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MD-715 - PART G Agency Self-Assessment Checklist

 

EEOC Form
U.S. Equal Employment Opportunity Commission

FEDERAL AGENCY ANNUAL EEO PROGRAM STATUS REPORT

The Part G Self-Assessment Checklist is a series of questions designed to provide federal agencies with an effective means for conducting the annual self-assessment required in Part F of MD-715. This self-assessment permits EEO Directors to recognize, and to highlight for their senior staff, deficiencies in their EEO program that the agency must address to comply with MD-715's requirements. Nothing in Part G prevents agencies from establishing additional practices that exceed the requirements set forth in this checklist.

All agencies will be required to submit Part G to EEOC. Although agencies need not submit documentation to support their Part G responses, they must maintain such documentation on file and make it available to EEOC upon request.

The Part G checklist is organized to track the MD-715 essential elements. As a result, a single substantive matter may appear in several different sections, but in different contexts. For example, questions about establishing an anti-harassment policy fall within Element C (Management and Program Accountability), while questions about providing training under the anti-harassment policy are found in Element A (Demonstrated Commitment from Agency Leadership).

For each MD-715 essential element, the Part G checklist provides a series of "compliance indicators." Each compliance indicator, in turn, contains a series of "yes/no" questions, called "measures." To the right of the measures, there are two columns, one for the agency to answer the measure with "Yes", "No", or "NA;" and the second column for the agency to provide "comments", if necessary. Agencies should briefly explain any "N/A" answer in the comments. For example, many of the sub-component agencies are not responsible for issuing final agency decisions (FADs) in the EEO complaint process, so it may answer questions about FAD timeliness with "NA" and explain in the comments column that the parent agency drafts all FADs.

A "No" response to any measure in Part G is a program deficiency. For each such "No" response, an agency will be required in Part H to identify a plan for correcting the identified deficiency. If one or more sub-components answer "No" to a particular question, the agency-wide/parent agency's report should also include that "No" response.


MD-715 - PART G

Agency Self-Assessment Checklist

Essential Element A: Demonstrated Commitment From agency Leadership
This element requires the agency head to communicate a commitment to equal employment opportunity and a discrimination-free workplace.

Compliance Indicator

Measures

A.1 - The agency issues an effective, up-to-date EEO policy statement.

Measure Met?

(Yes/No/NA)

Comments

Current Part G Questions

A.1.a

Does the agency annually issue a signed and dated EEO policy statement on agency letterhead that clearly communicates the agency's commitment to EEO for all employees and applicants? If "yes", please provide the annual issuance date in the comments column. [see MD-715, II(A)]

A.1.a.2

A.1.b

Does the EEO policy statement address all protected bases (age, color, disability, sex (including pregnancy, sexual orientation and gender identity), genetic information, national origin, race, religion, and reprisal) contained in the laws EEOC enforces? [see 29 CFR § 1614.101(a)]

New

Compliance Indicator

Measures

A.2 - The agency has communicated EEO policies and procedures to all employees.

Measure Met?

(Yes/No/NA)

Comments

A.2.a

Does the agency disseminate the following policies and procedures to all employees:

A.2.a.1

Anti-harassment policy? [see MD 715, II(A)]

New

A.2.a.2

Reasonable accommodation procedures? [see 29 C.F.R § 1614.203(d)(3)]

New

A.2.b

Does the agency prominently post the following information throughout the workplace and on its public website:

A.2.b.1

The business contact information for its EEO Counselors, EEO Officers, Special Emphasis Program Managers, and EEO Director? [see 29 C.F.R § 1614.102(b)(7)]

New

A.2.b.2

Written materials concerning the EEO program, laws, policy statements, and the operation of the EEO complaint process? [see 29 C.F.R § 1614.102(b)(5)]

A.2.c

A.2.b.3

Reasonable accommodation procedures? [see 29 C.F.R. § 1614.203(d)(3)(i)] If so, please provide the internet address in the comments column.

A.3.c

A.2.c

Does the agency inform its employees about the following topics:

A.2.c.1

EEO complaint process? [see 29 CFR §§ 1614.102(a)(12) and 1614.102(b)(5)] If "yes", please provide how often.

A.2.a

A.2.c.2

ADR process? [see MD-110, Ch. 3(II)(C)] If "yes", please provide how often.

New

A.2.c.3

Reasonable accommodation program? [see 29 CFR § 1614.203(d)(7)(ii)(C)] If "yes", please provide how often.

New

A.2.c.4

Anti-harassment program? [see EEOC Enforcement Guidance on Vicarious Employer Liability for Unlawful Harassment by Supervisors (1999), § V.C.1] If "yes", please provide how often.

New

A.2.c.5

Behaviors that are inappropriate in the workplace and could result in disciplinary action? [5 CFR § 2635.101(b)] If "yes", please provide how often.

