ACCEPTANCE AND DISMISSAL .....................................................137CHAPTER 4: INVESTIGATION OF COMPLAINTSINVESTIGATION OF COMPLAINTS ...............................................255CHAPTER 5: SETTLEMENT OF COMPLAINTS ....................................................285CHAPTER 6: EEO HEARINGS ....................................................................................371CHAPTER 7: FINAL AGENCY ACTION ..................................................................471CHAPTER 8: EEOC APPEALS ....................................................................................485CHAPTER 9: REPRESENTATIVES AND OFFICIAL TIME ...................................541CHAPTER 10: THEORIES OF DISCRIMINATION.
INTENTIONAL DISCRIMINATION ..................................................567CHAPTER 11: THEORIES OF DISCRIMINATION.ADVERSE IMPACT ..........649CHAPTER 12: THEORIES OF DISCRIMINATION.HARASSMENT .................665CHAPTER 13: BASES OF DISCRIMINATION UNDER TITLE VII ........................787CHAPTER 14: REHABILITATION ACT AND GINA .................................................865CHAPTER 15: AGE DISCRIMINATION IN EMPLOYMENT ACT ..................... 1119CHAPTER 16: REPRISAL ............................................................................................ 1145CHAPTER 17: PERSONNEL ACTIONS ................................................................... 1189CHAPTER 18: CLASS ACTION COMPLAINTS .................................................... 1235CHAPTER 19: EEO ALTERNATIVES ........................................................................ 1267CHAPTER 20: FORMS OF RELIEF ........................................................................... 1299CHAPTER 21: ATTORNEY FEES ............................................................................... 1505CHAPTER 22: CIVIL ACTIONS ................................................................................. 1561TABLE OF CASES ............................................................................................................ 1591INDEX ................................................................................................................................. 1649
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Table of ConTenTs
PREFACE ..................................................................................................................................... i
INTRODUCTION .....................................................................................................................1I. ORGANIZATION OF THE GUIDE ..........................................................................................................................................................................................1
A. RESEARCH FOR THE BOOK ..........................................................................................................................................................................................2B. OTHER REFERENCE SOURCES ....................................................................................................................................................................................2
CHAPTER 1: OVERVIEW ..................................................................................................5I. AUTHORITY AND JURISDICTION ......................................................................................................................................................................................5
A. STATUTORY AUTHORITY .............................................................................................................................................................................................51. Title VII of the 1964 Civil Rights Act .................................................................................................................................................................52. Rehabilitation Act of 1973 ..................................................................................................................................................................................53. Americans With Disabilities Amendment Act of 2008 ...............................................................................................................................64. Age Discrimination in Employment Act .........................................................................................................................................................65. Equal Pay Act ...........................................................................................................................................................................................................66. Civil Rights Act of 1991 ........................................................................................................................................................................................67. Congressional Accountability Act of 1995 ....................................................................................................................................................78. No FEAR Act of 2002 ..............................................................................................................................................................................................79. Genetic Information Nondiscrimination Act of 2008 .................................................................................................................................9
B. EFFECT OF THE CIVIL SERVICE REFORM ACT ......................................................................................................................................................9C. ORGANIZATION OF THE COMMISSION .................................................................................................................................................................9D. JURISDICTION ............................................................................................................................................................................................................... 10
E. CIVIL ACTIONS .............................................................................................................................................................................................................. 13II. AGENCY EEO PROGRAMS ................................................................................................................................................................................................. 13
A. ORGANIZATION OF PART 1614 .............................................................................................................................................................................. 13B. AGENCY PROGRAMS ................................................................................................................................................................................................. 13
1. Affirmative Employment Under Part 1614 ................................................................................................................................................. 132. Management Directive 715 ............................................................................................................................................................................. 14
C. COMPLAINT COVERAGE ........................................................................................................................................................................................... 201. Legislative and Judicial Branches .................................................................................................................................................................. 202. Overseas Employees .......................................................................................................................................................................................... 203. Department of Veterans Affairs ...................................................................................................................................................................... 214. Military Employees ............................................................................................................................................................................................. 215. General Accounting Office ............................................................................................................................................................................... 21
III. PROCESSING DISCRIMINATION COMPLAINTS.PART 1614 .............................................................................................................................. 21A. AGENCY PROCESSING OF COMPLAINTS ........................................................................................................................................................... 21
1. EEO Counselors and the Precomplaint Stage ........................................................................................................................................... 222. Alternative Dispute Resolutions .................................................................................................................................................................... 233. Notice of Final Interview ................................................................................................................................................................................... 234. Formal Complaints .............................................................................................................................................................................................. 245. Dismissal of Complaints .................................................................................................................................................................................... 246. Partial Dismissals ................................................................................................................................................................................................. 257. Investigations ....................................................................................................................................................................................................... 258. Disposition of Complaints ................................................................................................................................................................................ 279. Hearings .................................................................................................................................................................................................................. 2810. Administrative Judge Decisions .................................................................................................................................................................... 2811. Final Agency Decisions and Actions ............................................................................................................................................................. 2812. Appeals to the EEOC .......................................................................................................................................................................................... 2913. Interim Relief ......................................................................................................................................................................................................... 2914. Requests for Reconsideration ......................................................................................................................................................................... 30
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IV. CLASS COMPLAINTS ........................................................................................................................................................................................................... 30A. EEO COUNSELING ....................................................................................................................................................................................................... 30B. FORMAL COMPLAINT REQUIREMENTS .............................................................................................................................................................. 31C. AGENCY PROCESSING ................................................................................................................................................................................................ 31D. PROCESSING BY ADMINISTRATIVE JUDGE ....................................................................................................................................................... 31
1. Notification of Class Members ........................................................................................................................................................................ 312. Development of the Record ............................................................................................................................................................................ 313. Resolution of Complaints ................................................................................................................................................................................. 324. Hearings .................................................................................................................................................................................................................. 325. Recommended Decisions ................................................................................................................................................................................. 32
E. FINAL AGENCY DECISIONS ..................................................................................................................................................................................... 321. Individual Relief ................................................................................................................................................................................................... 33
CHAPTER 2: THE PRECOMPLAINT PROCESS.COUNSELING ......................35I. THE 45–DAY TIME LIMIT .................................................................................................................................................................................................... 36
A. AGENCY BURDEN ON APPEAL ............................................................................................................................................................................... 36B. WAIVER OF PRECOMPLAINT COUNSELING ...................................................................................................................................................... 37
1. Denial of Counseling .......................................................................................................................................................................................... 372. Reopening Counseling ....................................................................................................................................................................................... 383. Delay by Agency .................................................................................................................................................................................................. 38
C. DETERMINING THE PERIOD FOR INITIATING COUNSELING ....................................................................................................................... 381. Personnel Actions ............................................................................................................................................................................................... 382. Notification of Personnel Action .................................................................................................................................................................... 403. Events Not Constituting Personnel Actions ............................................................................................................................................... 414. Events Occurring During Counseling .......................................................................................................................................................... 415. New Claims Raised After Counseling ........................................................................................................................................................... 41
D. ESTABLISHING DATE OF COUNSELOR CONTACT ........................................................................................................................................... 42II. EXTENDING THE TIME PERIOD FOR INITIATING COUNSELING ......................................................................................................................... 42
A. TOLLING THE PERIOD FOR COUNSELING .......................................................................................................................................................... 431. Reasonable Suspicion Standard .................................................................................................................................................................... 432. Awareness Personnel Action Is Final ............................................................................................................................................................ 473. Evidence on Tolling ............................................................................................................................................................................................. 484. Uncertainty of Law............................................................................................................................................................................................... 485. Disabled Employees ........................................................................................................................................................................................... 496. Language Barriers ................................................................................................................................................................................................ 49
B. NOTICE OF PROCEDURES AND TIME LIMITS .................................................................................................................................................... 491. Posting Requirements ........................................................................................................................................................................................ 492. Constructive Notice ............................................................................................................................................................................................ 503. Constructive Notice—Applicants ................................................................................................................................................................. 534. Agency’s Burden ................................................................................................................................................................................................... 535. Age Discrimination ............................................................................................................................................................................................. 54
C. WAIVER OF TIME LIMIT .............................................................................................................................................................................................. 541. Agency Waiver of Time Limit ............................................................................................................................................................................ 542. Mental Duress or Physical Inability ............................................................................................................................................................... 553. Status as Minor ...................................................................................................................................................................................................... 564. Death in Family .................................................................................................................................................................................................... 565. Military Duty ......................................................................................................................................................................................................... 576. Circumstances Beyond Control ....................................................................................................................................................................... 577. Fear of Reprisal ..................................................................................................................................................................................................... 578. Use of Procedures Other Than EEO ............................................................................................................................................................... 579. Use of Negotiated Grievance Procedure .................................................................................................................................................... 5810. New Employees and Applicants .................................................................................................................................................................... 5811. Independent Consultants and Contractors ................................................................................................................................................ 5912. Amended Complaints ........................................................................................................................................................................................ 5913. Doctrine of Laches ............................................................................................................................................................................................... 59
D. ESTOPPEL ....................................................................................................................................................................................................................... 601. Failure to Assert Timeliness ............................................................................................................................................................................. 602. Reliance on Agency Advice and Actions .................................................................................................................................................... 613. Reliance on Agency Inaction ........................................................................................................................................................................... 674. Reliance on Advice by Third Parties .............................................................................................................................................................. 675. Developing Record on Estoppel ..................................................................................................................................................................... 68
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III. CONTINUING VIOLATIONS ............................................................................................................................................................................................... 68A. THE SUPREME COURT’S VIEW.MORGAN ........................................................................................................................................................ 68B. THE COMMISSION’S VIEW BEFORE MORGAN—ANISMAN ........................................................................................................................... 72C. PRESENT VIABILITY OF CONTINUING VIOLATION CLAIMS ........................................................................................................................ 75D. ELEMENTS OF SERIAL CONTINUING VIOLATION CLAIM ............................................................................................................................. 75
1. Personnel Actions ............................................................................................................................................................................................... 752. Nexus Requirement ............................................................................................................................................................................................. 763. Knew or Should Have Known Requirement .............................................................................................................................................. 784. Standards of Proof .............................................................................................................................................................................................. 80
E. HOSTILE ENVIRONMENT CASES ............................................................................................................................................................................ 81F. SYSTEMIC OR RECURRING VIOLATIONS ............................................................................................................................................................. 86
1. Lilly Ledbetter Fair Pay Act of 2009 ................................................................................................................................................................ 892. Employment Policies and Practices .............................................................................................................................................................. 913. Reasonable Accommodation Cases ............................................................................................................................................................. 944. Health Insurance Benefit Cases ....................................................................................................................................................................... 99
G. UNTIMELY FORMAL COMPLAINT ......................................................................................................................................................................... 99H. ISSUES OF RELIEF ........................................................................................................................................................................................................ 99I. PARTIAL DISMISSALS ................................................................................................................................................................................................. 99
1. Identical Complaints ........................................................................................................................................................................................100IV. REQUESTS FOR COUNSELING .......................................................................................................................................................................................100
A. DOCUMENTATION OF CONTACT .........................................................................................................................................................................100B. PREMATURE COMPLAINTS ....................................................................................................................................................................................100C. CONTACT NOT INVOLVING COUNSELORS ......................................................................................................................................................100
1. Wrong Agency Officials ....................................................................................................................................................................................1002. Wrong Agency or Wrong Agency Component .......................................................................................................................................1033. Contact With EEOC ............................................................................................................................................................................................103
D. ANONYMOUS CONTACTS .......................................................................................................................................................................................103E. CONTACT BY MAIL ....................................................................................................................................................................................................104F. CONTACT BY PHONE .................................................................................................................................................................................................104G. CONTACT BY E–MAIL ................................................................................................................................................................................................104H. CONTENTS OF CONTACT .......................................................................................................................................................................................104I. CONTACT BY REPRESENTATIVES .........................................................................................................................................................................105J. EXTENDING THE COUNSELING PERIOD ...........................................................................................................................................................105K. AMENDING PREVIOUS COMPLAINTS ...............................................................................................................................................................106L. MIXED CASE APPEALS ..............................................................................................................................................................................................106
V. DUTIES OF EEO COUNSELOR ........................................................................................................................................................................................106A. PROVIDING ADVICE TO COMPLAINANTS .........................................................................................................................................................107
1. Alternative Dispute Resolution ....................................................................................................................................................................1082. Class Complaint Counseling ..........................................................................................................................................................................1083. Alternative Forums ...........................................................................................................................................................................................108
B. DETERMINING CLAIMS ...........................................................................................................................................................................................1111. Definition of Claim .............................................................................................................................................................................................1122. Definition of Issues ............................................................................................................................................................................................1123. Definition of Evidence .....................................................................................................................................................................................1124. Counselor’s Duty to Clarify ............................................................................................................................................................................113
C. INQUIRIES AND RESOLUTION EFFORTS BY COUNSELORS .......................................................................................................................114D. CHOICE OF COUNSELOR ........................................................................................................................................................................................119E. ANONYMITY FOR COMPLAINANTS ...................................................................................................................................................................119
VI. PROTECTION FOR COUNSELORS .................................................................................................................................................................................119A. RESTRAINT BY COUNSELOR ...................................................................................................................................................................................120
VII. EXCLUSION OF ALLEGATIONS ......................................................................................................................................................................................120A. SUFFICIENCY OF ALLEGATIONS ..........................................................................................................................................................................120B. DISMISSAL OF COMPLAINTS ................................................................................................................................................................................121C. FAILURE TO PROSECUTE .........................................................................................................................................................................................121D. WITHDRAWAL OF ALLEGATIONS ........................................................................................................................................................................122
VIII. NOTICE OF FINAL INTERVIEW .......................................................................................................................................................................................123A. CONSTRUCTIVE RECEIPT OF NOTICE .................................................................................................................................................................125
IX. EEO COUNSELOR’S REPORT ..........................................................................................................................................................................................127A. RESPONDING MANAGEMENT OFFICIALS .......................................................................................................................................................127
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X. INCIDENTS OCCURRING AFTER PRECOMPLAINT COUNSELING ....................................................................................................................128XI. ALTERNATIVE DISPUTE RESOLUTION ........................................................................................................................................................................128
B. TYPES OF ADR ............................................................................................................................................................................................................1311. Mediation .............................................................................................................................................................................................................1312. Factfinding ...........................................................................................................................................................................................................1313. Settlement Conferences .................................................................................................................................................................................1314. Peer Review .........................................................................................................................................................................................................1325. Other Techniques ...............................................................................................................................................................................................132
C. DEVELOPING ADR PROGRAMS ............................................................................................................................................................................1321. Factors to Consider ............................................................................................................................................................................................1322. Training ..................................................................................................................................................................................................................1323. Resources for Neutrals ......................................................................................................................................................................................133
D. AGENCY ADMINISTRATION AND PROCESSING ............................................................................................................................................1331. Time Frames .........................................................................................................................................................................................................1332. Alternatives to ADR ...........................................................................................................................................................................................1343. Counseling Process and ADR .........................................................................................................................................................................1344. ADR and Complaint Processing ....................................................................................................................................................................1345. Information About the Agency’s ADR Program ......................................................................................................................................1346. Notice of Rights and Responsibilities..........................................................................................................................................................1347. EEO Counselor’s Role .......................................................................................................................................................................................1348. Requirements of Resolutions .........................................................................................................................................................................1349. Attorney Fees .......................................................................................................................................................................................................135
E. ADR AFTER PRECOMPLAINT PROCESSING .....................................................................................................................................................135
CHAPTER 3: FORMAL COMPLAINT PROCESS. ACCEPTANCE AND DISMISSAL .....................................................137
I. REQUIREMENTS OF FORMAL COMPLAINT ..............................................................................................................................................................137A. COMPLAINANT’S DUTY TO PROCEED ...............................................................................................................................................................139
II. AGENCY PROCESSING OF COMPLAINT ....................................................................................................................................................................139A. ACKNOWLEDGMENT OF COMPLAINT ..............................................................................................................................................................139B. DEFINING COMPLAINT CLAIMS ..........................................................................................................................................................................141
1. Avoiding Fragmentation ................................................................................................................................................................................1422. Spin–Off and Dissatisfaction With Process Complaints .......................................................................................................................144
C. DISMISSAL PROCESS ...............................................................................................................................................................................................1471. Partial Dismissals ...............................................................................................................................................................................................1472. Termination of Agency Jurisdiction to Dismiss .......................................................................................................................................148
D. ALTERNATIVE DISPUTE RESOLUTION .................................................................................................................................................................148E. EFFECT OF HEARING REQUEST ...........................................................................................................................................................................148
III. BASES FOR DISMISSAL OF COMPLAINTS .................................................................................................................................................................148A. UNTIMELY COMPLAINTS ........................................................................................................................................................................................149
1. Filing With EEO Counselor ..............................................................................................................................................................................1512. Filing Complaint With Wrong Agency .......................................................................................................................................................1513. Service on Attorney Representative ...........................................................................................................................................................1514. Service on Non-Attorney Representative .................................................................................................................................................1525. Failure to Provide Complaint Form ..............................................................................................................................................................1526. Request to Clarify Allegations .......................................................................................................................................................................1537. Removal of Harm ...............................................................................................................................................................................................1538. Mental or Physical Incapacity .......................................................................................................................................................................1539. Death or Illness in Family ................................................................................................................................................................................15410. Circumstances Beyond Complainant’s Control ......................................................................................................................................15511. Failure to Sign Complaint ...............................................................................................................................................................................15512. Calendar Days .....................................................................................................................................................................................................15613. Premature Complaints ....................................................................................................................................................................................15614. Filing by Mail .......................................................................................................................................................................................................15615. Postmarks .............................................................................................................................................................................................................156
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16. Filing by Telefax ..................................................................................................................................................................................................15717. Filing by Email .....................................................................................................................................................................................................15818. Filing in Person ....................................................................................................................................................................................................15819. Failure to Find Counsel ....................................................................................................................................................................................15820. Illness of Counsel ...............................................................................................................................................................................................15821. Denial of Official Time .......................................................................................................................................................................................15822. Mistake by Counsel ............................................................................................................................................................................................15823. Training ..................................................................................................................................................................................................................15924. Active Military Duty ..........................................................................................................................................................................................15925. Doctrine of Laches ............................................................................................................................................................................................15926. Agency Bad Faith and Mistaken Advice ....................................................................................................................................................160
