Equal Employment Opportunity: The Policy Framework in the Federal
Workplace and the Roles of EEOC and OPM (29-APR-05, GAO-05-195). 
                                                                 
The federal government has created a framework to provide for EEO
by prohibiting unlawful discrimination based on such factors as  
race, color, religion, gender, national origin, age, and	 
disability, and offers redress when discrimination and		 
retaliation have occurred. To further EEO and help bring about a 
diverse workforce, federal agencies are required to carry out	 
affirmative employment and minority recruitment programs. EEOC	 
and OPM have primary responsibility for ensuring that the	 
government's policies for a fair, equitable, and inclusive	 
workplace are carried out. In response to a congressional request
that GAO provide information on the federal government's	 
performance in promoting EEO and managing its diverse workforce, 
this report provides information on (1) the statutory and policy 
framework relating to EEO, affirmative employment, and workforce 
diversity and (2) the roles and responsibilities of EEOC and OPM 
within the framework and how these agencies carry out these roles
and responsibilities.						 
-------------------------Indexing Terms------------------------- 
REPORTNUM:   GAO-05-195 					        
    ACCNO:   A22938						        
  TITLE:     Equal Employment Opportunity: The Policy Framework in the
Federal Workplace and the Roles of EEOC and OPM 		 
     DATE:   04/29/2005 
  SUBJECT:   Diversity management				 
	     Employment discrimination				 
	     Fair employment programs				 
	     Federal employees					 
	     Federal law					 
	     Federal legislation				 
	     Federal regulations				 
	     Labor force					 
	     Personnel recruiting				 
	     Policy evaluation					 
	     Hiring policies					 
	     Employment of minorities				 
	     Minorities 					 
	     Diversity						 
	     Policies and procedures				 

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GAO-05-195

United States Government Accountability Office

 GAO	Report to the Ranking Minority Member, Committee on Homeland Security and
                       Governmental Affairs, U.S. Senate

April 2005

EQUAL EMPLOYMENT OPPORTUNITY

  The Policy Framework in the Federal Workplace and the Roles of EEOC and OPM

GAO-05-195

[IMG]

April 2005

EQUAL EMPLOYMENT OPPORTUNITY

The Policy Framework in the Federal Workplace and the Roles of EEOC and OPM

  What GAO Found

Various statutes, executive orders, and other executive policy form the
framework of EEO policy that governs civil rights and personnel management
in the federal workplace. In 1972 federal workers received statutory civil
rights protections when Congress passed the Equal Employment Opportunity
Act, which extended to federal workers protections under title VII of the
landmark Civil Rights Act of 1964 prohibiting employment discrimination
based on race, color, religion, gender, or national origin. The 1972 act
also required federal agencies to establish affirmative employment
programs to address the underrepresentation of minorities and women in the
federal workforce. In 1973 federal employees and applicants for employment
with disabilities received employment discrimination protections under the
Rehabilitation Act, and federal agencies were required to prepare
affirmative employment program plans for the hiring, placement, and
advancement of such individuals. The Civil Service Reform Act of 1978
further underscored the government's commitment to EEO, stating that for
the federal workforce to reflect the nation's diversity, federal personnel
management should follow merit principles by treating employees fairly and
equitably, and that personnel actions should be free from prohibited
personnel practices, including discrimination. The 1978 act also required
agencies to conduct a continuing recruiting program to address minority
underrepresentation. Other statutes, executive orders, and executive
policy are also part of the federal workplace EEO policy framework.

EEOC and OPM each play important leadership roles within this framework in
ensuring EEO in the federal workplace. EEOC is responsible for enforcing
federal laws prohibiting discrimination and oversees federal agencies' EEO
programs, including their affirmative employment programs. OPM is the
government's human capital manager and is responsible for ensuring that
personnel management functions follow the merit principles, including
those related to EEO. OPM is to assist agencies in carrying out their
minority recruitment programs and evaluating the effectiveness of these
programs in eliminating minority underrepresentation. EEOC and OPM issue
regulations and directives to carry out their responsibilities and
exercise oversight by reviewing federal workforce demographic data;
reviewing reports from agencies on their progress in meeting program
requirements; conducting on-site reviews at federal agencies; and
providing technical assistance, training, and guidance. In addition, both
agencies publish annual reports on program activities and workforce
demographics. Although responsibility for ensuring that EEO is shared
among agencies, EEOC has also been charged under statute and executive
order with providing leadership and coordination to promote efficiency and
eliminate conflict, competition, duplication, and inconsistency.

