deliver excellent and consistent service; and
  • Use innovative technology to facilitate responsive interactions and streamline agency processes.

For this Objective, EEOC has adopted Performance Measures 12 and 13 to support and monitor the agency's progress toward our FY 2016 targets.

Workforce Quality, Diversity, and Skills

Performance Measure 12: The EEOC strengthens the skills and improves the diversity of its workforce.


FY 2013

TARGET (a)

Number of employees with disabilities.

413

RESULT


332

Target Not Met

Target Not Met



FY 2013

TARGET (b)

Number of employees with targeted disabilities.

90

RESULT


56

Target Not Met

Target Not Met



FY 2013

TARGET (c)

Percentage of hires made within 78 days.

50%

RESULT


52%

Target Exceeded

Target Exceeded

Partially Met

Overall Targets Partially Met*

* Partially Met Target(s) Partially Met: A rating assigned to target results where (1) at least half of the activities targeted for completion were completed, or (2) EEOC was unable to assess the results because full year data was not yet available.

The FY 2013 target for Performance Measure 12, Subpart (a) was to increase the number of persons hired with disabilities by 20 percent of EEOC's workforce over 5 years, or at least 29 disabled employees each year over the FY 2012 target of 384 employees with disabilities to 413 total. Successful performance under Subpart (b) was to increase the number of employees with targeted disabilities by 5 percent, or at least 11 individuals each year over the FY 2012 target of 79 employees with targeted disabilities to 90 total. And finally, Subpart (c) required the agency to improve and streamline the hiring process to increase the percentage of hires made within 78 days to 50 percent of all hires made in FY 2013.

In FY 2013, the agency only partially met its targets for Performance Measure 12. Overall hiring and recruitment during the year was affected by a continuing hiring freeze, which impacted the agency's ability to increase the number of employees hired with disabilities or targeted disabilities under Subparts (a) and (b). In fact, 28 persons with disabilities separated from the agency during this performance period. The limited hiring factor and correlating numbers of retirements of employees with disabilities in FY 2013 resulted in a decrease in the number of employees with disabilities and targeted disabilities hired since the establishment of the FY 2011 baselines for both employee groups. However, the agency has exceeded its FY 2013 target of 50 percent of employees hired under Subpart (c), by increasing the percentage of hires made within 78 days to 52 percent of timely hires made in FY 2013.

Due to the limited number of external hires that were authorized in FY 2013, meeting the targeted outcomes continues to be a challenge. Nevertheless, the Disability Program Manager will continue to work to encourage hiring officials to select employees with disabilities as the agency begins the hiring process in the new fiscal year, and to manage the Schedule A applicants who are referred to the agency through the Office of Personnel Management's (OPM) Selective Placement Coordinators website advertisements.

The Human Capital Goals for FY 2013, as identified in the agency's Human Capital Management Report submitted to OPM in February 2013 were:

  1. Workforce planning - enhance the EEOC's ability to plan further into the future and better integrate FTE's, budget, and workload metrics into the planning process.
  2. Performance management - redesign the current non-SES performance management program to foster a high performance culture, encourage clear expectations and continuous feedback; differentiate high, satisfactory and poor performers in a clear and meaningful way and align employee performance with the agency's Strategic Plan, including the Quality Control Plan.
  3. Diverse and Inclusive Workforce - enhance the agency's ability to attract, hire, and retain highly skilled and highly motivated staff.

In FY 2013, the Workforce Planning Workgroup implemented the agency's workforce plan goals by utilizing workforce data to assist leadership in human resources decision making, closing competency gaps, and projecting future human capital needs of the agency.

In the area of performance management, the EEOC has hired an experienced consultant to facilitate the development of performance plans and standards in FY 2014, and purchased a talent management tool for supervisors and their employees to use as a platform to implement and operate the performance management system. During FY 2013, competencies for support positions in the agency's mission-critical occupations were identified. As the new system is developed, additional competencies will be established in FY 2014 for the remaining positions within the agency. The new system will also serve as a tool for supervisors and employees to use in closing competency gaps. The long-term goal is to create a performance culture that helps the EEOC become a high performing agency.

By leveraging diversity and promoting inclusion, the EEOC moves closer to achieving its mission of "stopping and remedying unlawful employment discrimination" and the vision of "justice and equality in the workplace." In compliance with Executive Order 13583, "Establishing a Coordinated Government-wide Initiative to Promote Diversity and Inclusion in the Federal Workforce," the EEOC developed a Diversity and Inclusion Strategic Plan (the "D&I Strategic Plan") and a policy statement, which were issued agency wide in the second quarter of FY 2013. To help implement the action items in the D&I Strategic Plan, the EEOC convened a Diversity and Inclusion Council. Several Headquarters' offices worked jointly on the Diversity & Inclusion Work plan that, along with the Diversity Council Charter, will guide the work of the Council. These efforts are expected to continue through at least FY 2014. In addition, the EEOC committed funds to provide training for the Council and the agency employees during the third and fourth quarters of FY 2013.

The agency will continue to work with OPM and the Office of Management and Budget in implementing Executive Order 13583, including reviewing executive agency plans and working to reconcile the Presidential Administration's diversity and inclusion efforts with the EEOC's Management Directive 715 requirements. (See Management Directive 715, Equal Employment Opportunity Commission (Oct. 2003), http://www.eeoc.gov/federal/directives/md715.cfm).

Charge Process Responsiveness

Performance Measure 13: The EEOC improves the private sector charge process to streamline services and increase responsiveness to customers throughout the process.

FY 2013

TARGET

Develop, pilot and implement new processes and technology in a phased and iterative manner, ensuring appropriate guidance, documentation and staff training.

RESULT

The EEOC developed several new processes and previewed new technology for the Online Intake and Milestones Projects. Project pilots have been delayed until FY 2014.

Partially Met

Target Partially Met*

* Partially Met Target(s) Partially Met: A rating assigned to target results where (1) at least half of the activities targeted for completion were completed, or (2) EEOC was unable to assess the results because full year data was not yet available.

Performance Measure 13 requires the agency to leverage technology to improve the private and state and local government sectors charge process, including streamlining services and increasing responsiveness to customers throughout the process. Included among these initiatives are: 1) developing an on-line system that will allow potential charging parties to submit a pre-charge inquiry for review; 2) providing on-line scheduling of appointments for intake interviews (via on-site meetings, web cams, and/or teleconference); 3) providing charging parties on-line access to check the status of their charge; and 4) streamlining the intake process through automated workflow and data analysis. These technology developments are referred to as the Online Intake Redesign and e-Charge Milestones Status Projects. A fifth initiative, which will in future years be applied to the private and state and local sectors, will establish a secure portal for electronic transmittal and the receipt of charge-related documents.

For FY 2013, the target for this measure was to develop, pilot, and implement the new online intake and milestone systems, processes, and technology proposed for development in FY 2012, including any provisions for guidance, documentation and staff training. Although the Online Intake and Milestones Workgroups spent significant time and effort to reach this target, budgetary constraints limited funds available to fully meet the 2013 targets for Performance Measure 13. Nonetheless, the Workgroups continued to the point where the acquisition of developers was necessary to move the project forward. To that end, the Workgroups achieved the following.

Online Intake: During the first quarter of 2013, the workgroup continued its discussion of the Online Inquiry User Stories; focusing on "spikes," which identify stories where additional information is needed before "acceptance criteria" can be developed. The team also identified "epic user stories," those that need to be broken down into more concise requirements before acceptance criteria can be drafted. The team spent significant time crafting the acceptance criteria for the Informational Self-Screening User Stories, as well as classifying and categorizing the user stories based on anticipated customer satisfaction.