B. STANDING: FAILURE TO STATE A CLAIM ...........................................................................................................................................................1601. Employees ............................................................................................................................................................................................................1662. Former Employees ............................................................................................................................................................................................1663. Deceased Employees .......................................................................................................................................................................................1694. Applicants for Employment ...........................................................................................................................................................................1695. Reinstated Employees ......................................................................................................................................................................................1706. Veterans ................................................................................................................................................................................................................1707. Foreign Nationals ..............................................................................................................................................................................................1708. Proposed Actions and Preliminary Steps .................................................................................................................................................1709. Reprisal Complaints ..........................................................................................................................................................................................17310. Complaints on Behalf of Others ...................................................................................................................................................................17511. Group Complaints ..............................................................................................................................................................................................17712. Complaints About Nonsupervisory Employees .....................................................................................................................................17713. Complaints About EEO Complaints .............................................................................................................................................................17714. Discretionary Duties ..........................................................................................................................................................................................17815. Compensatory Damages ................................................................................................................................................................................17816. Refusal to Discriminate ....................................................................................................................................................................................17817. Failure to Discipline ..........................................................................................................................................................................................17918. Upward Mobility .................................................................................................................................................................................................17919. Investigations and Other Proceedings–Collateral Attacks .................................................................................................................17920. Searches .................................................................................................................................................................................................................18221. Continuing Vacancies ......................................................................................................................................................................................18222. Whistleblowing ..................................................................................................................................................................................................18223. Family and Medical Leave Act Claims ........................................................................................................................................................18224. Collateral Duties .................................................................................................................................................................................................18225. Outside Activities ...............................................................................................................................................................................................18226. Union Activities ..................................................................................................................................................................................................18227. Oral and Written Work Discussions ..............................................................................................................................................................18228. Failure to Issue Performance Standards .....................................................................................................................................................18329. Change in Position Description—Work Duties .......................................................................................................................................18330. Temporary Appointments ...............................................................................................................................................................................18331. Transfers ................................................................................................................................................................................................................18332. Training ..................................................................................................................................................................................................................18333. Derogatory Remarks and Hostile Environment .....................................................................................................................................18334. Sexual Harassment ............................................................................................................................................................................................18935. Mental Evaluations ............................................................................................................................................................................................18936. Medical Suitability Determinations .............................................................................................................................................................18937. Drug and Alcohol Tests ....................................................................................................................................................................................19038. On–The–Job Injuries ........................................................................................................................................................................................19039. EAP Referrals ........................................................................................................................................................................................................19040. Testimony and Statements in Proceedings .............................................................................................................................................19041. Disclosures to Counsel .....................................................................................................................................................................................19142. Settlement Negotiations .................................................................................................................................................................................19143. Dismissal on Merits ...........................................................................................................................................................................................19144. Failure to Allege Personal Harm ....................................................................................................................................................................19245. Reliance Upon Other Statutes—Privacy Act ............................................................................................................................................192
C. AGENCY JURISDICTION ..........................................................................................................................................................................................1931. Collateral Attacks on Jurisdiction .................................................................................................................................................................1952. Executive Agencies ...........................................................................................................................................................................................1963. Legislative and Judicial Employees ............................................................................................................................................................196
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4. Employees Working at Other Locations .....................................................................................................................................................1975. Office of Personnel Management ................................................................................................................................................................1976. Office of Workers Compensation Programs ............................................................................................................................................1997. Office of Inspector General ............................................................................................................................................................................1998. Auxiliary Agencies .............................................................................................................................................................................................2009. General Services Administration .................................................................................................................................................................20110. Military Departments .......................................................................................................................................................................................20111. National Guard Technicians ...........................................................................................................................................................................20412. Public Health Service .......................................................................................................................................................................................20513. Presidio Trust ........................................................................................................................................................................................................20514. Advisory Councils ...............................................................................................................................................................................................20515. Independent Consultants and Contractors .............................................................................................................................................20616. Law Enforcement and Security Contractors .............................................................................................................................................21217. Tribal Employees ...............................................................................................................................................................................................21318. Volunteers ............................................................................................................................................................................................................21419. Informants ............................................................................................................................................................................................................21420. Interns ....................................................................................................................................................................................................................21421. Prisoners ...............................................................................................................................................................................................................21422. Peace Corps .........................................................................................................................................................................................................21523. Unions ...................................................................................................................................................................................................................215
D. IDENTICAL COMPLAINTS .......................................................................................................................................................................................2161. Identical Civil Actions ......................................................................................................................................................................................2182. Res Judicata and Collateral Estoppel ..........................................................................................................................................................2193. Offensive Collateral Estoppel .........................................................................................................................................................................2224. Law of the Case Doctrine ................................................................................................................................................................................2225. Processing or Spin–Off Complaints ............................................................................................................................................................222
E. FAILURE TO PROSECUTE OR COOPERATE .......................................................................................................................................................2241. Precomplaint Counseling ...............................................................................................................................................................................2262. Requests for Additional Information ...........................................................................................................................................................2263. Cooperation With Investigators ...................................................................................................................................................................2294. Inability to Locate Complainant....................................................................................................................................................................2315. Settlement Negotiations ................................................................................................................................................................................2316. Adjudication on Record ...................................................................................................................................................................................2317. Hearings ................................................................................................................................................................................................................2318. Delay by Agency ................................................................................................................................................................................................232
F. ABUSE OF PROCESS .................................................................................................................................................................................................2321. Unclean Hands Doctrine..................................................................................................................................................................................2372. Agency Abuse of Process ...............................................................................................................................................................................2383. Agency Conflict of Interest ............................................................................................................................................................................238
G. OFFERS OF FULL RELIEF .........................................................................................................................................................................................2381. Offer of Resolution ............................................................................................................................................................................................238
H. MOOTNESS ..................................................................................................................................................................................................................2391. Relief Through Other Forums .......................................................................................................................................................................2402. Job Assignments ................................................................................................................................................................................................2413. Cancellation of Vacancy Announcement .................................................................................................................................................2414. Allegations of Harassment ..............................................................................................................................................................................2415. Subsequent Promotions .................................................................................................................................................................................2436. Constructive Discharge ....................................................................................................................................................................................2437. Termination of Employment ..........................................................................................................................................................................2438. Performance and Other Work Appraisals ..................................................................................................................................................2439. Apologies ..............................................................................................................................................................................................................24310. Discipline of RMO ...............................................................................................................................................................................................24311. Reasonable Accommodation ........................................................................................................................................................................24412. Compensatory Damages ................................................................................................................................................................................24413. Attorney Fees ......................................................................................................................................................................................................245
I. MATTERS NOT RAISED WITH COUNSELOR .....................................................................................................................................................2451. Matters Raised and Not Included in Formal Complaint .......................................................................................................................246
J. ELECTION OF REMEDIES ........................................................................................................................................................................................2461. Negotiated Grievance Procedure ................................................................................................................................................................2462. MSPB Appeals .....................................................................................................................................................................................................247
K. FAILURE TO ALLEGE DISCRIMINATION ..............................................................................................................................................................247
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L. EFFECT OF STATUTES AND REGULATIONS ......................................................................................................................................................248M. CONTRACTUAL OBLIGATIONS .............................................................................................................................................................................248N. RELIEF REQUESTED ..................................................................................................................................................................................................248
IV. AMENDMENT AND CONSOLIDATION OF COMPLAINTS ....................................................................................................................................248A. BASIS OF DISCRIMINATION ...................................................................................................................................................................................249B. SUBSTANTIVE AMENDMENTS ..............................................................................................................................................................................249
1. Time Limits ..........................................................................................................................................................................................................2512. MSPB Appeals ......................................................................................................................................................................................................251
C. CONSOLIDATION .......................................................................................................................................................................................................2511. Time Limits ..........................................................................................................................................................................................................2522. Amending Consolidated Complaints .........................................................................................................................................................2533. Different Complainants ....................................................................................................................................................................................253
V. WITHDRAWAL OF COMPLAINTS ..................................................................................................................................................................................253
CHAPTER 4: INVESTIGATION OF COMPLAINTS ...............................................255I. TRAINING FOR INVESTIGATORS ...................................................................................................................................................................................256II. INVESTIGATIVE PROCEDURES .......................................................................................................................................................................................257
A. METHODS OF INVESTIGATION ............................................................................................................................................................................257B. TIMELINESS ..................................................................................................................................................................................................................258
III. ROLE OF THE INVESTIGATOR .........................................................................................................................................................................................259A. GATHERING INFORMATION ...................................................................................................................................................................................259B. FACILITATING ADR ....................................................................................................................................................................................................260C. ROLE OF REPRESENTATIVE ....................................................................................................................................................................................260
IV. DISMISSAL OF ALLEGATIONS .......................................................................................................................................................................................260A. UNCLEAR ALLEGATIONS .........................................................................................................................................................................................260B. PARTIAL DISMISSAL OF CLAIMS .........................................................................................................................................................................261C. BAD FAITH ALLEGATIONS .......................................................................................................................................................................................261D. PRIMA FACIE CASE .....................................................................................................................................................................................................261E. RELIEF GRANTED .......................................................................................................................................................................................................261F. PROCEDURAL ISSUES ..............................................................................................................................................................................................262G. FAILURE TO GIVE AFFIDAVIT .................................................................................................................................................................................262
V. DEVELOPMENTS DURING INVESTIGATION...............................................................................................................................................................262A. EVIDENCE .....................................................................................................................................................................................................................262B. AMENDMENTS ...........................................................................................................................................................................................................263C. NEW CLAIMS ...............................................................................................................................................................................................................263
VI. FAILURE TO INVESTIGATE CLAIMS ..............................................................................................................................................................................263A. DIFFERENT BASIS OF DISCRIMINATION ...........................................................................................................................................................263B. INADEQUATE INVESTIGATIONS ...........................................................................................................................................................................263
1. Where Hearing Is Held ......................................................................................................................................................................................2632. Where Final Agency Decision Is Issued ......................................................................................................................................................2643. Disability Discrimination Claims ...................................................................................................................................................................2694. Contract Investigators ......................................................................................................................................................................................269
C. EX PARTE INVESTIGATIONS .....................................................................................................................................................................................269VII. INTERVIEW OF WITNESSES .............................................................................................................................................................................................269
A. FAILURE TO INTERVIEW WITNESSES ..................................................................................................................................................................270B. EMPLOYEE’S RIGHT TO INTERVIEW WITNESSES ...........................................................................................................................................270C. RESPONSIBLE MANAGEMENT OFFICIALS .......................................................................................................................................................270D. RIGHT TO UNION REPRESENTATION ..................................................................................................................................................................271
VIII. COMPLAINT FILE ................................................................................................................................................................................................................271A. EVIDENCE .....................................................................................................................................................................................................................272
1. Rejection of Evidence .......................................................................................................................................................................................2732. Completeness of Record ..................................................................................................................................................................................273
B. COMPARATIVE ANALYSIS .......................................................................................................................................................................................274C. REQUIRED DOCUMENTS ........................................................................................................................................................................................274
1. Retention of Records ........................................................................................................................................................................................2742. FOIA and Privacy Act Requirements ...........................................................................................................................................................275
IX. COOPERATION OF COMPLAINANT .............................................................................................................................................................................276A. RIGHT TO IMPARTIAL INVESTIGATION ..............................................................................................................................................................278B. UNTIMELY INVESTIGATIONS .................................................................................................................................................................................280C. LOCATION OF INVESTIGATION ............................................................................................................................................................................280
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X. CONSOLIDATION ...............................................................................................................................................................................................................280XI. OFFICIAL TIME .....................................................................................................................................................................................................................281
A. TRAVEL TIME ...............................................................................................................................................................................................................281B. TRAVEL EXPENSES ....................................................................................................................................................................................................281
XII. CONCLUSIONS OF INVESTIGATORS ...........................................................................................................................................................................282A. CREDIBILITY FINDINGS OF INVESTIGATOR ......................................................................................................................................................282
XIII. NOTICE OF HEARING RIGHTS ........................................................................................................................................................................................282
CHAPTER 5: SETTLEMENT OF COMPLAINTS ....................................................285I. SETTLEMENT POLICIES ....................................................................................................................................................................................................285
A. REGULATORY GUIDANCE .......................................................................................................................................................................................286B. CONFIDENTIALITY AND PRIVILEGE ...................................................................................................................................................................286C. SETTLEMENT REMEDIES .........................................................................................................................................................................................287D. SETTLEMENT REQUIREMENTS .............................................................................................................................................................................288
1. Oral Agreements ...............................................................................................................................................................................................2882. Knowing and Voluntary Agreements .........................................................................................................................................................2923. Intent of the Parties ..........................................................................................................................................................................................2954. Signature of Agreement .................................................................................................................................................................................2985. Consideration .....................................................................................................................................................................................................3026. Alleged Discriminating Official .....................................................................................................................................................................303
E. EFFECT OF SETTLEMENT ........................................................................................................................................................................................303II. OFFERS OF RESOLUTION ................................................................................................................................................................................................303
A. MODEL LANGUAGE FOR OFFER ...........................................................................................................................................................................304B. OFFERS OF FULL RELIEF ..........................................................................................................................................................................................304
III. INTERPRETATION OF AGREEMENTS ...........................................................................................................................................................................305A. INTERPRETING LANGUAGE IN CONTEXT ..........................................................................................................................................................305B. WAIVER OF RIGHTS ...................................................................................................................................................................................................306
1. ADEA Rights ........................................................................................................................................................................................................308C. VAGUE AGREEMENTS ..............................................................................................................................................................................................308
1. Apologies ..............................................................................................................................................................................................................3102. Terms of Art .........................................................................................................................................................................................................3103. Priority Consideration .......................................................................................................................................................................................3104. Seniority ...............................................................................................................................................................................................................3125. Back Pay ................................................................................................................................................................................................................3136. Lump Sum Payments .......................................................................................................................................................................................3147. Interest ...................................................................................................................................................................................................................3148. Reinstatement .....................................................................................................................................................................................................3149. Supervisory Contact ..........................................................................................................................................................................................31510. Performance Appraisals ..................................................................................................................................................................................31511. Restoration of Benefits .....................................................................................................................................................................................315
D. SELECTIVE INTERPRETATION .................................................................................................................................................................................315E. EXPUNGEMENT OF RECORDS ..............................................................................................................................................................................316
1. Employment References .................................................................................................................................................................................317F. TIME LIMITS ON AGREEMENTS ............................................................................................................................................................................319
1. Duration of Agreement ....................................................................................................................................................................................3192. Execution of Terms .............................................................................................................................................................................................321
G. ELEMENT OF GOOD FAITH ....................................................................................................................................................................................3221. Bad Faith Negotiations ....................................................................................................................................................................................323
H. INTEGRATION OR ZIPPER CLAUSES ...................................................................................................................................................................325I. CONFIDENTIALITY CLAUSES ................................................................................................................................................................................326
1. Disclosure of Settlements ..............................................................................................................................................................................3282. Confidentiality of Settlement Process ........................................................................................................................................................329
J. SUPERVISION CLAUSES ...........................................................................................................................................................................................329K. GENERAL RELEASES .................................................................................................................................................................................................330L. MISREPRESENTATIONS IN THE SETTLEMENT PROCESS ............................................................................................................................330M. COLLECTIVE BARGAINING AGREEMENTS .......................................................................................................................................................331N. AGENCY POLICIES AND PROCEDURES ..............................................................................................................................................................333
IV. COMPENSATORY DAMAGES ..........................................................................................................................................................................................333V. COMPLIANCE WITH SETTLEMENT AGREEMENTS .................................................................................................................................................335
A. ENFORCEMENT OF AGREEMENTS ......................................................................................................................................................................3351. Time Limits ..........................................................................................................................................................................................................335
GuiDE To EEo law anD PRaCTiCE xix
2. Invalid Settlement Agreements ...................................................................................................................................................................3393. Compliance Through Prior Acts ....................................................................................................................................................................3394. Death of Complainant ......................................................................................................................................................................................3395. Bankruptcy ...........................................................................................................................................................................................................3396. Agreements With More Than One Complainant .....................................................................................................................................3407. Agreements Reached After Decision ..........................................................................................................................................................340
B. REMEDIES FOR FAILURE OF AGENCY TO COMPLY .......................................................................................................................................3401. Partial Compliance—Return to Status Quo Ante .....................................................................................................................................3412. Partial Compliance—Age Discrimination .................................................................................................................................................3433. Interest as Sanction ..........................................................................................................................................................................................3434. Attorney Fees .......................................................................................................................................................................................................344
C. FAILURE OF EMPLOYEE TO COMPLY ..................................................................................................................................................................3441. Agency Compliance Petitions ........................................................................................................................................................................344
D. SETTLEMENTS IN CIVIL ACTIONS ........................................................................................................................................................................345E. FILING OF NEW COMPLAINTS ...............................................................................................................................................................................345F. REPRISAL ......................................................................................................................................................................................................................345G. DISCRIMINATORY SETTLEMENT AGREEMENTS ............................................................................................................................................346H. SUBSEQUENT ACTS ..................................................................................................................................................................................................348
VI. VOIDING SETTLEMENT AGREEMENTS ......................................................................................................................................................................349A. UNFORESEEN CIRCUMSTANCES ..........................................................................................................................................................................349B. BAD FAITH ....................................................................................................................................................................................................................350
1. Coercive Agreements........................................................................................................................................................................................3502. Rescinding of Agreement................................................................................................................................................................................351
C. ADVICE OF REPRESENTATIVES ..............................................................................................................................................................................351D. ACCEPTANCE OF BENEFITS ...................................................................................................................................................................................351E. LACK OF CONSIDERATION.ILLUSORY AGREEMENTS ...............................................................................................................................352
1. Mutual Mistake of Fact or Law ......................................................................................................................................................................356F. WAIVER OF PROSPECTIVE EEO CLAIMS ...........................................................................................................................................................358G. LACK OF REPRESENTATIVE AUTHORITY ...........................................................................................................................................................360H. OLDER WORKERS’ BENEFIT PROTECTION ACT ..............................................................................................................................................360I. SUBSEQUENT AGREEMENTS .................................................................................................................................................................................366
