Fiscal Year 2023 Congressional Budget Justification

U.S. Equal Employment Opportunity Commission

March 2022

Submitted to the Congress of the United States

Table of Contents

I. CHAIR’S REPORT

A. Fiscal Year (FY) 2023 Budget Highlights

B. Chair’s Message

II. OFFICE OF INSPECTOR GENERAL FUNDING INFORMATION

III. BUDGETING AND ACCOUNTING INFORMATION

A. Appropriation Language

B. Staffing and Funding Profile

C. Analysis of Change

D. Object Class – Agency Summary

E. Object Class Summary- Technology Modernization Fund (TMF)

IV. ENTERPRISE RISK MANAGEMENT PLAN

V. STRATEGIC PLAN AND PERFORMANCE MEASURES

A. The Strategic Plan for Fiscal Years 2018 - 2022

VI. STRATEGIC OBJECTIVE I – Combat and prevent employment discrimination through the strategic application of the EEOC’s enforcement authorities

A. Introduction

B. Performance Measures and Results

C. Program Areas

1.Private Sector Enforcement

2.Federal Sector Programs

VII. STRATEGIC OBJECTIVE II - Prevent employment discrimination and promote inclusive workplaces through education and outreach

A. Introduction

B. Performance Measures and Results

C. Outreach

1. Non-fee-based Outreach

2. Fee-based (Revolving Fund – Education, Technical Assistance and Training)

VIII. MANAGEMENT OBJECTIVE – Achieve organizational excellence

A. Introduction

B. Performance Measures and Results

C. Program Areas

1. Highlighted Resource Area

2. Human Resources

3. Public Service

4. Information Technology - Digital Transformation

5. Finance and Administration

IX. VERIFICATION AND VALIDATION OF DATA

X. PROGRAM EVALUATIONS

XI. ADMINISTRATION AND SUPPORT

A. Introduction

B. Freedom of Information Act Workload

C. GINA Study Commission

APPENDIX A: GENERAL STATEMENT OF LAWS

APPENDIX B: EVALUATION AND EVIDENCE

APPENDIX C: ENTERPRISE RISK MANAGEMENT

APPENDIX D: AGENCY RESPONSES TO PL 115-414 GOOD ACCOUNTING OBLIGATION IN GOVERNMENT ACT (GAO-IG Act)

I.      CHAIR’S REPORT

A.    Fiscal Year (FY) 2023 Budget Highlights

The U.S. Equal Employment Opportunity Commission (EEOC or Commission) is the leading federal law enforcement agency dedicated to preventing and addressing employment discrimination on the basis of race, color, religion, sex (including pregnancy, sexual orientation and gender identity), national origin, age, disability, and genetic information. The FY 2023 Budget requests $464,650,000 for the EEOC, which includes up to $31,500,000 for State, Local, and Tribal programs. This request reflects an increase of $60.160M from the FY 2022 annualized continuing resolution (CR) budget level of $404,490,000.

The EEOC was created by Title VII of the historic Civil Rights Act of 1964, which prohibited discrimination in employment on the basis of race, color, religion, sex, and national origin throughout the United States. Over the agency’s history, the EEOC’s jurisdiction and workload have grown substantially, due to the increased population and passage of additional federal employment laws. Today, the EEOC is responsible for enforcing the following laws:

• Title VII of the Civil Rights Act of 1964 (Title VII), as amended, which prohibits employment discrimination based on race, color, religion, sex (including pregnancy, sexual orientation and gender identity), and national origin.
• The Age Discrimination in Employment Act of 1967 (ADEA), as amended, which prohibits employment discrimination against workers age 40 and older.
• The Pregnancy Discrimination Act of 1978 (PDA),which amended Title VII to clarify that discrimination based on pregnancy, childbirth, or related medical conditions constitutes sex discrimination and requires employers to treat women affected by pregnancy and pregnancy-related medical conditions the same as any other employees with temporary disabilities with respect to terms and conditions of employment, including health benefits.
• The Equal Pay Act of 1963 (included in the Fair Labor Standards Act) (EPA), as amended, which prohibits sex discrimination in the payment of wages to men and women performing substantially equal work in the same establishment.
• Titles I and V of the Americans with Disabilities Act of 1990 (ADA), as amended, which prohibit employment discrimination based on disability by private and state and local government employers. Section 501 and 505 of the Rehabilitation Act of 1973 provide the same protections for federal employees and applicants for federal employment.
• Title II of the Genetic Information Nondiscrimination Act of 2008 (GINA), which prohibits employment discrimination based on an applicant’s or employee’s genetic information (including family medical history).

Together, these laws protect individuals from employment discrimination (including unlawful harassment) based on race, color, religion, sex (including pregnancy, sexual orientation and gender identity), national origin, age, disability, and genetic information. They also make it illegal to retaliate against a person for opposing employment discrimination, filing a charge of discrimination, or participating in an investigation or lawsuit regarding employment discrimination. Finally, provisions in the ADA, the Rehabilitation Act, and GINA strictly limit covered entities from obtaining health-related information from applicants and employees and require that any genetic or medical information a covered entity has about an applicant or employee be kept confidential.

B.    Chair’s Message

I am pleased to present the Fiscal Year (FY) 2023 Congressional Budget Justification for the U.S. Equal Employment Opportunity Commission (EEOC or the Commission). The FY 2023 Budget request of $464,650,000 includes $31,500,000 for state and local fair employment practice agencies (FEPAs) and tribal employment rights organizations (TEROs).

The EEOC was created in direct response to the historic 1963 March on Washington for Jobs and Freedom. The agency first opened its doors in 1965 with a simple mission — to prevent and remedy discrimination in our nation’s workplaces. Since then, America has made substantial progress toward that goal, but history shows that we cannot take this progress for granted. Today, promoting equal employment opportunity and enforcing the nation’s federal workplace anti-discrimination laws are as necessary as ever. We continue to work toward an America where all people have a fair chance to obtain employment, provide for their families, and contribute to our economy. The Commission is firmly committed to this goal and will build on its proud legacy of civil rights accomplishments to help achieve it.

Fiscal Year 2023 Priorities

The Biden-Harris Administration has called for a whole-of-government approach to addressing systemic discrimination and advancing equal opportunity, and the EEOC has a critical role in achieving that agenda. As Chair, I am focused on strengthening and rebuilding the agency to ensure the EEOC has the resources it needs to fulfill our mission and effectively enforce the law. With the President’s mark, the EEOC will focus, in particular, on three broad areas - racial justice and systemic discrimination on all protected bases, pay equity, and the civil rights impact of the COVID-19 pandemic.

Racial Justice and Systemic Discrimination

As the primary federal agency that enforces laws against employment discrimination, the EEOC will continue to play a large role in promoting racial justice and equity in the workplace. The nation is facing the very urgent issue of systemic discrimination including in the area of employment. With this proposed budget, the Commission will provide renewed attention to tackling systemic employment discrimination in all forms and on all bases - including but certainly not limited to unlawful harassment. Eliminating systemic barriers to equal opportunity in the workplace will allow the EEOC to leverage its work to achieve the greatest impact. The EEOC has numerous tools to combat systemic discrimination and harassment, including outreach and education, technical assistance, and enforcement and will use all of them to achieve change on a broad scale. A robust systemic program is an important part of these efforts and will allow the EEOC to make changes on a national, regional or industry level while helping substantial numbers of employees at once.

Over the past five fiscal years, nearly a third of all charges filed with the agency have alleged some form of racial discrimination. The focus on systemic discrimination while also investigating individual charges will help address the long-standing problem of discrimination based on race more effectively than a focus on individual charges alone.

Combatting systemic discrimination need not always be adversarial. The EEOC will also continue to play an important role in working with employers who seek guidance on how to appropriately respond to questions about fairness in their own practices through technical assistance, outreach and education, and guidance. With the Commission’s partners across the federal government, we can help employers eliminate systemic discrimination and proactively promote diversity, equity, inclusion, and accessibility in employment.

Pay Equity

Although it has been more than 50 years since the Equal Pay Act and Title VII of the Civil Rights Act of 1964 outlawed pay discrimination, significant and unjustified pay disparities still persist. Today, women working full-time make only 82 cents to the dollar when compared to white non-Hispanic males, and the gap is even wider for women of color, Native American and indigenous women, immigrants and workers with disabilities.

Although not all pay disparities result from discrimination, discrimination in pay and promotions as well as other discriminatory factors like race and gender segregation in jobs and assignments contribute to the problem. The EEOC will continue to use all of the tools at its disposal, including outreach and education, enforcement and, where necessary, litigation to address pay discrimination and unjustified wage gaps. The Commission will also pursue ways to advance pay equity and combat pay discrimination through pay data collection, following the forthcoming recommendations of the National Academies of Sciences, to help the agency better focus its resources to address more effectively discriminatory compensation practices and narrow the pay gap.

Civil Rights Impact of the Pandemic

The COVID-19 pandemic has proved to be a civil rights crisis in addition to a public health crisis and economic crisis. COVID-19 and its economic fallout have disproportionately impacted people of color, women, older workers, individuals with disabilities, and other vulnerable workers.

On April 28, 2021, I convened a public hearing to explore the many ways in which the COVID-19 pandemic has impacted civil rights in the workplace. In addition, the Commission has and will continue to provide numerous resources to assist employers and employees as they grapple with pandemic-related issues. As the public health situation evolves, EEOC continues to field a high volume of stakeholder questions concerning re-entry to physical workplaces, vaccination policies, testing and masking requirements, and the future of work. The EEOC stands poised to address these dynamic and emerging issues in collaboration with our colleagues throughout the administration.

Strengthening the Agency

Finally, I have made it a priority to rebuild and strengthen the agency. The Commission has a critical role to play in addressing many urgent civil rights issues - including employment-related impacts of the COVID-19 pandemic, racial justice, unlawful harassment, pay equity, and implementation of the Supreme Court’s historic decision in Bostock v. Clayton County, which affirmed protections against discrimination based on sexual orientation and gender identity - to name just a few. It is crucial that the Commission have the resources and tools it needs to continue to protect and advance civil rights, both now and far into the future. First and foremost, that requires ensuring that the Commission has sufficient staff necessary to address its expanding workload.

By fiscal year 2020, the EEOC’s full-time staffing had dropped to its lowest level in four decades, from over 3,390 employees in 1980 to fewer than 2,000 employees in Fiscal Year 2020. During that same period, even as the agency’s resources declined, its workload expanded due to the increase in the U.S. population and passage of important new legislation that created new civil rights protections, such as the Americans with Disabilities Act of 1990, the ADA Amendments Act of 2008, and the Genetic Information Nondiscrimination Act of 2008. Fortunately, Congress’ support in the EEOC’s FY 2021 budget has made it possible to begin rebuilding the agency’s capacity. In FY 2021, I authorized additional hiring to fill more than 450 positions throughout the agency - predominantly front-line staff (investigators, mediators, attorneys, and administrative staff, among other positions) to help restore our ability to fulfill the agency’s vital role in helping prevent and remedy employment discrimination. The addition of these new employees in mission-critical positions is a down payment on what I hope will be a long-term investment to ensure that the EEOC has resources commensurate with its task. With the President’s mark and robust workforce planning, I plan to continue to invest in hiring and training to empower our staff to advance the agency’s mission and vigorously enforce the laws entrusted to EEOC.

In addition to hiring new staff, the EEOC is working to ensure that its own employment practices embody the agency’s values and to support employees by providing the tools, and other resources employees need to be as effective as possible in their work. The Commission continues to embrace the principles of equal employment in its own workplace, recognizing that doing so will enhance the EEOC’s overall effectiveness. In addition to providing workplace flexibilities, I have authorized increased training to support EEOC employees. Working in partnership with internal stakeholders, including the EEOC’s union and labor-management forums, this process will provide the self-assessments and information to foster employee engagement, satisfaction, and productivity within the EEOC’s workforce.

The EEOC was established as a result of America’s bipartisan, national commitment to civil rights. As such, the institution serves as tangible proof that the causes of justice and equality are greater than hatred, division and bigotry. That legacy and our work are critically important to the American people and to this administration as we rebuild the economy to work for everyone and confront the urgent civil rights issues of our time.