Another level of development created a Process Flow for the acceptance criteria. The Process Flow Chart places each aspect of the Informational Self-Screening Component in a particular order to provide essential information on EEOC's jurisdiction to the potential charging party as early as possible. This process flow enables potential charging parties to understand whether their claims are within EEOC's jurisdiction and quickly choose whether to continue. The flow chart also refines the acceptance criteria and helps assess whether each feature will deliver as intended. Finally, the Work- group focused on the "Scheduling an Intake Interview Online" component of the project, beginning with the acceptance criteria. The team reviewed the draft "functional" requirements, which describe the specific functions needed for the system to operate as planned.

Milestones Project: The Milestones Workgroup completed the User Stories, Kano Analyses and Prioritization needed to launch the design phase through the Agile Sprints, along with key User Acceptance Criteria. The Milestone Workgroup jointly participated in the i-Class session with the Online Intake Group on the application of the Agile methodology that is being used to manage this process. Further developments by this Workgroup were contingent upon funding for Agile contract developers, which were requested and approved by the Commission in the fourth quarter of FY 2013. The funding approval for technology support for Performance Measure 13 included the acquisition of a web-based online scheduling tool and associated professional services, as well as the acquisition of a web-based portal, application, and associated professional services.

Budgetary Resource Alignment

Performance Measure 14: The EEOC's budgetary resources for FY 2014-2017 align with the Strategic Plan.

FY 2013

TARGET

Prepare EEOC's FY 2015 Performance (OMB) Budget that aligns resources with the Strategic Plan.

Prepare EEOC's FY 2014 Congressional Budget.

RESULT

The FY 2014 CBJ was timely submitted to Congress on April 10, 2013.

In addition, the FY 2015 Performance Budget was aligned with the agency's Strategic Plan and was submitted to OMB on September 6, 2013

Target Met

Target Met

As a fundamental objective, budgets should adequately fund priority programs, grow such programs to reflect the agency's priorities, and protect against diminution when budgets are reduced. Under the Chair's direction, annual budget submissions from each program office were scrutinized to ensure that agency resources would implement the strategies and goals of the Commission.

The FY 2013 target for Performance Measure 14 was to prepare EEOC's Fiscal Year 2014 Congressional Budget Justification (CBJ) and EEOC's Fiscal Year 2015 Performance (OMB) Budget that aligns with the agency's Strategic Plan for Fiscal Years 2012-2016. As part of the annual budget formulation cycle, EEOC's Fiscal Year 2014 CBJ was timely submitted to Congress on April 10, 2013. The Fiscal Year 2015 Performance Budget was completed and timely submitted to OMB in advance of the deadline on September 6, 2013.

Related Program Results and Activities

Serving the Public More Efficiently

Managing Charge Inventory

In concert with the goals established in the Strategic Plan is the need to serve the public efficiently. Managing the agency's charge inventory is part of that obligation. In FY 2010, Chair Jacqueline Berrien initiated a multi-year approach of sustained management attention to reverse the growth of the private sector charge inventory. As a result, the EEOC reduced its private sector inventory by nearly 20 percent from FY 2010 through FY 2012-the first decreases in nearly a decade.

Despite the impact of sequestration and limited resources, the EEOC was able to keep the increase to the private sector inventory to 469 charges. In FY 2013, the EEOC received 93,727 charges. This is approximately a 6,000 charge decrease from the prior three fiscal years; however it is still one of the top five fiscal years in terms of receipts. In addition, a total of 97,252 charges were resolved in FY 2013, a drop of nearly 14,000. While this is a significant decrease in resolutions, it is also a remarkable achievement given the decline in staffing and resources the agency faced in FY 2013.

The average processing time to resolve charges dropped by 21 days to 267 days. By improving the timeliness of charge resolution and the EEOC's customer service efforts, these results better position the agency for FY 2014. However, further gains may be tempered by the continuing hiring freeze and repercussions from the Government shutdown.

Charge Receipts FY 2006 to FY 2013

Improving the Private Sector Charge Process

As part of the President's Open Government initiative and consistent with the Strategic Plan for Fiscal Years 2012-2016, the agency is implementing a charge processing milestone project to provide parties with an on-line tool for determining the status of their charge, while reducing the number of calls and related administrative/investigative time spent on responding to these types of calls and emails. Additionally, the agency, through an intake technology streamlining plan, is working to create a comprehensive web interface that will aid both investigators and prospective charging parties, as well as improve the process from the first public contact with the agency through the formalization of a charge. This will include on-line scheduling of appointments for intake interviews via on-site meetings, web cams, and teleconference. During FY 2013, EEOC completed requirements and high-level technical designs for these two customer-facing applications; however related acquisitions and development were put on hold due to resource limitations.

Mediation Program is a Win for both Employees and Employers

The EEOC's mediation program has continued to be a very successful part of our enforcement operations and is an integral part of the agency's work pursuant to the Strategic Plan. In FY 2013, the EEOC's private sector national mediation program secured a total of 8,890 mediated resolutions out of a total of 11,513 conducted. The EEOC obtained more than $160.9 million in monetary benefits for complainants through mediation resolutions, which was the second highest level in the agency's mediation program's history.

Participants almost uniformly view the mediation program favorably, with 96.6 percent reporting confidence in the program this year. As a result, the agency continues to focus efforts on increasing the use of the program, where appropriate and consistent with the agency's mission. The agency encourages the employer community to enter into Universal Agreements to Mediate (UAMs). These agreements reflect employers' commitment to participate in mediation. At the conclusion of FY 2013, the agency had secured a cumulative multi-year total of 2,203 UAMs, which is a 3 percent increase from FY 2012.

Efficiently Adjudicating Federal Sector Hearings and Appeals

In the federal sector, the Commission has authority to hold hearings on complaints of discrimination by federal employees and applicants, and to adjudicate appeals of decisions on such claims. In FY 2013, the EEOC secured more than $56.3 million in relief for federal employees and applicants who requested hearings. Additionally, the Commission's hearings program resolved a total of 6,789 complaints, and the number of requests for hearings on federal sector complaints slightly decreased to 7,077 in FY 2013 compared to 7,728 in FY 2012.

The EEOC designed, developed, and implemented the new case management system for federal sector cases as required by Performance Measure 3 of the Strategic Plan. The Federal Sector Strategic Planning Group (FSSPG), comprised of field and headquarters staff from both the Hearings and Appeals functions, drafted a case categorization and management proposal that was approved by the Office of the Chair in FY 2013. In consultation with the Office of Information Technology (OIT), the FSSPG developed the requirements for modifying the federal sector components of the Commission's Integrated Mission System (IMS). With modifications to IMS, the EEOC federal sector staff can identify and track those cases that implicate SEP/FCP priorities, and classify cases to better allocate resources consistent with the Commission's Strategic Plan. EEOC developed guidance and training materials on the case management system so that staff is prepared to categorize appeals beginning at the start of FY 2014.

The Commission also adjudicates appeals of federal agency actions on discrimination complaints, and ensures agency compliance with decisions issued on those appeals. During FY 2013, the EEOC received 4,244 appeals of final agency actions in the federal sector, a 2.4 percent decrease from the 4,350 such appeals received in FY 2012. FY 2013 was the second full year in which the EEOC applied a more balanced approach to the resolution of the newest and oldest appeals. The agency resolved 4,361 appeals, including 47.9 percent of them within 180 days of their receipt. In addition, the Commission resolved 2,320 or 73.3 percent of 3,165 appeals that were already, or would become, 500 or more days old by the end of the fiscal year. As a result of these efforts, the EEOC reduced the pending aged inventory by 5.6 percent (2,988) from FY 2012 (3,165). The agency achieved these results by leveraging technology and successfully managing the appellate inventory.