A.3.b

Compliance Indicator

Measures

A.3 - The agency assesses and ensures EEO principles are part of its culture.

Measure Met?

(Yes/No/NA)

Comments

New Compliance Indicator

A.3.a

Does the agency provide recognition to employees, supervisors, managers, and units demonstrating superior accomplishment in equal employment opportunity? [see 29 CFR § 1614.102(a) (9)] If "yes", provide one or two examples in the comments section.

New

A.3.b

Does the agency utilize the Federal Employee Viewpoint Survey or other climate assessment tools to monitor the perception of EEO principles within the workforce? [see 5 CFR Part 250]

New

Essential Element B: Integration of EEO into the agency's Strategic Mission
This element requires that the agency's EEO programs are structured to maintain a workplace that is free from discrimination and support the agency's strategic mission.

Compliance Indicator

Measures

B.1 - The reporting structure for the EEO program provides the principal EEO official with appropriate authority and resources to effectively carry out a successful EEO program.

Measure Met?

(Yes/No/NA)

Comments

B.1.a

Is the agency head the immediate supervisor of the person ("EEO Director") who has day-to-day control over the EEO office? [see 29 CFR §1614.102(b)(4)]

B.1.a

B.1.a.1

If the EEO Director does not report to the agency head, does the EEO Director report to the same agency head designee as the mission-related programmatic offices? If "yes," please provide the title of the agency head designee in the comments.

New

B.1.a.2

Does the agency's organizational chart clearly define the reporting structure for the EEO office? [see 29 CFR §1614.102(b)(4)]

B.1.d

B.1.b

Does the EEO Director have a regular and effective means of advising the agency head and other senior management officials of the effectiveness, efficiency and legal compliance of the agency's EEO program? [see 29 CFR §1614.102(c)(1); MD-715 Instructions, Sec. I]

B.2.a

B.1.c

During this reporting period, did the EEO Director present to the head of the agency, and other senior management officials, the "State of the agency" briefing covering the six essential elements of the model EEO program and the status of the barrier analysis process? [see MD-715 Instructions, Sec. I)] If "yes", please provide the date of the briefing in the comments column.

B.2.b

B.1.d

Does the EEO Director regularly participate in senior-level staff meetings concerning personnel, budget, technology, and other workforce issues? [see MD-715, II(B)]

New

Compliance Indicator

Measures

B.2 - The EEO Director controls all aspects of the EEO program.

Measure Met?

(Yes/No/NA)

Comments

New Compliance Indicator

B.2.a

Is the EEO Director responsible for the implementation of a continuing affirmative employment program to promote EEO and to identify and eliminate discriminatory policies, procedures, and practices? [see MD-110, Ch. 1(III)(A); 29 CFR §1614.102(c)]

B.3.a

B.2.b

Is the EEO Director responsible for overseeing the completion of EEO counseling [see 29 CFR §1614.102(c)(4)]

New

B.2.c

Is the EEO Director responsible for overseeing the fair and thorough investigation of EEO complaints? [see 29 CFR §1614.102(c)(5)] [This question may not be applicable for certain subordinate level components.]

New

B.2.d

Is the EEO Director responsible for overseeing the timely issuing final agency decisions? [see 29 CFR §1614.102(c)(5)] [This question may not be applicable for certain subordinate level components.]

New

B.2.e

Is the EEO Director responsible for ensuring compliance with EEOC orders? [see 29 CFR §§ 1614.102(e); 1614.502]

F.3.b

B.2.f

Is the EEO Director responsible for periodically evaluating the entire EEO program and providing recommendations for improvement to the agency head? [see 29 CFR §1614.102(c)(2)]

New

B.2.g

If the agency has subordinate level components, does the EEO Director provide effective guidance and coordination for the components? [see 29 CFR §§ 1614.102(c)(2) and (c)(3)]

New

Compliance Indicator

Measures

B.3 - The EEO Director and other EEO professional staff are involved in, and consulted on, management/personnel actions.

Measure Met?

(Yes/No/NA)

Comments

B.3.a

Do EEO program officials participate in agency meetings regarding workforce changes that might impact EEO issues, including strategic planning, recruitment strategies, vacancy projections, succession planning, and selections for training/career development opportunities? [see MD-715, II(B)]

B.2.c & B.2.d

B.3.b

Does the agency's current strategic plan reference EEO / diversity and inclusion principles? [see MD-715, II(B)] If "yes", please identify the EEO principles in the strategic plan in the comments column.

New

Compliance Indicator

Measures

B.4 - The agency has sufficient budget and staffing to support the success of its EEO program.

Measure Met?