Sincerely,

Charlotte A. Burrows
Chair
U.S. Equal Employment Opportunity Commission

II.   OFFICE OF INSPECTOR GENERAL FUNDING INFORMATION

The EEOC is covered by the Inspector General Act of 1978, as amended (U.S.C. App), and the table below provides the following information under the Inspector General Reform Act of 2008 (Pub. L. No. 110-409): an aggregate request for the Office of Inspector General (OIG); amounts required for OIG training; and amounts in support of the Council of the Inspectors General on Integrity and Efficiency (CIGIE).

Chart 1 below shows the Inspector General’s Funding Request by Operating Plan line items.

Office of Inspector General Funding Request by Operating Plan Line Item

Direct Compensation & Benefits	$        2,066,640
Financial Statement Audit Contract	$           200,000
Special Projects	$           200,000
Direct Program	$             99,500
IT Management	$           115,000
DATA Act Audit	$             28,616
CIGIE	$             10,018
FISMA	$             73,000
Total Request	$        2,792,774

1. This is the total aggregate request for the OIG.
2. The Inspector General certifies that this amount would satisfy all OIG training requirements for FY 2023.
3 .0036 percent of $2,792,774 or $10,018 will support the Council of Inspectors General on Integrity and Efficiency (CIGIE).

III. BUDGETING AND ACCOUNTING INFORMATION

A.    Appropriation Language

U.S. Equal Employment Opportunity Commission

Salaries and Expenses

For necessary expenses of the Equal Employment Opportunity Commission as authorized by Title VII of the Civil Rights Act of 1964 (42 U.S.C. § 2000e), the Age Discrimination in Employment Act of 1967 (29 U.S.C. § 621), the Equal Pay Act of 1963 (29 U.S.C. § 206), the Americans with Disabilities Act of 1990 (42 U.S.C. § 12101), Section 501 of the Rehabilitation Act of 1973 (29 U.S.C. § 705), the Civil Rights Act of 1991 (Pub. L. 102-166), the Genetic Information Nondiscrimination Act (GINA) of 2008 (42 U.S.C. § 2000ff), the ADA Amendments Act of 2008 (Public Law 110-325), and the Lilly Ledbetter Fair Pay Act of 2009 (Public Law 111-2), including services as authorized by 5 U.S.C. 3109; hire of passenger motor vehicles as authorized by 31 U.S.C. 1343(b); non-monetary awards to private citizens; and up to $31,500,000 for payments to State Local and Tribal enforcement agencies for authorized services to the Commission, [$404,490,000] $464,650,000 of which $60,160,000 shall remain available until September 30, 2024: Provided further, That the Commission is authorized to make available for official reception and representation expenses not to exceed $2,250 from available funds: Provided further, That the Commission may take no action to implement any workforce repositioning, restructuring, or reorganization until such time as the Committees on Appropriations of the House of Representatives and the Senate have been notified of such proposals, in accordance with the reprogramming requirements of section 505 of this Act: Provided further, That the Chair is authorized to accept and use any gift or donation to carry out the work of the Commission.

Note. —A full-year 2022 appropriation for this account was not enacted at the time the budget was prepared; therefore, the budget assumes this account is operating under the Continuing Appropriations Act, 2022 (Division A of P.L. 117-43, as amended). The amounts included for 2022 reflect the annualized level provided by the continuing resolution.

B.    Staffing and Funding Profile

Table 1 below depicts the EEOC’s total agency staffing and funding profile by Strategic Objectives and Programs for FYs 2021 through 2023.

*May not add due to rounding.
**Includes 14 FTE Reimbursable from Revolving Fund.

C.    Analysis of Change

The Analysis of Change, Table 2, below indicates the material changes to the EEOC’s appropriation request for FY 2022 to FY 2023.

* FY 2023 Compensation and Benefits (C&B) reflects agency estimates as of February 2022. The estimate includes a 4.6 percent pay increase - $7.572; employee performance awards – $6.338M.

D.    Object Class – Agency Summary

Table 3 - below shows the changes in the EEOC’s object class funding over three fiscal years.

*May not add due to rounding

E.    Object Class Summary- Technology Modernization Fund (TMF)

IV. ENTERPRISE RISK MANAGEMENT PLAN

During FY 2021, the EEOC continued to improve the agency’s enterprise risk management (ERM) framework, which identifies, prioritizes, and manages institutional risk at all levels of the agency. In FY 2020, the ERM Handbook was updated to reflect the importance of supply chain risks in developing the agency’s risk registers and profiles. The agency will continue to incorporate ERM into decision-making and focus on the integration of risk management and internal controls. As the EEOC’s ERM program matures, the Handbook will continue to keep pace with industry standards. Anticipated updates include cybersecurity and information and physical security.

The agency’s risk management approach supports our ability to identify, analyze, and appropriately respond to strategic risks across the full spectrum of the EEOC’s activities. Through ERM, we:

• Provide a structured, disciplined, and consistent approach to assessing risk.
• Identify strategic risks that threaten the EEOC’s achievement of its long-term objectives and goals and manage those risks at the enterprise level through an Enterprise Risk Steering Committee that is delineated in the ERSC Charter and the ERM Policy Handbook.
• Ensure that risks are managed in a manner that maximizes the value the EEOC provides to the nation consistent with defined risk appetite and risk tolerance levels.
• Align our strategy, processes, people, technology, and information to support agile risk management.
• Provide greater transparency into risk by improving our understanding of interactions and relationships between risks in support of improved risk-based decision making.
• Establish clear accountability and ownership of risk.

Risk management has become central to the EEOC’s mission, vision, and culture. All employees are expected to adopt the principles of risk management developed through the ERM program as it is progressively expanded to all offices and program areas, and to apply the standards, tools, and techniques within their assigned responsibilities. With this commitment to ERM, the EEOC can ensure the widest application of equal employment practices throughout the nation in the most efficient and cost-effective manner. See Appendix C.

V.    STRATEGIC PLAN AND PERFORMANCE MEASURES

A.      The Strategic Plan for Fiscal Years 2018 - 2022

1.     Introduction

The U.S. Equal Employment Opportunity Commission Strategic Plan for Fiscal Years 2018-2022 (“Strategic Plan” or “Plan”) establishes a framework for achieving the EEOC’s mission to “Prevent and remedy unlawful employment discrimination and advance equal opportunity for all in the workplace,” so that the nation may realize the Commission’s vision of “Respectful and inclusive workplaces, with equal employment opportunity for all.”

Through enactment of the GPRA Modernization Act of 2010 (GPRAMA), Congress has directed executive departments, government corporations, and independent agencies to develop and post a Strategic Plan on their public websites every four fiscal years. The implementing guidance in Circular A-11 from the Office of Management and Budget (OMB) instructs agencies on the necessary elements required in an agency’s plan and the requirements to publish a new plan with the beginning of each new term of an administration. The Commission approved the EEOC’s Strategic Plan on February 12, 2018. It is located at https://www.eeoc.gov/eeoc/plan/strategic_plan_18-22.cfm.

To accomplish our mission and achieve the proposed vision, the EEOC is committed to pursuing the following strategic objectives and outcome goals:

Strategic Objective I – Combat and prevent employment discrimination through the strategic application of the EEOC’s law enforcement authorities. The corresponding outcome goals are: 1) Discriminatory employment practices are stopped and remedied, and victims of discrimination receive meaningful relief; and 2) Enforcement authorities are exercised fairly, efficiently, and based on the circumstances of each charge or complaint. The five performance measures and FY 2020 results for these measures are more fully described in Section VI.B., starting on Page 25.

Strategic Objective II – Prevent employment discrimination and promote inclusive workplaces through education and outreach. The corresponding outcome goals are: 1) Members of the public understand the employment discrimination laws and know their rights and responsibilities under these laws; and 2) Employers, unions, and employment agencies (covered entities) prevent discrimination, effectively address EEO issues, and support more inclusive workplaces. The three performance measures and FY 2021 results for these measures are more fully described in Section VII.B., starting on Page 54.

Strategic Objective III (Management Objective) – Achieve Organizational Excellence. The corresponding outcome goals are: 1) Staff exemplify a culture of excellence, respect and accountability; and 2) Resource allocations align with priorities to strengthen outreach, education, enforcement and service to the public. The four performance measures and FY 2021 results for these measures are more fully described in Section VIII.B., starting on Page 66.

The Plan presents clear and realistic strategies for achieving each outcome goal and identifies 12 performance measures with annual targets to track the EEOC’s progress as it approaches FY 2023. The agency’s strategic objectives, outcome goals, and related performance measures are depicted in the following Strategic Plan Diagram.

VI. STRATEGIC OBJECTIVE I – Combat and prevent employment discrimination through the strategic application of the EEOC’s enforcement authorities

A.    Introduction

Strategic Objective I, to combat and prevent employment discrimination through the strategic application of the EEOC’s law enforcement authorities, reflects the EEOC’s primary mission of preventing unlawful employment discrimination through: 1) the administrative (investigation and conciliation) and litigation enforcement mechanisms with which Congress has entrusted the agency in regard to private employers, labor organizations, employment agencies, and state and local government employers; and 2) the adjudicatory and oversight mechanisms with which Congress has entrusted the agency in regard to federal employers.

There are two outcome goals for Strategic Objective I:

Outcome Goal I.A: Discriminatory employment practices are stopped and remedied, including through meaningful relief to victims of discrimination; and

Outcome Goal I.B: Enforcement authorities are exercised fairly, efficiently, and based on the circumstances of each charge or complaint.

The EEOC currently conducts its enforcement activities under the guidance of the Strategic Enforcement Plan (SEP) for FYs 2017-2021. The SEP for FYs 2017 through 2021 was approved by vote of the Commission in December 2016. The previous SEP for FYs 2013 through 2016, issued in December 2012, was the successor to the 1996 National Enforcement Plan (NEP). Both SEPs established substantive area priorities and set forth strategies to integrate all components of the EEOC's private, public, and federal sector enforcement to have a sustainable impact in advancing equal opportunity and freedom from discrimination in the workplace.

The current SEP focuses efforts on activities likely to advance equal opportunity and freedom from discrimination in the workplace. The SEP recognizes that to be an effective national law enforcement agency, the Commission must focus on activities that have strategic impact. Strategic impact is defined as a significant effect on the development of the law or on promoting compliance across a large organization, community, or industry. The significance of an issue and the potential outcome determine strategic impact, in addition to the number of individuals affected.

It also recognizes that an individual charge or case can have strategic impact. Effective strategic enforcement includes a balance of individual and systemic cases, and of national and local issues, acknowledging that each may have strategic impact in varied ways.

In addition, the SEP clarifies how the SEP priorities will be integrated into the EEOC’s charge management system, the Priority Charge Handling Procedures (PCHP), created in 1995. Finally, it also reaffirms the importance of strengthening the integration of staff efforts across programs and offices and ensuring accountability to operate as "One EEOC." These efforts are essential to ensure that the agency's resources are leveraged most effectively.

Performance Measures 1 through 5 were developed by the Commission, including their corresponding sub-measures, to track the agency’s progress in achieving its outcome goals. Performance Sub-Measure 1b also tracks the performance of the EEOC’s state and local partners.

Table 5, shown below, outlines our budget information for the agency’s enforcement programs under Strategic Objective I.

*May not add due to rounding.

B.    Performance Measures and Results

Performance Measure 1 for Outcome Goal I.A.: By FY 2022, a significant proportion of the EEOC and Fair Employment Practices Agencies (FEPA) resolutions contain targeted, equitable relief (TER).

An important activity undertaken by both the EEOC and state and local FEPAs is negotiating resolutions of charges after an investigation has determined that there is reasonable cause to believe that unlawful employment discrimination has occurred. Because every investigation is dependent on the facts of the case, it is neither appropriate nor feasible to set a target for the number of reasonable cause determinations the agency makes. However, it is appropriate to set a goal for the type of relief that should be sought in resolutions of cases once reasonable cause has been found.

The FY 2021 target for Performance Sub-Measure 1a was for at least 85-87 percent of the EEOC’s resolutions to contain targeted, equitable relief. 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. Such relief may include customized training for supervisors and employees, development of policies and practices to deter future discrimination, and external monitoring of employer actions, as appropriate. By the end of the fiscal year, the agency had far exceeded the targeted range; reporting 781 administrative resolutions and legal resolutions with TER out of a total of 834 resolutions, or 93.6 percent.