We provided OPM and EEOC with a draft of this report for their review and
comment. OPM said that, in general, the report accurately reflects OPM's
current roles and responsibilities. We clarified the report in response to
EEOC's comments to indicate that this report focuses on affirmative
employment and that we previously reported on EEOC's complaint process
responsibilities.

                 United States Government Accountability Office

Contents

      Letter                                                                1 
                                     Results in Brief                       3 
                                        Background                          4 
                 Statutes, Executive Orders, and Executive Policy Underpin 
                                                                       the 
                   Government's Framework for EEO in the Federal Workplace  6 
                       EEOC and OPM Have Primary Oversight for EEO         11 
                            Agency Comments and Our Evaluation             27 
    Appendix I              Objectives, Scope, and Methodology             
Appendix II           Comments from the U.S. Equal Employment           
                                  Opportunity Commission                   
Appendix III           GAO Contacts and Staff Acknowledgments           

  Table

Table 1: Elements of a Model EEO Program and Major Agency Responsibilities
for the Model Program

  Figures

Figure 1: Definitions of EEO, Affirmative Employment, and Workforce
Diversity 6 Figure 2: Overview of the Roles of EEOC and OPM within the EEO
Framework 12 Figure 3: EEOC Instructions to Agencies for Analysis of
Workforce

Data and Personnel Actions 16 Figure 4: Key Elements of Agencies' FEORP
Plans 20 Figure 5: Selected HCAAF Elements Relating to the PMA Standard

of Reducing Underrepresentation and Establishing a
Process to Sustain Workforce Diversity 23

Abbreviations

ADEA Age Discrimination in Employment Act of 1967
CLF Civilian Labor Force
CDPF Central Personnel Data File
CSC Civil Service Commission
CSRA Civil Service Reform Act of 1978
DVAAP Disabled Veterans Affirmative Action Program
EEO equal employment opportunity
EEOC Equal Employment Opportunity Commission
EPA Equal Pay Act of 1963
EPCA EEO Program Compliance Assessment
FEORP Federal Equal Opportunity Recruitment Program
GAO Government Accountability Office
GPRA Government Performance and Results Act
GS General Schedule
HCAAF Human Capital Accountability and Assessment Framework
HCO Human Capital Officer
MBA master of business administration
MD Management Directive
MSPB Merit Systems Protection Board
No FEAR Notification and Federal Employee Antidiscrimination and

Retaliation Act OMB Office of Management and Budget OPM Office of
Personnel Management PATCO PATCOB, not including blue-collar PATCOB
Professional, Administrative, Technical, Clerical, Other

White-collar, and Blue-collar PMA President's Management Agenda

This is a work of the U.S. government and is not subject to copyright
protection in the United States. It may be reproduced and distributed in
its entirety without further permission from GAO. However, because this
work may contain copyrighted images or other material, permission from the
copyright holder may be necessary if you wish to reproduce this material
separately.

United States Government Accountability Office Washington, DC 20548

April 29, 2005

The Honorable Joseph I. Lieberman
Ranking Minority Member
Committee on Homeland Security and

Governmental Affairs
United States Senate

Dear Senator Lieberman:

It has long been the policy of the U.S. government to provide a workplace
for its employees that is fair, equitable, and free from discrimination
and
retaliation. Laws provide for equal employment opportunity (EEO) by
(1) prohibiting certain personnel practices, including unlawful
discrimination based on race, color, religion, gender, national origin,
age,
and disability and (2) offering avenues of redress when discrimination and
retaliation have occurred.1 To further EEO and help bring about a diverse
workforce reflective of all segments of society, federal agencies are
required to carry out affirmative employment and minority recruitment
programs. Ensuring that federal agencies adhere to the government's laws
and policy is primarily the responsibility of the Equal Employment
Opportunity Commission (EEOC) and the Office of Personnel
Management (OPM).2