(Yes/No/NA)

Comments

B.4.a

Pursuant to 29 CFR §1614.102(a)(1), has the agency allocated sufficient funding and qualified staffing to successfully implement the EEO program, for the following areas:

B.4.a.1

to conduct a self-assessment of the agency for possible program deficiencies? [see MD-715, II(D)]

B.3.b

B.4.a.2

to enable the agency to conduct a thorough barrier analysis of its workforce? [see MD-715, II(B)]

B.4.a

B.4.a.3

to timely, thoroughly, and fairly process EEO complaints, including EEO counseling, investigations, final agency decisions, and legal sufficiency reviews? [see 29 CFR § 1614.102(c)(5) & 1614.105(b) - (f); MD-110, Ch. 1(IV)(D) & 5(IV); MD-715, II(E)]

E.5.b

B.4.a.4

to provide all supervisors and employees with training on the EEO program, including but not limited to retaliation, harassment, religious accommodations, disability accommodations, the EEO complaint process, and ADR? [see MD-715, II(B) and III(C)] If not, please identify the type(s) of training with insufficient funding in the comments column.

B.4.f & B.4.g

B.4.a.5

to conduct thorough, accurate, and effective field audits of the EEO programs in components and the field offices, if applicable? [see 29 CFR §1614.102(c)(2)]

E.1.c

B.4.a.6

to publish and distribute EEO materials (e.g. harassment policies, EEO posters, reasonable accommodations procedures)? [see MD-715, II(B)]

B.4.c

B.4.a.7

to maintain accurate data collection and tracking systems for the following types of data: complaint tracking, workforce demographics, and applicant flow data? [see MD-715, II(E)]. If not, please identify the systems with insufficient funding in the comments section.

New

B.4.a.8

to effectively administer its special emphasis programs (such as, Federal Women's Program, Hispanic Employment Program, and People with Disabilities Program Manager)? [5 USC § 7201; 38 USC § 4214; 5 CFR § 720.204; 5 CFR § 213.3102(t) and (u); 5 CFR § 315.709]

B.3.c, B.3.c.1, B.3.c.2, & B.3.c.3

B.4.a.9

to effectively manage its anti-harassment program? [see MD-715 Instructions, Sec. I); EEOC Enforcement Guidance on Vicarious Employer Liability for Unlawful Harassment by Supervisors (1999), § V.C.1]

New

B.4.a.10

to effectively manage its reasonable accommodation program? [see 29 CFR § 1614.203(d)(4)(ii)]

B.4.d

B.4.a.11

to ensure timely and complete compliance with EEOC orders? [see MD-715, II(E)]

New

B.4.b

Does the EEO office have a budget that is separate from other offices within the agency? [see 29 CFR § 1614.102(a)(1)]

New

B.4.c

Are the duties and responsibilities of EEO officials clearly defined? [see MD-110, Ch. 1(III)(A), 2(III), & 6(III)]

B.1.b

B.4.d

Does the agency ensure that all new counselors and investigators, including contractors and collateral duty employees, receive the required 32 hours of training, pursuant to Ch. 2(II)(A) of MD-110?

E.2.d

B.4.e

Does the agency ensure that all experienced counselors and investigators, including contractors and collateral duty employees, receive the required 8 hours of annual refresher training, pursuant to Ch. 2(II)(C) of MD-110?

E.2.e

Compliance Indicator

Measures

B.5 - The agency recruits, hires, develops, and retains supervisors and managers who have effective managerial, communications, and interpersonal skills.

Measure Met?

(Yes/No/NA)

Comments

New Indicator

B.5.a

Pursuant to 29 CFR § 1614.102(a)(5), have all managers and supervisors received training on their responsibilities under the following areas under the agency EEO program:

B.5.a.1

EEO Complaint Process? [see MD-715(II)(B)]

New

B.5.a.2

Reasonable Accommodation Procedures? [see 29 C.F.R. § 1614.102(d)(3)]

A.3.d

B.5.a.3

Anti-Harassment Policy? [see MD-715(II)(B)]

New

B.5.a.4

Supervisory, managerial, communication, and interpersonal skills in order to supervise most effectively in a workplace with diverse employees and avoid disputes arising from ineffective communications? [see MD-715, II(B)]

New

B.5.a.5

ADR, with emphasis on the federal government's interest in encouraging mutual resolution of disputes and the benefits associated with utilizing ADR? [see MD-715(II)(E)]

E.4.b

Compliance Indicator

Measures

B.6 - The agency involves managers in the implementation of its EEO program.

Measure Met?