The FY 2021 target for Performance Sub-Measure 1b was for at least 16.5-18.5 percent of Fair Employment Practices Agencies (FEPA) resolutions contain targeted, equitable relief. By the end of the fiscal year, the FEPAs had exceeded the targeted range, reporting 1,064 FEPA merit resolutions with TER out of 5,085 merit resolutions, or 20.9 percent.

Both Sub-Measures 1a and 1b under Performance Measure 1 were designed to encourage the EEOC and the FEPAs to seek relief that goes beyond monetary damages for individual victims of discrimination. Performance Measure 1b measures all FEPA resolutions, which acknowledges the differences in their administrative procedures. Unlike the EEOC, not all FEPAs engage in conciliation. This measure ensures that the protection of equitable relief that the FEPAs obtained is captured.

Performance Measure 2 places a premium on maintaining the high level of successful resolutions in our litigation program. Successful resolutions include cases decided by favorable court order and those concluded through a consent decree or a settlement agreement in litigation. Achieving success for this measure ensures that we continue to exercise our prosecutorial discretion responsibly, while allowing us to take on challenging issues and litigate complex cases, including cases of systemic discrimination. As stated in the SEP for FYs 2017-2021, effective strategic enforcement includes a balance of individual and systemic cases, and those involving national and local priority issues, recognizing that each may have strategic impact in varied ways. This measure is significant because cases that involve priority issues under the SEP are often challenging and resource intensive, especially in cases involving emerging or developing issues and systemic cases.

The FY 2021 target for Performance Measure 2 was for 90 percent of the agency’s enforcement lawsuits to be favorably resolved. At the end of the fiscal year, the agency had exceeded the target; with 132 out of 138, or 95.7 percent of its enforcement lawsuits resolved favorably.

Performance Measure 3 focuses on the use and reporting of data to ensure the EEOC has a coordinated, strategic, and effective approach to systemic enforcement. To track the agency’s progress in identifying and resolving systemic discrimination, the FY 2021 target for this performance measure requires the EEOC to maintain data and release a report annually detailing the agency’s efforts to identify and resolve systemic discrimination.

The EEOC has posted specific information concerning its systemic program for fiscal years 2019, 2020 and 2021 on its website. It includes information on the number of ongoing systemic investigations, the number of systemic resolutions, the systemic conciliation rate, and monetary relief recovered. In addition, preliminary information about systemic activity was collected, tabulated, and reported to the Commission in Strategic Enforcement Plan briefings throughout the fiscal year.

* 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) we were unable to assess the results because full year data was not yet available.

Performance Measure 4 recognizes that because the federal government is the largest employer in the United States, reducing unlawful employment discrimination in the federal sector is an integral part of combatting employment discrimination. Moreover, as the largest employer in the United States, the federal government has significant influence over the employment practices of private and public employers in the United States and around the world. Thus, the promotion of equal employment opportunity in the federal government can positively impact all employees and jobseekers.

The FY 2021 targets for Performance Measure 4 were designed to capture the percentage of reasonable accommodations procedures, anti-harassment procedures, and program evaluation recommendations from EEOC that were implemented by agencies during the fiscal year.

By the end of the fiscal year, 135 out of 170 agencies, or 79.4 percent of federal agencies receiving feedback from the EEOC had compliant reasonable accommodation procedures. Also, as of September 30, 2021, 68.7 percent, or 134 out of 195 federal agencies that received EEOC feedback had compliant anti-harassment policies. During the fiscal year, to ensure that 65 percent of federal agencies substantially implemented agency recommendations in program evaluation reports, the EEOC had to review compliance and record successful completion of targets based on prior recommendations. Despite initiating two program evaluations in FY 2019, due to the scope of the evaluations involving large Departments, the EEOC did not complete the evaluations until FY 2020. Consequently, there were no recommendations to implement in FY 2021, as the recommendation and implementation cycle spans a two-year period.

Performance Measure 5 for Outcome Goal I.B.: By FY 2022, a significant proportion of investigations, conciliations, hearings, and appeals meet established quality criteria.

Performance Measure 5 builds on the EEOC’s previous Strategic Plan with a metric focused on quality in both the private and federal sector programs. For the private sector, the Commission approved a plan for Quality Enforcement Practices for Effective Investigations and Conciliations (QEP) in September 2015. The QEP promotes the rigorous implementation of quality investigations and conciliations with progress goals established for each year of the Plan. In FY 2016, the EEOC applied the criteria established under the QEP to a sample of investigations and conciliations to establish benchmarks for offices to use in FY 2017. In FY 2018, the benchmarks were used to project future targets.

The FY 2021 target for Performance Sub-Measure 1a was for 87 percent of EEOC’s charge investigations and conciliations to meet criteria established in the QEP. Due to agency-wide telework related to COVID-19, the agency conducted 20 technical assistance visits virtually, reviewing 1 percent of the agency’s closed file inventory for quality criteria. A total of 710 closed charge files were reviewed, including 332 conciliations. Overall, the agency exceeded its FY 2021 target of 87 percent of investigations meeting established standards, with 90.9 percent of charge files reviewed meeting the criteria established in the QEP; an increase of 3.9 percent from FY 2020. In the review of conciliation resolutions, 97.2 percent of the criteria in closed conciliations met established quality standards, which is an increase of 4.6 percent from FY 2020.

For the federal sector, Performance Sub-Measure 1b builds on the Federal Sector Quality Practices (FSQP) approved by the Commission on January 10, 2017, which includes quality components for hearings and appeals. In FY 2018, the agency established a baseline and projected future targets for federal sector hearings and appeals to meet criteria established in the FSQP. The agency implemented a checklist for assessing quality practices and applied it to a sampling of draft decisions to create a baseline from which to set FSQP quality improvement goals in the outlying years. The baseline established was 80 percent of the files to meet the quality standards.

The FY 2021 target for this measure was for the EEOC to increase the percentage of federal sector hearings and appeals that meet criteria established in the FSQP to 88.5 percent. After identifying the metrics to evaluate the quality of decisions and selected cases in FY 2021, the EEOC reviewed approximately 10 percent of closed hearings files and 3.1 percent of appeals, which resulted in 88.8 percent of federal sector hearings cases reviewed and 94.8 percent of federal appeals reviewed meeting the quality standards. The combined overall results were 91.8 percent, exceeding the annual target.

C.    Program Areas

1.           Private Sector Enforcement

Management of the Charge Workload to Enforce the Nation’s Federal Workplace Anti-Discrimination Laws

The public’s demand for the EEOC’s services to resolve charges of discrimination continues to challenge the agency, even as we invest in staff and systems to strengthen our enforcement, deliver excellent service to the public, and promote compliance with federal civil rights laws. Because of the high demand for the EEOC’s services and in order to implement the agency’s mission of eradicating employment discrimination more effectively, in 1995 the Commission adopted the use of Priority Charge Handling Procedures (PCHP). PCHP, as implemented, categorizes charges for priority handling based on the likelihood of an investigation resulting in a finding of reasonable cause to believe discrimination occurred. EEOC uses PCHP to make determinations regarding the amount of resources to commit to different investigations, emphasizing that the investigation for each case should be appropriate to the particular charge – taking into account EEOC’s resources. The EEOC has periodically renewed its focus on implementation of PCHP and other strategies to achieve and maintain a balanced and sustainable inventory.

In FY 2021, the agency prioritized ensuring that it had sufficient staff to address its expanding workload. During FY 2021, the agency began rebuilding its staff, which in FY 2020, had reached its lowest level in four decades. The EEOC authorized hiring for more than 450 positions and ended the year with more than 2,100 employees. Notably, the majority of positions were filled by individuals who were new to the agency and predominately front-line staff (investigators, mediators, attorneys, and equal employment specialists, among other positions). As a result of this hiring effort, the EEOC was able to address critical service and morale issues by restoring staffing losses in key areas. These hires also better positioned the agency to provide quality services to the public and ensure timely and appropriate resolution of discrimination charges.

With a focus on increased staffing, the EEOC was able to realize significant program accomplishments. For example, in FY 2021, the pending inventory level was maintained in a range that provides a manageable workload, with 42,811 charges in the private sector, a slight increase over FY 2020 levels. Having additional staff to focus on inventory management enhances service to the public and allows staff additional time and resources to devote to developing and resolving meritorious charges of discrimination. As a result, the agency increased the overall merit factor rate in private sector charges from 17.4 percent in FY 2020 to 19.2 percent in FY 2021, secured over $350.7 million in monetary relief for individuals during the administrative process, including the successful resolution of 41.1 percent of conciliations resulting in over $39.7 million in monetary relief (a $950,000 increase from FY 2020), and obtained targeted, equitable relief in 92.6 percent of all conciliation agreements.

In addition to significant hiring, we also continued to focus on additional approaches to utilize a multi-pronged effort to ensure that we are managing our inventory efficiently and providing quality service to charging parties and respondents, while focusing agency resources on charges where the government can have the greatest impact on workplace discrimination. We will continue to focus on innovative approaches and to invest in systems to better serve the public, and advance the agency’s mission of preventing and remedying discrimination. The EEOC has devoted significant resources to transforming our paper system to a digital charge system with additional features to provide the parties with online capabilities to interact with agency staff, submit relevant documents, and review charge status. In early FY 2018, we fully migrated our Online Intake System to all of our field offices. This combined with continued efforts to automate charge processing in FY 2021, transition to a new charge tracking and reporting system, and commitments to incorporate PCHP throughout the charge lifecycle and effective staff training, ensures the EEOC is positioned for efficient quality workload management.

Training of staff in effective case management is critical to efficient resolution of charges and new investigator training also remains important for the newly hired investigators. The EEOC will continue to provide refresher training to investigators on PCHP. The agency trained 28 new investigators and 33 Investigative Support Assistants (ISAs) in FY 2021, as well as an additional 103 new investigators, 48 ISAs, and 30 Office Automation Assistants (OAAs) in the first quarter FY 2022. Another new investigator training is scheduled for second quarter FY 2022. Additionally, training will be provided during FY 2022 on new and emerging issues that all investigators will need to effectively handle, including matters related to COVID-19 (e.g., discrimination related to disability, religious accommodation, and discrimination and harassment against Asian-American and Pacific Islanders), increased awareness surrounding LGBTQI+ issues to ensure robust implementation of the Supreme Court’s landmark decision in Bostock v Clayton County, and EEOC’s alignment with Executive Order 13175 and our relationship with Native American Tribes and Tribal Employment Rights Offices (TEROs).

With regard to the agency’s commitment to and focus on excellent public service, the EEOC has worked to bridge potential gaps in the intake process by creating a new position in 2018, the Senior Intake Support Assistant (SISA). Under the “One EEOC” framework, OFP’s SISAs have assisted offices throughout the country with the most need, by providing timely intake services where otherwise it may not have been possible. SISAs provide administrative and technical support to field offices for the receipt of inquiries and conduct interviews for potential charges of discrimination under EEOC’s laws. SISAs are responsible for conducting and documenting pre-charge interviews, conducting pre- and post-charge counseling, preparing charges of discrimination, and serving notices of charge filings to Respondents. Success of the SISA program over the past four years has been significant, as SISAs have been assigned to both large projects requiring extra intake support and small projects to accommodate temporary intake staffing challenges, and while taking on other tasks needing additional staff support. Growing out of the success of the SISA program, OFP created a new position in FY 2021, the National CRTIU Coordinator. This position was filled at the end of fiscal year 2021 and the incumbent manages, analyzes, and oversees intake operations throughout the country, as well as supervises the SISAs.

By focusing on efficient and effective charge management including operating on a fully digital platform, putting the most resources into potentially meritorious charges, conducting training to develop both new and tenured employees, and enhancing public service, EEOC will be positioned to make the greatest impact on eradicating workplace discrimination in FY 2022 and beyond.

Chart 2 below shows actual pending inventory at fiscal year end from FY 2019 through FY 2021 and anticipated workload maintenance from FY 2022 through 2025.