The EEOC continued its focus on expanding the use of technology to make the federal hearings and appeals process faster and more effective. During FY 2013, the EEOC File Exchange (EFX) system is being used by all Commission Hearings Offices and the Office of Federal Operations, which are receiving Report of Investigations (ROIs) through the EFX portal and agency appellate files. The primary goal of electronic case processing via EFX is to create a paperless case processing system that permits web-based electronic filing and case tracking capability. The EFX system allows parties to submit documents such as ROIs, motions, and responses, through a web-based portal. Similarly, AJs will be able to issue orders and decisions through this portal. Finally, when the system is fully operational, all parties will be able to track the receipt of their submissions and obtain the status of their case via the web-based EFX portal. Phase One of the pilot requires these agencies to submit the ROI through the EFX portal. As of the end of FY 2013, 59 agencies and 89 sub-agencies are submitting files electronically through the EFX system. The number of electronically submitted files increased by 122 percent in FY 2013 from 9,000 files in FY 2012 to over 20,000 in FY 2013, as the user community grew from 300 users to 1,250 users. Phase II of the EFX pilot has been placed on hold due to budgetary constraints and shifting priorities.

Enforcing the Law More Effectively

Historic Monetary Recovery through Administrative Enforcement

In FY 2013, the EEOC secured $372.1 million in monetary benefits through its private sector administrative enforcement activities, the highest level of monetary relief ever obtained by the Commission through more than 17,600 merit factor resolutions. Overall, the agency secured both monetary and non-monetary benefits for more than 70,522 people through administrative enforcement activities-mediation, settlements, conciliations, and withdrawals with benefits. Of particular note was the high number of charges resolved through successful conciliations, with 1,437 in FY 2013, which reflects an emphasis on even closer consultation between the Commission's investigators and attorneys.

Challenging Discrimination in Federal Court

In FY 2013, the EEOC field legal units filed 131 merits lawsuits including 89 individual suits, 21 non-systemic class suits, and 21 systemic suits. "Merits" lawsuits include direct suits and interventions alleging violations of the substantive provisions of the statutes enforced by the Commission and suits to enforce administrative settlements. Of these new filings, 78 contained Title VII claims, 51 contained Americans with Disability Act (ADA) claims, 7 contained Age Discrimination in Employment Act (ADEA) claims, 5 contained Equal Pay Act (EPA) claims, and 3 contained Genetic Information Non-Discrimination Act (GINA) claims. (The total number of merits lawsuits is less than the sum of the suits based on each individual statute because some suits are filed under multiple statutes.) The Commission also filed 17 subpoena enforcement and other actions. At the end of FY 2013, the EEOC had 231 cases on its active district court docket, of which 46 (20 percent) were non-systemic class cases and 54 (23.4 percent) involved challenges to systemic discrimination.

In addition to these new suit filings, the EEOC's legal staff resolved 209 merits lawsuits in the federal district courts for a total monetary recovery of $39 million. Of these resolutions, 135 contained Title VII claims, 59 contained ADA claims, 16 contained ADEA, 4 contained EPA claims, and 1 contained GINA claims. The Commission also resolved 13 subpoena enforcement and other actions during the fiscal year. In terms of dollars recovered in merits lawsuits by statute, the EEOC recovered $22 million in Title VII resolutions, $2.1 million in ADEA resolutions, $14 million in ADA resolutions, $235,000 in EPA resolutions, and $244,088 in resolutions involving more than one statute. The EEOC achieved a favorable resolution in approximately 90 percent of all district court resolutions. A total of 8,026 individuals received relief as a direct result of EEOC lawsuit resolutions in FY 2013.

The EEOC took 13 cases to trial in 2013, including 11 jury trials and two bench trials. With respect to the jury trials, the EEOC prevailed in nine of them, resolved one by consent decree during trial, and lost one. The EEOC lost one bench trial, and another case is still pending following a bench trial. Below is a description of some notable trial results:

In EEOC v. Hill Country Farms, the EEOC obtained the largest award ever under the ADA and the largest award in the history of the EEOC - $240 million for the class of intellectually disabled men. The EEOC alleged that a food processing plant in Iowa subjected a group of 32 intellectually disabled workers to a hostile work environment, discriminatory pay, and other discriminatory terms of employment for many years. Specifically, the company paid the men only $65 a month for full-time work, subjected them to abusive verbal and physical harassment, restricted their freedom of movement, required them to live in deplorable and sub-standard living conditions, and failed to provide adequate medical care. In September 2012, the court entered partial judgment for the EEOC and ordered the company to pay 32 class members $1.3 million in back pay for work they performed between 2007 and 2009. In May 2013, a jury returned a verdict of $240 million for the class (reduced by the court to $1.6 million because of the ADA's damages cap). Ultimately, the court ordered payment of $3.4 million for 32 class members.

In EEOC v. A.C. Widenhouse, a jury concluded that a trucking company in North Carolina subjected African American truck drivers to pervasive racial harassment and awarded $200,000 in damages to two employees (reduced by the court to $100,000 because of Title VII's damages cap). The court awarded an additional $88,509 in back pay, and also ordered the company to expunge its personnel files, implement a new written antidiscrimination policy, conduct annual race discrimination training, post an employee notice of resolution of the suit, and report to the EEOC on future complaints of racial harassment.

In EEOC v. New Breed Logistics, a jury awarded $1.4 million in back pay and damages and found for four women subjected to sexual harassment and then fired (along with a male employee) in retaliation for complaining about the harassment.

In EEOC v. Exel Logistics, the EEOC successfully challenged a company's failure to promote a woman to a supervisory position at its warehouse because of her sex. After a four day trial, the jury returned a verdict of $500,000 in compensatory and punitive damages (reduced by the court to $300,000 because of Title VII's damages cap).

In EEOC v. Western Trading, a jury agreed with the EEOC, concluding that an Army-Navy surplus store in Colorado unlawfully fired an employee because of his seizure disorder. Despite receiving three separate work releases from his doctors, the company refused to allow the employee to return to work. The jury awarded $109,000 in back pay and damages.

In addition to securing extensive relief for thousands of individuals at the district court level, the EEOC advanced the development of the law with its appellate litigation. For example, in EEOC v. Boh Bros. Construction, the Fifth Circuit, sitting en banc, reinstated a favorable jury verdict in this same sex harassment suit. Reversing a panel decision, the en banc court held that a plaintiff in a same sex harassment case can demonstrate that the harassment was because of sex by showing that it was motivated by the harasser's subjective perception that the victim failed to conform to gender stereotypes. The court further held that the Commission had amassed sufficient evidence to sustain the jury's verdict.

In EEOC v. Cintas, the Sixth Circuit rejected the district court's determination that the EEOC may not pursue a claim under the Teamsters pattern-or-practice framework pursuant to its authority under section 706 of Title VII. The court also reaffirmed that a plaintiff is not required to plead in its complaint the evidentiary proof framework it intends to use and held that the EEOC fulfilled its investigation and conciliation obligations by providing notice to Cintas that it was investigating and seeking to conciliate class-wide instances of discrimination. The Supreme Court declined to review the Sixth Circuit's opinion.

In EEOC v. Houston Funding, the Fifth Circuit held (in the first published appellate decision directly deciding this issue) that discrimination against a woman because she was lactating or expressing milk states a cognizable Title VII sex claim. The Court reasoned that "[a]n adverse employment action motivated by these factors" is discrimination based on sex because it "clearly imposes upon women a burden that male employees need not-indeed, could not-suffer." In addition, the Fifth Circuit held that firing a woman on this basis also violates the specific statutory prohibition in the Pregnancy Discrimination Act.

At the end of FY 2013, the EEOC was handling 37 appeals in EEOC enforcement actions and participating in 17 appeals in private suits as amicus curiae.

Maximizing Impact through Systemic Enforcement

As the nation's leading law enforcer of federal laws prohibiting employment discrimination, the agency places a high priority on pursuing systemic enforcement, pattern or practice, policy, and/or class investigations, and litigation where the alleged discrimination has a broad impact on an industry, profession, company, or geographic area. While systemic cases are highly complex and resource-intensive, these cases typically impact a large number of employees or job seekers directly and can benefit untold numbers of workers and employers indirectly through public awareness and changes in company policies and industry standards. As a result, in its Strategic Plan for Fiscal Years 2012-2016, the Commission reiterated the importance of systemic enforcement program as a top agency priority. In FY 2013, the Commission again declared its commitment to combating systemic discrimination in its new Strategic Enforcement Plan, particularly with respect to barriers to recruitment and hiring, discriminatory policies that affect vulnerable workers, discriminatory pay practices, retaliatory practices and policies, and systemic harassment.