(Yes/No/NA)

Comments

New Indicator

B.6.a

Are senior managers involved in the implementation of Special Emphasis Programs? [see MD-715 Instructions, Sec. I]

New

B.6.b

Do senior managers participate in the barrier analysis process? [see MD-715 Instructions, Sec. I]

D.1.a

B.6.c

When barriers are identified, do senior managers assist in developing agency EEO action plans (Part I, Part J, or the Executive Summary)? [see MD-715 Instructions, Sec. I]

D.1.b

B.6.d

Do senior managers successfully implement EEO Action Plans and incorporate the EEO Action Plan Objectives into agency strategic plans? [29 CFR § 1614.102(a)(5)]

D.1.c

Essential Element C: Management and Program Accountability
This element requires the agency head to hold all managers, supervisors, and EEO officials responsible for the effective implementation of the agency's EEO Program and Plan.

Compliance Indicator

Measures

C.1 - The agency conducts regular internal audits of its component and field offices.

Measure Met?

(Yes/No/NA)

Comments

C.1.a

Does the agency regularly assess its component and field offices for possible EEO program deficiencies? [see 29 CFR §1614.102(c)(2)] If "yes", please provide the schedule for conducting audits in the comments section.

New

C.1.b

Does the agency regularly assess its component and field offices on their efforts to remove barriers from the workplace? [see 29 CFR §1614.102(c)(2)] If "yes", please provide the schedule for conducting audits in the comments section.

New

C.1.c

Do the component and field offices make reasonable efforts to comply with the recommendations of the field audit? [see MD-715, II(C)]

New

Compliance Indicator

Measures

C.2 - The agency has established procedures to prevent all forms of EEO discrimination.

Measure Met?

(Yes/No/NA)

Comments

New Indicator

C.2.a

Has the agency established comprehensive anti-harassment policy and procedures that comply with EEOC's enforcement guidance? [see MD-715, II(C); Enforcement Guidance on Vicarious Employer Liability for Unlawful Harassment by Supervisors (Enforcement Guidance), EEOC No. 915.002, § V.C.1 (June 18, 1999)]

New

C.2.a.1

Does the anti-harassment policy require corrective action to prevent or eliminate conduct before it rises to the level of unlawful harassment? [see EEOC Enforcement Guidance on Vicarious Employer Liability for Unlawful Harassment by Supervisors (1999), § V.C.1]

New

C.2.a.2

Has the agency established a firewall between the Anti-Harassment Coordinator and the EEO Director? [see EEOC Report, Model EEO Program Must Have an Effective Anti-Harassment Program (2006]

New

C.2.a.3

Does the agency have a separate procedure (outside the EEO complaint process) to address harassment allegations? [see Enforcement Guidance on Vicarious Employer Liability for Unlawful Harassment by Supervisors (Enforcement Guidance), EEOC No. 915.002, § V.C.1 (June 18, 1999)]

New

C.2.a.4

Does the agency ensure that the EEO office informs the anti-harassment program of all EEO counseling activity alleging harassment? [see Enforcement Guidance, V.C.]

New

C.2.a.5

Does the agency conduct a prompt inquiry (beginning within 10 days of notification) of all harassment allegations, including those initially raised in the EEO complaint process? [see Complainant v. Dep't of Veterans Affairs, EEOC Appeal No. 0120123232 (May 21, 2015); Complainant v. Dep't of Defense (Defense Commissary Agency), EEOC Appeal No. 0120130331 (May 29, 2015)] If "no", please provide the percentage of timely-processed inquiries in the comments column.

New

C.2.a.6

Do the agency's training materials on its anti-harassment policy include examples of disability-based harassment? [see 29 CFR 1614.203(d)(2)]

New

C.2.b

Has the agency established disability reasonable accommodation procedures that comply with EEOC's regulations and guidance? [see 29 CFR 1614.203(d)(3)]

New

C.2.b.1

Is there a designated agency official or other mechanism in place to coordinate or assist with processing requests for disability accommodations throughout the agency? [see 29 CFR 1614.203(d)(3)(D)]

E.1.d

C.2.b.2

Has the agency established a firewall between the Reasonable Accommodation Program Manager and the EEO Director? [see MD-110, Ch. 1(IV)(A)]

New

C.2.b.3

Does the agency ensure that job applicants can request and receive reasonable accommodations during the application and placement processes? [see 29 CFR 1614.203(d)(1)(ii)(B)]

New

C.2.b.4

Do the reasonable accommodation procedures clearly state that the agency should process the request within a maximum amount of time (e.g., 20 business days), as established by the agency in its affirmative action plan? [see 29 CFR 1614.203(d)(3)(i)(M)]

New

C.2.b.5

Does the agency process all accommodation requests within the time frame set forth in its reasonable accommodation procedures? [see MD-715, II(C)] If "no", please provide the percentage of timely-processed requests in the comments column.

E.1.e

C.2.c

Has the agency established procedures for processing requests for personal assistance services that comply with EEOC's regulations, enforcement guidance, and other applicable executive orders, guidance, and standards? [see 29 CFR 1614.203(d)(6)]

New

C.2.c.1

Does the agency post its procedures for processing requests for Personal Assistance Services on its public website? [see 29 CFR § 1614.203(d)(5)(v)] If "yes", please provide the internet address in the comments column.