Private Sector Charges Pending at Year End for FY 2019 to FY 2025

Private Sector Charges Pending at Year End for FY 2019 to FY 2025

FY 2019 Act.	43,580
FY 2020 Act.	41,951
FY 2021 Act.	42,811
FY 2022 Est.	39,289
FY 2023 Est.	35,430
FY 2024 Est.	38,896
FY 2025 Est.	42,362

 

Chart 3 on the next page depicts the actual workload for private sector enforcement for FYs 2019 through 2021 and projected workload through FY 2025. Chart 3 illustrates the expected reversal in the decline in receipts the EEOC experienced from FY 2018 through FY 2021. We expect an increase in receipts to FY 2019 levels and higher due to the anticipated post-pandemic return to the workplace beginning in FY 2022. In the face of these conditions, the agency intends to direct efforts to manage the inventory levels by consistently using priority charge handling procedures (PCHP) as well as incorporating other strategies.

Private Sector Enforcement Program Workload Table FY 2019 to FY 2025

Private Sector Enforcement Program Workload Table FY 2019 to FY 2025

	FY 2019 Act.	FY 2020 Act.	FY 2021 Act.	FY 2022 Est.	FY 2023 Est.	FY 2024 Est.	FY 2025 Est.
Receipts	72,675	67,448	61,331	69,304	74,848	80,462	80,462
Resolutions	80,806	70,804	62,187	73,563	79,446	77,734	77,734

*Pending beginning inventory adjusted to reflect charge activity spanning FYs.

Table 6 on the next page details private sector charges received by statute for FYs 2019, 2020 and 2021 and the projected charges through FY 2025, organized by statute.

*Totals do not reflect issues/bases filed under more than one statute.

Mediation Program

A key component of the Commission’s enforcement strategy is the continued emphasis on the use of alternate dispute resolution (ADR) as an effective tool to resolve charges of discrimination early when appropriate. We continue to pursue efforts to secure greater participation by employers, through the use of informational materials, and outreach events that highlight the benefits of mediation for employers.

The program continues to receive positive feedback from participants. Based on the responses to an annual survey of participants in our mediation program, charging parties (employees, job applicants, and retirees) and respondents continue to express their confidence in the level of service provided under this process. In FY 2019, 96.8 percent of all participants indicated that they would utilize the mediation process in a future charge filed with the EEOC. This is a direct measure of the public’s confidence in our mediation program. Furthermore, successes in our mediation program have a positive impact on our pending charge inventory levels. In FY 2020, the survey was placed on hold due to remote mediations. Pursuant to a contract issued in FY 2021, independent researchers developed an updated electronic survey that mirrored the EEOC’s adaptation to on-line video mediations from previously in-person sessions. The results from the revised survey instrument is scheduled to be available during the second quarter of FY 2022.

The mediation program continues to enhance the Commission’s efforts to timely resolve discrimination charges. In FY 2021, the agency achieved 6,644 successful resolutions out of 9,365 charges that were mediated. During FY 2021, mediations were completed in an average of 89 days with over $76.6 million in benefits secured. Federal sector mediations were also conducted in FY 2021 by staff mediators, with 639 sessions conducted. These mediated resolutions not only assisted the Commission in reducing the federal sector workload, it also permitted administrative judges to further concentrate their efforts on conducting hearings and rendering decisions in the federal complaint process. The Commission increased hiring activity for new mediators in FY 2021, adding 21 staff mediators to its internal neutral roster.

As an outgrowth of the shift to remote work as a result of the pandemic, additional resources were made available to expand the use of appropriate technological practices that allowed mediations to be conducted virtually, via secure internet platforms. Prior to the pandemic health crisis, mediation sessions were conducted face-to-face, with the mediator and parties physically present. However, consistent with safety guidelines implemented during the pandemic, the in-person preference for such sessions became untenable. Offices continue to employ Zoom for Government supplemented by Microsoft Team to convene and conduct pending mediation sessions by telephone, and by online platforms.

Outreach to employer representatives and other stakeholders highlights the value of ADR to resolve charges of discrimination filed with the Commission. The success of the mediation program encourages other employers to participate in our mediation program. To that end, the Respondent participation rate increased to 33.4 percent from 31.7 percent in FY 2020, as mediation staff continued to provide information to smaller employers that, in the past, have declined to participate in the program.

Chart 4 below reflects the level of mediations projected for FYs 2022 through FY 2025. These will return to FY 2018 levels in successive years, due largely to the end of the mediation pilot program and additional hiring.

Private Sector Enforcement Program Mediations FY 2019 to FY 2025

Private Sector Enforcement Program Mediations FY 2019 to FY 2025

FY 2019 Act.	FY 2020 Act.	FY 2021 Act.	FY 2022 Est.	FY 2023 Est.	FY 2024 Est.	FY 2025 Est.
6,394	6,272	6,644	6,939	6,770	6,754	6,754

*May not add due to rounding

C.    Program Areas

1.           Highlighted Resource Area

Table 11 below shows our highlighted budgetary resources for Information Technology (IT) and Human Capital planning (OCHCO) under Strategic Objective III. For this strategic objective, the agency’s resources are allocated between Strategic Objective I and Strategic Objective II to identify the full cost of conducting our front-line programs, including all of the elements of our operations supporting those programs.

2.           Human Resources

a.     Workforce Planning

The EEOC has undergone several changes to its operations and workforce over the years. As a result of the pandemic in FYs 2020 and 2021, the EEOC successfully pivoted and adjusted operations to effectively deliver its mission and results. In order to continue to service the public effectively, the EEOC must conduct workforce planning to holistically staff and analyze the impact of changes in the laws and the workplace and develop and implement strategies to reshape/reform existing workforce structures, staffing, and functions for its offices.

In August 2017, OPM conducted a human capital management evaluation. The purpose of the evaluation was to assess the EEOC’s strategic management of human capital, the efficiency and effectiveness of its human resources programs, and compliance with merit system principles, laws, and regulations. The findings indicated that the EEOC lacked comprehensive information and plans to recruit strategically its current workforce, plan for future staffing levels and leadership continuity, and ensure its training programs support agency needs. In FY 2018 through FY 2020, the EEOC started a workforce planning initiative and made comprehensive changes with improvements to hiring, recruitment, training, and retention. As a result of the pandemic, the EEOC effectively adjusted operations in FY 2020 and 2021 due to the pandemic but must now complete robust workforce planning with ongoing analysis and staffing plans that allow leadership to identify and use human capital (and technology) strategies best suited to support the EEOC’s current and future organizational goals in FY 2022, FY 2023, and beyond.

b.     Training and Retention

The EEOC is focused on training and developing employees at all levels – non-supervisory employees, team leads, supervisors, managers, and executive-level staff. The EEOC will accomplish this continuous learning at all levels through talent management, ensuring our Headquarters and Field Offices identifies and closes skills gaps, and implements and maintains programs to attract, recruit, develop, promote, and retain quality and diverse talent so the agency can accomplish its mission.

The EEOC will continue to provide all employees with a comprehensive training program through four primary approaches: 1) training activities responsive to their individual development plans (IDP); 2) internally-sponsored, instructor-led courses, workshops, and webinars; 3) training programs addressing position-related competency needs; and 4) online courses available through the EEOC Learning Management System (LMS). We will use a strategic approach to deliver these training programs for effective talent management. In FY 2022 and beyond, we will use agency strategic goals, focusing on necessary competencies, and develop a Talent Management and Leadership Succession Plan for employees at all levels. The plan will be the result of reviewing a variety of resources, including other agencies’ leadership succession plans, Field and Headquarters perspectives, Office of Personnel Management (OPM) guidance, Government Accountability Office (GAO), the EEOC Office of Inspector General (OIG) Reports, and information regarding organizational planning for succession in both the private and public sectors. We will also consider the EEOC’s performance reports, employee surveys, our Human Capital Operating Plan, and guidance/feedback on aspects of the plan from the EEOC Executive Resources Board.

We intend to address our future leadership needs in a coordinated and thoughtful manner. The Talent Management and Leadership Succession Plan will provide the reasoning and blueprint for addressing the anticipated loss of experienced leaders by providing a process to identify and prepare well-qualified individuals to lead the agency into the future. Strong leadership will ensure a continued commitment to the agency’s mission and successful accomplishment of our goals.

During FY 2022, we will continue to expand web-based and virtual training as the EEOC continues to make significant investments in IT resources to increase bandwidth and modernize computer systems to handle increased traffic to train and develop employees at all levels. Due to the COVID-19 pandemic in FY 2020 and 2021, virtual training opportunities increased – allowing the EEOC to convey relevant information and timely updates to our staff in all of our 15 Districts and Headquarters locations.

The EEOC launched a new, more robust LMS in FY 2021, that significantly aided the agency in strategically planning and administering learning and talent management activities for its staff, tracking employee course completions, conducting pre- and post-testing to measure results, and gathering data needed to submit required reports on agency training activities to OPM. In FY 2022, the EEOC plans to use additional system capabilities to deliver quality training for the workforce, to include a new authoring tool to allow for the creation of online course content and internal and external training programs.

In FY 2021, newly hired Investigators were provided with a two-week intensive training session. Also, during FY 2021, training on the interplay of COVID-19 and employment discrimination laws, and a series of four training sessions on identifying, investigating and conciliating systemic discrimination were conducted for all enforcement staff nationwide. For FY 2023, we will develop and deliver training to address the needs of staff as they perform their investigative duties in an evolving environment of technological advances, Commission priorities, and legal developments. This training will equip staff with the skills and knowledge to continue to respond to dynamic changes to our processes and the resultant impact on their duties and responsibilities.

Because the EEOC has begun rebuilding the agency’s capacity by hiring many new attorneys in FY 2021, we conducted a three-day, virtual New Trial Attorney Orientation training early in FY 2022. We also hope to have Supervisory Trial Attorneys from across the country come together for a conference in FY 2022. This conference is vital to engagement and retention of the primary quality control members of the field legal units, as they share strategies and best practices about litigation and performance management.

In FY 2021, the agency conducted two, three-day deposition skills training sessions for trial attorneys in field legal units, in collaboration with the National Institute for Trial Advocacy (NITA). In these two sessions, we trained 31 trial attorneys through a nationwide, virtual platform. In April 2021, OGC and NITA conducted a four-day trial skills training for 30 trial attorneys. In FY 2022, OGC conducted the first of two skills-based training sessions with NITA, on oral advocacy. Thirty trial attorneys attended. These learning-by-doing trainings enhance the ability of trial attorneys to litigate cases independently and bring quality advocacy to the litigation program. In late FY 2022, we plan to conduct training for trial attorneys regarding systemic litigation. This training will develop critical skills for field attorneys as they rebuild our systemic litigation dockets. As we bring on new staff, we will need to provide these types of trainings in FY 2023 to position us for success going forward.

In FY 2021, we held training for approximately 30 trial attorneys on electronic stored information (ESI) matters. The training covered the EEOC’s internal ESI policies, litigation support services, preserving, collecting and producing ESI from claimants and aggrieved individuals, and obtaining ESI from defendants. In addition, we held basic and advanced training on the agency’s e-discovery review platform (Relativity) for approximately 100 attorneys and legal support staff. Recognizing the importance of technology, we have also arranged monthly technology trainings for trial attorneys and legal support staff, highlighting various technological tools which can make their work more efficient. In FY 2022, we are offering paralegals and legal support staff legal professional development training. We will also offer additional hands-on training in Relativity in late FY 2022. As we bring on new staff, we will need to provide these types of trainings in FY 2023 to position us for success going forward.

The EEOC will strive to make continuous improvements to our training programs to ensure our employees at all levels have the knowledge and skills to effectively perform their duties. In FY 2022, the EEOC will also provide mandated training requirements to employees and basic software maintenance for training systems. In addition, the EEOC will partner with the Small Agency Council to provide expanded training courses from Shared Service providers Training Centers.

c.      Performance Management

In FY 2020 and 2021, the EEOC satisfied the requirements outlined in the Office of Management and Budget (OMB) memorandum (M-19-24) regarding “Guidance on Awards for Employee and Agency Workforce Fund Plan.” In accordance with M-19-24, the EEOC implemented a balance between performance/rating-based awards and individual/contribution awards that supported the strategic use of awards and recognition throughout the year and addressed workforce challenges by allocating rating-based awards in a manner that recognize high performing employees. Per OMB guidance, in FY 2022, the increase in awards spending will support agency pay for performance efforts and be no less than 1 percentage point of our General Schedule (GS) and Senior Executive Service (SES) levels salary spending in FY 2021.

d.     Recruitment and Retention

In FY 2022, in support of our Workforce Planning initiative, the EEOC will develop a Recruitment and Retention Strategic Plan for the field and headquarters offices to improve overall recruitment and retention to ensure we retain increased staffing levels.