VII. SETTLEMENTS REACHED THROUGH OTHER PROCEDURES .............................................................................................................................366VIII. RETIREMENT ISSUES .........................................................................................................................................................................................................367IX. ATTORNEY FEE ISSUES .....................................................................................................................................................................................................369
A. FAILURE TO MENTION FEE ISSUE .........................................................................................................................................................................369B. SEVERANCE OF FEE ISSUES ...................................................................................................................................................................................369
1. Fee Determination by Judge ..........................................................................................................................................................................370C. DETERMINING REASONABLE FEES ....................................................................................................................................................................370
A. POWERS OF THE ADMINISTRATIVE JUDGE ......................................................................................................................................................3721. Administrative Judges’ Handbook ..............................................................................................................................................................3752. Subpoenas ...........................................................................................................................................................................................................3753. Contract Administrative Judges ...................................................................................................................................................................375
B. RIGHT TO HEARING ..................................................................................................................................................................................................3751. Request for Hearing .........................................................................................................................................................................................3762. Service of Hearing Request ...........................................................................................................................................................................3793. Effect of Hearing Request ................................................................................................................................................................................3794. Withdrawal of Request for Hearing ............................................................................................................................................................3795. Waiver of Hearing ...............................................................................................................................................................................................3796. Failure to Attend Hearing ...............................................................................................................................................................................380
C. AGENCY’S HEARING RESPONSIBILITIES ...........................................................................................................................................................380D. RIGHT TO NEUTRAL ADMINISTRATIVE JUDGE ..............................................................................................................................................381E. VENUE ............................................................................................................................................................................................................................381F. REVIEW OF REPORT OF INVESTIGATION ..........................................................................................................................................................382
1. Sanctions for Nonhearing–Related Conduct ..........................................................................................................................................383G. DISMISSAL OF COMPLAINTS .................................................................................................................................................................................385
1. Review of Partial Dismissals ............................................................................................................................................................................385H. PREHEARING ORDERS .............................................................................................................................................................................................386
1. Docketing Order .................................................................................................................................................................................................386
xx TablE oF ConTEnTs
2. Acknowledgment and Order ........................................................................................................................................................................3863. Scheduling Order ..............................................................................................................................................................................................3874. Prehearing Conference ...................................................................................................................................................................................387
I. WITNESS LISTS ...........................................................................................................................................................................................................3871. Unavailability of Witnesses ............................................................................................................................................................................388
J. SCHEDULING OF HEARING ...................................................................................................................................................................................3881. Notice of Remand .............................................................................................................................................................................................3892. Convenience to Parties ...................................................................................................................................................................................3893. Hearing Notice ...................................................................................................................................................................................................390
K. BIFURCATED DAMAGES HEARINGS ...................................................................................................................................................................390L. POSTPONEMENT OR CONTINUANCE OF HEARING ....................................................................................................................................390M. SETTLEMENT ...............................................................................................................................................................................................................391
1. Conferences With Hearing Judge .................................................................................................................................................................3922. Conferences With Settlement Judge ...........................................................................................................................................................3923. Alternative Dispute Resolution ....................................................................................................................................................................3924. Settlement Agreements ...................................................................................................................................................................................393
N. OFFERS OF FULL RELIEF .........................................................................................................................................................................................3931. Test for Full Relief ................................................................................................................................................................................................3942. Writing Requirement ........................................................................................................................................................................................3953. Time Limits ...........................................................................................................................................................................................................3954. Poirrier Settlements ...........................................................................................................................................................................................3955. Final Action ...........................................................................................................................................................................................................3966. Elements of Full Relief .....................................................................................................................................................................................3967. Compensatory Damages ................................................................................................................................................................................3968. Unconditional Relief ..........................................................................................................................................................................................3969. Reinstatement .....................................................................................................................................................................................................39710. Back Pay .................................................................................................................................................................................................................39711. Interest ..................................................................................................................................................................................................................39712. Performance Ratings .........................................................................................................................................................................................39713. Reassignments ....................................................................................................................................................................................................39714. Training ..................................................................................................................................................................................................................39815. Denial of Leave ....................................................................................................................................................................................................39816. Retirement Issues ...............................................................................................................................................................................................39817. Damage to Reputation .....................................................................................................................................................................................39818. Harassment ...........................................................................................................................................................................................................39819. Relief Through Other Procedures .................................................................................................................................................................39820. Admission of Discrimination ..........................................................................................................................................................................39821. Enforcement of Offers ......................................................................................................................................................................................399
O. STIPULATIONS ............................................................................................................................................................................................................399P. AGENCY REPRESENTATIVES ..................................................................................................................................................................................399Q. SPIN–OFF COMPLAINTS .........................................................................................................................................................................................399R. AMENDMENT AND CONSOLIDATION OF COMPLAINTS ...........................................................................................................................400
S. DEFINITION OF CLAIMS ..........................................................................................................................................................................................401T. RULINGS OF ADMINISTRATIVE JUDGE .............................................................................................................................................................401
1. Nondispositive Rulings ....................................................................................................................................................................................4012. Motion Practice ...................................................................................................................................................................................................401
II. SUMMARY JUDGMENT ....................................................................................................................................................................................................402A. SUMMARY JUDGMENT STANDARDS..................................................................................................................................................................402
1. Sua Sponte Summary Judgment ...................................................................................................................................................................4052. Motion by Party ..................................................................................................................................................................................................4063. Oral Argument.....................................................................................................................................................................................................4074. Failure to Respond to Motion ........................................................................................................................................................................4075. Pending Discovery Issues ................................................................................................................................................................................408
C. DISPUTES OF MATERIAL FACT .............................................................................................................................................................................408D. JUDGMENT AS A MATTER OF LAW ....................................................................................................................................................................412E. PARTIAL SUMMARY JUDGMENT .........................................................................................................................................................................412
GuiDE To EEo law anD PRaCTiCE xxi
III. DISCOVERY ...........................................................................................................................................................................................................................413A. DISCOVERY SCOPE AND PROCEDURES ...........................................................................................................................................................414
1. Time Period Covered by Discovery .............................................................................................................................................................416B. DISCOVERY DEVICES ................................................................................................................................................................................................416
1. Interrogatories ....................................................................................................................................................................................................4162. Production of Documents ..............................................................................................................................................................................4173. Depositions .........................................................................................................................................................................................................4174. Requests for Admissions .................................................................................................................................................................................4195. Medical Examinations ......................................................................................................................................................................................4196. Commission Guidance on Discovery .........................................................................................................................................................4207. Discovery Costs ...................................................................................................................................................................................................423
C. OBLIGATION TO PRODUCE EVIDENCE ..............................................................................................................................................................4231. Privacy Act Objections ....................................................................................................................................................................................4232. In Camera Review ..............................................................................................................................................................................................4243. Tax Returns ..........................................................................................................................................................................................................4244. Protective Orders ...............................................................................................................................................................................................425
D. MOTIONS TO COMPEL DISCOVERY ....................................................................................................................................................................425E. DISCOVERY SANCTIONS .........................................................................................................................................................................................426
1. Justice Memo Halting Fees as Sanctions ..................................................................................................................................................4282. Reinstatement of Fees as Sanctions ............................................................................................................................................................4303. Good Faith Obligation ......................................................................................................................................................................................4314. Sanctions Against Complainants .................................................................................................................................................................4335. Sanction Procedures ........................................................................................................................................................................................4336. Sanction Orders ..................................................................................................................................................................................................434
F. PSYCHOTHERAPIST PRIVILEGE ............................................................................................................................................................................434IV. HEARING PROCEDURES ..................................................................................................................................................................................................437
A. PRELIMINARY HEARING MATTERS ......................................................................................................................................................................4371. Persons Allowed at Hearing ...........................................................................................................................................................................4372. Off–The–Record Discussions ..........................................................................................................................................................................4383. Presentation of Evidence .................................................................................................................................................................................4384. Reasonable Accommodation of Complainant and Witnesses ...........................................................................................................4385. Introductory and Opening Statements .....................................................................................................................................................438
B. EVIDENCE .....................................................................................................................................................................................................................4381. Relevancy .............................................................................................................................................................................................................4382. Unduly Repetitious Evidence ........................................................................................................................................................................4383. Hearsay Evidence ..............................................................................................................................................................................................4394. Documentary Evidence ...................................................................................................................................................................................4395. Use of “Private” Documents ...........................................................................................................................................................................4406. Best Evidence .......................................................................................................................................................................................................4407. Destruction of Evidence .................................................................................................................................................................................4408. Failure to Produce Evidence ..........................................................................................................................................................................442
C. WITNESSES ...................................................................................................................................................................................................................4431. Exclusion of Witnesses .....................................................................................................................................................................................4442. Exclusion of Complainant ..............................................................................................................................................................................4463. Alternative Means of Testimony ..................................................................................................................................................................4464. Telephonic and Video Hearings ...................................................................................................................................................................4475. Presence of Complainant ...............................................................................................................................................................................4506. Representations of Counsel ..........................................................................................................................................................................4507. Witness Intimidation ........................................................................................................................................................................................4518. Failure to Produce Witness .............................................................................................................................................................................4519. EEO Counselors ..................................................................................................................................................................................................452
D. CREDIBILITY DETERMINATIONS ..........................................................................................................................................................................4521. Rules of Deference ............................................................................................................................................................................................4532. Demeanor ............................................................................................................................................................................................................4543. Findings Related to Motivation .....................................................................................................................................................................4554. Split Credibility Findings ..................................................................................................................................................................................4565. Self–Serving Testimony ....................................................................................................................................................................................4566. Relationship of Parties ......................................................................................................................................................................................4567. Leading Questions ............................................................................................................................................................................................4568. Plausibility of Testimony ..................................................................................................................................................................................4569. Internally Inconsistent Testimony ................................................................................................................................................................457
xxii TablE oF ConTEnTs
10. Findings Based on Evidence of Record .....................................................................................................................................................45711. Testimony and Findings in Other Proceedings .......................................................................................................................................45812. Corroboration Evidence ..................................................................................................................................................................................45813. Impeachment Evidence ..................................................................................................................................................................................45814. Findings Based on Assumptions ...................................................................................................................................................................45815. Refusal to Testify .................................................................................................................................................................................................45916. Previous Credibility Findings .........................................................................................................................................................................45917. Scripted Testimony ............................................................................................................................................................................................45918. Qualifications of Witness .................................................................................................................................................................................45919. Appeal of Credibility Findings ......................................................................................................................................................................459
E. ALLEGATIONS RAISED AT HEARING ..................................................................................................................................................................460F. OBJECTIONS ................................................................................................................................................................................................................460G. OFFICIAL TIME ............................................................................................................................................................................................................460H. ROLE OF JUDGE .........................................................................................................................................................................................................460
1. Regulating Conduct of Hearing ...................................................................................................................................................................4612. Developing the Record ...................................................................................................................................................................................4613. Amended Complaints ......................................................................................................................................................................................462
I. RESPONSIBLE MANAGEMENT OFFICIAL ..........................................................................................................................................................463J. RECORD OF HEARING ..............................................................................................................................................................................................463K. CLOSING STATEMENTS ...........................................................................................................................................................................................463L. CONDUCT OF REPRESENTATIVES .......................................................................................................................................................................463
1. Ex Parte Communications ...............................................................................................................................................................................464M. CLOSING THE HEARING RECORD .........................................................................................................................................................................464
V. POSTHEARING MATTERS .................................................................................................................................................................................................464A. DECISIONS OF ADMINISTRATIVE JUDGE .........................................................................................................................................................464
1. Contents of Decision .........................................................................................................................................................................................4652. Bench Decisions .................................................................................................................................................................................................4653. Adopting Position of Parties ..........................................................................................................................................................................4664. Delay in Decisions ..............................................................................................................................................................................................4665. Default Judgments ...........................................................................................................................................................................................4666. Directed Verdict ..................................................................................................................................................................................................4667. Decision by Judge Not Presiding ..................................................................................................................................................................4678. External Evidence ...............................................................................................................................................................................................4679. Relief ......................................................................................................................................................................................................................467
B. BIAS .................................................................................................................................................................................................................................468
CHAPTER 7: FINAL AGENCY ACTION ..................................................................471I. FINAL AGENCY ORDER AFTER HEARING ..................................................................................................................................................................472
A. TIME LIMITS ..................................................................................................................................................................................................................472B. PROCEDURAL ISSUES ..............................................................................................................................................................................................473
II. FINAL AGENCY DECISION WITHOUT HEARING .....................................................................................................................................................473A. COMPLAINANT’S CONSIDERATIONS ..................................................................................................................................................................474B. CONTENTS OF FINAL DECISION ..........................................................................................................................................................................475
1. Credibility Findings ............................................................................................................................................................................................475C. ADOPTING FINDINGS OF INVESTIGATOR ........................................................................................................................................................476D. REASONS ARTICULATED .........................................................................................................................................................................................476E. DECIDING OFFICIAL .................................................................................................................................................................................................477F. RESCINDING FINAL AGENCY DECISION ...........................................................................................................................................................477
1. Draft Decisions ....................................................................................................................................................................................................478G. ADJUDICATION IN LIEU OF DISMISSAL ............................................................................................................................................................478
III. REQUIREMENTS OF FINAL AGENCY ACTION ..........................................................................................................................................................479A. APPEAL RIGHTS ..........................................................................................................................................................................................................479
1. Partial Dismissals ...............................................................................................................................................................................................4802. Failure to Issue Final Agency Action ............................................................................................................................................................480
B. ATTORNEY FEES .........................................................................................................................................................................................................480IV. FILING OF CIVIL ACTION .................................................................................................................................................................................................481V. ENFORCEMENT OF FINAL AGENCY DECISIONS ....................................................................................................................................................482
A. FINAL AGENCY ACTIONS .......................................................................................................................................................................................486
GuiDE To EEo law anD PRaCTiCE xxiii
B. FINAL AGENCY DECISIONS ...................................................................................................................................................................................486C. MSPB AND NEGOTIATED GRIEVANCE DECISIONS .......................................................................................................................................487
II. PROCEDURES FOR APPEAL.COMPLAINANTS .....................................................................................................................................................487A. TIME LIMITS .................................................................................................................................................................................................................488
1. Dismissal by Administrative Judge .............................................................................................................................................................4882. Computation of Time .......................................................................................................................................................................................4883. Decisions Amended by Administrative Judge ........................................................................................................................................4894. Waiver of Time Limit .........................................................................................................................................................................................4905. Filing With Wrong Agency .............................................................................................................................................................................4916. Filing by Telephone ..........................................................................................................................................................................................492
B. SERVICE OF DOCUMENTS ......................................................................................................................................................................................492III. PROCEDURES FOR APPEAL.AGENCIES ..................................................................................................................................................................493
A. TIME LIMITS .................................................................................................................................................................................................................493B. SERVICE OF DOCUMENTS .......................................................................................................................................................................................494C. INTERIM RELIEF ...........................................................................................................................................................................................................494D. BRIEF IN SUPPORT OF APPEAL ............................................................................................................................................................................494
IV. RECORD ON APPEAL ........................................................................................................................................................................................................494A. COMPLAINT FILE .......................................................................................................................................................................................................495B. IDENTIFICATION OF PARTIES .................................................................................................................................................................................495C. SUPPLEMENTATION OF RECORD ........................................................................................................................................................................496
1. New Evidence ......................................................................................................................................................................................................496D. SUBMISSION OF EVIDENCE ...................................................................................................................................................................................496E. DISMISSED CLAIMS ..................................................................................................................................................................................................497
V. SCOPE OF REVIEW ..............................................................................................................................................................................................................497A. JURISDICTIONAL ISSUES ........................................................................................................................................................................................497B. PRESERVING ISSUES FOR APPEAL ......................................................................................................................................................................498
1. Agency Implementation of Decision ..........................................................................................................................................................498C. SELF–CORRECTION OF ERROR .............................................................................................................................................................................498
1. Effect of Other Cases .........................................................................................................................................................................................498D. MULTIPLE CLAIMS ......................................................................................................................................................................................................498E. NEW CLAIMS ...............................................................................................................................................................................................................498
1. Claims Not Raised by Parties .........................................................................................................................................................................498F. CONSOLIDATION OF APPEALS ............................................................................................................................................................................499
VI. STANDARDS OF REVIEW .................................................................................................................................................................................................499A. ADMINISTRATIVE JUDGE DECISIONS ................................................................................................................................................................499
1. Summary Judgment ........................................................................................................................................................................................5002. Witness Credibility ............................................................................................................................................................................................5003. Burdens of Persuasion .....................................................................................................................................................................................5014. Prehearing and Hearing Rulings ...................................................................................................................................................................5015. Basis of Discrimination .....................................................................................................................................................................................5016. Attorney Fee Awards ........................................................................................................................................................................................501
B. FINAL AGENCY DECISIONS ...................................................................................................................................................................................5011. Credibility Determinations .............................................................................................................................................................................501
C. PROCESSING COMPLAINTS ...................................................................................................................................................................................502D. SHORT–FORM DECISIONS ......................................................................................................................................................................................502E. PRECEDENTIAL VALUE OF EEOC DECISIONS ..................................................................................................................................................503F. INTERPRETATION OF COURT DECISIONS .........................................................................................................................................................503