Each year since embarking on the systemic program, the Commission has expanded its use of technology to improve its capacity to identify systemic violations and to manage systemic investigations and litigation. In FY 2013, the agency rolled out the Systemic Watch List, a software application that helps coordinate the investigation of multiple charges filed against the same employer involving similar issues. When a new charge is filed that matches another ongoing investigation or lawsuit, the program issues an automatic alert to staff working on the case, facilitating collaboration across EEOC field offices and avoiding duplication of efforts.

The agency has also expanded its use of webinars to provide training on systemic investigations and litigation, including use of technology to facilitate systemic work. These technology initiatives have proven to be effective, low-cost methods of achieving the EEOC's goal of better integrating enforcement functions, as set out in the agency's Strategic Enforcement Plan.

In the litigation context, the EEOC has continued its expansion of the CaseWorks system, which provides a central shared source of litigation support tools that facilitate the collection and review of electronic discovery and enable collaboration in the development of cases for litigation. In this past year alone, the EEOC increased by 150 percent the storage capacity of CaseWorks, which now hosts over 30 million pages of electronic documents.

Systemic Investigations

Despite limited resources available to carry out its enforcement work, the Commission continued to achieve a high level of results in its systemic investigations. In FY 2013, the EEOC resolved 300 systemic investigations. Twenty one percent (or 63) of those investigations were resolved through the EEOC's conciliation process, which affords employers an opportunity to come into compliance with the anti-discrimination laws without an EEOC lawsuit being filed. In cases where the EEOC's systemic investigation was hampered by a respondent's failure to comply with requests for relevant evidence, the EEOC continued its practice of relying on its subpoena authority and, where necessary, application to the federal courts to enforce subpoenas. In all, over $40 million in relief was secured through the Commission's systemic investigative work for more than 8,300 individuals. A number of key systemic resolutions brought about in FY 2013 are listed below:

  • The EEOC successfully resolved two major systemic investigations of staffing agencies through its conciliation process after issuing findings of discrimination against the firms. In the first, the EEOC found that a staffing agency engaged in a pattern or practice of classifying and failing to refer job applicants based on their race, color, sex, national origin, age or disability. Under the agreement, the company agreed to pay $920,000 to individuals affected by the discriminatory practice, and to alter its practices to ensure future compliance with the anti-discrimination laws. In the second, the EEOC reached a successful conciliation agreement with a staffing firm after finding that the staffing agency refused to hire, refer and assign individuals for jobs based on race, sex, disability, and in retaliation for engaging in activity protected under the anti-discrimination statutes. Terms of the conciliation agreement included $400,000 in back pay to class members; job placement for persons who had not been referred prior to the EEOC's findings; resume assistance to class members; changes in the staffing firm's practices and procedures; training for employees; and monitoring by the EEOC of the company's employment actions for the duration of the agreement.
  • After a finding that a food production company discriminated against a class of African Americans through its recruitment and hiring practices, a successful conciliation agreement was reached with the company. Under the agreement, the company will pay over $900,000 to persons denied work because of their race, and institute non-discriminatory recruitment and hiring practices.
  • A nationwide systemic investigation of a major retail establishment was successfully resolved by a conciliation agreement when the employer agreed to pay $2.3 million to a class of 76 individuals whom the EEOC found were denied reasonable accommodation under the ADA. Under the agreement, the employer has also agreed to make significant changes to its reasonable accommodation policies and practices nationwide; to conduct issue specific training for employees on the ADA and reasonable accommodations; and to provide reports to the EEOC so that its compliance with the ADA can be monitored over the three-year period of the agreement.
  • The EEOC reached a conciliation agreement with an employer that will provide $21.3 million to a class of African Americans subjected to racial discrimination. The agreement followed findings by the EEOC that the employer had engaged in a range of racially discriminatory practices, including harassment, denial of promotions, and unfavorable job assignments. The agreement stems from a systemic investigation launched after 78 charges were filed with the EEOC, and will provide relief to over 200 individuals. The Conciliation Agreement mandates that the employer establish a personnel system that will ensure posting of future vacancies and promotional opportunities, and the implementation of a new HR database system to track applicant data. The Agreement also requires that the company appoint an EEO Coordinator to oversee the creation and distribution of new anti-discrimination policies, ensure that any future discrimination complaints be properly investigated internally, and to conduct EEOC-approved training to all management and staff members.
  • The Commission continued its enforcement efforts to address employer policies requiring background screening that do not comport with federal anti-discrimination law and EEOC policy. Several of these systemic investigations were resolved after the EEOC found that the employer's background check policy discriminated against African Americans, and led to conciliation agreements under which the employers agreed to modify their respective screening policies. Conciliation agreements were reached with a nationwide trucking firm, a major U.S. fast food chain, and a car service chain with multiple facilities.
  • The Commission resolved two systemic sexual harassment cases after issuing findings of discrimination, each resulting in monetary relief of $1 million or more. In the first case, the EEOC found that an employer had subjected female employees to widespread sexual harassment. The company agreed to pay over $1 million to a class of at least 22 women who faced harassment. Additionally, the company agreed to major operational changes, including installing a human resources staff member at the worksite, training of its employees, and monitoring by the EEOC over the five- year term of the agreement.

    In the second, the EEOC successfully conciliated a systemic investigation after it determined that a class of females was subjected to sexual harassment. The conciliation agreement included $1 million in damages for four persons who had filed charges with the Commission and approximately 25 additional class members, issue-specific training for employees on preventing sexual harassment in the workplace, procedural/practice changes in how the employer responds to complaints of sexual harassment, and the EEOC's monitoring of Respondent's compliance with federal laws prohibiting sexual harassment.

Systemic Litigation

When the agency makes a finding of systemic discrimination and efforts to secure voluntary compliance fail, the agency may choose to file suit to enforce the law. In FY 2013, the Commission filed 21 systemic lawsuits. These new suits challenge a variety of types of systemic discrimination, including challenges to patterns or practices of refusing to hire applicants based on race or sex, criminal record policies that disproportionately screen out African American applicants, pre-offer medical inquiry and examination policies that violate the ADA or GINA, reductions in force that target older employees, and unequal pay practices.

Systemic suits comprised 16 percent of all merits suits filed in FY 2013. At the end of FY 2013, a total of 54 cases on the active docket were systemic cases, accounting for 23.4 percent of all active merits suits. This is the largest proportion of systemic suits on the Commission's active docket since tracking began in FY 2006. Based on the volume of systemic charges currently in investigation, the quantity of systemic lawsuits and their representation on the total docket is expected to remain high or steadily increase. Under the EEOC's strategic plan, the agency projects an active systemic docket of 22-24 percent of all pending lawsuits by FY 2016.

This past year, the EEOC resolved 29 systemic cases, 7 of which included at least 50 victims of discrimination and 14 of which included at least 20 victims of discrimination. Below is a sampling of significant outcomes of systemic discrimination lawsuits in FY 2013:

In EEOC v. Burger King/Carrols Corp., the EEOC succeeded in negotiating a consent decree providing for $2.5 million to 89 women and injunctive relief, after 15 years of litigation. The EEOC alleged that a Burger King franchise with restaurants in 13 states in the Midwest, Northeast and mid-Atlantic subjected a class of female employees, many of them teenagers, to sexual harassment, discriminatory working conditions, and retaliatory terminations for their complaints about the harassment.