The EEOC will continue to comply with OPM and OMB guidance and executive orders to streamline the Federal recruitment requirements, simplify the hiring process, providing tools and resources needed to attract and retain talent at all levels. To support our Recruitment and Retention strategy to fill and retain positions year-round, the EEOC will use hiring flexibilities to rebuild agency staffing including encouraging Schedule A hiring of persons with disabilities; continued use of non-competitive veterans hiring appointments; using the Pathways Programs (Internship, Recent Graduates, and Presidential Management Fellows) for entry level positions; Military Spouses appointments; collaborate with AmeriCorps VISTA/Peace Corps for various appointments; and build strategic partnerships and alliances with stakeholders such as Historically Black Colleges and Universities (HBCUs), Hispanic Serving Institutions (HSIs), Asian American and Pacific Islander Serving Institutions (AAPISIs), Tribal Nations, local high schools, and colleges/universities.

At the same time, as part of the Workforce Planning’s recruitment and retention strategy, the EEOC will closely monitor and analyze separations due to retirements, transfers to other agencies, and departure to the private sector by deploying retention programs such as training, hiring opportunities, and retention incentives to ensure we retain our talent and staffing numbers.

In FY 2022, the EEOC will continue to provide American Sign Language interpreting services, reasonable accommodations, Federal Occupational Health Work-Life programs, and Employee Assistance Programs for our entire workforce to support work-life balance that ultimately helps with employee retention to maintain and support the EEOC workforce.

e.      Addressing Internal Workplace Issues

RESOLVE is the EEOC’s internal Alternative Dispute Resolution (ADR) program that provides a forum for the informal resolution of workplace disputes (including griev­ances and EEO complaints) among the Commission’s staff at headquarters and the 53 field offices. Mediation is the most commonly used ADR process within the program. Informal resolution can also be used in lieu of, prior to, or after mediation. If several employees are involved in a conflict, group facilitation may be used to address office wide concerns. We have seen that addressing workplace issues early and effectively helps foster amicable working relationships, enhances employee morale and produc­tivity, and reduces the financial and other resources associated with workplace conflict. Our ADR program will: 1) continue outreach to all of the Commission’s staff, 2) will serve as a resource for individual employees and groups of employees, and 3) continue to conduct seminars to help employees develop conflict resolution skills.

The Office of Equal Opportunity (OEO) processes federal sector complaints of discrimination submitted by EEOC employees and applicants. OEO is also responsible for implementing the agency’s Affirmative Employment Program (AEP) to proactively prevent potential discrimination before it occurs and to meet the congressionally mandated goal of making the EEOC a model workplace.

3. Public Service

Across the agency, we are working to better serve the public by making our services easier to access, reducing wait times and providing information in plain language that is readily understood.

Through our Intake Information Group (IIG), the EEOC expanded the agency’s public accessibility by phone, e-mail and video phone service for the deaf and hard of hearing. The IIG consists of in-house staff who serve as the first line of contact for many members of the public and is accessible via toll-free phone lines and e-mail. The IIG received close to 400,000 calls in FY 2021; and it is on track for a similar call volume in FY 2022. In FY 2021, an average of 41 percent of callers utilized the Interactive Voice Response (IVR) information system and needed no further assistance. Centralizing this first point of access to the public to a single entity has a significant impact on our field offices by enabling them to spend more time on investigating and resolving charges of discrimination. Many of these callers seek general information about their rights, office locations and phone numbers and other types of information more efficiently provided through this centralized service. In FY 2021, on average each month our Information Intake Representatives (IIRs) answered more than 12,000 calls, 4,300 emails and approximately 70 video phone transactions from individuals wanting more information or wishing to discuss their situation with an IIR. In FY 2021, approximately 70 percent of calls, emails and videophone calls answered by the IIRs were fully resolved by the IIR without being referred to other staff in the EEOC field offices. Assessing all contact channels combined, the IIG received more than 440,000 transactions in FY 2021 and we anticipate a higher volume in FY 2022. Investments made in the Intake Information Group have allowed the EEOC to expand its reach and more efficiently serve the public. Previously the EEOC’s investigators in each EEOC office responded to calls from the public. In FY 2021, our staff of approximately 43 IIRs, handled over 300,000 contacts without the need to forward them to EEOC investigators. As noted above, using IIRs to handle calls allows investigators to be more productive and efficient and enhances our service to the public. In FY 2021, each EEOC investigator continued to resolve an average of 129 charges.

As noted above, the EEOC has also increased the agency’s accessibility to individuals who are deaf and hard of hearing. As technology has moved forward, video phones have become the preferred method of communication for many individuals whose primary language is American Sign Language (ASL). When instituted, the EEOC was one of only three federal agencies (along with the Federal Communications Commission and the Small Business Administration) offering interactive video calls to the public. Staff members were hired to answer and respond to calls using ASL through videophones. Callers who are deaf or hard of hearing are able to have direct access to the EEOC staff, rather than through intermediaries, such as interpreters or video relay service. In FY 2021 over 800 video calls were handled by the IIG and we anticipate that number to increase in FY 2022. We will continue to assess the public demand for ASL services to determine if additional staffing resources are needed to support this aspect of our service to the public.

The IIG continues to lead the way in advancing full-time telework, thus helping to reduce our physical footprint and reduce costs. What began as a partnership with the National Telecommuting Institute (NTI), a non-profit organization whose mission is to identify and develop work-at-home jobs for individuals who have physical disabilities, has now expanded. In addition to the seven individuals hired through NTI, the option for 100 percent telework had been expanded to all IIR’s. Prior to the pandemic, 74 percent of the IIR’s teleworked full-time. During the period of the agency’s shift to 100 percent telework due to the pandemic, the IIG operations were able to successfully continue with all staff working remotely. The IIG was able to operate at optimal levels because of the experience gained during prior years of using telework.

In order to address the increasing demand for public services via email, the IIG has proposed an expansion of its current program to include a Dedicated Email Response Team. Inbound emails to the IIG have increased over 102 percent since 2011. Given the overall national shift to digital communication (email communication in particular), the IIG expects that email inquiries to the EEOC, via the IIG, will approach, if not exceed, 50,000 during FY 2022.

The results of expanding the IIG to include a Dedicated Email Response Team would significantly serve to improve the IIG’s operation outcomes, assist the public, and, in turn, advance the EEOC’s mission. As more and more EEOC stakeholders increasingly turn to email for information and guidance from the EEOC, a Dedicated IIG Email Response Team will be trained and fully equipped to provide timely, accurate, and thorough responses that are in accordance with EEOC Policy. EEOC stakeholders will be able to implement these EEOC-approved responses on a broad basis which will affect large sections of the workforce. An IIG Dedicated Email Response Team will thus facilitate widespread dissemination, education, and promotion of EEOC Policy Guidance with respect to a wide range of issues, including complex and current issues, thus significantly advancing the EEOC’s mission.

Beyond the contacts made through our IIG, another significant part of our work is addressing inquiries that do not ultimately become charges. These inquiries involve significant amount of staff time. In many instances where inquiries are submitted, staff interview the individual in depth and counsel the individual as to their rights, responsibilities and the process. In FY 2021, the EEOC received more than 173,700 inquiries in field offices, including 116,800 inquiries through the new online inquiry and appointment scheduling system.

The EEOC has had a continual focus on enhancing its charge intake services, including through the expansion of walk-in hours, and issuance of a plain language brochure to assist potential charging parties in understanding their rights and the EEOC charge handling process. Individuals may now contact the agency by phone, by mail, by e-mail, and by facsimile, by going to the EEOC’s website, or by visiting the EEOC field offices. In October 2018 the agency expanded the Online Inquiry and Scheduling System to all 53 field offices. This system allows potential charging parties to submit a pre-charge inquiry for review and provide on-line scheduling of appointments for intake interviews.

Likely due to the expansion of the online intake and scheduling system, there has been a 6.7 percent increase in the number of individuals who contacted the EEOC about an employment issue.

4. Information Technology - Digital Transformation

The EEOC is committed to digital transformation to increase its efficiency and to provide timely and effective service to the public. This encompasses everything the agency does, from increasing the efficacy of its administrative processes to better supporting mission-related activities in enforcement and litigation that are directed at stopping and remedying unlawful employment discrimination. These efforts are organized around three strategic IT goals:

• Transform the way the EEOC serves the public by making its charge complaint, and appeal processes transparent and providing information to its constituents online and on demand.
• Streamline processes to improve customer service for constituents, including individuals, state and local partners, Federal agencies, businesses and other organizations.
• Improve productivity by providing agency employees secure access to the tools, data and documents they require.

The first and most important effort of the agency’s digital transformation efforts is the modernization of its charge/case management system. The EEOC’s Strategic Plan required that the EEOC “complete a shared vision and develop high-level plans with resource requirements for modernizing [our] charge/case management system.” To meet this goal the agency engaged in a year-long effort with the Technology Modernization Fund (TMF), an innovative funding vehicle that uses a competitive vetting process to make funds available to federal agencies for technology improvements. After a process that included developing project proposals, a high-level project plan, a technical architecture, and a full business case, the TMF Board awarded the agency $4 million dollars, in two $2 million tranches. The TMF funds were received in early 2020 and provided the EEOC with the resources to modernize the legacy technology and data structure of its now 20-year old Integrated Mission System (IMS) over a three-year period.

Over the last 18 months, the modernization team defined and developed an end-to-end charge management solution to enable the agency’s Private Sector processes and the accompanying processes for its Fair Employment Practices Agency (FEPA) partners. Nearly 200 requirements workgroup meetings, requirement reviews, and demonstrations have been conducted to date in support of this program. These requirement efforts were critical to the development of nine common services, which are the foundation of the modernized system, and 20 app modules, which are the enabling tools for Private Sector and FEPA processes.

The modernized system – now branded as the Agency Records Center (ARC) – was deployed in January 2022. The EEOC completed this large-scale deployment – to 145 EEOC and FEPA offices – after significant user acceptance testing and training efforts. The agency is committed to the change management activities crucial to the program’s success and developed and presented more than 35 national-led trainings and demonstrations. Feedback for this effort was universally positive. The EEOC is modernizing Litigation and Federal Sector Services, for delivery in FY 2022 and FY 2023, respectively.

Modernizing its legacy charge/case management while also transitioning to new, more effective, peripheral digital systems is complex, and the success of both is essential to the agency’s mission. These supplementary efforts have included:

• The EEOC previously launched our Public Portals, providing online services for parties to submit inquiries, schedule an interview, formalize charges, exchange documents, identify processing preferences, check status, and update contact information – without the need to visit an EEOC office or use mail services. Similarly, the EEOC deployed electronic services to our public sector constituents, bringing the EEOC’s federal sector online services on par with the private sector. The companion Federal Sector EEO Portal (FedSEP), which provides online services to Federal Agency OEO offices, integrates with the public sector side of the EEOC Public Portal for information and document exchange.

  In FY 2020, we conservatively estimated that the use of private sector online services saved over 41,000 hours of investigator time (almost two weeks per investigator).  Electronic service also results in printing/postal/processing savings for the field offices’ clerical staff, freeing each enforcement office administrative assistant from more than seven days of work to perform other tasks. In addition to these cost savings and efficiency gains, the EEOC’s Public Portals proved to be a critical success factor in the agency’s ability to provide continuity of services to the public during the COVID-19 pandemic.   Beginning in FY 2023, the EEOC will enhance its Public Portals with expanded data, new services, and improved notifications made available by the modernized ARC system.

• In FY 2020, the agency modernized its over ten-year old external website, eeoc.gov. The new website is based on secure open-source technologies and improves our constituents experience, better promotes the agency’s message, integrates more effectively with our social media activities, supports multi-language capabilities, provides a mobile responsive platform for easier viewing on phones and tablets, and is fully compliant with applicable accessibility standards. In FY 2021 the agency integrated multi-language capabilities into eeoc.gov to further reduce barriers in providing information and services to our constituents.

  Also, during FY 2021, the EEOC migrated its out-of-support legacy intranet site, InSite, to SharePoint. Both the eeoc.gov and inSite migration efforts help partially resolve an open OIG finding regarding “out-of-date infrastructure supporting legacy EEOC systems and services.” The migration of EEOC’s final at-risk system, our legacy Document Management System, to SharePoint, will be completed during FY 2022 – closing out this multi-year risk finding.