VII. REVIEW OF SANCTIONS ..................................................................................................................................................................................................503A. SANCTIONS AGAINST AGENCIES ........................................................................................................................................................................505
1. Default Judgments ...........................................................................................................................................................................................513B. ATTORNEY FEES AS SANCTIONS .........................................................................................................................................................................521
1. Appointment of Attorney as Sanction .......................................................................................................................................................522C. SANCTIONS AGAINST COMPLAINANTS ...........................................................................................................................................................523D. SANCTIONS AT APPELLATE LEVEL .....................................................................................................................................................................527
VIII. COMPLIANCE AND ENFORCEMENT ...........................................................................................................................................................................528A. ENFORCEMENT OF COMMISSION DECISIONS ..............................................................................................................................................529
1. Remands ................................................................................................................................................................................................................534IX. FILING OF CIVIL ACTION .................................................................................................................................................................................................534X. REQUESTS FOR RECONSIDERATION ...........................................................................................................................................................................534
A. PROCEDURES AND TIME LIMITS .........................................................................................................................................................................535B. EFFECT OF REQUEST ................................................................................................................................................................................................536
xxiv TablE oF ConTEnTs
C. CRITERIA FOR RECONSIDERATION .....................................................................................................................................................................5361. Clearly Erroneous Interpretation ..................................................................................................................................................................5362. Substantial Impact .............................................................................................................................................................................................5373. New and Material Evidence ...........................................................................................................................................................................5384. Inconsequential Factual Error ........................................................................................................................................................................5395. Commission’s Own Motion .............................................................................................................................................................................539
XI. REQUESTS FOR CLARIFICATION ...................................................................................................................................................................................539A. REQUESTS FOR ENFORCEMENT ...........................................................................................................................................................................539
XII. APPEAL OF EEOC DECISIONS ........................................................................................................................................................................................540A. DELAY IN EEOC DECISIONS ....................................................................................................................................................................................540
CHAPTER 9: REPRESENTATIVES AND OFFICIAL TIME ...................................541I. RIGHT TO REPRESENTATION ..........................................................................................................................................................................................541II. AGENCY REPRESENTATIVES ...........................................................................................................................................................................................541
A. ROLE OF AGENCY REPRESENTATIVE ...................................................................................................................................................................5411. Role During Agency Processing of Complaint .........................................................................................................................................5412. Attorney-Client Relationship .........................................................................................................................................................................541
B. SCOPE OF REPRESENTATION ................................................................................................................................................................................542C. EEOC RESTRICTIONS ON AGENCY REPRESENTATIVES ...............................................................................................................................542D. FLRA RESTRICTIONS ON AGENCY REPRESENTATIVES ................................................................................................................................542
III. COMPLAINANTS’ REPRESENTATIVES ...........................................................................................................................................................................546A. SCOPE OF REPRESENTATION ................................................................................................................................................................................546B. DESIGNATION OF REPRESENTATIVE ..................................................................................................................................................................546C. SERVICE OF DOCUMENTS ......................................................................................................................................................................................547D. UNION REPRESENTATIVES .....................................................................................................................................................................................547E. WITHDRAWAL FROM REPRESENTATION ..........................................................................................................................................................547
IV. EXCLUSION, DISQUALIFICATION, AND LIMITATIONS ON REPRESENTATIVES ...........................................................................................548A. CONFLICTS OF INTEREST .......................................................................................................................................................................................548
1. Official Time Restrictions ................................................................................................................................................................................549B. EXCLUSION OF REPRESENTATIVES .....................................................................................................................................................................549
1. Exclusion Procedure ..........................................................................................................................................................................................5492. Authority for Exclusion .....................................................................................................................................................................................5503. Standards for Exclusion ....................................................................................................................................................................................550
C. DISQUALIFICATION AND SUSPENSION ............................................................................................................................................................5511. Procedure for Disqualification and Suspension ......................................................................................................................................5512. Standard for Disqualification and Suspension ........................................................................................................................................5523. Referral to Bar ......................................................................................................................................................................................................554
D. USE OF SANCTIONS ..................................................................................................................................................................................................554V. USE OF OFFICIAL TIME .....................................................................................................................................................................................................555
A. OFFICIAL TIME COMPLAINTS ...............................................................................................................................................................................555B. DEFINITION OF REASONABLE TIME ...................................................................................................................................................................556
1. Consultations With Representative .............................................................................................................................................................5572. EEO Counseling ..................................................................................................................................................................................................5573. EEO Meetings .......................................................................................................................................................................................................5574. EEOC Settlement Conferences ......................................................................................................................................................................5585. Preparation Time ................................................................................................................................................................................................5586. Soliciting Evidence on Agency Time ...........................................................................................................................................................5587. Official Time Policies ..........................................................................................................................................................................................5588. Official Time Requests and Denials .............................................................................................................................................................5589. Duty Status of Employee .................................................................................................................................................................................55910. Civil Actions .........................................................................................................................................................................................................559
C. REPRESENTATIVES AND OFFICIAL TIME ...........................................................................................................................................................5591. Restrictions on Representatives’ Time ........................................................................................................................................................5592. Official Time Complaints .................................................................................................................................................................................5603. Representation of Applicants for Employment ......................................................................................................................................5624. Representation of Former Employees .......................................................................................................................................................562
D. TECHNICAL REPRESENTATIVES ............................................................................................................................................................................562E. COMPENSATION AND BENEFIT ISSUES .............................................................................................................................................................563
2. Restoration of Time............................................................................................................................................................................................5633. Payment of Costs ...............................................................................................................................................................................................563
VI. USE OF AGENCY EQUIPMENT .......................................................................................................................................................................................564VII. PROCESSING OFFICIAL TIME COMPLAINTS ............................................................................................................................................................564
CHAPTER 10: THEORIES OF DISCRIMINATION. INTENTIONAL DISCRIMINATION ..................................................567
I. CIRCUMSTANTIAL EVIDENCE CASES .........................................................................................................................................................................568A. EVOLUTION OF “DISPARATE TREATMENT” THEORY ....................................................................................................................................568
1. Elements of Prima Facie Case ........................................................................................................................................................................5702. Penalties ...............................................................................................................................................................................................................5723. Effect of Regulations and Policies ................................................................................................................................................................5724. Discretionary Acts .............................................................................................................................................................................................5725. Performance Expectations .............................................................................................................................................................................572
B. BASIS FOR DISPARATE TREATMENT ...................................................................................................................................................................5731. Comparison Employees ..................................................................................................................................................................................5732. No Comparison Employees ............................................................................................................................................................................5783. Subjective Criteria ..............................................................................................................................................................................................5804. Accuracy of Beliefs .............................................................................................................................................................................................580
C. APPLICATION FOR POSITION ...............................................................................................................................................................................5801. Cancellation of Position ..................................................................................................................................................................................5812. Constructive Application .................................................................................................................................................................................5813. Multiple Vacancies ............................................................................................................................................................................................581
D. QUALIFICATION FOR POSITION ..........................................................................................................................................................................581E. ALLEGED DISCRIMINATING OFFICIALS .............................................................................................................................................................581F. ELEMENT OF INTENT ...............................................................................................................................................................................................581
1. Genuine Mistakes ...............................................................................................................................................................................................5822. Intent of Third Parties .......................................................................................................................................................................................584
G. DISCRIMINATORY INFLUENCE OF OTHERS.THE “CAT’S PAW” ...............................................................................................................584H. DIRECT EVIDENCE OF DISCRIMINATION .........................................................................................................................................................587
II. AGENCY BURDEN OF PRODUCTION.CIRCUMSTANTIAL EVIDENCE ...........................................................................................................588A. DISPARATE TREATMENT ..........................................................................................................................................................................................588
1. Similarly Situated Employees; Meaningful Distinctions ......................................................................................................................5912. Training ..................................................................................................................................................................................................................5923. Leave Restrictions ..............................................................................................................................................................................................5924. Work Habits ..........................................................................................................................................................................................................5925. Nonselections and Promotions ....................................................................................................................................................................5926. Past Discipline ....................................................................................................................................................................................................5947. Experience ............................................................................................................................................................................................................5948. Post Hoc Justifications .......................................................................................................................................................................................5949. Best Interests of Agency ..................................................................................................................................................................................59510. Mandatory Sanctions .......................................................................................................................................................................................59511. Failure of Agency to Cooperate ...................................................................................................................................................................59512. Failure of Agency to Provide Reasons ........................................................................................................................................................595
B. WITNESS CREDIBILITY .............................................................................................................................................................................................597C. AFFIRMATIVE ACTION PLANS ..............................................................................................................................................................................597D. AVOIDING ADVERSE IMPACT LITIGATION ........................................................................................................................................................599E. RELIANCE ON AGENCY REGULATIONS .............................................................................................................................................................600F. RELIANCE ON COLLECTIVE BARGAINING AGREEMENT ............................................................................................................................601G. RELIANCE ON STATE LAW .......................................................................................................................................................................................601H. CORRECTING DISCRIMINATION BY NONSUPERVISORY PERSONNEL ..................................................................................................601
III. PRETEXT.CIRCUMSTANTIAL EVIDENCE CASES ..................................................................................................................................................601A. HICKS AND THE BURDEN OF PERSUASION .....................................................................................................................................................602
1. Commission Interpretation of Hicks ...........................................................................................................................................................6062. Agency’s Burden Under Hicks .......................................................................................................................................................................6093. Proof of Intent Under Hicks ............................................................................................................................................................................6104. Hicks in Jury Cases ..............................................................................................................................................................................................6125. Case Law Prior to Hicks .....................................................................................................................................................................................612
B. CAUSAL CONNECTION ...........................................................................................................................................................................................6131. Disciplinary Cases ..............................................................................................................................................................................................613
xxvi TablE oF ConTEnTs
2. Hiring Freezes .....................................................................................................................................................................................................6143. Light Duty ............................................................................................................................................................................................................6144. Preselection .........................................................................................................................................................................................................6145. Nonselection .......................................................................................................................................................................................................6156. Training .................................................................................................................................................................................................................6177. Qualifications ......................................................................................................................................................................................................6178. Test Results ...........................................................................................................................................................................................................6179. Inadequate Resources ......................................................................................................................................................................................61810. Work Environment ............................................................................................................................................................................................61811. Receipt of Unemployment Compensation ..............................................................................................................................................618
IV. DIRECT EVIDENCE AND “MIXED MOTIVE” CASES ..................................................................................................................................................624A. THE PRICE WATERHOUSE ANALYSIS ...................................................................................................................................................................625B. CIVIL RIGHTS ACT OF 1991 ....................................................................................................................................................................................629
1. ADEA .......................................................................................................................................................................................................................630C. DESERT PALACE, CIRCUMSTANTIAL EVIDENCE AND THE MIXED–MOTIVE ANALYSIS ...................................................................630D. DEFINING DIRECT EVIDENCE ...............................................................................................................................................................................633E. MIXED MOTIVES IN HOSTILE ENVIRONMENT CASES ..................................................................................................................................637F. REBUTTING MIXED MOTIVE EVIDENCE ............................................................................................................................................................638
V. LIMITATIONS ON LIABILITY ............................................................................................................................................................................................640A. AFTER–ACQUIRED EVIDENCE DOCTRINE .......................................................................................................................................................641B. STANDARD OF PROOF ............................................................................................................................................................................................643C. THE “CLEAR AND CONVINCING” STANDARD ..................................................................................................................................................645
CHAPTER 11: THEORIES OF DISCRIMINATION.ADVERSE IMPACT ..........649I. THE GRIGGS CASE ..............................................................................................................................................................................................................649II. THE WARDS COVE CASE ...................................................................................................................................................................................................650III. THE CIVIL RIGHTS ACT OF 1991 ...................................................................................................................................................................................652
A. PRIMA FACIE CASE .....................................................................................................................................................................................................6531. Agency’s Investigatory Burden ....................................................................................................................................................................654
B. AGENCY’S BURDEN.BUSINESS NECESSITY .................................................................................................................................................6541. Criminal Arrests ..................................................................................................................................................................................................654
C. ALTERNATIVE METHODS ........................................................................................................................................................................................656D. SUBJECTIVE SELECTION PRACTICES ..................................................................................................................................................................656E. STATUTE OF LIMITATIONS ......................................................................................................................................................................................656
IV. UNIFORM GUIDELINES ON EMPLOYEE SELECTION PROCEDURES ................................................................................................................656A. “BOTTOM LINE” CONCEPT ......................................................................................................................................................................................656B. VALIDITY STUDIES .....................................................................................................................................................................................................658C. SUITABLE ALTERNATIVES ........................................................................................................................................................................................659
A. RECRUITMENT ............................................................................................................................................................................................................6601. Responsibilities of OPM ..................................................................................................................................................................................6612. Responsibilities of Agencies ..........................................................................................................................................................................661
B. SELECTION AND ADVANCEMENT ......................................................................................................................................................................6611. Conditions for Affirmative Action ...............................................................................................................................................................6622. Establishing Affirmative Action Plans ........................................................................................................................................................6623. Effects of Adopting a Plan ...............................................................................................................................................................................6624. Using Plan as Affirmative Defense ..............................................................................................................................................................662
GuiDE To EEo law anD PRaCTiCE xxvii
5. Training Programs ..............................................................................................................................................................................................663C. VIOLATIONS OF AFFIRMATIVE ACTION PLANS .............................................................................................................................................663
1. Court Orders and Consent Decrees ............................................................................................................................................................6632. Special Emphasis Programs ............................................................................................................................................................................663
CHAPTER 12: THEORIES OF DISCRIMINATION.HARASSMENT .................665I. TANGIBLE EMPLOYMENT ACTION: SEXUAL HARASSMENT ..............................................................................................................................667
A. DEFINITIONS ...............................................................................................................................................................................................................6671. Tangible Employment Action .......................................................................................................................................................................6672. Supervisors ..........................................................................................................................................................................................................6683. Link With Hostile Environment ......................................................................................................................................................................668
B. ELEMENTS OF CLAIM ...............................................................................................................................................................................................6691. Prima Facie Case .................................................................................................................................................................................................6692. Tangible Employment Actions ......................................................................................................................................................................6693. Unwelcome Advances .....................................................................................................................................................................................6694. Preferential Treatment for Submission to Advances ............................................................................................................................6695. Threats of Tangible Employment Actions ................................................................................................................................................6716. Knowledge of Agency .....................................................................................................................................................................................6727. Causal Connection With Gender ...................................................................................................................................................................6728. Reprisal ..................................................................................................................................................................................................................6739. Violent Responses to Harassment ...............................................................................................................................................................674
II. HOSTILE ENVIRONMENT SEXUAL HARASSMENT .................................................................................................................................................675A. MERITOR AND HARRIS .............................................................................................................................................................................................675B. BURDENS OF PROOF ................................................................................................................................................................................................677
1. “Prima Facie” Case .............................................................................................................................................................................................6772. Agency’s Burden ................................................................................................................................................................................................677
C. NATURE OF CONDUCT ............................................................................................................................................................................................6781. Gender–Based Harassment ...........................................................................................................................................................................6792. Sexual Conduct ..................................................................................................................................................................................................681
D. UNWELCOME ADVANCES .......................................................................................................................................................................................6861. Consensual Conduct ........................................................................................................................................................................................689Harassment of Manager by Subordinate ...........................................................................................................................................................691
E. SEVERE AND PERVASIVE REQUIREMENT .........................................................................................................................................................6911. “Reasonable Person” vs. “Reasonable Woman” .......................................................................................................................................6922. Severity and Frequency of Conduct ...........................................................................................................................................................6933. Physical Contact or Conduct .........................................................................................................................................................................7044. Offensive Looks ...................................................................................................................................................................................................7065. Physical Proximity ..............................................................................................................................................................................................7066. Increased Work Scrutiny ..................................................................................................................................................................................7077. Nature of Work ....................................................................................................................................................................................................7078. Conduct Directed Toward Others .................................................................................................................................................................7079. Psychological Harm Requirement ...............................................................................................................................................................70710. Subjective Test .....................................................................................................................................................................................................70811. Use of Personnel Actions ................................................................................................................................................................................70912. Corroborative Evidence ...................................................................................................................................................................................71013. Harassment Outside of the Workplace ......................................................................................................................................................710
III. SEX OF PERPETRATOR AND VICTIM ...........................................................................................................................................................................712A. HARASSMENT OF MALE EMPLOYEES ...............................................................................................................................................................712
B. SAME–SEX HARASSMENT AND ONCALE ..........................................................................................................................................................7171. Sexual Orientation and Gender Stereotyping .........................................................................................................................................7192. Gender Identification Cases ..........................................................................................................................................................................7233. Prohibited Personnel Practice .......................................................................................................................................................................725
C. HARASSMENT OF BOTH SEXES ............................................................................................................................................................................725IV. OVERVIEW OF LIABILITY FOR HARASSMENT .........................................................................................................................................................727
A. THE RULES OF AGENCY: THE MASTER-SERVANT RELATIONSHIP ...........................................................................................................728B. BASIC RULES OF LIABILITY .....................................................................................................................................................................................729C. TANGIBLE EMPLOYMENT ACTION HARASSMENT ........................................................................................................................................729
1. Supervisors ...........................................................................................................................................................................................................7302. Supervisors Who Lack Authority ...................................................................................................................................................................730
xxviii TablE oF ConTEnTs
D. HOSTILE ENVIRONMENT HARASSMENT.SUPERVISORS .........................................................................................................................7301. Definition of Supervisor ...................................................................................................................................................................................7312. Knowledge of Agency .....................................................................................................................................................................................7323. Reasonable Care and the Affirmative Defense ........................................................................................................................................7324. Harassment Policies ..........................................................................................................................................................................................7365. Failure to Avoid Harm ......................................................................................................................................................................................7376. Prompt Remedial Action .................................................................................................................................................................................7387. “Alter Ego” Theory ...............................................................................................................................................................................................7388. Harassment of Manager by Subordinate ...................................................................................................................................................738
E. HOSTILE ENVIRONMENT HARASSMENT.COWORKERS ...........................................................................................................................7381. Knowledge of Agency ......................................................................................................................................................................................7392. Agency’s Duty to Investigate .........................................................................................................................................................................7403. Failure to Cooperate in Investigation ..........................................................................................................................................................740
F. HOSTILE ENVIRONMENT HARASSMENT.SUPERVISORS AND COWORKERS ..................................................................................7411. Prompt and Effective Corrective Action .....................................................................................................................................................7412. Restoration of Employee Benefits ................................................................................................................................................................7553. Duty to Make Follow–Up Inquiries .............................................................................................................................................................7564. Past Harassment by Perpetrator ...................................................................................................................................................................7565. Cessation of Conduct .......................................................................................................................................................................................757
G. SUMMARY JUDGMENT ...........................................................................................................................................................................................758H. DISCIPLINE OF RMO .................................................................................................................................................................................................758