New

Compliance Indicator

Measures

C.3 - The agency evaluates managers and supervisors on their efforts to ensure equal employment opportunity.

Measure Met?

(Yes/No/NA)

Comments

New Indicator

C.3.a

Pursuant to 29 CFR §1614.102(a)(5), do all managers and supervisors have an element in their performance appraisal that evaluates their commitment to agency EEO policies and principles and their participation in the EEO program?

New

C.3.b

Does the agency require rating officials to evaluate the performance of managers and supervisors based on the following activities:

C.3.b.1

Resolve EEO problems/disagreements/conflicts, including the participation in ADR proceedings? [see MD-110, Ch. 3.I]

A.3.a.1

C.3.b.2

Ensure full cooperation of employees under his/her supervision with EEO officials, such as counselors and investigators? [see 29 CFR §1614.102(b)(6)]

A.3.a.4

C.3.b.3

Ensure a workplace that is free from all forms of discrimination, including harassment and retaliation? [see MD-715, II(C)]

A.3.a.5

C.3.b.4

Ensure that subordinate supervisors have effective managerial, communication, and interpersonal skills to supervise in a workplace with diverse employees? [see MD-715 Instructions, Sec. I]

A.3.a.6

C.3.b.5

Provide religious accommodations when such accommodations do not cause an undue hardship? [see 29 CFR §1614.102(a)(7)]

A.3.a.7

C.3.b.6

Provide disability accommodations when such accommodations do not cause an undue hardship? [ see 29 CFR §1614.102(a)(8)]

A.3.a.8

C.3.b.7

Support the EEO program in identifying and removing barriers to equal opportunity. [see MD-715, II(C)]

New

C.3.b.8

Support the anti-harassment program in investigating and correcting harassing conduct. [see Enforcement Guidance, V.C.2]

A.3.a.2

C.3.b.9

Comply with settlement agreements and orders issued by the agency, EEOC, and EEO-related cases from the Merit Systems Protection Board, labor arbitrators, and the Federal Labor Relations Authority? [see MD-715, II(C)]

New

C.3.c

Does the EEO Director recommend to the agency head improvements or corrections, including remedial or disciplinary actions, for managers and supervisors who have failed in their EEO responsibilities? [see 29 CFR §1614.102(c)(2)]

New

C.3.d

When the EEO Director recommends remedial or disciplinary actions, are the recommendations regularly implemented by the agency? [see 29 CFR §1614.102(c)(2)]

New

Compliance Indicator

Measures

C.4 - The agency ensures effective coordination between its EEO programs and Human Resources (HR) program.

Measure Met?

(Yes/No/NA)

Comments

C.4.a

Do the HR Director and the EEO Director meet regularly to assess whether personnel programs, policies, and procedures conform to EEOC laws, instructions, and management directives? [see 29 CFR §1614.102(a)(2)]

New

C.4.b

Has the agency established timetables/schedules to review at regular intervals its merit promotion program, employee recognition awards program, employee development/training programs, and management/personnel policies, procedures, and practices for systemic barriers that may be impeding full participation in the program by all EEO groups? [see MD-715 Instructions, Sec. I]

C.2.a, C.2.b, & C.2.c

C.4.c

Does the EEO office have timely access to accurate and complete data (e.g., demographic data for workforce, applicants, training programs, etc.) required to prepare the MD-715 workforce data tables? [see 29 CFR §1614.601(a)]

New

C.4.d

Does the HR office timely provide the EEO office have timely access to other data (e.g., exit interview data, climate assessment surveys, and grievance data), upon request? [see MD-715, II(C)]

New

C.4.e

Pursuant to Section II(C) of MD-715, does the EEO office collaborate with the HR office to:

C.4.e.1

Implement the Affirmative Action Plan for Individuals with Disabilities? [see 29 CFR §1614.203(d); MD-715, II(C)]

New

C.4.e.2

Develop and/or conduct outreach and recruiting initiatives? [see MD-715, II(C)]

New

C.4.e.3

Develop and/or provide training for managers and employees? [see MD-715, II(C)]

New

C.4.e.4

Identify and remove barriers to equal opportunity in the workplace? [see MD-715, II(C)]

New

C.4.e.5

Assist in preparing the MD-715 report? [see MD-715, II(C)]

New

Compliance Indicator

Measures

C.5 - Following a finding of discrimination, the agency explores whether it should take a disciplinary action.

Measure Met?

(Yes/No/NA)

Comments

C.5.a

Does the agency have a disciplinary policy and/or table of penalties that covers discriminatory conduct? 29 CFR § 1614.102(a)(6); see also Douglas v. Veterans Administration, 5 MSPR 280 (1981)

C.3.a.