In EEOC v. Mesa Systems, the EEOC obtained the largest national origin discrimination resolution in the state of Utah. The EEOC alleged that a manufacturer of communication and power transfer devices in Utah subjected Hispanic and Asian/Pacific Islander warehouse workers to an unlawful restrictive language policy and a hostile work environment which included racist name calling and slurs. In addition, the company fired or reduced the working hours of some employees in retaliation for signing petitions and other complaints to management about the discrimination. The EEOC secured a consent decree providing $450,000 to 18 employees, and creative and meaningful injunctive relief, including rescission of the English only policy, changes to the company's harassment policy, and apology letters to all of the claimants. This monetary resolution is the largest national origin discrimination resolution in the state of Utah.

In EEOC v. Interstate Distributor Company, the EEOC alleged that a trucking company in Colorado maintained a maximum leave policy and a 100 percent restriction-free return to work policy that operated to deny reasonable accommodations to employees with disabilities. After successful pre-suit negotiations, the case was resolved by a consent decree providing $4.9 million to 427 claimants and injunctive relief.

In EEOC v. Presrite, the EEOC alleged that a metal forging company in Ohio failed to hire a class of women into entry- level laborer and operative jobs based on their sex. In addition, the company failed to preserve employment applications. The case was resolved by a consent decree establishing a $700,000 settlement fund and priority consideration for jobs to at least 40 women.

In EEOC v. Hamilton Growers, the EEOC alleged that a farm in Georgia subjected its employees to harassment and discriminatory job assignments based on national origin (American born) and race (African American). A consent decree provides monetary relief for 450 individuals along with hiring goals, the implementation of new harassment policies, the appointment of a compliance officer, training, and employee transportation to the job site.

In EEOC v. Dillard's, the EEOC alleged that the department store's policy requiring employees to disclose personal medical information or face discipline violated the ADA. The case was resolved by a consent decree providing $2 million to more than 6,000 individuals harmed by the policy in California and extensive injunctive relief, including the retention of a consultant to review and modify company policies, management training, and the creation of a new complaint tracking system.

More details about the Systemic Program can be found at http://www.eeoc.gov/eeoc/task_reports/systemic.cfm.

Leadership in Federal Civil Rights Enforcement

Leveraging Inter-Agency Relationships for Strategic Enforcement

Particularly in these fiscally challenging times, the work of the Commission is made more efficient when EEOC coordinates closely with other federal agencies. EEOC has active relationships with a number of federal agencies, the Office of Management and Budget, and the White House. These interagency partnerships provide opportunities to maximize the benefit of each agency's work to the public, to avoid duplication of effort, and ensure the most efficient use of agency resources. In FY 2013, EEOC participated in a number of interagency partnerships, including the White House Initiative on Asian American and Pacific Islanders (WHIAAPI) (www.whitehouse.gov/aapi), the National HIV/AIDS Strategy (www.whitehouse. gov/administration/eop/onap/nhas), the Federal Interagency Reentry Council (http://csgjusticecenter.org/nrrc/projects/firc), the National Equal Pay Enforcement Task Force, (http://www.whitehouse.gov/equal-pay/career), the Tri-Agency (EEOC, Department of Justice, and Department of Labor) Working Group, and the President's Interagency Task Force to Monitor and Combat Human Trafficking (PITF) (http://www.state.gov/j/tip/rls/reports/pitf/index.htm), and the Senior Policy Operating Group (SPOG).

The EEOC has continued to play an active role, for example, in the PITF and SPOG and related government-wide efforts to combat human trafficking. In regular inter-agency meetings, EEOC has reported to the other member agencies on our outreach, enforcement, and litigation addressing forms of human trafficking that may violate the anti-discrimination laws. At the direction of the President and in collaboration with a number of other agencies, during FY 2013, EEOC worked on developing the new Federal Strategic Action Plan on Services for Victims of Human Trafficking (SAP), which is designed to improve coordination of these services across the federal government. In April, the draft SAP was published for a 45-day public comment period and is expected to be finalized in January 2014. EEOC also provided testimony at two hearings of the Inter-American Commission on Human Rights, one on human trafficking in the United States and the other on the rights of migrant farm workers. And EEOC's General Counsel, P. David Lopez, represented the Commission at the May 2013 annual meeting of the PITF.

The EEOC also plays a lead role on the Federal Interagency Reentry Council, which is comprised of 20 federal agencies with a mission to: 1) make communities safer by reducing recidivism and victimization; 2) assist those who return from prison and jail in becoming productive citizens; and 3) save taxpayer dollars by lowering the direct and collateral costs of incarceration. A chief focus of the Reentry Council is to remove federal barriers to successful reentry, so that motivated individuals-who have served their time and paid their debts-are able to compete for a job, attain stable housing, support their children and their families, and contribute to their communities. In particular, the Reentry Council is working to reduce barriers to employment, so that these individuals can compete for appropriate work opportunities.

The EEOC is critical to this effort and is leveraging this relationship to deepen and expand its work to educate employers, job applicants, and workers about the proper use of arrest and conviction records in employment. The EEOC helps coordinate the Council's communication and outreach efforts, participates in the employment-focused reentry subgroup, develops outreach materials (i.e., Federal Interagency Reentry Council "Reentry Mythbuster" on hiring and criminal records: http://csgjusticecenter.org/wp-content/uploads/2012/11/Reentry_Council_Mythbuster_Employment.pdf; Federal Interagency Reentry Council Employment Snapshot: http://csgjusticecenter.org/wp-content/uploads/2013/06/ SnapShot_Employment.pdf), provides external federal agency technical assistance, makes numerous presentations at various outreach events and activities, and provides internal EEOC trainings. The agency is a constant resource for our partner agencies on the applicability of Title VII in this area in both the private and federal sectors. EEOC enforcement and guidance on the use of arrest and conviction records are important models for agency partners, who relying in part on our leadership, technical assistance, guidance and enforcement strategies, are taking steps to ensure their constituent employers, workers, and job applicants are educated about the use of criminal records in the context of the various services provided by their agencies.

The EEOC is exploring further collaboration with these reentry council agency partners on joint trainings, presentations and the development of education materials. To this end, the EEOC serves on the steering committee of the Integrated Reentry and Employment Strategies project, a partnership that includes the Council of State Governments, DOJ, DOL and the Annie E. Casey Foundation, designed to help workforce development officials create integrated strategies to improve reentry outcomes for individuals with criminal records. The EEOC guidance and related materials on the use of arrest and conviction records in employment are part of the electronic toolkit created for this project.

Providing Clarity through Regulations, Enforcement Guidance and Technical Assistance

Issuing regulations and guidance is at the heart of the Commission's role of leading the enforcement of federal employment anti-discrimination laws. Regulations and guidance inform individuals and employers of their legal rights and responsibilities, aid EEOC employees in conducting their work, and serve as references for the courts when resolving novel legal issues.

Substantive Issues: In FY 2013, the agency issued the following regulations, guidance, or technical assistance on substantive issues under the laws enforced by EEOC:

The Application of Title VII and the ADA to Applicants or Employees who Experience Domestic or Dating Violence, Sexual Assault, or Stalking. On October 12, 2012, the Commission issued this technical assistance document to explain how Title VII and the ADA may apply to employment situations involving workers who experience domestic or dating violence, sexual assault, or stalking. The document explains that EEOC-enforced laws do not prohibit discrimination against these workers, but that sex or disability discrimination may become relevant if, for example, an employer relies on sex-based stereotypes when taking an employment action that concerns them. The document also informs workers who may experience employment discrimination on a protected basis about how to file a charge of discrimination. A copy of the document is available on the EEOC website at http://www.eeoc.gov/eeoc/publications/qa_domestic_violence.cfm.

The Mental Health Provider's Role in a Client's Request for a Reasonable Accommodation at Work. Many people with common mental health conditions have a right to a reasonable accommodation at work under the Americans with Disabilities Act (ADA), as amended, and employers often request information from the worker's mental health provider before granting an accommodation request. This technical assistance document was designed to address questions from mental health providers concerning the law on workplace reasonable accommodation and the mental health provider's role in the accommodation process. The document, which was published electronically on May 1, 2013, is available on the EEOC website at http://www.eeoc.gov/eeoc/publications/ada_mental_health_provider.cfm.