1. Harassers’ Claims Over Discipline .................................................................................................................................................................760I. AGENCY–WIDE CORRECTIVE MEASURES ........................................................................................................................................................761J. HARASSMENT BY THIRD PARTIES .......................................................................................................................................................................761K. CONSTRUCTIVE ADVERSE ACTIONS ..................................................................................................................................................................763L. MOOTNESS ..................................................................................................................................................................................................................765
V. PROOF PROBLEMS ............................................................................................................................................................................................................765VI. OTHER BASES OF HARASSMENT .................................................................................................................................................................................765
A. PROPOSED PART 1609..............................................................................................................................................................................................766B. RELIGIOUS HARASSMENT ......................................................................................................................................................................................769
1. Tangible Employment Actions ......................................................................................................................................................................7692. Hostile Work Environment ..............................................................................................................................................................................770
C. RACIAL SLURS AND ACTIONS ..............................................................................................................................................................................773D. ETHNIC HARASSMENT AND SLURS ...................................................................................................................................................................777E. HARASSMENT BASED ON DISABILITIES ...........................................................................................................................................................779F. HARASSMENT ON BASIS OF AGE ........................................................................................................................................................................783G. HARASSMENT BASED ON REPRISAL .................................................................................................................................................................784
1. Harassment by Filing Civil Action .................................................................................................................................................................786
CHAPTER 13: BASES OF DISCRIMINATION UNDER TITLE VII ........................787I. RACE AND COLOR DISCRIMINATION .........................................................................................................................................................................788
A. THE DIFFERENCE BETWEEN RACE AND COLOR ...........................................................................................................................................7881. Same Race or Color ............................................................................................................................................................................................7882. Racial Stereotyping ...........................................................................................................................................................................................789
B. REVERSE DISCRIMINATION ....................................................................................................................................................................................7891. Beneficent Discrimination ..............................................................................................................................................................................7902. Remedial Discrimination .................................................................................................................................................................................790
C. MARITAL STATUS AND OTHER ASSOCIATIONS .............................................................................................................................................790D. SICKLE CELL ANEMIA ...............................................................................................................................................................................................790E. CRIMINAL ARRESTS AND CONVICTIONS .........................................................................................................................................................790F. GROOMING CODES ...................................................................................................................................................................................................791
II. SEX DISCRIMINATION .......................................................................................................................................................................................................791A. BONA FIDE OCCUPATIONAL QUALIFICATION ................................................................................................................................................792B. SENIORITY SYSTEMS ................................................................................................................................................................................................797C. MARITAL STATUS .......................................................................................................................................................................................................797D. CAREGIVER RESPONSIBILITIES ..............................................................................................................................................................................797E. RECRUITMENT ............................................................................................................................................................................................................798F. PREGNANCY DISCRIMINATION ACT ..................................................................................................................................................................798
1. Burdens of Proof ................................................................................................................................................................................................7982. Disparate Treatment .........................................................................................................................................................................................7993. Remarks About Pregnancy ............................................................................................................................................................................800
G. GENDER–BASED SUBJECTIVE CRITERIA ..........................................................................................................................................................802H. DRESS CODES AND GROOMING STANDARDS ..............................................................................................................................................802I. COLLECTION OF GENDER INFORMATION ........................................................................................................................................................804J. EQUAL PAY ACT ..........................................................................................................................................................................................................804
1. Regulatory Guidance ........................................................................................................................................................................................8042. EPA Analysis and Burdens of Proof .............................................................................................................................................................8043. Relationship to Title VII ....................................................................................................................................................................................8074. Liquidated Damages ........................................................................................................................................................................................808
K. “SEX PLUS” DISCRIMINATION ................................................................................................................................................................................808III. NATIONAL ORIGIN .............................................................................................................................................................................................................808
A. CITIZENSHIP ................................................................................................................................................................................................................809B. SECURITY CLEARANCES .........................................................................................................................................................................................810C. MARITAL STATUS AND OTHER ASSOCIATIONS .............................................................................................................................................810
1. Client and Customer Preferences .................................................................................................................................................................810D. SELECTION PROCEDURES ......................................................................................................................................................................................810
1. Bottom Line Concept .......................................................................................................................................................................................8102. Height and Weight Requirements ...............................................................................................................................................................8103. Education .............................................................................................................................................................................................................811
E. LANGUAGE FLUENCY ..............................................................................................................................................................................................8111. Accent Discrimination ......................................................................................................................................................................................8122. Foreign Languages ...........................................................................................................................................................................................8153. “Speak English Only” Rule ..............................................................................................................................................................................816
F. MIXED NATIONALITY ...............................................................................................................................................................................................819G. BONA FIDE OCCUPATIONAL QUALIFICATION ................................................................................................................................................819H. NATIVE AMERICANS .................................................................................................................................................................................................819
IV. RELIGION ...............................................................................................................................................................................................................................820A. DEFINITION ..................................................................................................................................................................................................................820
1. Nature and Sincerity of Belief ........................................................................................................................................................................821B. INTENTIONAL DISCRIMINATION CASES ............................................................................................................................................................822
1. Discrimination Within Religions ....................................................................................................................................................................8222. Failure to Hold Belief ........................................................................................................................................................................................8223. Espousal of Beliefs .............................................................................................................................................................................................8224. Clothing and Religious Articles .....................................................................................................................................................................8255. Same-Sex Marriage ............................................................................................................................................................................................8266. National Security Interests ..............................................................................................................................................................................826
C. ACCOMMODATION OF BELIEFS ..........................................................................................................................................................................8261. Prima Facie Case .................................................................................................................................................................................................8262. Request for Accommodation ........................................................................................................................................................................8273. Privacy Act Considerations ............................................................................................................................................................................8284. Accuracy of Employee’s Beliefs .....................................................................................................................................................................8285. Practices Requiring Accommodation ........................................................................................................................................................828
D. ACCOMMODATION PROCEDURES AND ANALYSIS .....................................................................................................................................829E. SPECIFIC ACCOMMODATIONS ..............................................................................................................................................................................831
1. Work Schedules .................................................................................................................................................................................................8312. Teleworking ..........................................................................................................................................................................................................8323. Reassignments ....................................................................................................................................................................................................8324. Dress and Grooming Standards ...................................................................................................................................................................8325. Prayer and Proselytizing ..................................................................................................................................................................................8336. Personal Effects ..................................................................................................................................................................................................8337. Personal Identification......................................................................................................................................................................................8358. Optional Religious Activities ..........................................................................................................................................................................8359. Probationary Employees ................................................................................................................................................................................83610. Cooperation in Agency Investigations .......................................................................................................................................................83611. Drug Rehabilitation Programs ......................................................................................................................................................................836
F. UNDUE HARDSHIP ....................................................................................................................................................................................................8371. Work Schedules .................................................................................................................................................................................................8382. Collective Bargaining Agreements .............................................................................................................................................................841
xxx TablE oF ConTEnTs
3. Selection Schedules .........................................................................................................................................................................................8434. Preemployment Inquiries ...............................................................................................................................................................................8435. Sex–Segregated Schools ................................................................................................................................................................................8436. Postal Service Oath ...........................................................................................................................................................................................8447. Espousing Religious Ideas ..............................................................................................................................................................................844
V. WHITE HOUSE GUIDELINES ON RELIGION ..............................................................................................................................................................845A. EXPRESSION IN WORKPLACE ...............................................................................................................................................................................845
1. Private Work Areas .............................................................................................................................................................................................8452. Expression Among Employees ......................................................................................................................................................................8453. Expression Directed at Employees ...............................................................................................................................................................8464. Expression in Public Areas ..............................................................................................................................................................................847
B. DISCRIMINATION BASED ON RELIGION ...........................................................................................................................................................8471. Personnel Actions and Employment Conditions ....................................................................................................................................8472. Hostile Environment ........................................................................................................................................................................................8473. Bona Fide Occupational Requirement .......................................................................................................................................................847
C. RELIGIOUS ACCOMMODATION ...........................................................................................................................................................................848VI. CIVIL RIGHTS ACT OF 1991 .............................................................................................................................................................................................849
A. PURPOSE OF LEGISLATION ...................................................................................................................................................................................849B. DISCRIMINATION REMEDIES ................................................................................................................................................................................849
1. Intentional Discrimination .............................................................................................................................................................................8492. Punitive Damages .............................................................................................................................................................................................8503. Compensatory Damages ................................................................................................................................................................................8504. Expert Witness Fees ..........................................................................................................................................................................................8505. Interest on Back Pay Awards .........................................................................................................................................................................8506. Retroactivity of Remedies ..............................................................................................................................................................................8507. Jury Trials ..............................................................................................................................................................................................................854
C. BURDENS OF PROOF ................................................................................................................................................................................................8541. Intentional Discrimination Cases ..................................................................................................................................................................8542. Disparate or Adverse Impact Cases ............................................................................................................................................................8543. Seniority Systems ..............................................................................................................................................................................................8554. Consent Orders and Decrees ........................................................................................................................................................................855
D. STATUTE OF LIMITATIONS ......................................................................................................................................................................................8551. Age Discrimination in Employment Act.....................................................................................................................................................855
E. LEGISLATIVE BRANCH EMPLOYEES ....................................................................................................................................................................8551. House of Representatives Employees ........................................................................................................................................................8562. U.S. Senate Employees ....................................................................................................................................................................................856
VII. CONGRESSIONAL ACCOUNTABILITY ACT.LEGISLATIVE EMPLOYEES ........................................................................................................860A. EMPLOYEES COVERED..............................................................................................................................................................................................860B. COVERAGE PROVIDED .............................................................................................................................................................................................860C. RIGHTS AND REMEDIES ...........................................................................................................................................................................................860D. ATTORNEY FEES ..........................................................................................................................................................................................................860E. ENFORCEMENT ...........................................................................................................................................................................................................861F. ADMINISTRATIVE AND JUDICIAL PROCEDURES ...........................................................................................................................................863
G. ELECTION OF REMEDIES .........................................................................................................................................................................................8631. Administrative Hearing ....................................................................................................................................................................................8632. Appeals ..................................................................................................................................................................................................................8643. Judicial Review ....................................................................................................................................................................................................864
H. CIVIL ACTIONS .............................................................................................................................................................................................................864
CHAPTER 14: REHABILITATION ACT AND GINA .................................................865I. APPLICATION OF THE ACT .............................................................................................................................................................................................867
A. IMPACT OF THE ADA AMENDMENTS ACT OF 2008 ......................................................................................................................................8671. Effective Date .......................................................................................................................................................................................................8682. ADAAA Regulations ...........................................................................................................................................................................................868
B. QUALIFIED INDIVIDUALS ........................................................................................................................................................................................8681. Individuals Without Disabilities ....................................................................................................................................................................8702. Drug and Alcohol Abuse ................................................................................................................................................................................870
C. AGENCIES AND EMPLOYEES COVERED ............................................................................................................................................................8701. Legislative and Judicial Employees .............................................................................................................................................................870
GuiDE To EEo law anD PRaCTiCE xxxi
2. Temporary Employees ......................................................................................................................................................................................8713. Association With Persons With Disabilities ..............................................................................................................................................8714. Disabled Veterans ..............................................................................................................................................................................................873
D. THEORIES OF DISCRIMINATION ...........................................................................................................................................................................873II. DEFINING QUALIFIED INDIVIDUALS ..........................................................................................................................................................................873
A. PHYSICAL AND MENTAL IMPAIRMENTS ..........................................................................................................................................................8751. Record of Impairment.......................................................................................................................................................................................8752. Regarded as Impairments ..............................................................................................................................................................................876
B. MAJOR LIFE ACTIVITIES ..........................................................................................................................................................................................8761. Toyota and Major Life Activities ....................................................................................................................................................................8782. Major Bodily Functions ....................................................................................................................................................................................8783. Working .................................................................................................................................................................................................................879
C. SUBSTANTIAL LIMITATION UNDER THE ADA .................................................................................................................................................8791. Substantial Limitation: The Commission’s Past View .............................................................................................................................8802. Substantial Limitation and the Sutton Trilogy .........................................................................................................................................8803. Toyota and Substantial Limitation ...............................................................................................................................................................885
D. SUBSTANTIAL LIMITATION UNDER THE ADAAA.RULES OF CONSTRUCTION ................................................................................8891. Broad and Inclusive Coverage .......................................................................................................................................................................8902. Most People Comparison ................................................................................................................................................................................8913. Extensive Analysis Not Required ..................................................................................................................................................................8914. Individualized Assessment .............................................................................................................................................................................8925. No Scientific or Medical Evidence Required .............................................................................................................................................8926. Mitigating Medications, Measures and Devices .....................................................................................................................................8937. Episodic Conditions; Conditions in Remission ........................................................................................................................................8958. Limitation of Major Life Activities .................................................................................................................................................................8979. Transitory and Minor Impairments .............................................................................................................................................................89710. A Common-Sense Approach..........................................................................................................................................................................89911. Substantial Limitation on Working .............................................................................................................................................................89912. Predictable Assessments .................................................................................................................................................................................90113. Condition, Manner and Duration .................................................................................................................................................................90214. Proving Substantial Limitation ......................................................................................................................................................................903
E. RECORD OF DISABILITIES ......................................................................................................................................................................................904F. REGARDED AS DISABILITIES ..................................................................................................................................................................................905
1. Nassau County School Board v. Arline ...........................................................................................................................................................9052. Regarded as Disabilities and Working ........................................................................................................................................................9083. Regarded as and Other Major Life Activities ............................................................................................................................................912
G. DEMONSTRATION OF QUALIFIED ......................................................................................................................................................................9141. Job Attendance ..................................................................................................................................................................................................9152. Effect of Disability Retirement ......................................................................................................................................................................9193. Nexus Requirement ..........................................................................................................................................................................................9204. Performance of Essential Functions ............................................................................................................................................................9225. Reasonable Accommodation ........................................................................................................................................................................926
H. KNOWLEDGE OF DISABILITY .................................................................................................................................................................................9271. Intentional Discrimination ..............................................................................................................................................................................9272. Reasonable Accommodation .........................................................................................................................................................................9283. Constructive Knowledge .................................................................................................................................................................................928
I. REQUESTS FOR ACCOMMODATION ..................................................................................................................................................................930J. MEDICAL EVIDENCE .................................................................................................................................................................................................932
1. Reasonable Medical Documentation..........................................................................................................................................................9332. Updating Medical Information ......................................................................................................................................................................9353. Agency’s Burden—Individualized Assessment .......................................................................................................................................936
III. SPECIFIC DISABILITIES ......................................................................................................................................................................................................936A. PHYSICAL DISABILITIES ..........................................................................................................................................................................................936
1. Physical Characteristics ...................................................................................................................................................................................9362. Use of Limbs ........................................................................................................................................................................................................9363. Walking and Standing .....................................................................................................................................................................................9364. Hearing Loss ........................................................................................................................................................................................................9375. Vision Impairments ...........................................................................................................................................................................................9376. Obesity ..................................................................................................................................................................................................................9387. Conditions Affecting Hygiene .......................................................................................................................................................................9388. Allergies and Chemical Sensitivities ...........................................................................................................................................................938
B. DRUG AND ALCOHOL ABUSE ...............................................................................................................................................................................9481. Statutory Basis .....................................................................................................................................................................................................9492. 1991 Civil Rights Act and ADA ......................................................................................................................................................................9493. Evidence of Disability ......................................................................................................................................................................................952
C. MENTAL DISABILITIES .............................................................................................................................................................................................9521. Physical Effects ....................................................................................................................................................................................................9532. Violent Behavior ................................................................................................................................................................................................9533. Individual Fears ..................................................................................................................................................................................................9544. Depression ...........................................................................................................................................................................................................9545. Job–Related Stress ............................................................................................................................................................................................9556. Thinking and Concentrating .........................................................................................................................................................................9557. Learning Disabilities .........................................................................................................................................................................................9558. Inability to Interact ...........................................................................................................................................................................................956
IV. PROCESSING COMPLAINTS UNDER REHABILITATION ACT ...............................................................................................................................956A. INITIATION OF COMPLAINT ..................................................................................................................................................................................956
1. Requests for Accommodation .......................................................................................................................................................................9562. Reasonable Accommodation Analysis .......................................................................................................................................................9573. Combination With Title VII Bases ..................................................................................................................................................................958
B. COMPLAINT STAGE ...................................................................................................................................................................................................9581. Investigations ......................................................................................................................................................................................................958
C. INTENTIONAL DISCRIMINATION CASES ...........................................................................................................................................................9581. Temporary Appointments ..............................................................................................................................................................................9602. Reductions–In–Force .......................................................................................................................................................................................9603. Misconduct and Performance Cases ..........................................................................................................................................................9604. Agency–Induced Misconduct .......................................................................................................................................................................9615. Selection and Promotion ................................................................................................................................................................................9626. Reassignments ...................................................................................................................................................................................................9627. Fear for Safety of Others .................................................................................................................................................................................9628. Requiring Acceptance of Accommodation ..............................................................................................................................................9639. Overtime ..............................................................................................................................................................................................................96310. Medical Insurance Benefits .............................................................................................................................................................................96311. Alternative Discrimination Theories ............................................................................................................................................................965
D. DISPARATE IMPACT CASES ....................................................................................................................................................................................965E. HEARING STAGE ..........................................................................................................................................................................................................965
V. HIRING, PLACEMENT AND ADVANCEMENT ............................................................................................................................................................966A. PREFERENTIAL TREATMENT ...................................................................................................................................................................................966
1. Affirmative Action Plans and Goals .............................................................................................................................................................9672. Veterans Preference ..........................................................................................................................................................................................9683. Executive Order 13163 .....................................................................................................................................................................................968