C.5.b

When appropriate, does the agency discipline or sanction managers and employees for discriminatory conduct? [see 29 CFR §1614.102(a)(6)] If "yes", please state the number of disciplined/sanctioned individuals during this reporting period in the comments.

C.3.c

C.5.c

If the agency has a finding of discrimination (or settles cases in which a finding was likely), does the agency inform managers and supervisors about the discriminatory conduct? [see MD-715, II(C)]

New

Compliance Indicator

Measures

C.6 - The EEO office advises managers/supervisors on EEO matters.

Measure Met?

(Yes/No/NA)

Comments

C.6.a

Does the EEO office provide management/supervisory officials with regular EEO updates on at least an annual basis, including EEO complaints, workforce demographics and data summaries, legal updates, barrier analysis plans, and special emphasis updates? [see MD-715 Instructions, Sec. I] If "yes", please identify the frequency of the EEO updates in the comments column.

C.1.a

C.6.b

Are EEO officials readily available to answer managers' and supervisors' questions or concerns? [see MD-715 Instructions, Sec. I]

New

Essential Element D: Proactive Prevention
This element requires that the agency head make early efforts to prevent discrimination and to identify and eliminate barriers to equal employment opportunity.

Compliance Indicator

Measures

D.1 - The agency conducts a reasonable assessment to monitor progress towards achieving equal employment opportunity throughout the year.

Measure Met?

(Yes/No/NA)

Comments

D.1.a

Does the agency have a process for identifying triggers in the workplace? [see MD-715 Instructions, Sec. I]

New

D.1.b

Does the agency regularly use the following sources of information for trigger identification: workforce data; complaint/grievance data; exit surveys; employee climate surveys; focus groups; affinity groups; union; program evaluations; special emphasis programs; reasonable accommodation program; anti-harassment program; and/or external special interest groups? [see MD-715 Instructions, Sec. I]

New

D.1.c

Does the agency conduct exit interviews or surveys that include questions on how the agency could improve the recruitment, hiring, inclusion, retention and advancement of individuals with disabilities? [see 29 CFR 1614.203(d)(1)(iii)(C)]

New

Compliance Indicator

Measures

D.2 - The agency identifies areas where barriers may exclude EEO groups (reasonable basis to act.)

Measure Met?

(Yes/No/NA)

Comments

New Indicator

D.2.a

Does the agency have a process for analyzing the identified triggers to find possible barriers? [see MD-715, (II)(B)]

New

D.2.b

Does the agency regularly examine the impact of management/personnel policies, procedures, and practices by race, national origin, sex, and disability? [see 29 CFR §1614.102(a)(3)]

B.2.c.2

D.2.c

Does the agency consider whether any group of employees or applicants might be negatively impacted prior to making human resource decisions, such as re-organizations and realignments? [see 29 CFR §1614.102(a)(3)]

B.2.c.1

D.2.d

Does the agency regularly review the following sources of information to find barriers: complaint/grievance data, exit surveys, employee climate surveys, focus groups, affinity groups, union, program evaluations, anti-harassment program, special emphasis programs, reasonable accommodation program; anti-harassment program; and/or external special interest groups? [see MD-715 Instructions, Sec. I] If "yes", please identify the data sources in the comments column.

New

Compliance Indicator

Measures

D.3 - The agency establishes appropriate action plans to remove identified barriers.

Measure Met?

(Yes/No/NA)

Comments

New Indicator

D.3.a.

Does the agency effectively tailor action plans to address the identified barriers, in particular policies, procedures, or practices? [see 29 CFR §1614.102(a)(3)]

New

D.3.b

If the agency identified one or more barriers during the reporting period, did the agency implement a plan in Part I, including meeting the target dates for the planned activities? [see MD-715, II(D)]

New

D.3.c

Does the agency periodically review the effectiveness of the plans? [see MD-715, II(D)]

New

Compliance Indicator

Measures

D.4 - The agency has an affirmative action plan for people with disabilities, including those with targeted disabilities

Measure Met?

(Yes/No/NA)

Comments

New Indicator

D.4.a

Does the agency post its affirmative action plan on its public website? [see 29 CFR 1614.203(d)(4)] Please provide the internet address in the comments.

New

D.4.b

Does the agency take specific steps to ensure qualified people with disabilities are aware of and encouraged to apply for job vacancies? [see 29 CFR 1614.203(d)(1)(i)]

New

D.4.c

Does the agency ensure that disability-related questions from members of the public are answered promptly and correctly? [see 29 CFR 1614.203(d)(1)(ii)(A)]

New

D.4.d

Has the agency taken specific steps that are reasonably designed to increase the number of persons with disabilities or targeted disabilities employed at the agency until it meets the goals? [see 29 CFR 1614.203(d)(7)(ii)]

New

Essential Element E: Efficiency
This element requires the agency head to ensure that there are effective systems for evaluating the impact and effectiveness of the agency's EEO programs and an efficient and fair dispute resolution process.