Revisions to the Americans with Disabilities Act (ADA) Questions and Answers Series. The EEOC has issued a series of technical assistance documents outlining how the ADA may apply to specific impairments, and the workplace rights of individuals with those impairments. On May 15, 2013, the EEOC issued updates on four of these documents to address how changes in the definition of "disability" as a result of the 2008 Americans with Disabilities Act Amendments Act (ADAAA) may affect who is covered under the ADA. The revised documents include the following:

  • Cancer in the Workplace and the ADA (http://www.eeoc.gov/laws/types/cancer.cfm)
  • Diabetes in the Workplace and the ADA (http://www.eeoc.gov/laws/types/diabetes.cfm)
  • vEpilepsy in the Workplace and the ADA (http://www.eeoc.gov/laws/types/epilepsy.cfm)
  • Persons with Intellectual Disabilities in the Workplace and the ADA (http://www.eeoc.gov/laws/types/intellectual_ disabilities.cfm)

EEOC Procedures: The EEOC Regulations also govern the procedures for how complaints are filed and processed within the EEOC, and how the EEOC otherwise conducts many of its activities. These regulations play the important role of notifying the public of how to pursue their rights with the EEOC, and of ensuring that the agency complies with the laws applicable to government operations generally. The Commission regularly reviews its procedures to improve their efficacy and to ensure compliance with other applicable laws. In FY 2013, the Commission took the following regulatory actions on procedural issues:

Final Rule on Availability of Records. The EEOC must disclose information to the public consistent with the Freedom of Information Act (FOIA). On June 19, 2013, the Commission published a final rule designed to improve EEOC efficiency, reduce delays for the public, conform the regulation to the 2007 FOIA amendments in the OPEN Government Act, and implement multi-track procedures as authorized by the Electronic FOIA Act Amendments of 1996. Specifically, the FOIA regulation replaces the EEOC's first in/first out FOIA process with a more efficient system that categorizes requests at the outset as simple, complex, or expedited, and then moves the requests on different tracks. The updated regulation also requires FOIA requestors seeking disclosure of an EEOC charge files to submit the court complaint showing that a lawsuit was filed on the issues investigated in the EEOC charge. This requirement allows EEOC to quickly determine whether disclosure of the charge file is permissible, subject to the pertinent FOIA exemptions. The rule also makes several changes concerning the transfer of FOIA responsibilities from Regional Attorneys to District Directors, and allows the public to file FOIA appeals, like initial FOIA requests, by mail, facsimile, e-mail, or through the EEOC's public website. This final rule follows a notice of proposed rulemaking published on September 4, 2012, and Commission analysis of public comments received pursuant to a request for such comments by November 4, 2012. A copy of the final rule is available on the EEOC website at http://www.eeoc.gov/laws/regulations/index.cfm.

To help explain how these changes affect the EEOC's procedures and decisions concerning the release of information to the public, the Commission issued a technical assistance document-Questions and Answers on EEOC's Final Rule Implementing Revisions to the Commission's FOIA Regulations, which is available on the EEOC website at: http://www. eeoc.gov/laws/regulations/qanda_finalrule_foia_revisions.cfm.

Final Rule Correcting Procedural Regulations. The Commission cooperates with Fair Employment Practice Agencies (FEPAs) in state and local government to share charge processing and investigatory responsibilities. EEOC procedural regulations outline how, and on what kind of charges, the EEOC and FEPAs will cooperate. The Commission approved a final regulation, published September 6, 2013, to correct a footnote indicating that the FEPA in Puerto Rico was not designated to handle charges alleging retaliation. This correction makes clear that the Commonwealth of Puerto Rico Department of Labor is a designated FEPA agency for retaliation claims as well as other employment discrimination claims.

Providing Strong Leadership and Oversight for Federal Agencies

The EEOC provides leadership and guidance to federal agencies on all aspects of the federal government's equal employment opportunity program. The Commission assures federal agency and department compliance with EEOC federal sector regulations, provides technical assistance to federal agencies concerning EEO complaint adjudication, monitors and evaluates federal agencies' affirmative employment programs, and develops and distributes federal sector educational materials and conducts training for stakeholders.

EEOC's Management Directive 715 (MD-715) identifies "Essential Elements" for structuring model EEO programs. Attaining a model EEO program provides an agency with the necessary foundation for achieving a discrimination-free work environment. The six essential elements for maintaining model Title VII and Rehabilitation Act programs are: (1) demon- strated commitment from agency leadership; (2) integration of EEO into the agency's strategic mission; (3) management and program accountability; (4) proactive prevention of unlawful discrimination; (5) efficiency; and (6) responsiveness and legal compliance.

A discrimination-free work environment, characterized by an atmosphere of inclusion and free and open competition for employment opportunities, is the ultimate goal of MD-715 and the federal government. MD-715 provides a roadmap for creating effective EEO programs for all federal employees as required by Title VII and Section 501 of the Rehabilitation Act of 1973, which prohibits disability discrimination in the federal sector.

To assist agencies in reporting under MD-715, the EEOC provides tools and assistance to agencies to help them analyze their work forces and uncover barriers to equal employment opportunities. Once barriers are identified by agencies, Commission staff collaborates with them to develop creative strategies to eliminate or reduce the impact of identified obstacles. Further, the EEOC works with agencies to promote workplace policies and practices that foster an inclusive work culture and prevent employment discrimination. This effort includes working with federal agencies to adopt and successfully implement the attributes of the EEOC's Model EEO Program.

In FY 2013, the EEOC deployed the Federal Sector EEO Portal (FedSEP) to all federal agencies to provide electronic submission and collection of Federal Agency EEO Program Reporting (MD-715) data. FedSEP is a multi-year initiative for capturing and storing the data used by EEOC for analyzing the workforce composition of federal agencies and trends within the federal workforce. It will allow EEOC to better identify potential discriminatory policies or practices within federal agencies to establish priorities and issue/monitor compliance plans to address the areas of concern. During FY 2013, EEOC expanded FedSEP to include submission and integrated analysis for the Annual Federal Equal Employment Opportunity Statistical Report of Discrimination Complaints (EEOC Form 462) data for the October 2013 reporting cycle. Using an integrated web-based data collection system will benefit EEOC by reducing costs, increasing data accuracy, and improving the analysis of data.

In addition, during FY 2013, the EEOC completed design, development and testing for the Federal Case Management system, in support of Performance Measure 3. These enhancements, which will be piloted in early FY 2014, will allow staff to categorize federal hearings and appeals workload for more efficient processing.

EEOC staff analyzes and assesses federal agencies' annual submission of MD-715 reports to ascertain agencies' progress in creating model EEO programs. EEOC provides oversight to over 200 federal agencies and their subcomponents. To facilitate this oversight responsibility, EEOC conducts in-person and telephonic remote assistance meetings with the responsible agency employees, as well as provides multi-year trend analysis feedback letters to the agencies.

The EEOC's success in its oversight role comes not from the mere exercise of collecting data; it comes from what EEOC and the agencies do with that data. Agencies have the responsibility to identify those red flags that are discovered in the MD-715 data and conduct investigations of the anomalies generated by workplace policies, procedures, and practices with an eye toward eliminating barriers to equal employment. If an agency finds a barrier, it has a responsibility to eliminate it. Similarly, EEOC, as the oversight agency, has the ongoing responsibility to provide the technical assistance necessary to accomplish this enormously important task.

The EEOC has provided feedback to agencies on their MD-715 submissions via various means, including technical assistance visits, one-year feedback letters, and three-year trend analysis letters. In response to comments from federal agency stakeholders, the Commission continues to provide feedback letters to agencies on a rotating basis. This feedback is designed to provide comprehensive analysis that tracks the agency's progress toward establishing a model EEO program.