B. SCHEDULE A APPOINTMENTS .............................................................................................................................................................................968C. JOB INTERVIEWS ........................................................................................................................................................................................................969
1. Reasonable Accommodation .........................................................................................................................................................................969D. EMPLOYMENT CRITERIA AND QUALIFICATION STANDARDS .................................................................................................................969
1. Requiring a Disability ........................................................................................................................................................................................9722. Applicants for Employment ............................................................................................................................................................................9723. Uncorrected Vision Standards .......................................................................................................................................................................9734. Aviation and Transportation Security Act .................................................................................................................................................974
E. CLASS ACTIONS .........................................................................................................................................................................................................976
GuiDE To EEo law anD PRaCTiCE xxxiii
VI. MEDICAL INQUIRIES AND EXAMINATIONS .............................................................................................................................................................976A. PREEMPLOYMENT INQUIRIES ...............................................................................................................................................................................976
1. Conditional Offers of Employment ..............................................................................................................................................................9812. Drug Tests .............................................................................................................................................................................................................9813. Disabled Veterans ...............................................................................................................................................................................................9824. Polygraph Examinations ..................................................................................................................................................................................9825. Relief for Violations ............................................................................................................................................................................................982
B. POSTAPPOINTMENT INQUIRIES ..........................................................................................................................................................................9841. Fitness–For–Duty Examinations ..................................................................................................................................................................9852. Documentation of Continuing Absence ....................................................................................................................................................9913. Clearance to Return to Work ..........................................................................................................................................................................9914. Annual Hearing Tests .......................................................................................................................................................................................9925. Employee Assistance Programs ....................................................................................................................................................................993
C. MEDICAL DISCLOSURES .........................................................................................................................................................................................993D. SUBPOENA OF MEDICAL INFORMATION .........................................................................................................................................................995
VII. PERFORMANCE AND CONDUCT ISSUES ...................................................................................................................................................................996A. ADOPTING PERFORMANCE AND CONDUCT STANDARDS .......................................................................................................................996B. PERFORMANCE STANDARDS ................................................................................................................................................................................996
1. Source of Rules ....................................................................................................................................................................................................9982. Disciplinary Actions ...........................................................................................................................................................................................998
D. DISCUSSION OF DISABILITY ................................................................................................................................................................................1000VIII. OVERVIEW OF REASONABLE ACCOMMODATION AND UNDUE HARDSHIP ............................................................................................1000
A. DEFINITION OF REASONABLE ACCOMMODATION ...................................................................................................................................10031. Nexus Requirement .........................................................................................................................................................................................10032. Acceptance or Rejection of Accommodation .......................................................................................................................................10043. Constructive Discharge .................................................................................................................................................................................10044. Balancing Test ....................................................................................................................................................................................................10055. Presumption of Reasonableness ................................................................................................................................................................10056. Temporary Accommodations .....................................................................................................................................................................10057. Preference of Employee ................................................................................................................................................................................10068. Good Faith Accommodation Efforts .........................................................................................................................................................10089. Rights of Other Employees ..........................................................................................................................................................................101010. Discipline as Accommodation ....................................................................................................................................................................1010
IX. DEFENSES TO REASONABLE ACCOMMODATION ................................................................................................................................................1011A. UNDUE HARDSHIP ..................................................................................................................................................................................................1011
1. Requirements of Direct Threat Defense ...................................................................................................................................................10162. Inherently Dangerous Positions ..................................................................................................................................................................1027
X. PROCESSING REASONABLE ACCOMMODATION REQUESTS .........................................................................................................................1029A. KNOWLEDGE OF ACCOMMODATION NEED ................................................................................................................................................1030B. FORM OF ACCOMMODATION REQUESTS ......................................................................................................................................................1031
1. Timing of Request ............................................................................................................................................................................................10332. Timing of Submission of Medical Information ......................................................................................................................................10343. Failure to Request ............................................................................................................................................................................................1034
C. INDIVIDUALIZED INQUIRIES ON DISABILITIES ............................................................................................................................................10341. Reasonable Documentation .......................................................................................................................................................................10352. Health Providers ...............................................................................................................................................................................................10353. Accuracy of Agency Information ................................................................................................................................................................1035
D. IDENTIFYING POSSIBLE ACCOMMODATIONS .............................................................................................................................................10351. Failure of Complainant to Cooperate ........................................................................................................................................................10372. Effect of OWCP Considerations ..................................................................................................................................................................1039
E. TIMELINESS OF REASONABLE ACCOMMODATION ...................................................................................................................................1039XI. REASONABLE ACCOMMODATION AND THE FAMILY AND MEDICAL LEAVE ACT ...................................................................................1042XII. TYPES OF REASONABLE ACCOMMODATION .......................................................................................................................................................1043
A. JOB ANALYSIS ...........................................................................................................................................................................................................1044B. JOB RESTRUCTURING ............................................................................................................................................................................................1044C. INTERPRETERS AND READING ASSISTANTS .................................................................................................................................................1044
1. Interpreters and Signers ................................................................................................................................................................................1045
xxxiv TablE oF ConTEnTs
2. TTY and TDD Devices ......................................................................................................................................................................................10503. Management Cooperation in Use of Assistive Devices ......................................................................................................................10514. Reading Assistants ...........................................................................................................................................................................................1051
D. PERSONAL EQUIPMENT ........................................................................................................................................................................................10521. Assistive Animals .............................................................................................................................................................................................1054
E. PRIVATE SPACE ..........................................................................................................................................................................................................1054F. REQUESTS FOR ASSISTANCE ...............................................................................................................................................................................1054
1. Leave Offenses ..................................................................................................................................................................................................10572. Family and Medical Leave Act ....................................................................................................................................................................10573. Separation for Medical Reasons ..................................................................................................................................................................1058
H. WORK HOUR MODIFICATIONS ..........................................................................................................................................................................10581. Shift Changes and Work Schedules ...........................................................................................................................................................10582. Training ................................................................................................................................................................................................................10603. Breaks ...................................................................................................................................................................................................................10604. Overtime Assignments ..................................................................................................................................................................................1061
I. WORK LOCATION MODIFICATIONS AND TELEWORKING ........................................................................................................................10611. Teleworking Policies in General ..................................................................................................................................................................10622. Teleworking as an Accommodation ..........................................................................................................................................................10623. Telework Policies ..............................................................................................................................................................................................10654. Foreign Service Assignments .......................................................................................................................................................................10665. Privacy Accommodations..............................................................................................................................................................................1066
J. TRANSPORTATION ...................................................................................................................................................................................................10661. Travel Requirements .......................................................................................................................................................................................1066
K. TRAINING AS AN ACCOMMODATION ..............................................................................................................................................................1066L. VOLUNTARY DUTIES ...............................................................................................................................................................................................1067M. MEDICAL QUALIFICATIONS .................................................................................................................................................................................1068
O. SMOKE AND FRAGRANCE–FREE ENVIRONMENT .......................................................................................................................................1071P. PREVENTIVE HEALTH CARE ..................................................................................................................................................................................1073Q. ALCOHOL AND SUBSTANCE DEPENDENCY .................................................................................................................................................1073
1. The MSPB and EEOC—Causal Connection and Punishment ..........................................................................................................10742. Pretreatment Offenses ..................................................................................................................................................................................10793. Attendance Problems ....................................................................................................................................................................................10804. Relapses ..............................................................................................................................................................................................................10805. Programs With Religious Affiliations ........................................................................................................................................................1081
R. DISCRIMINATION IN ACCOMMODATION ......................................................................................................................................................10821. Changes in Accommodations......................................................................................................................................................................10822. Employee Assistance Programs .................................................................................................................................................................1082
Q. BUILDING ACCOMMODATIONS ........................................................................................................................................................................1082S. AGGRAVATION OF EXISTING CONDITION ......................................................................................................................................................1083T. CONTRACT PROVISIONS ......................................................................................................................................................................................1083
1. Union Duties ......................................................................................................................................................................................................1084U. AGENCY REGULATIONS .........................................................................................................................................................................................1084V. SETTLEMENT AGREEMENTS ...............................................................................................................................................................................1085W. REASSIGNMENT, PROMOTIONS AND DEMOTIONS ...................................................................................................................................1085
1. Ignacio v. USPS ...................................................................................................................................................................................................10852. Reassignment Under Part 1614 .................................................................................................................................................................10863. Reassignment Under the ADA ....................................................................................................................................................................10904. Position in Question ........................................................................................................................................................................................10935. Ceiling on Advancement ...............................................................................................................................................................................10936. Promotion as Accommodation ...................................................................................................................................................................10937. Reassignment to Previous Position ..........................................................................................................................................................10948. Reassignment to Special Needs Position .................................................................................................................................................10949. Job Modification in Lieu of Reassignment ..............................................................................................................................................109410. Applicants for Employment ..........................................................................................................................................................................1097
GuiDE To EEo law anD PRaCTiCE xxxv
11. Probationary Employees ...............................................................................................................................................................................109712. Light or Limited Duty .....................................................................................................................................................................................109713. Work–Related Injuries ....................................................................................................................................................................................109914. Collective Bargaining Agreements ...........................................................................................................................................................110015. Reassignment to Different Supervisor .....................................................................................................................................................1104
1. Restoration of Employment .........................................................................................................................................................................11072. Modified Duty Positions ................................................................................................................................................................................11073. OWCP and Reasonable Accommodation ................................................................................................................................................1108
AA. SECURITY CLEARANCES .......................................................................................................................................................................................1108BB. REMEDIES ...................................................................................................................................................................................................................1108CC. BACK PAY .....................................................................................................................................................................................................................1109
1. Resignation or Retirement ............................................................................................................................................................................11092. Good Faith Exception ....................................................................................................................................................................................1109
XII. THE GENETIC INFORMATION NONDISCRIMINATION ACT.OVERVIEW ....................................................................................................1109A. GINA-SPECIFIC DEFINITIONS ..............................................................................................................................................................................1109
1. Genetic Information Generally ....................................................................................................................................................................11092. Genetic Tests ......................................................................................................................................................................................................11103. Genetic Monitoring .........................................................................................................................................................................................11104. Genetic Services ...............................................................................................................................................................................................11105. Manifested Disease or Disorder ..................................................................................................................................................................1111
B. EMPLOYEES AND AGENCIES COVERED ...........................................................................................................................................................11111. Family Members ...............................................................................................................................................................................................11122. Family Medical History ...................................................................................................................................................................................1112
C. PROHIBITED EMPLOYMENT PRACTICES .........................................................................................................................................................11131. Employment Actions and Terms of Employment .................................................................................................................................11132. Segregating and Classifying Employees ..................................................................................................................................................11133. Retaliation for Protected Activity ...............................................................................................................................................................11144. Acquisition of Genetic Information ...........................................................................................................................................................11145. Confidentiality of Collected Information .................................................................................................................................................1117
D. REMEDIES ....................................................................................................................................................................................................................1118
CHAPTER 15: AGE DISCRIMINATION IN EMPLOYMENT ACT ..................... 1119I. STRUCTURE OF THE ACT ...............................................................................................................................................................................................1119
B. LAWFUL ACTIVITIES ................................................................................................................................................................................................11211. Bona Fide Occupational Requirements ...................................................................................................................................................11212. Benefit Plans ......................................................................................................................................................................................................11223. Law Enforcement Officers ............................................................................................................................................................................11224. Mandatory Retirement Age .........................................................................................................................................................................1123
C. PROCEDURES FOR FILING ADMINISTRATIVE ADEA COMPLAINTS .....................................................................................................11231. Exhaustion of Administrative Remedies .................................................................................................................................................1123
D. PROCEDURES FOR FILING IN U.S. DISTRICT COURT .................................................................................................................................11231. Proper Defendants ..........................................................................................................................................................................................11242. Statute of Limitations .....................................................................................................................................................................................11243. Part 1614 Statute of Limitations ................................................................................................................................................................11274. Jury Trials ............................................................................................................................................................................................................1129
II. AGE DISCRIMINATION ANALYSIS ...............................................................................................................................................................................1129A. CIRCUMSTANTIAL EVIDENCE .............................................................................................................................................................................1129
1. Discrimination Against Persons Under 40 ..............................................................................................................................................11292. Discrimination Within Protected Group ..................................................................................................................................................11303. Reverse Age Discrimination ........................................................................................................................................................................11304. Rehired Annuitants ..........................................................................................................................................................................................11325. “Age Plus” Discrimination .............................................................................................................................................................................11326. Direct Evidence of Discrimination .............................................................................................................................................................1132
B. DISPARATE IMPACT ................................................................................................................................................................................................11321. Bona Fide Occupational Qualification ......................................................................................................................................................1133
xxxvi TablE oF ConTEnTs
2. Bottom Line Concept .....................................................................................................................................................................................11343. Preemployment Inquiries .............................................................................................................................................................................11344. Experience ..........................................................................................................................................................................................................1134
C. PAY SCALES .................................................................................................................................................................................................................1134D. ACCOMMODATION ................................................................................................................................................................................................1134
III. THE AGENCY’S BURDEN .................................................................................................................................................................................................1134A. INTENTIONAL DISCRIMINATION .......................................................................................................................................................................1134
1. Recency of Experience ..................................................................................................................................................................................11352. Recency of Education ....................................................................................................................................................................................11363. Career Goals .......................................................................................................................................................................................................1136
B. DISPARATE IMPACT ................................................................................................................................................................................................11371. Bona Fide Occupational Qualification ......................................................................................................................................................11372. Factors Other Than Age .................................................................................................................................................................................11373. Education ...........................................................................................................................................................................................................11374. Training ................................................................................................................................................................................................................11375. Physical Requirements ..................................................................................................................................................................................1137
IV. ESTABLISHING PRETEXT ................................................................................................................................................................................................1138A. DISCRIMINATORY STATEMENTS ........................................................................................................................................................................1138B. ECONOMIC FACTORS .............................................................................................................................................................................................1139C. AGE AS DETERMINATIVE FACTOR .....................................................................................................................................................................1139
1. Element of Intent .............................................................................................................................................................................................1143D. FORCED RETIREMENT ...........................................................................................................................................................................................1143
V. COMPENSATORY AND LIQUIDATED DAMAGES ..................................................................................................................................................1144VI. ATTORNEY FEES ................................................................................................................................................................................................................1144
CHAPTER 16: REPRISAL ............................................................................................ 1145I. INITIATING COMPLAINTS OF REPRISAL ...................................................................................................................................................................1145
A. PROCESSING COMPLAINTS OF REPRISAL .....................................................................................................................................................11451. Filing Reprisal Complaints .............................................................................................................................................................................11462. Amendment and Consolidation ................................................................................................................................................................11463. Expedited Complaints of Reprisal ..............................................................................................................................................................11464. Processing Delays ............................................................................................................................................................................................11465. Settlement Agreements ................................................................................................................................................................................1146
1. Use of Confidential Documents at Hearing ............................................................................................................................................1152S. DENIAL OF OFFICIAL TIME ..................................................................................................................................................................................1153T. COMPLAINTS BEYOND EEO PURVIEW .............................................................................................................................................................1153U. COMPLAINTS BY OTHERS.ASSOCIATION COMPLAINTS ......................................................................................................................1153
1. Participation in Proceedings Involving Others .....................................................................................................................................11552. Soliciting Complaints ......................................................................................................................................................................................1155
V. CONTACTS OUTSIDE EEO PROCESS ................................................................................................................................................................1155W. PUBLICATION OF EEO ACTIVITIES .....................................................................................................................................................................1156
GuiDE To EEo law anD PRaCTiCE xxxvii
III. PROTECTED ACTIVITY.OPPOSITION CLAUSE ...................................................................................................................................................1156A. BASIS OF OPPOSITION ...........................................................................................................................................................................................1158
1. Association With Opponents ......................................................................................................................................................................11582. Discrimination Against Others ....................................................................................................................................................................1158
B. BALANCING TEST .....................................................................................................................................................................................................1159C. THREATS TO FILE COMPLAINTS .........................................................................................................................................................................1160D. GRIEVANCES ..............................................................................................................................................................................................................1160E. INTERNAL HARASSMENT INVESTIGATIONS ..................................................................................................................................................1161
IV. PROOF IN REPRISAL CASES ..........................................................................................................................................................................................1161A. PRIMA FACIE CASE ...................................................................................................................................................................................................1162
1. Good Faith Belief .............................................................................................................................................................................................1163B. ADVERSE ACTION REQUIREMENT ....................................................................................................................................................................1163
1. Former Employers and Employees ...........................................................................................................................................................11672. Actions by Non-Employers ..........................................................................................................................................................................11683. Chilling Effect and the Terms and Conditions of Employment ........................................................................................................11694. Defamation Actions—Threatened Civil Actions ..................................................................................................................................1173
C. CAUSAL CONNECTION .........................................................................................................................................................................................1174D. CIRCUMSTANTIAL EVIDENCE ..............................................................................................................................................................................1175
1. Proximity in Time .............................................................................................................................................................................................11762. Knowledge Requirement .............................................................................................................................................................................11783. Other Factors .....................................................................................................................................................................................................11794. Nexus With Personnel Actions .....................................................................................................................................................................1181
E. LEGITIMATE REASONS ...........................................................................................................................................................................................1182F. DIRECT EVIDENCE OF REPRISAL .......................................................................................................................................................................1183G. STATEMENTS MADE DURING TESTIMONY .....................................................................................................................................................1183
V. RESTRAINT AND INTERFERENCE WITH PROCESS ...............................................................................................................................................1184
A. PROPOSED DISCIPLINARY ACTIONS ...............................................................................................................................................................11891. Work Discussions .............................................................................................................................................................................................11902. Written Work Criticisms ..................................................................................................................................................................................11913. Monitoring Work Behavior ............................................................................................................................................................................1192
B. CONSTRUCTIVE DISCHARGE ..............................................................................................................................................................................11921. Competitive Service Employees ................................................................................................................................................................11962. Agency Bad Faith ..............................................................................................................................................................................................1197
C. CONSTRUCTIVE SUSPENSION ............................................................................................................................................................................1198D. OTHER CONSTRUCTIVE ACTIONS ......................................................................................................................................................................1198E. PROBATIONARY EMPLOYEES .............................................................................................................................................................................1198F. CONSISTENCY OF DISCIPLINE ...........................................................................................................................................................................1198
1. Problem Employees.........................................................................................................................................................................................11992. Progressive Discipline ....................................................................................................................................................................................11993. Supervisory Orders ..........................................................................................................................................................................................1199
G. HARASSMENT AS DEFENSE TO DISCIPLINE ..................................................................................................................................................1200H. FITNESS–FOR–DUTY EXAMINATION ...............................................................................................................................................................1200I. CRIMINAL OFFENSES .............................................................................................................................................................................................1200