• In accordance with another of the EEOC’s Strategic Plan goals – to “[align resources] with priorities to strengthen outreach [and] education,” in FY 21, the agency conducted market research for cloud-based software-as-a-service Outreach and Engagement solutions to support the activities of OFP, OFO, and OGC. The procurement and deployment of a solution will take place in FY 2022.

For digital transformation projects to achieve the goals of increased efficiency and improved service, the EEOC needed to invest in the infrastructure necessary to support a digital workplace. Accomplishments and plans in this area include:

• The EEOC previously expanded Field Offices and Headquarters network capacity to better support operations and prepare for the transition to unified communications, including investments to replace outdated network equipment. These efforts provided highly available, secure, data communication capabilities that are critical to our development of digital workplace. Bandwidth expansion was completed in FY 2021 via the Federal Enterprise Infrastructure Solutions (EIS) contract. EIS is expected to reduce the agency’s annual data communications costs by nearly 50 percent, which are being re-invested in increased bandwidth and will enable agency personnel to communicate with voice, video and data from all locations. The network investments for the EEOC’s Headquarters, Virtual Private Network (VPN), and Microsoft Office 365/Azure connections enabled the EEOC to support fulltime remote telework brought on by the COVID-19 pandemic.

  During FYs 2022 and 2023, the EEOC will continue to modernize our network infrastructure and will implement enterprise wireless capabilities, facilitating communication and collaboration throughout the EEOC office space and removing physical workstation-based connectivity limitations.

• In FY 2020, the agency completed its shift from its aging Novell directory and file services to investments in Microsoft Office 365 and Azure. Completion of these efforts enabled the agency to migrate its primary device operating system to Windows 10 during FY 2021. To address concerns associated with deploying a major upgrade during the pandemic and fulltime remote work, the EEOC developed a fully automated re-imaging / restore process that allowed laptop migrations to be performed via three methods, all following strict COVID-19 protocols: no-contact on-premise laptop swaps/upgrades, curbside (drive-through) laptop swaps, and shipped swaps. The new Windows 10 image significantly improves end-point security, provides modern web browsers and Office tools, and enhances remote work performance through improved VPN access. During FYs 2022 and 2023, the EEOC will refresh end-user equipment – mobile devices, laptops, peripherals, and multi-function devices – and will plan for and deploy the Windows 11 upgrade.
• To improve remote collaboration and communication capabilities during the COVID-19 pandemic, the EEOC aggressively deployed Microsoft Teams enterprise-wide. Deploying and utilizing Teams so rapidly, including developing written guidance, video presentations and remote training, helped transform the way the EEOC communicates – as EEOC employees are now able to use the enhanced chat, file, meeting and videoconferencing capabilities in Teams. This effort was expanded to provide Teams voice capabilities enterprise-wide, enabling staff to make and receive external calls during full-time remote work.

  During FY 2021, the EEOC continued the implementation of Microsoft Teams unified communications to replace and consolidate legacy telephone systems in use by the EEOC Headquarters and Field Offices. Teams Phone Deployments, including delivering physical phones to support office reopening, will be completed in 2021. Completion of the migration to unified communications will save the agency over $1.2 million annually, which will be reinvested in other needed IT services.

• The EEOC continued its migration from on-premises and hosted data centers to cloud services.  In FY 2021, the agency developed a roadmap and long-term success goals for its Azure Commercial tenant, including governance, policy enforcement, cost management, automation, and integrated security – factors that will enable the EEOC to leverage secure cloud services and manage costs going forward.  The agency increased its Azure Commercial workload usage and, at the same time, reduced costs by leveraging Azure Hybrid Use Benefits, reserving Virtual Machine instances, and automating storage repository cleanup. These initiatives resulted in over $67,000 in savings between October 2020 and May 2021.  OIT sponsored Microsoft’s Employee Skill Initiative (ESI) program for training and technical certifications, and provided enrollment, monthly updates, and encouragement to OIT staff, the Field Office IT Specialists, OEDA, and the Litigation Support technical team.
• One of the significant challenges associated with the COVID-19 pandemic was provisioning laptops to the summer interns that were preparing to on-board. Understanding the importance of this resource, and the time constraints related to their service, in less than one month the EEOC designed and provisioned a secure Windows Virtual Desktop (WVD) environment for interns use. WVD allows interns to securely connect to EEOC systems and services from their personal laptops at their remote locations. Using the EEOC’s Azure cloud infrastructure, WVD services can be ramped up or down to more efficiently and cost effectively meet these fluctuating needs. By the end of February 2022, the EEOC has serviced over 1,000 interns with its WVD platform. Due to the success of this effort, the WVD platform is being expanded to support EEOC’s continuity of operations, advanced data analytics, and litigation support requirements.

Securing the EEOC’s digital workplace is a critical part of the agency’s plans, with priorities developed and put in place to protect data that is central to the agency's mission and the privacy of the people the EEOC serves. The EEOC acquired several systems and services what will enhance security capabilities to better identify, analyze, and resolve internal vulnerabilities.

• The EEOC is implementing Cisco Identity Services Engine to provide upgraded authentication for network, VPN and wireless access. Additional security and privacy controls will be implemented during FYs 2022 and 2023, including architecting and employing a layered, segmented network security model, meeting Trusted Internet Connection (TIC) 3.0 requirements, and making progress towards a zero-trust network and systems architecture.
• In 2020, EEOC automated the enforcement of least privilege for system administrators, requiring that escalated privileges be requested for a specific function and duration, reducing risk of compromise and expanding audit and log capabilities. In FY 2021, the EEOC deployed Hardware Security Module (HSM) dedicated cryptographic components into the agency’s infrastructure to provide enterprise PKI certificates for workstations, servers, applications, and other IT security efforts. In FYs 2022 and 2023, the agency will focus on enhancing Governance, Risk, and Compliance (GCR), Vulnerability Disclosure Program (VDP), and operational continuous monitoring capabilities. These expanded controls will significantly reduce cybersecurity risk and allow the agency to better meet FISMA requirements and standards. Additionally, the agency will expand its Identity Management (IM) capabilities to bolster its security controls against account compromise.
• The EEOC will continue to comply with Federal security mandates, including the recent Executive Order on Improving the Nation's Cybersecurity. In FY 2018, the EEOC implemented Office 365 multi-factor authentication (MFA) and PIV-based device authentication for privileged users. During FY 2020, Office 365 MFA was implemented enterprise wide. With the implementation of Windows 10 and removal of the last of its legacy Novell dependencies, the EEOC will expand remote authentication protections and substantially complete deployment of PIV-based device authentication within 150 days after the Agency begins reentry from full-time telework.
• In FY 2022, the EEOC is scheduled to coordinate with DHS to conduct a “High Value Asset” (HVA) security assessment review of the new ARC case management system and its Azure-based environment. The ARC system is being designated as an HVA due to its support of EEOC mission essential functions.

On the privacy front, EEOC implemented Office 365 Data Loss Prevention (DLP) technologies to monitor outgoing external email transmissions for content containing sensitive information, such as Social Security numbers. In FY 2021, the agency also implemented EEOC Secure Share, a secure file transfer solution that enables the agency and external parties to exchange files in a HIPPA and FIPS 140-2 compliant manner. The EEOC will continue to deploy and utilize data-at-rest encryption and other data loss prevention technologies within SharePoint and Azure to better protect and secure the agency’s sensitive data.

Another key IT focus is Enterprise Analytics and Reporting, as the agency has recognized the need to better utilize its data for analytics, such as to support decision making, and operational reporting, to support mission results. The EEOC migrated its IMS-based analytics to Microsoft Power BI the agency to retire its aging and unsecure Hyperion environment in early FY 2022. For the remainder of FY 2022 and in FY 2023, this work will turn to developing Power BI-based reporting and analytics services for its new ARC charge management system.

As outlined above, in FYs 2021 and 2022, the EEOC achieved many of our multi-year digital transformation milestones – realizing the related benefits, efficiencies, and cost savings. With sufficient funding in FY 2023, the EEOC will continue to use its newly acquired technologies to their fullest potential – modernizing its network infrastructure, improving digital services, enhancing information security and privacy, and migrating legacy systems to modern cloud-based solutions.  

5.     Finance and Administration

Office Rehabilitations and Relocations

The EEOC continues to collaborate with the General Services Administration to right-size space to achieve optimum assigned staff and space capacity ratio of a 70 percent or more capacity utilization rate of EEOC-occupied space.

We continue to prioritize, plan, and execute imminent lease expiration, opportune space reductions, and other major space management operations in support of the agency’s strategic objectives and overall mission.

The EEOC continues to incorporate space reduction or sustainment measures to comply with amended OMB memorandum M-12-12 “Promoting Efficient Spending to Support Agency Operations,” Executive Order 13589 requirements to reduce operating costs and “Reduce the Footprint (RTF).” Measures we employ include, but are not limited to the following:

• The EEOC will employ measures to not increase our total square footage from the FY 2015 RTF baseline. The agency will return to GSA or lessor unneeded or underutilized space (rightsizing); and identify “off-setting” office space to reduce when we must exceed the FY 2015 RTF baseline for one or more of the EEOC’s offices.
• Adherence to Agency Space Allocation Guidelines, for universal application of personnel and office space requirements that include a designated number of two-person private offices dependent upon the total square feet of the office.
• For maximum economic efficiency, the Commission continues to plan space requirements for both the short and long terms and “right-size” offices in conjunction with lease expiration operations. We also take advantage of re-programmed funds for independent space actions such as security and safety improvements and furniture replacement in offices that habitually renew leases in federal spaces.
• The EEOC will also undertake a review of all space needs, current and emerging to ensure that we maximize our space utilization and update our space allocation guidelines to adjust for a post-COVID work environment.

Based on the above, the following is a summary of FY 2021 completed space actions and FYs 2022-2024 planned space actions:

• FY 2021: Completed lease award, relocation and Tenant Improvement projects: Albuquerque, Minneapolis, Oakland, San Antonio, San Jose, Seattle (Information Intake Group), and Washington, D.C. (HQ and the Washington Field Division).
• FY 2022: Expiring leases and lease awards, anticipated relocations and office wide re-configuration Commission projects: Charlotte, Dallas, Indianapolis, Little Rock, Los Angeles, Louisville, Milwaukee, Memphis, Nashville, Norfolk, New York, Pittsburgh, San Diego, and Savannah.
• FY 2023: Anticipated expiring lease, relocation and office wide re-configuration Commission projects: Cincinnati, Cleveland, Detroit, Greensville, Newark, Richmond, and Tampa.
• FY 2024: Anticipated expiring lease, relocation and office wide re-configuration Commission projects: Raleigh.

Financial Management and Data Analysis

The “Digital Accountability and Transparency Act of 2014” (DATA Act) requires agencies to designate Agency Senior Accountable Officer (SAO) to meet the legislative and regulatory requirements.

The EEOC’s designated SAO is the CFO. The EEOC is taking steps to improve budget, performance and financial data as prescribed by the “Digital Accountability and Transparency Act of 2014” (DATA Act).

Financial and Spending Data Analysis and Compliance

The EEOC currently uses an outdated Oracle Contract Life Cycle Management (CLM) System to procure goods and services. The CLM has many system and control limitations, does not produce 508-compliant documents, and is no longer in compliance with basic regulatory requirements, including the DATA Act, clause and form updates, e.g., Standard Form 26 (SF26), Item 13 is not updated to reflect the past update from March 2013 of “41 U.S.C. 3304(a)”, the authority for using other than full and open competition. Additional help desk support requests for data fix scripts are often required to resolve historical data inputs and revisions to prior workarounds for technical integration obstacles which were required for processing obligations prior to system upgrades. Examples which have surfaced include the following: the inability to receive negative dollar amounts for processing modifications for de-obligations; and, the inability to override actions previously requiring “approved without reporting” for award processing or actions requiring the “technical connectivity failure” option after the FY 2018 system upgrade.

The EEOC is taking various complementary approaches and controls to overcome the CLM system limitation and non-compliance challenges to meet the legislative and regulatory mandates, and to satisfy the DATA Act requirements.