During FY 2013, OFO provided technical assistance to 77 agencies. Despite staff reductions, OFO met with the EEO staff for over 33 percent of all agencies. OFO issued feedback letters to 47 of the 77 federal agencies in FY 2013, and will issue letters to the remaining agencies during the first quarter of FY 2014.

Extending the Reach of the Agency

Agency Outreach Continues to Reach Diverse Audiences

In keeping with the Strategic Plan's prioritization of outreach and education, in FY 2013 the Commission's outreach, education and technical assistance efforts focused on increasing voluntary compliance with federal equal employment laws and on improving employee and employer awareness of rights and responsibilities under federal employment discrimination laws, especially amongst underserved groups and in underserved areas.

The agency's no-cost outreach programs reached 283,000 persons in FY 2013. EEOC offices participated in 3,854 no- cost educational, training, and outreach events. Additionally, in FY 2013, the Training Institute trained 17,000 individuals at more than 370 events, including 121 field Customer Specific Training events with approximately 5,600 attendees.

Specific outreach events included 1,788 oral presentations, 255 training sessions and 280 stakeholder input meetings. These three major types of educational events reached over 140,000 people. Offices represented the Commission at 700 public events that reached 75,377 people. These events included information meetings with community organizations and professional associations. Through participation in job fairs, ethnic and cultural festivals, expositions and conventions, Commission personnel distributed informational materials to over 30,000 people. Commission employees also made 390 media presentations, including newspaper, radio and TV interviews, talk shows, and press conferences that provided substantive equal employment opportunity information to millions of stakeholders.

Small Business Outreach. The Commission worked collaboratively with the small business community to prevent employment discrimination and promote voluntary compliance. EEOC offices conducted 566 no-cost outreach events directed toward small businesses in FY 2013, reaching 23,967 small business representatives. The most popular topics for small business audiences were an overview of the laws enforced by EEOC, charge processing procedures, sexual harassment, Title VII and the ADA. In addition, some small businesses took advantage of training offered by the Training Institute with 488 events reaching 1,260 small business representatives.

Outreach to Vulnerable/Underserved Workers and Areas. In FY 2013, the Commission conducted events geared toward reaching vulnerable/underserved workers and underserved areas. The Commission reached 105,174 people by conducting a total of 1,665 events. Commission staff members traveled to states and communities where no EEOC office is located or where certain communities are reluctant to come forward to complain of employment discrimination, and partnered with local community organizations, consulates and other entities to reach these workers. For example, 305 events, reaching 18,149 individuals, were targeted to migrant farm worker communities and their advocates to provide education and information about discrimination. There were 312 events focused on human trafficking issues, working with community-based organizations devoted to trafficking issues, and reaching 18,554 people. In addition, 409 events, reaching 29,764 people, focused on the issue of the use of arrest and conviction records in employment, raising awareness about the impact on those who are trying to re-enter the workforce and become productive citizens. Finally, the Commission also provided over 190 off-site intake and counseling services in neighborhoods where persons with limited English proficiency may be less likely to come to Commission offices.

Outreach to Asian American and Pacific Islander Communities. As part of the White House Initiative, the Commission improved its communications and partnerships with the AAPI community. In FY 2013, the Commission conducted 240 events, reaching 11,754 people, to raise awareness about the EEOC and the laws we enforce. The EEOC partnered with several organizations across the country that represent the AAPI communities. The events included ethnic media interviews, presentations at community gatherings and cultural fairs and celebrations, staffing informational booths, stakeholder input meetings, training, information dissemination in several languages that educate the AAPI community about employment discrimination laws and expanded presence sessions where Commission personnel conducted off-site intake and counseling. In addition to outreach to individual members of the AAPI communities and organizations that represent them, the agency also conducted outreach to the AAPI business community.

The table below shows the number of outreach events and the number of attendees for FY 2013 at events that covered all of the Commission's national priorities identified in the newly adopted Strategic Enforcement Plan.

2013 TABLE OF EVENTS AND ATTENDEES
NATIONAL PRIORITIES EVENTS ATTENDEES
Recruitment/Hiring (includes testing) 207 27,652
Immigrant/Migrant/Vulnerable Workers Total 1,665 105,174
Immigrant/Migrant Worker 305 18,149
Human Trafficking 312 18,554
Limited English Proficient 114 10,694
Arrests & Convictions/Re-Entry 409 29,764
Vulnerable Worker 525 27,488
Emerging/Developing Issues 1,223 86,847
Disability (includes reasonable accommodation) 850 60,936
PDA/ADA (includes maternity) 93 5,801
LGBT 280 20,110
Equal Pay (includes wages and benefits) 494 32,926
Access to Legal System (includes retaliation, recordkeeping violations, waivers, mandatory arbitration) 335 20,417
Harassment (includes non-sexual and sexual harassment) 824 60,412

Outreach and Collaboration with Other Federal Agencies. In FY 2013, the EEOC continued the effort to reach out and partner with other federal agencies in an effort to cast a wider net to reach the various advocate and employer communities around the country. Experience has shown that pooling federal resources allows the EEOC to be more effective and efficient in its efforts. The agency conducted over 100 outreach events with the Department of Labor's (DOL)/Office of Federal Contract Compliance. The EEOC also became a partner in DOL's Consular Partnership Program, along with DOL's Bureau of International Labor Affairs, Wage & Hour Division, Occupational Health and Safety Administration and the National Labor Relations Board. The Consular Partnership Program is charged with working with various embassies and consulates to reach the particular communities in the United States to educate workers about their labor and employment rights and employers about their responsibilities and best practices under the laws enforced by each agency. The agency also conducted 28 events with the Department of Justice. (OFP)

Providing Employers and Employees with Education and Technical Assistance

The EEOC Training Institute is managed under a separate statutory authority that enables the Commission to offer in- depth and specialized programs on a fee basis, supplementing the free general informational and outreach activities that are an on-going aspect of the agency's mission. The Training Institute offers diverse, high quality, reasonably priced EEO expertise and training products to private sector employers, state and local government personnel, and employees of federal agencies. In FY 2013 the Institute trained over 17,000 individuals at more than 370 events, generating about $2.8 million in revenue. This enabled the Institute to remain self-sustaining for another year, and allowed for the reimbursement of $1.2 million to the Commission for indirect costs associated with its operations, including 100 percent of Training Institute staff and portions of field and headquarters staff performing dedicated activities for the Institute. The Institute offered the following products/service lines:

Technical Assistance Program Seminars (TAPS). The one- and two-day TAP Seminars offered by the Training Institute are responsive to employers' information and training needs and allow EEOC to educate employers and employees about how to identify, prevent and eliminate workplace discrimination. In FY 2013, 30 TAPS were conducted throughout the country with nearly 5,400 participants. Throughout FY 2013, TAPs continued to receive excellent evaluations. Over 90 percent of the attendees at multi-issue TAPs rated the event as "above average" or "outstanding."

Examining Conflicts in Employment Laws (EXCEL) Conference. This year's conference marked the 16th anniversary of the event which attracted more than 500 attendees. For the first time in the history of the conference, it was combined with the federal sector, private sector, and with the local Fair Employment Practices Agencies. This format expanded the widely anticipated and highly acclaimed event for EEO managers, HR professionals, attorneys, union officials, and other EEO professionals. The Training Institute provides administrative and logistical support for EXCEL. The conference included more than eight plenary sessions and more than forty open workshops. In addition to the general plenary and workshops, there was a preconference session for new investigators and counselors attended by more than 120 individuals and three separate closed tracks covering Counselor Refresher, Investigator Refresher and Hearings Preparation. Among the highlights during the 2013 EXCEL conference was the opening session by Chair Jacqueline Berrien, who set the tone for the event. Commissioner Jenny Yang participated on a panel discussion on wage discrimination during the first day of the conference. This year's conference provided two keynote presenters; Lilly Ledbetter in celebration of the 50th anniversary of the Equal Pay Act and Capt. Gail Harris, who at the time of her retirement was the highest ranking African American female in the Navy.