J. ACTS OCCURRING IN CONTEXT OF PERSONNEL ACTION .......................................................................................................................1201K. BASIS OF CHARGE ...................................................................................................................................................................................................1201L. RECORDS OF DISCIPLINARY ACTION ..............................................................................................................................................................1201
II. PROMOTIONS AND APPOINTMENTS .......................................................................................................................................................................1202A. PRIMA FACIE CASE ...................................................................................................................................................................................................1202B. BEST QUALIFIED LISTS ..........................................................................................................................................................................................1203
1. Unqualified Candidates .................................................................................................................................................................................12042. Ranking Candidates .......................................................................................................................................................................................12043. Failure to Apply for Position .........................................................................................................................................................................12054. Superior Qualifications—Ash v. Tyson Foods ..........................................................................................................................................1205
C. SELECTION CRITERIA .............................................................................................................................................................................................12071. Subjective vs. Objective .................................................................................................................................................................................12072. Interviews ...........................................................................................................................................................................................................1208
xxxviii TablE oF ConTEnTs
3. Temporary Appointments ............................................................................................................................................................................12094. Selection Certificates .....................................................................................................................................................................................12095. Selection Panels and Recommending Officials ....................................................................................................................................12106. Education and Licenses ................................................................................................................................................................................12107. Supervisory Appraisals ..................................................................................................................................................................................12108. Past Experience ................................................................................................................................................................................................12119. Training ...............................................................................................................................................................................................................121110. EEO Activity .......................................................................................................................................................................................................121111. Criminal Convictions ......................................................................................................................................................................................121112. Failure to Disclose Criteria .............................................................................................................................................................................1212
D. FAILURE TO FOLLOW PROCEDURES ................................................................................................................................................................12121. Rule of Three ......................................................................................................................................................................................................1212
E. AGENCY’S BURDEN .................................................................................................................................................................................................1212F. NONCOMPETITIVE SELECTIONS .......................................................................................................................................................................1213
1. Conversions .......................................................................................................................................................................................................12132. Accretion of Duties .........................................................................................................................................................................................1213
G. RECOMMENDING OFFICIALS ..............................................................................................................................................................................1213H. PRESELECTION .........................................................................................................................................................................................................1213
1. Unfair Advantages in Selection Process ...................................................................................................................................................1214I. POSTSELECTION PERFORMANCE ......................................................................................................................................................................1215J. BIDDING FOR FUTURE VACANCIES ...................................................................................................................................................................1215K. RECRUITMENT ..........................................................................................................................................................................................................1215L. RESCISSION OF VACANCY ANNOUNCEMENT .............................................................................................................................................1215
1. Priority Referrals ...............................................................................................................................................................................................12162. Failure to Post Vacancy ...................................................................................................................................................................................1217
M. FALSIFIED APPLICATIONS ....................................................................................................................................................................................1217N. COMMUNICATION OF DECISION .......................................................................................................................................................................1217O. REASONS FOR DECISION ......................................................................................................................................................................................1217
III. PERFORMANCE–BASED ACTIONS ............................................................................................................................................................................1217A. PRIMA FACIE CASE ...................................................................................................................................................................................................1218
1. Midyear Reviews ..............................................................................................................................................................................................1218B. NOTICE OF POOR PERFORMANCE ...................................................................................................................................................................1219
1. Documentation of Poor Performance ......................................................................................................................................................1219C. OPPORTUNITY TO IMPROVE ...............................................................................................................................................................................1219D. SUBJECTIVE APPRAISAL CRITERIA ...................................................................................................................................................................1219E. PERFORMANCE EVALUATIONS ..........................................................................................................................................................................1219
1. Past Performance Ratings .............................................................................................................................................................................1219F. PERSONNEL ACTIONS BASED ON PERFORMANCE ....................................................................................................................................1220G. SCRUTINY OF WORK ..............................................................................................................................................................................................1220H. EMPLOYMENT REFERENCES ...............................................................................................................................................................................1221
IV. REDUCTION–IN–FORCE ................................................................................................................................................................................................1221A. SEVERANCE PAY VS. RETIREMENT ANNUITY .................................................................................................................................................1221B. PERFORMANCE CREDITS .......................................................................................................................................................................................1221C. REASSIGNMENTS .....................................................................................................................................................................................................1221
V. TERMS AND CONDITIONS OF EMPLOYMENT .......................................................................................................................................................1221A. WORK ENVIRONMENT ...........................................................................................................................................................................................1222
1. Smoking Policies .............................................................................................................................................................................................1222B. USE OF AGENCY FACILITIES .................................................................................................................................................................................1222C. OVERTIME COMPENSATION ...............................................................................................................................................................................1222
1. Assignment of Work Hours ..........................................................................................................................................................................1223D. DRESS CODES ...........................................................................................................................................................................................................1223E. POSITION CLASSIFICATION .................................................................................................................................................................................1223F. POSITION TITLES AND WORK DUTIES ..............................................................................................................................................................1224G. REORGANIZATIONS ................................................................................................................................................................................................1224H. DEROGATORY COMMENTS AND ACTIONS ...................................................................................................................................................1224
1. Release of Information on Employee .......................................................................................................................................................12242. FOIA and Privacy Act Requests ...................................................................................................................................................................1224
I. LEAVE ............................................................................................................................................................................................................................1225J. HEALTH BENEFITS ...................................................................................................................................................................................................1225K. COMPLIANCE WITH REGULATIONS .................................................................................................................................................................1225L. TEMPORARY ASSIGNMENTS ...............................................................................................................................................................................1225
GuiDE To EEo law anD PRaCTiCE xxxix
M. SECURITY CLEARANCES .......................................................................................................................................................................................1226N. EMPLOYEE SEARCHES ...........................................................................................................................................................................................1231O. UNION ACTIVITIES ..................................................................................................................................................................................................1231
1. Collective Bargaining Agreements ...........................................................................................................................................................12322. Union Representation ...................................................................................................................................................................................1232
CHAPTER 18: CLASS ACTION COMPLAINTS .................................................... 1235I. FILING A CLASS COMPLAINT .......................................................................................................................................................................................1235
A. DEFINITION OF CLASS ...........................................................................................................................................................................................1235B. REQUIREMENTS OF A CLASS COMPLAINT ....................................................................................................................................................1235C. CLASS COMPLAINT COUNSELING ....................................................................................................................................................................1235
1. Time Frame for Counseling ..........................................................................................................................................................................12362. EEO Counselors ................................................................................................................................................................................................12363. Individual Complaints ...................................................................................................................................................................................12364. Exception to Mandatory Counseling .......................................................................................................................................................12365. Notice of Final Interview ...............................................................................................................................................................................1237
D. FORMAL COMPLAINT ............................................................................................................................................................................................12371. Effect of Filing on Individuals ......................................................................................................................................................................1237
E. ASSIGNMENT OF ADMINISTRATIVE JUDGE ..................................................................................................................................................1238II. CERTIFICATION STAGE ...................................................................................................................................................................................................1238
A. DISMISSAL OF COMPLAINT ................................................................................................................................................................................12381. Lack of Specificity and Detail .......................................................................................................................................................................12382. Dismissal Under 1614.107 ............................................................................................................................................................................12393. Timeliness of Complaint ...............................................................................................................................................................................12394. Issues Not Raised in Counseling ................................................................................................................................................................12395. Identical Complaints .......................................................................................................................................................................................12406. Failure to Prosecute .........................................................................................................................................................................................12407. Failure to Meet Class Prerequisites ...........................................................................................................................................................12408. Delay in Seeking Certification .....................................................................................................................................................................12409. Settlement Prior to Certification .................................................................................................................................................................124110. Notification of Dismissal ...............................................................................................................................................................................1241
B. CLASS PREREQUISITES ..........................................................................................................................................................................................12411. Numerosity ........................................................................................................................................................................................................12422. Commonality and Typicality .......................................................................................................................................................................12433. Adequacy of Representation ......................................................................................................................................................................12514. Waiver of Requirements ................................................................................................................................................................................1253
C. EFFECT OF WITHDRAWAL OR DISMISSAL .....................................................................................................................................................12541. Individual Civil Actions ..................................................................................................................................................................................1254
D. ABEYANCE OF INDIVIDUAL COMPLAINTS .....................................................................................................................................................1254E. CERTIFICATION DECISION ...................................................................................................................................................................................1254
1. Notification of Acceptance ..........................................................................................................................................................................12552. Conditional Certification and Modification of Certification .............................................................................................................12553. Final Agency Action .......................................................................................................................................................................................12554. Opting Out .........................................................................................................................................................................................................1256
III. POST-CERTIFICATION PROCESSING ..........................................................................................................................................................................1256A. DEVELOPMENT OF RECORD ...............................................................................................................................................................................1256B. SETTLEMENT OR INFORMAL RESOLUTION OF CLASS ACTIONS .........................................................................................................1257
1. Official Time .......................................................................................................................................................................................................12602. Mixed Cases .......................................................................................................................................................................................................1260
E. RECOMMENDED DECISION .................................................................................................................................................................................1260F. FINAL AGENCY DECISION ....................................................................................................................................................................................1261
1. Notifying Class Members of Decision ......................................................................................................................................................1261
xl TablE oF ConTEnTs
2. Individual Claims for Relief ..........................................................................................................................................................................1261G. APPEAL STANDARDS .............................................................................................................................................................................................1262H. REQUESTS TO REOPEN ..........................................................................................................................................................................................1262I. ATTORNEY FEES .......................................................................................................................................................................................................1262
IV. CLASS ACTION THEORIES .............................................................................................................................................................................................1263A. INTENTIONAL DISCRIMINATION .......................................................................................................................................................................1263
1. Prima Facie Case ...............................................................................................................................................................................................1263B. ADVERSE IMPACT ....................................................................................................................................................................................................1263
1. Use of Statistical Evidence ...........................................................................................................................................................................12632. Use of Anecdotal Evidence ..........................................................................................................................................................................1264
C. REPRISAL ....................................................................................................................................................................................................................1264D. DISABILITY DISCRIMINATION AND REASONABLE ACCOMMODATION ............................................................................................1265E. VIOLATION OF CONSENT DECREES .................................................................................................................................................................1266
V. CLASS ACTION ANALYSIS ..............................................................................................................................................................................................1266A. ESTABLISHING INDIVIDUAL RELIEF ..................................................................................................................................................................1266
A. EMPLOYEES AND AGENCIES COVERED ..........................................................................................................................................................12681. U.S. Postal Service ...........................................................................................................................................................................................12682. Other Exempt Agencies ................................................................................................................................................................................1269
B. ELECTING THE FORUM ..........................................................................................................................................................................................12691. Electing Both Forums .....................................................................................................................................................................................12702. Union Election ..................................................................................................................................................................................................12703. Unsuccessful Election .....................................................................................................................................................................................12714. Withdrawal of Grievance ..............................................................................................................................................................................12715. Adjudication of Grievance ...........................................................................................................................................................................12716. Failure to Raise Discrimination Allegation .............................................................................................................................................12727. Unfair Labor Practice Complaints ..............................................................................................................................................................12728. Subsequent Actions ........................................................................................................................................................................................1272
C. EFFECTS OF ELECTION ..........................................................................................................................................................................................12721. Application of Law ..........................................................................................................................................................................................12722. Preservation of Grievance Rights ...............................................................................................................................................................1272
D. KNOWLEDGE OF DISCRIMINATION .................................................................................................................................................................1272E. ABSENCE OF DISCRIMINATION PROVISION IN AGREEMENT ................................................................................................................1272F. DISCRIMINATION IN GRIEVANCE PROCEDURE ...........................................................................................................................................1273
1. Inadequate Representation ..........................................................................................................................................................................1273G. REVIEW BY EEOC ......................................................................................................................................................................................................1273
1. Arbitrability .......................................................................................................................................................................................................12742. Failure to Address Discrimination Allegations .......................................................................................................................................12743. Enforcement of Arbitration Awards ..........................................................................................................................................................1275
II. MIXED CASES BEFORE THE MERIT SYSTEMS PROTECTION BOARD ............................................................................................................1275A. DEFINITION OF MIXED CASES AND APPEALS .............................................................................................................................................1275B. JURISDICTION OF THE MSPB ..............................................................................................................................................................................1275
1. Purpose of Mixed Case Legislation ...........................................................................................................................................................12762. Matters Clearly Within Board Jurisdiction ...............................................................................................................................................12773. Matters Not Within Board Jurisdiction ....................................................................................................................................................12774. Multiple Personnel Actions or Claims ......................................................................................................................................................12795. Constructive Adverse Actions ......................................................................................................................................................................12836. Probationary Employees ..............................................................................................................................................................................12857. Failure to Give Appeal Rights ......................................................................................................................................................................12858. Incorrect Appeal Rights .................................................................................................................................................................................12859. Whistleblower Complaints............................................................................................................................................................................1286
C. ELECTION OF FORUM ............................................................................................................................................................................................12861. Notice of Election Rights ..............................................................................................................................................................................12872. Filing With Wrong Agency ...........................................................................................................................................................................12873. Withdrawal of Appeal ....................................................................................................................................................................................1288
D. EFFECTS OF ELECTION ..........................................................................................................................................................................................12881. Election of MSPB ...............................................................................................................................................................................................12882. Election of EEO Procedure ...........................................................................................................................................................................12893. Effect of Final Agency Decision ..................................................................................................................................................................1289
GuiDE To EEo law anD PRaCTiCE xli
4. Breach of Settlement Allegations ..............................................................................................................................................................1289E. DUAL FILING PROCEDURES ................................................................................................................................................................................1289F. REVIEW OF MSPB DECISIONS BY EEOC ..........................................................................................................................................................1290
1. Contents of Petition for Review ..................................................................................................................................................................12912. Consideration by EEOC ..................................................................................................................................................................................12913. Failure to Raise Allegations of Discrimination ......................................................................................................................................12914. Failure of Board to Consider Allegations ................................................................................................................................................12925. Failure of Board to Consider Evidence ......................................................................................................................................................1294
G. REFERRAL TO THE MSPB .......................................................................................................................................................................................12941. Remand for Additional Evidence ................................................................................................................................................................1295
H. REFERRAL TO SPECIAL PANEL ............................................................................................................................................................................1295I. PARTIAL RELIEF ........................................................................................................................................................................................................1295
1. Relief Through Settlement ...........................................................................................................................................................................1295J. ALLEGATIONS RELATED TO BOARD PROCEEDINGS ..................................................................................................................................1296
1. Board–Ordered Relief .....................................................................................................................................................................................1296K. APPEAL OF DECISION TO DISMISS MIXED CASE ........................................................................................................................................1296L. EFFECT OF DECISIONS BY OTHER AGENCIES ...............................................................................................................................................1296
III. OTHER FORUMS ................................................................................................................................................................................................................1296A. ADMINISTRATIVE GRIEVANCE PROCEDURES ..............................................................................................................................................1296B. WORKERS’ COMPENSATION ................................................................................................................................................................................1296C. ALTERNATIVE DISPUTE RESOLUTION ..............................................................................................................................................................1297
CHAPTER 20: FORMS OF RELIEF ........................................................................... 1299I. ELEMENTS OF REMEDIAL RELIEF ...............................................................................................................................................................................1299
A. COMMISSION REGULATIONS ON RELIEF .......................................................................................................................................................1300B. NOTICE OF VIOLATION ..........................................................................................................................................................................................1300C. RELIEF FOR INDIVIDUALS ....................................................................................................................................................................................1301
II. PERSONS ELIGIBLE FOR RELIEF ...................................................................................................................................................................................1303A. RELIEF FOR APPLICANTS ......................................................................................................................................................................................1303B. RELIEF FOR EMPLOYEES .......................................................................................................................................................................................1304
1. Displacement of Beneficiaries of Discrimination .................................................................................................................................13042. Conditional Relief ............................................................................................................................................................................................13063. Interim Relief .....................................................................................................................................................................................................13064. Reinstatement ..................................................................................................................................................................................................13075. Partial Remedies ...............................................................................................................................................................................................13086. Relief following Default Judgment ............................................................................................................................................................13097. Scope of Relief ...................................................................................................................................................................................................1310
C. RELIEF FOR THIRD PARTIES .................................................................................................................................................................................1310III. TYPES OF RELIEF ..............................................................................................................................................................................................................1310
A. BACK PAY.GENERAL ............................................................................................................................................................................................13111. Ready, Willing and Able to Work .................................................................................................................................................................1313
B. DEDUCTIONS FROM BACK PAY .........................................................................................................................................................................13141. Duty to Mitigate Damages ...........................................................................................................................................................................13152. Corresponding Personnel Actions ............................................................................................................................................................13213. Unemployment Compensation .................................................................................................................................................................13214. Workers Compensation ................................................................................................................................................................................13225. Self–Employment Income ............................................................................................................................................................................13246. Health Insurance Premiums ........................................................................................................................................................................13247. Retirement Benefits ........................................................................................................................................................................................13258. Debt to Agency .................................................................................................................................................................................................13269. Union Dues ........................................................................................................................................................................................................1326
C. CALCULATING BACK PAY ......................................................................................................................................................................................13261. Level of Back Pay ..............................................................................................................................................................................................13272. Period of Back Pay ............................................................................................................................................................................................13273. Pay Steps ............................................................................................................................................................................................................13294. Overtime ............................................................................................................................................................................................................1329
xlii TablE oF ConTEnTs
5. Premium Pay .....................................................................................................................................................................................................13306. SES Positions ......................................................................................................................................................................................................13317. Thrift Savings and 401 (k) Plans .................................................................................................................................................................1331
D. BACK PAY.U.S. POSTAL SERVICE ....................................................................................................................................................................1332E. BACK PAY.NONAPPROPRIATED FUND AGENCIES ...................................................................................................................................1333F. ADJUSTMENT OF RETIREMENT BENEFITS .....................................................................................................................................................1333G. INTEREST ON BACK PAY ........................................................................................................................................................................................1333
1. Age Discrimination in Employment Act ..................................................................................................................................................13372. U.S. Postal Service ...........................................................................................................................................................................................1337
H. TAX CONSEQUENCES OF BACK PAY AND DAMAGES ................................................................................................................................13371. Taxability of Back Pay and Damages .........................................................................................................................................................13372. Tax Consequences ...........................................................................................................................................................................................1341