Security, Safety, Emergency Preparedness and Continuity of Operations

In FY 2022, the Commission will complete the installation of an Enterprise Physical Access Control System (ePACS) in all 53 Field Offices and Headquarters. This will bring the EEOC into compliance with HSDP-12, FIPS 201, NIST SP 800-116 and DHS/Interagency Security Committee standards and guidance. Ongoing support, life cycle replacement, office relocation installation, service and maintenance are required.

In FY 2019, the Commission embarked on mitigating active shooter vulnerabilities within their Field Office’s intake areas for offices located in buildings without physical security screening (x-ray and magnetometer) and armed Protective Security Officers. The EEOC, working with GSA, collaborated to install ballistic resistant glass transaction windows in 16 locations without physical security screening and armed Protective Security Officers. The final installation will be complete in FY 2022. Future office relocations into buildings without physical security screening and armed Protective Security Officers will include ballistic glass transaction window installations.

IX. VERIFICATION AND VALIDATION OF DATA

The agency’s private sector, federal sector, and litigation programs require accurate enforcement data, as well as reliable financial and human resources information, to assess the EEOC’s operations and performance results and make sound management decisions. The EEOC continues to ensure the accuracy of program information and analysis of the information.

The EEOC continually reviews the information it collects in our databases for accuracy by using statistical software (e.g., SAS, PowerBI, etc.) 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 erroneous entries requiring correction to collection procedures.

The modernization of the agency’s legacy IMS application to the new ARC system will significantly improve the collection and validation for our program data related to charge intake, investigation, mediation, conciliation and FEPA functions – migrating away from manual activity-based data entry to automated event-driven recordation. Data integrity associated with our litigation and federal sector functions will similarly be improved as these components are migrated into ARC in FYs 2022 and 2023. The EEOC Public Portal also allows EEOC constituents (charging parties/complainants and respondents) to review and update their personal/business information. During these modernization efforts, the EEOC has identified many areas where we will be able to further improve and automate our current processes and related data integrity. Because several performance measures require data to assess our achievements, it is significant that we can now obtain more reliable data more quickly.

The EEOC’s Office of Inspector General (OIG) continues to review the agency’s data validity and verification procedures, information systems, and databases and offer recommendations for improvements. The agency uses the OIG’s information and recommendations to continually improve the EEOC’s systems and data.

X.    PROGRAM EVALUATIONS

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

Independent program evaluations played an important role in formulating the strategic objectives and performance goals detailed in the EEOC’s 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 high levels of productivity and program efficiency, effectiveness, and accountability. Consistent with the agency’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 review will ensure that the agency's efforts align with the EEOC’s budget and other programmatic priorities.

In FY 2021, the agency continued its work on the following evaluation projects: 1) The Interagency Agreement (IAA) between the EEOC and the Committee on National Statistics (CNSTAT) of the National Academies of Sciences, Engineering, and Medicine for a Panel to Evaluate the Quality and Utility of Compensation and Hours Worked Data Collected from U.S. Employers by the EEOC through the EEO-1 Project; 2) the Mediation Survey Modernization Project; and 3) the EEOC’s Data and Modernization Program. See Appendix B for more detail.

XI. ADMINISTRATION AND SUPPORT

A. Introduction

We are constantly seeking ways to achieve organizational excellence by improving our organizational capacity through sound management of our resources. Maximizing effective use of our resources is essential to achieving our enforcement and outreach goals.

B. Freedom of Information Act Workload

The data suggests that the number of requests received under the Freedom of Information Act (FOIA) will stabilize at slightly under 15,200 by FY 2025.

Table 12 below depicts the actual FOIA workload for FYs 2019 - 2021, and projections for the number of requests received, processed, and pending for FYs 2022 - 2025.

Based on actual FY 2021 workload data, Table 12 below projects the number of FOIA requests to be received each year from FYs 2022 - 2025 as approximately 15,148 requests each year. Based on FY 2021 data, the number processed each year is estimated to be up to approximately 17,804 in FY 2022, and slightly under 15,200 in FY 2023 and through FY 2025.

* May not add due to rounding
** Carryover Previous Year inventory adjusted to reflect FOIA activity spanning FYs
*** Processed FOIA is the projected estimate for four quarters. As of December 31, 2021, the EEOC had received 3,787 FOIA requests and processed 4,451 requests. At this rate, when the requests processed is multiplied by four, the year end result is 17,804 processed FOIA requests.
**** Updated numbers are from the FY 2021 first quarterly report cleared by DOJ.

C. GINA Study Commission

Section 8 of Title II of the Genetic Information Nondiscrimination Act (GINA) of 2008 requires that a commission designated by members of Congress be established on May 21, 2014 to review the developing science of genetics and to make recommendations to Congress regarding whether to provide a disparate impact cause of action under GINA. To date, Congress has not designated any members. In order to abide by our statutory responsibilities, should such a Commission be established, we anticipate that we would need to cover the following costs for the eight-member commission: shared rent and security; IT services; per diem, including air fare; postal services; and other miscellaneous expenses.

To be known as the Genetic Nondiscrimination Study Commission, this commission would be located in a facility maintained by the EEOC. Although members will not receive compensation for the performance of services for the commission, the statute requires that members receive travel expenses, including per diem, while away from their homes or regular places of business in the course of performing services for the commission. The statute authorizes sums to be appropriated to the EEOC as shall be necessary to carry out the requirements of Section 8.

APPENDIX A: GENERAL STATEMENT OF LAWS

The U.S. Equal Employment Opportunity Commission (the EEOC or Commission) was established under Title VII of the Civil Rights Act of 1964 (78 Stat. 253, 42 U.S.C. 2000e et seq.), and became operational on July 2, 1965. The EEOC is a bipartisan Commission comprised of five members, who are appointed by the President, with the advice and consent of the Senate, for rotating five-year terms. No more than three members may come from the same political party. The President designates one Commissioner to serve as Chair and another Commissioner to serve as Vice Chair. In addition to the Commissioners, the President appoints a General Counsel to a four-year term to support the Commission and oversee the agency’s litigation programs.

The EEOC is charged with ensuring justice and equality in the workplace by stopping and remedying unlawful discrimination. The EEOC fulfills its mission through the implementa­tion of a vigorous law enforcement program that includes investigation, conciliation, medi­ation, and litigation, complemented by an outreach program that provides information, guidance, and technical assistance to help prevent discrimination.

Statutes Enforced

The EEOC enforces the employment provisions of Title VII, which prohibit discrimination on the basis of race, color, religion, sex, or national origin by private and state or local employers with 15 or more employees; by employment agencies; by labor organizations with 15 or more members; by joint labor-management training and apprenticeship programs; and by the federal government. In 1978, Title VII was amended to enact the Pregnancy Discrimination Act (PDA), which requires employers to treat pregnancy, childbirth, or a medical condition related to pregnancy or childbirth as any other medical condition with respect to terms of employment, including health benefits.

In addition to Title VII; the EEOC enforces the Age Discrimination in Employment Act of 1967 (ADEA); the Equal Pay Act of 1963 (EPA); Sections 501 and 505 of the Rehabilitation Act of 1973; Titles I and V of the Americans with Disabilities Act of 1990 (ADA); and Title II of the Genetic Information Nondiscrimination Act of 2008 (GINA).

The ADEA protects individuals age 40 and older from age-based employment discrimination. It covers private employers with at least 20 or more employees, state and local governments, employment agencies, labor organizations with 25 or more members, and the federal government. The ADEA was amended in 1990 by the Older Workers Benefit Protection Act to prohibit age discrimination in fringe benefits and to limit waivers of ADEA claims.

The EPA prohibits sex-based discrimination in the payment of wages to men and women performing substantially equal work in the same establishment. The EPA applies to most employers.

Titles I and V of the ADA prohibit employment discrimination against qualified individuals on the basis of an employee’s or applicant’s disability. The act covers both private sector and state or local government employers with 15 or more employees, employment agencies, and labor organizations with 15 or more members, and joint labor-management training and apprenticeship programs. Sections 501 and 505 of the Rehabilitation Act protect qualified individuals from employment discrimination on the basis of disability by the federal gov­ernment, and section 501 requires that federal employers undertake affirmative action on behalf of individuals with disabilities.

The ADA and the Rehabilitation Act both require employers to make reasonable accom­modations for individuals with disabilities absent undue hardship (i.e. significant difficulty or expense). The laws also regulate when employers may ask for certain medical information, require medical testing, and disclose employee medical records, regardless of whether the affected individual is a qualified individual with a disability. The ADA Amendments Act of 2008 broadened the definition of “disability” under the ADA and the Rehabilitation Act.

Title II of GINA protects individuals against employment discrimination based on genetic information, including information about an individual’s genetic tests and the genetic tests of an individual’s family members, as well as information about an individual’s family medical history. GINA covers employers with 15 or more employees, including state and local governments as well as employment agencies; labor organizations; joint labor-man­agement training and apprenticeship programs; and the federal government. GINA also strictly limits access to genetic information and requires that covered entities maintain the confidentiality of any genetic information that they obtain.

All of the EEOC-enforced laws prohibit retaliation. Title VII, ADEA, ADA, the Rehabilitation Act, and GINA prohibit retaliation against individuals who have reasonably opposed dis­crimination, or who have filed a charge, served as a witness, or otherwise participated in an EEO proceeding. The EPA prohibits retaliation against an individual because he has filed a complaint (internal or with an enforcement agency) or instituted or testified in a proceeding.

Enforcement Methods

Private Employers, State and Local Government Respondents

Members of the public may file charges alleging employment discrimination in violation of EEOC-enforced laws with an EEOC field office. Charges also may be initiated by the EEOC’s Commissioners or, alternatively, “on behalf of” another person by an individual or organization, such as a union or civil rights group. After charges are filed, the EEOC’s staff members investigate and the EEOC may issue a determination of “reasonable cause” or dismiss the charge for a variety of reasons. If the agency determines there is reasonable cause to believe unlawful discrimination occurred, it attempts to resolve the charge through conciliation. The EEOC also attempts to settle charges through mediation, in lieu of an investigation or at any stage of an investigation. Under Title VII, the ADEA, ADA and GINA, filing a charge generally is a prerequisite to filing a lawsuit. Filing a charge of discrimination is not a prerequisite to filing a suit under the EPA.

EEOC-enforced laws authorize the EEOC to file suit in federal district court in order to remedy employment discrimination if it is unable to achieve resolution through voluntary conciliation. If, however, the charge of discrimination involves allegations under Title VII, the ADA or GINA against a state or local govern­ment, the EEOC refers it to the Attorney General, who may file suit in federal court. The EEOC may bring its own suits alleging violations of the ADEA or EPA by state or local governments.

Federal Agency Respondents

The EEOC also oversees a separate administrative process for employment discrimination claims against the federal government. The federal government, as an employer, is subject to these anti-discrimination requirements through Section 717 of Title VII; Section 15 of the ADEA; Section 501 of the Rehabilitation Act; the EPA; and Section 201 of GINA. These laws provide the EEOC with oversight responsibility, including the authority to maintain procedures used by federal departments and agencies in processing internal complaints of employment discrimination. In addition, the EEOC has jurisdiction to review final administrative decisions of departments or agencies on their discrimination complaints.

The EEOC may award relief to federal emp­loyees, applicants and former employees to remedy harm suffered by violations of these laws and may monitor federal agencies’ com­pliance. It also is responsible for ensuring that federal departments and agencies maintain programs of equal employment opportunity, including by posting equal employment opportunity data pursuant to the Notification and Federal Employee Antidiscrimination and Retaliation Act of 2002 (the “No FEAR Act”) – including the additional responsibilities under the Elijah E. Cummings Federal Employee Antidiscrimination Act of 2020 amendments – to  help Congress, federal agencies, and the public assess whether and to what extent agencies are meeting their EEO responsibilities.

Data Reporting and Record Keeping

Under section 709(c) of Title VII, the EEOC may require covered entities to keep records that are relevant to determining whether the law has been violated and may require reporting from this information. Pursuant to this authority, the EEOC requires covered private employers, state or local governments, and labor organizations to file periodic reports providing data on the makeup of their workforces or memberships by gender and racial/ethnic categories. The EEOC uses this data in charge investigations and other enforcement activities. It also uses this data to produce reports about the status of workers by race, ethnicity, or gender in selected industries.