Customer Specific Training. The Customer Specific Training (CST) program trains employees, managers, supervisors and human resource professionals from large, mid-size and small employers on their EEO responsibilities and how to prevent and correct workplace discrimination. Standardized courses are available, or the Institute can design customized courses to be delivered at employers' worksites. In FY 2013, the Training Institute held 121 field CST events that reached approximately 5,600 attendees.

Federal Courses and CSTs. In addition to the EXCEL conference, courses covering skills training for federal investigators, mediators, and counselors were presented and funded through the Training Institute. There were more than 800 attendees this year for the federal courses offered around the country and in Washington, DC. There were also 85 federal CSTs conducted during FY 2013.

Improved Labor-Management Relations

During FY 2013, the agency continued its efforts to meet the requirements of Executive Order 13522: "Creating Labor- Management Forums to Improve Delivery of Government Services." The EEOC continued its work with the National Council of EEOC Locals No. 216 and the AFGE-AFL-CIO in expanding labor relations under the Order. During FY 2014, the agency expects to provide guidance to Local Management Forums on implementing cost savings issues and other programs directed at employee morale.

In FY 2013, EEOC labor-management relations continued to improve. During the fiscal year, the Union filed five unfair labor practices, compared to seven in FY 2012. The agency also successfully completed negotiations on a new Collective Bargaining Agreement (CBA) that was ratified by the Union's membership. The Chair approved the CBA in August 2013 and all parties agreed to implementation by late fall. Jointly, labor and management plan to implement certain requirements of the CBA, including piloting a new Maxiflex program, developing guidance on the new Telework program that contemplates real-estate savings by reducing the square footage of future office sites, and reviewing all locally negotiated Memoranda of Understanding (MOU) (many of which are out of compliance with the new CBA, as well as agency and government-wide regulations) to determine which MOUs should be renegotiated.

Improving Employees' Viewpoint Survey Results

The FY 2013 results show that EEOC employees continue to like the kind of work they do, believe their work is important, are willing to give extra effort to get a job done and, are looking for ways to do their jobs better. In fact, employees rate the overall quality of work done in their work unit above 85 percent. Employees also say they are held accountable for achieving results and know how their work relates to agency goals. Supervisors/Team Leaders talk with their employees about their performance and treat them with respect.

In FY 2011, the EEOC's employees expressed several concerns about their workplace and the agency responded by launching the "BEST" Initiative. BEST, an acronym for Building Employee Satisfaction Together, focuses on employee satisfaction and implements a strategy for improving satisfaction by creating opportunities for employee involvement to resolve workplace issues. In FY 2012, BEST focused on survey items that were five or more percentage points lower than the Government-wide averages. These items included workload management, resources, reprisal, and work-life and safety programs.

The FY 2013 results revealed that except for sufficient resources, gaps in satisfaction generally narrowed by two or more percentage points from FYs 2011-2012 and by at least one percentage point from FYs 2012-2013. Further, most gaps from FY 2013 remained below the FY 2011 baseline and, in the case of satisfaction with the work/life program for child care, the EEOC's rating now leads the Government average. While the EEOC must continue to close satisfaction gaps to meet or exceed Government averages, clearly the agency is demonstrating some progress in the areas of focus. Even these small differences are significant when analyzing results for improvement.

Implementing Hiring Reform

A hiring freeze was imposed by the agency, effective January 3, 2011, and continues. But in FY 2013, the agency was in a position to hire 25 employees. Pursuant to initiatives from the Office of Personnel Management and the Office of Management and Budget, the EEOC's Office of the Chief Human Capital Officer continues to work with agency hiring managers and senior officials by strengthening the hiring tools designed to improve the agency's hiring process. The goal continues to be to hire new employees within 78 calendar days.

In FY 2013, the agency exceeded its target of 50 percent of hires completed in 78 days to 52 percent. The majority of these hires were made late in the fiscal year to staff the new Commissioner's office. However, the enter-on-duty date was hampered by the Government-wide shut down, which increased the number of days identified in the baseline. The improved tracking system continues to allow the EEOC to quickly identify barriers, such as delays in announcing positions due to inaccurate or incomplete crediting plans, delays in interviewing and selection, and extensions of time to select from a certificate, so that adjustments can be made to efforts to timely meet the agency's efficiency goal in hiring.

Program Evaluations

Program evaluation is an important component of EEOC's effort to assure that its programs are operating as intended and achieving results. A program evaluation is a thorough examination of program design and/or operational effectiveness that uses rigorous methodologies and statistical and analytical tools. Evaluations also use expertise internal and external to the agency and the program under review to enhance the analytical perspectives and lend credence to the methodologies employed, the evaluation processes and findings, and any subsequent recommendations.

Independent program evaluations continue to play an important role in formulating the strategic objectives and performance goals detailed in EEOC's FY 2012-2016 Strategic Plan and helped shape some of the program issues and key focus areas for improvement. They are an invaluable management tool to guide the agency's strategic efforts in attaining overall productivity and program efficiency, effectiveness, and accountability. To that end, EEOC has undertaken the following program evaluations to advance its performance-based management initiatives under the Government Performance and Results Modernization Act (GPRAMA) of 2010, and to improve the effectiveness of key agency programs.

Review of Evaluations, U.S. Equal Employment Opportunity Commission, Office of Inspector General, April 2013.

Evaluation of EEOC's Performance Measures, The Urban Institute, March 2013.

Collecting Compensation Data from Employers; Panel on Measuring and Collecting Pay Information from U.S. Employers by Gender, Race, and National Origin, National Research Council of the National Academies, August 2012.

Consistent with the Administration's focus on improving the effectiveness of government through rigorous evaluation and evidence-based policy initiatives, the EEOC will continue to consider appropriate program areas for evaluation each year. This will ensure that the agency's efforts align with EEOC's budget and other programmatic priorities.

Verification and Validation of Data

The Commission's private sector, federal sector, and litigation programs require accurate enforcement data, as well as reliable financial and human resources information, to assess the agency's operations and performance results and make good management decisions. The EEOC will continue efforts to ensure the accuracy of program information and any analysis of the information.

The Commission continually reviews the information collected in its databases for accuracy by using software editing programs and program reviews of a sample of records during field office technical assistance visits. In addition, headquarters offices regularly conduct analyses to review the information collected in order to identify any anomalies that indicate erroneous entries requiring correction to collection procedures. The agency expanded the formats that respondents can use when uploading their EEO-1 data so that more firms can use this option for filing. This will help increase the accuracy of the data provided as manual data entry in the online system will be eliminated.

The agency monitors its internal mechanisms for improving the validity and reliability of the EEO-1 data. As a larger number of employers are filing their reports by "uploading" data, steps were taken to subject those files to more stringent review for possible errors. Also, more training of contract support staff that provides technical assistance to filers will be implemented during this reporting period. Greater use of the EEO-1 by field staff continues to assist in identifying non-filers, which has enabled the agency to collect information more rapidly and completely. In addition, the EEOC has implemented the Federal Sector EEO Portal that enables all Federal agencies to electronically submit annual equal employment opportunity statistics (EEOC Form 462 and MD-715). These systems continue to improve the quality and timeliness of the information the agency receives. Finally, the EEOC continues to improve the collection and validation of information for the Integrated Mission System (IMS), which consolidates mission data on charge intake, investigation, mediation, litigation, and outreach functions into a single shared information system. IMS includes many automated edit checks and rules to enhance data integrity. Since several of the agency's performance measures require it to use data to assess ongoing achievements, it is significant that the EEOC can now obtain this data much more quickly and with greater data accuracy.

The EEOC's Office of Inspector General continues to review aspects of the status of the agency's data validity and verification procedures, information systems, and databases and offer recommendations for improvements in its reports. This information and recommendations are used to continually improve Commission systems and data.