I. ENTITLEMENT TO POSITIONS .............................................................................................................................................................................13431. Substantially Equivalent Positions ............................................................................................................................................................13442. Geographic Location.......................................................................................................................................................................................13463. Subsequent Promotions—”Job Skipping” .............................................................................................................................................13474. Probation ............................................................................................................................................................................................................13505. Temporary Appointments .............................................................................................................................................................................13506. Priority Consideration ....................................................................................................................................................................................13507. Noncompetitive Selections .........................................................................................................................................................................13528. Failure to Qualify ...............................................................................................................................................................................................13529. Multiple Victims of Discrimination ............................................................................................................................................................135310. Limited Liability Defense ..............................................................................................................................................................................1355
J. OTHER FORMS OF RELIEF .....................................................................................................................................................................................13561. Front Pay .............................................................................................................................................................................................................13562. Restoration of Leave and Benefits .............................................................................................................................................................13603. Seniority .............................................................................................................................................................................................................13614. Medical Expenses ............................................................................................................................................................................................13625. Transfer or Reassignment .............................................................................................................................................................................13626. Relief Requested ..............................................................................................................................................................................................13637. Speculative Relief ............................................................................................................................................................................................13638. Performance Evaluations ..............................................................................................................................................................................13639. Performance–Based Awards ........................................................................................................................................................................136310. Remand v. Relief ...............................................................................................................................................................................................136411. Effect of Resignation or Retirement .........................................................................................................................................................136412. Declaratory and Injunctive Relief ..............................................................................................................................................................136713. Apologies ............................................................................................................................................................................................................136814. Training of Offenders .....................................................................................................................................................................................136815. Systemic Relief .................................................................................................................................................................................................136916. Travel Expenses ................................................................................................................................................................................................137017. Loss of Vehicle ...................................................................................................................................................................................................137018. Housing Expenses ...........................................................................................................................................................................................137019. Cost of Living Allowances ............................................................................................................................................................................137020. Recruitment ........................................................................................................................................................................................................1371
K. RELIEF IN HOSTILE ENVIRONMENT CASES ....................................................................................................................................................1371IV. RELIEF UNDER THE ADEA AND EPA ..........................................................................................................................................................................1371
A. LIQUIDATED DAMAGES ........................................................................................................................................................................................1371V. COMPENSATORY DAMAGES ........................................................................................................................................................................................1371
A. AUTHORITY TO AWARD ........................................................................................................................................................................................13721. Adverse Impact Cases ....................................................................................................................................................................................13802. Unintentional Discrimination Cases ..........................................................................................................................................................1380
B. DEFINITION OF COMPENSATORY DAMAGES ..............................................................................................................................................13811. Damages vs. Equitable Relief .......................................................................................................................................................................13812. Past Pecuniary Damages ..............................................................................................................................................................................13823. Future Pecuniary Damages ..........................................................................................................................................................................13824. Nonpecuniary Damages ...............................................................................................................................................................................13845. Causation ...........................................................................................................................................................................................................13846. Findings of Administrative Judge .............................................................................................................................................................1385
C. DAMAGES UNDER REHABILITATION ACT ......................................................................................................................................................13861. Good Faith Exception ....................................................................................................................................................................................1386
D. DAMAGES UNDER ADEA .......................................................................................................................................................................................1388
GuiDE To EEo law anD PRaCTiCE xliii
E. DAMAGES UNDER EPA ..........................................................................................................................................................................................1388F. SEVERANCE OF DAMAGE ISSUES .....................................................................................................................................................................1388
1. Offers of Full Relief ..........................................................................................................................................................................................1388G. TIME FOR ASSERTING DAMAGES ......................................................................................................................................................................1388
1. Sufficiency of Claim ........................................................................................................................................................................................13902. Damages Hearings ..........................................................................................................................................................................................1391
H. COMMISSION TRILOGY ON DAMAGES ...........................................................................................................................................................1392I. MOOTNESS ................................................................................................................................................................................................................1403J. PECUNIARY DAMAGE AWARD STANDARDS .................................................................................................................................................1403
1. Nominal Damages ..........................................................................................................................................................................................14042. Mortgage Foreclosure ....................................................................................................................................................................................14043. Attorney Fees ....................................................................................................................................................................................................14044. Back Pay as Pecuniary Damages .................................................................................................................................................................14045. Future Pecuniary Damages ..........................................................................................................................................................................1405
K. CALCULATING NONPECUNIARY DAMAGES .................................................................................................................................................14081. Evidence Required ..........................................................................................................................................................................................14092. Credibility Determinations ...........................................................................................................................................................................14103. Presumption of Harm .....................................................................................................................................................................................14104. Failure to Produce Evidence .........................................................................................................................................................................14115. Statutory Cap ....................................................................................................................................................................................................14116. Monetary Awards—$5,000 and Less.........................................................................................................................................................14127. Monetary Awards—$6,000–$10,000 ........................................................................................................................................................14178. Monetary Awards—$11,000–$29,000 ......................................................................................................................................................14229. Monetary Awards—$30,000–$49,000 ......................................................................................................................................................143210. Monetary Awards—$50,000–$74,000 ......................................................................................................................................................143911. Monetary Awards—$75,000–$99,000 ......................................................................................................................................................145112. Monetary Awards—$100,000–$125,000 .................................................................................................................................................146013. Monetary Awards—$126,000 and Above ...............................................................................................................................................1467
L. SPECIFIC DAMAGE ISSUES....................................................................................................................................................................................14771. Previous Physical or Mental Illness ...........................................................................................................................................................14772. Discovery of Psychiatric Evidence .............................................................................................................................................................14823. Other External Factors ...................................................................................................................................................................................14824. Preexisting Fears ...............................................................................................................................................................................................14845. Mitigation of Damages ..................................................................................................................................................................................14846. Harm to Others .................................................................................................................................................................................................14847. Couples Therapy ...............................................................................................................................................................................................14858. Low Resistance Due to Stress or Fatigue .................................................................................................................................................14859. Previous Rape ...................................................................................................................................................................................................148510. Lack of Expert or Medical Testimony ........................................................................................................................................................148511. Pre-Act Conduct ...............................................................................................................................................................................................148612. Retaliation Claims ...........................................................................................................................................................................................148613. Breach of Settlement Agreements .............................................................................................................................................................148614. Effects of Litigation .........................................................................................................................................................................................148615. Multiple Victims of Discrimination .............................................................................................................................................................148716. Multiple Claims of Discrimination ..............................................................................................................................................................148717. Age Discrimination Claims ............................................................................................................................................................................148718. Partially Prevailing Complainants...............................................................................................................................................................148719. Conduct Outside Workplace ........................................................................................................................................................................148820. Health Insurance and Medical Expenses ................................................................................................................................................148821. Health Care Travel Expenses .........................................................................................................................................................................148922. FECA Claims .......................................................................................................................................................................................................148923. Loans, Interest and Penalties........................................................................................................................................................................148924. Job Search Expenses ......................................................................................................................................................................................149025. Travel Expenses ................................................................................................................................................................................................149026. Moving and Housing Expenses and Loss on Sale of Home .............................................................................................................149027. Foreclosure Costs .............................................................................................................................................................................................149128. Housekeeping Expenses ................................................................................................................................................................................149129. Loss of Rental Income ....................................................................................................................................................................................149230. Chiropractor Expenses ...................................................................................................................................................................................149231. Massage Therapy ..............................................................................................................................................................................................149232. Pet Care ................................................................................................................................................................................................................1492
M. ISSUANCE OF DAMAGE DECISIONS ..................................................................................................................................................................14931. Appellate Decisions .........................................................................................................................................................................................1493
N. INTEREST ON COMPENSATORY DAMAGES ..................................................................................................................................................1493O. TAXES ON COMPENSATORY DAMAGES .........................................................................................................................................................1493P. PUNITIVE DAMAGES ...............................................................................................................................................................................................1495Q. DAMAGES IN OTHER FORUMS ............................................................................................................................................................................1498
1. Merit Systems Protection Board .................................................................................................................................................................14982. Arbitration .........................................................................................................................................................................................................1499
VI. DISCIPLINARY AND CORRECTIVE ACTION ............................................................................................................................................................1499A. OFFICE OF SPECIAL COUNSEL ...........................................................................................................................................................................1501B. MERIT SYSTEMS PROTECTION BOARD ...........................................................................................................................................................1501
VII. ENFORCEMENT OF REMEDIES ....................................................................................................................................................................................1502A. PETITIONS FOR ENFORCEMENT ........................................................................................................................................................................1502B. ENFORCEMENT BY COMMISSION......................................................................................................................................................................1503
VIII. TIMING OF RELIEF .............................................................................................................................................................................................................1503A. DOCTRINE OF LACHES ..........................................................................................................................................................................................1504
A. REQUIREMENTS OF FEE PETITION ....................................................................................................................................................................15071. Proper Party .......................................................................................................................................................................................................1507
B. EXTENSIONS OF TIME ............................................................................................................................................................................................1507C. FILING WITH WRONG AGENCY ...........................................................................................................................................................................1508D. FAILURE TO ISSUE FEE DECISION ......................................................................................................................................................................1508E. MSPB CASES ..............................................................................................................................................................................................................1508
II. PREVAILING PARTIES ......................................................................................................................................................................................................1508A. PRESUMPTION OF ENTITLEMENT ......................................................................................................................................................................1514B. PREVAILING THROUGH SETTLEMENT .............................................................................................................................................................1514
1. Breach of Settlement Agreements ............................................................................................................................................................15162. Compliance and Enforcement Petitions ..................................................................................................................................................1516
C. PREVAILING ON PROCEDURAL ISSUES ..........................................................................................................................................................15161. Fees as Sanctions .............................................................................................................................................................................................15172. Fees Against Employees ................................................................................................................................................................................15183. Official Time Complaints ...............................................................................................................................................................................15184. Per Se Regulatory Violations .........................................................................................................................................................................1518
D. PREVAILING THROUGH GRIEVANCE PROCEDURE .....................................................................................................................................1519E. ACTIONS OUTSIDE TITLE VII.................................................................................................................................................................................1520F. OFFERS OF RESOLUTION .....................................................................................................................................................................................1520G. MOOT CASES .............................................................................................................................................................................................................1520H. UNJUST AWARDS ....................................................................................................................................................................................................1521
III. THE “LODESTAR” ...............................................................................................................................................................................................................1521A. REASONABLE HOURLY RATE ..............................................................................................................................................................................1524
1. Prevailing Market Rate and Out-of-State Counsel ..............................................................................................................................15252. Applicable Time Period ..................................................................................................................................................................................15273. Laffey Matrix ......................................................................................................................................................................................................15274. Customary Rate ................................................................................................................................................................................................15275. Contractual Rate ..............................................................................................................................................................................................15286. Discount Rates ..................................................................................................................................................................................................15287. Rates in MSPB Cases .......................................................................................................................................................................................15308. Excise Taxes ........................................................................................................................................................................................................15309. Contingency Agreements ............................................................................................................................................................................1530
B. ADJUSTMENTS TO HOURLY RATES ...................................................................................................................................................................15311. Downward Adjustments ...............................................................................................................................................................................15312. Fee Enhancements .........................................................................................................................................................................................15313. Experience of Counsel ....................................................................................................................................................................................1534
C. HOURS REASONABLY EXPENDED ....................................................................................................................................................................15351. Claims Not Raised in Complaint ..................................................................................................................................................................15362. Fees in Counseling Stage .............................................................................................................................................................................1536
GuiDE To EEo law anD PRaCTiCE xlv
3. Preparation of Complaint ..............................................................................................................................................................................15364. Partial and Fractionable Fees ......................................................................................................................................................................15365. Frivolous Claims ................................................................................................................................................................................................15406. Contact With Clients .......................................................................................................................................................................................15407. File Updates ........................................................................................................................................................................................................15408. Clerical Work ......................................................................................................................................................................................................15409. Ascertaining Case Status ...............................................................................................................................................................................154010. Settlement Negotiations ..............................................................................................................................................................................154011. Legal Research ..................................................................................................................................................................................................154112. Review of Documents.....................................................................................................................................................................................154113. Preparation of Discovery Materials ............................................................................................................................................................154114. Investigation Preparation .............................................................................................................................................................................154115. Investigation by Counsel ...............................................................................................................................................................................154116. Hearing Preparation .......................................................................................................................................................................................154217. Summary Judgment Motions ......................................................................................................................................................................154218. Review of Decisions .........................................................................................................................................................................................154219. Related Actions .................................................................................................................................................................................................154220. Time Records ....................................................................................................................................................................................................154221. Experience of Counsel ....................................................................................................................................................................................154322. Work on Appeal ...............................................................................................................................................................................................154423. Fee Petitions ......................................................................................................................................................................................................1544
D. TAXES ON FEE AWARDS ........................................................................................................................................................................................1545E. INTEREST ON FEE AWARDS .................................................................................................................................................................................1546F. FAILURE OF COUNSEL TO REIMBURSE COMPLAINANT ............................................................................................................................1547
1. Attorney Fee Liens ...........................................................................................................................................................................................1547G. MIXED MOTIVE CASES ...........................................................................................................................................................................................1547H. BAR STATUS OF COUNSEL ....................................................................................................................................................................................1549I. SERVICES RENDERED BY OTHERS .....................................................................................................................................................................1550
J. COMPENSATORY DAMAGES ................................................................................................................................................................................1551K. AGE DISCRIMINATION ...........................................................................................................................................................................................1551
L. ADA INQUIRY AND EXAMINATION VIOLATIONS .........................................................................................................................................1553M. NOTICE OF REPRESENTATION ............................................................................................................................................................................1554N. DEFENSE OF FEE AWARDS ...................................................................................................................................................................................1554
1. Standard of Review ..........................................................................................................................................................................................1555O. UNION AND NON-PROFIT LEGAL REPRESENTATIVES ..............................................................................................................................1555P. FEDERAL EMPLOYEE REPRESENTATIVES ........................................................................................................................................................1555Q. LAYMAN REPRESENTATIVES ................................................................................................................................................................................1555R. BURDENS OF PROOF ..............................................................................................................................................................................................1555S. ENFORCEMENT ACTIONS ....................................................................................................................................................................................1555T. FEDERAL COURT WORK ........................................................................................................................................................................................1556U. TRAVEL TIME .............................................................................................................................................................................................................1556V. AFFIRMATIVE DEFENSES FOR AGENCIES .......................................................................................................................................................1557W. COSTS ...........................................................................................................................................................................................................................1557
A. TITLE VII AND THE REHABILITATION ACT ......................................................................................................................................................15611. Mixed Cases .......................................................................................................................................................................................................1561
B. THE ADEA ...................................................................................................................................................................................................................1565C. EQUAL PAY ACT ........................................................................................................................................................................................................1565D. RETALIATION CLAIMS .............................................................................................................................................................................................1565E. OFFERS OF FULL RELIEF .......................................................................................................................................................................................1565F. TIMELINESS ISSUES ................................................................................................................................................................................................1565
1. Effect of EEOC Decisions ................................................................................................................................................................................15682. Partial Administrative Decisions .................................................................................................................................................................1568
G. CONTINUING VIOLATIONS ..................................................................................................................................................................................15691. Related Claims ..................................................................................................................................................................................................15702. Exclusivity of Title VII Remedies .................................................................................................................................................................1570
H. DISMISSAL OF CLAIMS ..........................................................................................................................................................................................15701. Failure to Cooperate ........................................................................................................................................................................................15702. Failure to Raise Defense .................................................................................................................................................................................1570
II. FILING OF CIVIL ACTION ...............................................................................................................................................................................................1571A. VENUE ..........................................................................................................................................................................................................................1571B. COMPLAINTS .............................................................................................................................................................................................................1571
1. Proper Defendant ............................................................................................................................................................................................15712. Scope of Complaint .........................................................................................................................................................................................15713. Jury Trials ............................................................................................................................................................................................................15714. Review of Commission Decisions ..............................................................................................................................................................1572
C. SERVICE OF COMPLAINTS ....................................................................................................................................................................................1572D. ANSWER TO COMPLAINT ......................................................................................................................................................................................1572
III. INJUNCTIVE RELIEF .........................................................................................................................................................................................................1572IV. SCHEDULING AND DISCOVERY ..................................................................................................................................................................................1573
A. SCHEDULING CONFERENCE ................................................................................................................................................................................1573B. DISCOVERY .................................................................................................................................................................................................................1573C. SANCTIONS ................................................................................................................................................................................................................1573
V. SUMMARY JUDGMENT MOTIONS .............................................................................................................................................................................1574A. BURDENS OF PROOF .............................................................................................................................................................................................1584B. DECISIONS OF OTHER BODIES............................................................................................................................................................................1584
VI. OFFERS OF JUDGMENT ..................................................................................................................................................................................................1584VII. ADMISSIBILITY OF ADMINISTRATIVE PROCEEDINGS .......................................................................................................................................1585
A. UNEMPLOYMENT DECISIONS .............................................................................................................................................................................1585VIII. JURY INSTRUCTIONS ......................................................................................................................................................................................................1586
A. PRICE WATERHOUSE INSTRUCTION ...................................................................................................................................................................1587IX. POST-TRIAL MOTIONS ...................................................................................................................................................................................................1587X. CLASS ACTIONS .................................................................................................................................................................................................................1588
A. OPTING OUT ...............................................................................................................................................................................................................1588XI. APPELLATE STANDARDS ...............................................................................................................................................................................................1589
A. TRANSCRIPTS .............................................................................................................................................................................................................1589
TABLE OF CASES ............................................................................................................ 1591
INDEX ................................................................................................................................. 1649