Compliance Indicator

E.1 - The agency maintains an efficient, fair, and impartial complaint resolution process.

Measure Met?

(Yes/No/NA)

Comments

Measures

E.1.a

Does the agency timely provide EEO counseling, pursuant to 29 CFR §1614.105?

E.3.a.1

E.1.b

Does the agency provide written notification of rights and responsibilities in the EEO process during the initial counseling session, pursuant to 29 CFR §1614.105(b)(1)?

E.3.a.2

E.1.c

Does the agency issue acknowledgment letters immediately upon receipt of a formal complaint, pursuant to MD-110, Ch. 5(I)?

New

E.1.d

Does the agency issue acceptance letters/dismissal decisions within a reasonable time (e.g., 60 days) after receipt of the written EEO Counselor report, pursuant to MD-110, Ch. 5(I)? If so, please provide the average processing time in the comments.

New

E.1.e

Does the agency ensure all employees fully cooperate with EEO counselors and EEO personnel in the EEO process, including granting routine access to personnel records related to an investigation, pursuant to 29 CFR §1614.102(b)(6)?

New

E.1.f

Does the agency timely complete investigations, pursuant to 29 CFR §1614.108?

E.3.a.3

E.1.g

If the agency does not timely complete investigations, does the agency notify complainants of the date by which the investigation will be completed and of their right to request a hearing or file a lawsuit, pursuant to 29 CFR §1614.108(g)?

New

E.1.h

When the complainant does not request a hearing, does the agency timely issue the final agency decision, pursuant to 29 CFR §1614.110(b)?

E.3.a.4

E.1.i

Does the agency timely issue final actions following receipt of the hearing file and the administrative judge's decision, pursuant to 29 CFR §1614.110(a)?

E.3.a.7

E.1.j

If the agency uses contractors to implement any stage of the EEO complaint process, does the agency hold them accountable for poor work product and/or delays? [See MD-110, Ch. 5(V)(A)] If "yes", please describe how in the comments column.

E.2.c

E.1.k

If the agency uses employees to implement any stage of the EEO complaint process, does the agency hold them accountable for poor work product and/or delays during performance review? [See MD-110, Ch. 5(V)(A)]

New

E.1.l

Does the agency submit complaint files and other documents in the proper format to EEOC through the Federal Sector EEO Portal (FedSEP)? [See 29 CFR § 1614.403(g)]

New

Compliance Indicator

Measures

E.2 - The agency has a neutral EEO process.

Measure Met?

(Yes/No/NA)

Comments

Revised Indicator

E.2.a

Has the agency established a clear separation between its EEO complaint program and its defensive function? [see MD-110, Ch. 1(IV)(D)]

New

E.2.b

When seeking legal sufficiency reviews, does the EEO office have access to sufficient legal resources separate from the agency representative? [see MD-110, Ch. 1(IV)(D)] If "yes", please identify the source/location of the attorney who conducts the legal sufficiency review in the comments column.

E.6.a

E.2.c

If the EEO office relies on the agency's defensive function to conduct the legal sufficiency review, is there a firewall between the reviewing attorney and the agency representative? [see MD-110, Ch. 1(IV)(D)]

New

E.2.d

Does the agency ensure that its agency representative does not intrude upon EEO counseling, investigations, and final agency decisions? [see MD-110, Ch. 1(IV)(D)]

E.6.b

E.2.e

If applicable, are processing time frames incorporated for the legal counsel's sufficiency review for timely processing of complaints? EEOC Report, Attaining a Model Agency Program: Efficiency (Dec. 1, 2004)

E.6.c

Compliance Indicator

Measures

E.3 - The agency has established and encouraged the widespread use of a fair alternative dispute resolution (ADR) program.

Measure Met?

(Yes/No/NA)

Comments

E.3.a

Has the agency established an ADR program for use during both the pre-complaint and formal complaint stages of the EEO process? [see 29 CFR §1614.102(b)(2)]

E.4.a

E.3.b

Does the agency require managers and supervisors to participate in ADR once it has been offered? [see MD-715, II(A)(1)]

E.4.c

E.3.c

Does the agency encourage all employees to use ADR, where ADR is appropriate? [see MD-110, Ch. 3(IV)(C)]

D.2.a

E.3.d

Does the agency ensure a management official with settlement authority is accessible during the dispute resolution process? [see MD-110, Ch. 3(III)(A)(9)]

New

E.3.e

Does the agency prohibit the responsible management official named in the dispute from having settlement authority? [see MD-110, Ch. 3(I)]

E.4.d

E.3.f

Does the agency annually evaluate the effectiveness of its ADR program? [see MD-110, Ch. 3(II)(D)]

New

Compliance Indicator

Measures

E.4 - The agency has effective and accurate data collection systems in place to evaluate its EEO program.