Section 709(e) of Title VII forbids the EEOC or any EEOC officer or employee from making public any information before a Title VII proceeding is instituted that involves that information. EEOC staff who violate this prohibition may be found guilty of a criminal misdemeanor and could be fined or imprisoned. The EEOC directly imposes this Title VII confidentiality requirement on all of its contractors, including contract workers and contractor companies, as a condition of their contracts. With respect to other federal agencies with a legitimate law enforcement purpose, the EEOC gives access to information collected under Title VII only if the agencies agree, by letter or memorandum of understanding, to comply with the confidentiality provisions of Title VII. For the EEOC, its agents and contractors, Title VII only permits disclosure of information after suit is filed in a particular matter on the issues that were investigated at the administrative level.

With respect to data-sharing with FEPAs, Title VII states that the EEOC may give FEPAs information (including EEO-1 data) about employers in their jurisdiction on the condition that it not be made public prior to the institution of a proceeding under state or local law involving such information. The EEOC’s current practice is to share with a contracted FEPA the EEO-1 data filed by an organization within the FEPA’s jurisdiction. The contracts include provisions imposing obligations with respect to confidentiality, privacy and data security. The EEOC may also share data with a non-contracted FEPA only if specified internal review protocols are followed and such sharing is deemed appropriate. In such instances, non-contracted FEPAs will be required to formally agree to confidentiality, privacy and data security requirements. The general rule is that EEO-1 data for an employer within the FEPA’s jurisdiction will be shared. However, the policy recognizes and allows for additional data to be shared to assist labor market analyses, in some instances. Title VII authorizes the EEOC to decline to honor a FEPA’s subsequent requests for information if the FEPA violates Title VII’s confidentiality requirements.

Leadership and Coordination of Federal EEO Efforts

Under Executive Order 12067, the EEOC provides leadership and coordination to all federal departments’ and agencies’ programs enforcing federal statutes, executive orders, regula­tions and policies that require equal employment opportunity. The executive order instructs the EEOC to eliminate conflict, competition, duplication and inconsistency when coordinating these programs and to promote efficiency and effectiveness. All federal departments and agencies are required to cooperate with and assist the EEOC in performing these functions and are required to furnish the EEOC with such reports and information as it may require, including any proposed rules, regulations, policies, procedures or orders concerning equal employment opportunity during their development and in final at least 15 working days before issuance.

APPENDIX B: EVALUATION AND EVIDENCE

1.     Agency Context

a. Current Efforts and Future Plans

The EEOC recognizes the importance of data driven decision-making and the transformative role data can have to make the federal government more efficient and to better serve the American people. The EEOC is committed to building our capacity to provide viable evidence and better integrate our information and data policy into budget, performance and management decision making. As a basis for this emphasis, we are guided by:

• The EEOC’s Strategic Plan and its prioritization across the agency’s long-term strategic goals and objectives;
• Foundations for Evidence-Based Policymaking Act of 2018;
• OMB Guidance including OMB M-21-27, OMB M-20-12, and OMB M-19-23;
• Executive Order on “Advancing Racial Equity and Support for Underserved Communities Through the Federal Government;”
• Executive Order on “Diversity, Equity, Inclusion, and Accessibility in the Federal Workforce;
• Presidential Memorandum on “Restoring Trust in Government Through Scientific Integrity and Evidence-Based Policymaking;” and,
• Executive Order on “Improving the Nation’s Cybersecurity.”

b. Recent Major Progress

The EEOC continues to make great strides with its Data and Analytics Program that was implemented in FY 2018. The goals of this program include, for example, enhancing the transparency of agency functions and operations, reducing burden on our stakeholders, augmenting agency use of modern data analytics to drive data-driven decision making, and promoting greater public access to the data.

c. Current Barriers

The EEOC, having made significant initial strides to modernize its methods of data collection, reporting, and access in recent years, will require additional funding in FY 2022 and FY 2023 to continue the agency’s work to implement data-driven decision-making, enterprise-wide, and to use data to deliver on the EEOC’s mission and serve both the agency and the public. The agency’s proposed FY 2023 funding request to modernize the EEOC’s data and analytics directly support the Executive Order on Advancing Racial Equity and Support for Underserved Communities Through the Federal Government and the Presidential Memorandum on Restoring Trust in Government Through Scientific Integrity and Evidence-Based Policymaking.

2.     Evaluation Projects

In FY 2021, the agency continued work on the following evaluation projects: The Interagency Agreement (IAA) between the EEOC and The Committee on National Statistics (CNSTAT) of the National Academies of Sciences, Engineering, and Medicine for a Panel to Evaluate the Quality and Utility of Compensation and Hours Worked Data Collected from U.S. Employers by the EEOC through the EEO-1 project; the Mediation e-Survey Modernization Project; and the EEOC’s Data and Analytics Modernization Program.

The Interagency Agreement (IAA) between the EEOC and The Committee on National Statistics (CNSTAT) of the National Academies of Sciences, Engineering, and Medicine for a Panel to Evaluate the Quality and Utility of Compensation and Hours Worked Data Collected from U.S. Employers by the EEOC through the EEO-1 Project Examining the EEOC’s Collection of Employer Compensation Data for 2017 and 2018. The EEOC’s large scale collection of pay information between July 15, 2019 and February 14, 2020 affords an opportunity to review the methods used and the circumstances of the collection, to document lessons learned, and to identify ways to improve potential future collections. The panel will consider existing data quality and data utility frameworks for this data and will conduct analyses of the compensation data to assess its quality and usefulness for various purposes. The final report will provide the expert panel’s conclusions and recommendations to inform the agency’s approach to future data collections.

Mediation Survey Modernization Project. Beginning in FY 2020, EEOC mediation participants will be able to share their perceptions by completing a survey electronically, in English or Spanish. The project benefits include fewer steps in the process of distributing the survey to participants, faster receipt of survey responses, reduced data entry and elimination of postage. The mediation program has conducted only telephone or video mediations since March 2020, a departure from the in-person model implemented in 1999.

In FY 2021, this project was expanded to not only include mediation participants, but EEOC mediators. The EEOC also increased its efforts to reach underserved communities by making the survey available in Haitian/Creole and Chinese.

The EEOC’s Data and Analytics Modernization Program: Beginning in FY 2018 and continuing into FY 2023, the goals of the modernization program – are to enhance transparency of agency functions and operations, reduce burden on our stakeholders, augment agency use of modern data analytics to drive data-driven decision making, and promote greater public access to the data.

Specific initiatives the EEOC’s Data and Analytics Modernization Program include:

Modernize the EEOC’s Data Collections. Conducted by the EEOC with assistance from National Opinion Research Center (NORC) at the University of Chicago, a leading federal survey data contractor, this project focuses on modernizing the EEO-1, 3, 4, and 5 data collections. Through this work, the EEOC has conducted an initial assessment of Paperwork Reduction Act (PRA) Information Clearance Request (ICR) packages, to identify potential opportunities to strengthen ICRs. In addition, the first phase of a comprehensive evaluation to conduct a full review of the EEOC’s current methods of data collection and reporting with an eye toward identifying innovations and efficiencies has been completed. The EEOC issued a new five-year contract for the EEO Data Collections that will implement new strategies and innovations identified in the evaluation.

In addition, to ensure that all employers eligible to file the EEO-1, 3, 4, and 5 are included in the data collection frame/roster, EEOC proposes to:

• Utilize External Sources to Continuously Update Frame for EEO Data Collections and Improve Agency’s Employer Master List by developing a multi-year contract with an external vendor or vendors to provide annual updates to all EEO data collection frames, and the agency’s Employer Master List.
• Develop an Interagency Agreement with Census Bureau to conduct a study matching the most recent EEO-1 roster with Census Bureau establishment survey rosters to ascertain completeness, missing entities, etc.

Provide Secure Access to the EEOC’s Restricted Data for Research and Statistical Purposes. To protect the EEOC’s restricted-access data released for research purposes, the agency through an Interagency Agreement with the Census Bureau is establishing through the Federal Statistical Research Data Center, a modern, secure, and privacy protected approach to facilitate access to protected data for external researchers.

EEOC Explore. This project enhances the transparency of agency functions and operations by facilitating and simplifying access to agency publicly releasable data by creating easily accessible public use files, documentation, and a web-enabled, state-of-the-art, user-friendly, data query and mapping tool, to facilitate access, and encourage greater use of the EEOC’s publicly available data. The initial public launch displays EEO-1 aggregated files for FY 2014 – FY 2018. Additional years of EEO-1 and other EEO data collection files will be added each year as data becomes available for publication. This publicly accessible tool is located at www.eeoc.gov/statistics/employment/jobpatterns/eeo1.

Data Visualizations for the Public. The EEOC has created new data visuals to accompany the existing data summary product it releases to the public in tabular format. The purpose of these visuals is to display enforcement data in a simple, comprehensible, and visually appealing way for all our internal and external stakeholders. These products represent the EEOC’s first major new type of data product in more than 20 years. These data visualizations illustrate statistics for employment discrimination charges and resolutions for the general public as well as specialists in anti-discrimination law and are part of the agency’s broader effort to bring greater transparency to the EEOC’s operations. The agency also is creating customized visualizations for use by internal stakeholders in each district to support enforcement and outreach functions of the agency. For example, one application of the visualizations will be to identify demographic characteristics and counties of residence of populations more vulnerable to workplace discrimination.

Data Visualization Tool for EEOC Outreach and Education Coordinators. The EEOC has created an interactive data visualization tool for internal stakeholders in the EEOC’s Office of Field Programs to support outreach and education activities. Using public-use Census Bureau data and the Tableau visual analytics platform, the tool enhances data-driven decision making by enabling users to identify counties, EEOC districts, and states with relatively high concentrations of vulnerable workers by race and ethnicity, sex, age, and disability, and depicts the proximity of every Tribal Area to the nearest EEOC office. The tool provides other characteristics of vulnerable worker populations including median income and foreign languages spoken. Future versions of the tool will overlay the Census data with EEOC EEO data collection data and historical charge data to also inform enforcement activities.

Evaluate the Efficacy of Existing Relevant Federal Data Sets. The EEOC is working to identify other federal sources of administrative and survey data (e.g. Bureau of Labor Statistics, Census Bureau) that, alone or in combination with existing EEOC data, may allow exploration into detecting and developing new tools and models for increasing understanding and awareness, identifying solutions, and implementing actions targeting the reduction of illegal employment discrimination.

APPENDIX C: ENTERPRISE RISK MANAGEMENT

BACKGROUND

The EEOC Enterprise Risk Management Policy Handbook established formal Enterprise Risk Management (ERM) within the EEOC in accordance with Section II of OMB Circular A-123, ERM and Internal Control are components of a robust governance framework. ERM as a discipline deals with identifying, assessing, and managing risks. Through adequate risk management, agencies can concentrate efforts on key points of failure and reduce or eliminate the potential for disruptive events. OMB Circular No. A-123 defines management’s responsibilities for ERM and includes requirements for identifying and managing risks.

The EEOC recognized that many risks within the organization are interrelated and cannot be effectively and efficiently managed independently within a given Headquarters or Field Office. The interconnected risks facing the EEOC must be managed across the organization and, in many instances, in coordination with the agency and its stakeholders. Therefore, the EEOC Enterprise Risk Steering Committee (ERSC) was established to oversee the development and implementation of processes used to analyze, prioritize, and address risks across the EEOC. The ERSC is composed of the following representatives:

• Chief Risk Officer (CRO) and Committee Chair
• Director, Office of Field Programs
• Director, Office of Federal Operations
• District Director Representative
• Regional Attorney Representative
• Field/Area/Local Office Director Representative
• Chief Information Officer (CIO)
• Chief Information Security Officer (CISO)
• Director, Office of Enterprise Data and Analytics
• Deputy General Counsel
• Associate Legal Counsel
• Chief Financial Officer (CFO)
• Chief Human Capital Officer (CHCO)
• Associate Director, Office of Communications and Legislative Affairs (OCLA)

APPENDIX D: AGENCY RESPONSES TO PL 115-414 GOOD ACCOUNTING OBLIGATION IN GOVERNMENT ACT (GAO-IG Act)

This bill requires each federal agency, in its annual budget justification, to include a report on: (1) each public recommendation of the Government Accountability Office (GAO) that is classified as "open" or "closed, unimplemented"; (2) each public recommendation for corrective action from the agency's office of the inspector general (OIG) for which no final action has been taken; and (3) the implementation status of each such recommendation.