Measure Met?

(Yes/No/NA)

Comments

E.4.a

Does the agency have systems in place to accurately collect, monitor, and analyze the following data:

E.4.a.1

Complaint activity, including the issues and bases of the complaints, the aggrieved individuals/complainants, and the involved management official? [see MD-715, II(E)]

E.5.a

E.4.a.2

The race, national origin, sex, and disability status of agency employees? [see 29 CFR §1614.601(a)]

E.5.c

E.4.a.3

Recruitment activities? [see MD-715, II(E)]

E.5.f

E.4.a.4

External and internal applicant flow data concerning the applicants' race, national origin, sex, and disability status? [see MD-715, II(E)]

New

E.4.a.5

The processing of requests for reasonable accommodation? [29 CFR § 1614.203(d)(4)]

New

E.4.a.6

The processing of complaints for the anti-harassment program? [see EEOC Enforcement Guidance on Vicarious Employer Liability for Unlawful Harassment by Supervisors (1999), § V.C.2]

New

E.4.b

Does the agency have a system in place to re-survey the workforce on a regular basis? [MD-715 Instructions, Sec. I]

New

Compliance Indicator

Measures

E.5 - The agency identifies and disseminates significant trends and best practices in its EEO program.

Measure Met?

(Yes/No/NA)

Comments

E.5.a

Does the agency monitor trends in its EEO program to determine whether the agency is meeting its obligations under the statutes EEOC enforces? [see MD-715, II(E)] If "yes", provide an example in the comments.

E.5.e

E.5.b

Does the agency review other agencies' best practices and adopt them, where appropriate, to improve the effectiveness of its EEO program? [see MD-715, II(E)] If "yes", provide an example in the comments.

E.5.g

E.5.c

Does the agency compare its performance in the EEO process to other federal agencies of similar size? [see MD-715, II(E)]

E.3.a

Essential Element F: Responsiveness and Legal Compliance
This element requires federal agencies to comply with EEO statutes and EEOC regulations, policy guidance, and other written instructions.

Compliance Indicator

Measures

F.1 - The agency has processes in place to ensure timely and full compliance with EEOC Orders and settlement agreements.

Measure Met?

(Yes/No/NA)

Comments

F.1.a

Does the agency have a system of management controls to ensure that its officials timely comply with EEOC orders/directives and final agency actions? [see 29 CFR §1614.102(e); MD-715, II(F)]

F.1.a

F.1.b

Does the agency have a system of management controls to ensure the timely, accurate, and complete compliance with resolutions/settlement agreements? [see MD-715, II(F)]

E.3.a.6

F.1.c

Are there procedures in place to ensure the timely and predictable processing of ordered monetary relief? [see MD-715, II(F)]

F.2.a.1

F.1.d

Are procedures in place to process other forms of ordered relief promptly? [see MD-715, II(F)]

F.2.a.2

F.1.e

When EEOC issues an order requiring compliance by the agency, does the agency hold its compliance officer(s) accountable for poor work product and/or delays during performance review? [see MD-110, Ch. 9(IX)(H)]

F.3.a.

Compliance Indicator

Measures

F.2 - The agency complies with the law, including EEOC regulations, management directives, orders, and other written instructions.

Measure Met?

(Yes/No/NA)

Comments

Indicator moved from E-III Revised

F.2.a

Does the agency timely respond and fully comply with EEOC orders? [see 29 CFR §1614.502; MD-715, II(E)]

C.3.d

F.2.a.1

When a complainant requests a hearing, does the agency timely forward the investigative file to the appropriate EEOC hearing office? [see 29 CFR §1614.108(g)]

E.3.a.5

F.2.a.2

When there is a finding of discrimination that is not the subject of an appeal by the agency, does the agency ensure timely compliance with the orders of relief? [see 29 CFR §1614.501]

E.3.a.7

F.2.a.3

When a complainant files an appeal, does the agency timely forward the investigative file to EEOC's Office of Federal Operations? [see 29 CFR §1614.403(e)]

New

F.2.a.4

Pursuant to 29 CFR §1614.502, does the agency promptly provide EEOC with the required documentation for completing compliance?

F.3.d (1 to 9)

Compliance Indicator

Measures

F.3 - The agency reports to EEOC its program efforts and accomplishments.

Measure Met?

(Yes/No/NA)

Comments

F.3.a

Does the agency timely submit to EEOC an accurate and complete No FEAR Act report? [Public Law 107-174 (May 15, 2002), §203(a)]

New

F.3.b

Does the agency timely post on its public webpage its quarterly No FEAR Act data? [see 29 CFR §1614.703(d)]

New