Over several decades, the federal government has created a statutory,
regulatory, and policy structure for ensuring EEO in federal employment.
In this report, prepared in response to your request, we provide
information on (1) the statutory and policy framework relating to federal
EEO, affirmative employment, and workforce diversity and (2) the roles
and responsibilities of EEOC and OPM within the framework and how
these agencies carry out these roles and responsibilities. This report
primarily focuses on EEOC's affirmative employment responsibilities

1 Federal employees also have legal protections against reprisal, such as
for whistleblowing on waste, fraud, and abuse.

2 Although EEOC and OPM are primarily responsible for the enforcement of
federal EEO law and policy in the federal workplace, three other
agencies-the Office of Special Counsel, the Merit Systems Protection
Board, and the Federal Labor Relations Authority- also play a role in
ensuring EEO in the federal workplace.

within the framework. We previously reported on EEOC's roles and
responsibilities for establishing procedures for handling federal
employees' allegations of discrimination and providing for the
adjudication of complaints and hearing appeals.3

This is the second report resulting from a series of reviews that respond
to your request that we examine the federal government's performance in
promoting equal employment opportunity and managing a diverse workforce.
In January we reported on leading practices for diversity management.4 Our
other reviews are examining (1) how EEOC and OPM coordinate with each
other in carrying out their EEO-related responsibilities, federal EEO and
human capital managers' views of the various EEO-related requirements
placed on them, and the leadership that EEOC and OPM provide; (2) how
federal agencies measure the results of their EEO programs and diversity
initiatives; and (3) examples of how leading diversity management
practices are implemented in the private sector.

To accomplish our objectives for this report, we (1) reviewed the
statutes, regulations, and policies governing EEO, affirmative employment,
and diversity in the executive branch of the federal government and (2)
discussed our observations with EEOC and OPM officials.5 Our work
primarily focused on EEOC and OPM because of their significant roles and
responsibilities in ensuring a fair, equitable, and inclusive workplace
free from discrimination and retaliation. We did our work from March 2003
through February 2005, in accordance with generally accepted government
auditing standards. The details of our objectives, scope, and methodology
are in appendix I.

3 GAO, Equal Employment Opportunity: Discrimination Complaint Caseloads
and Underlying Causes Require EEOC's Sustained Attention, GAO/T-GGD-00-104
(Washington, D.C.: Mar. 29, 2000) and Equal Employment Opportunity:
Complaint Caseloads Rising, with Effects on Future Trends Unclear,
GAO/GGD-99-128 (Washington, D.C.: Aug. 16, 1999).

4 GAO, Diversity Management: Expert-Identified Leading Practices and
Agency Examples, GAO-05-90 (Washington, D.C.: Jan. 14, 2005).

5 The application of EEO laws varies between the three branches
(executive, legislative, and judicial) of the federal government. This
report focuses primarily on the EEO framework applicable to the executive
branch.

  Results in Brief

The framework relating to EEO in the federal workplace is formed by
various statutes, executive orders, and other executive policy that were
put in place over several decades. This framework governs civil rights and
personnel management and places primary responsibility on federal agencies
to provide workplaces that have a culture of fairness, equity, and
inclusiveness free from discrimination.

o  	The hallmark legislation providing civil rights protections for
federal workers is the Equal Employment Opportunity Act of 1972, which
Congress enacted to address, in part, the continued underrepresentation of
minorities and women in the federal workplace. This act extended to
federal workers the provisions of title VII of the Civil Rights Act of
1964, the landmark civil rights statute prohibiting employment
discrimination based on race, color, religion, gender, or national origin.
The 1972 act also required federal agencies to establish affirmative
employment programs.

o  	A year later, the Rehabilitation Act of 1973 extended employment
discrimination protections to federal employees and applicants for
employment with disabilities, and required agencies to prepare affirmative
action program plans for the hiring, placement, and advancement of such
individuals.

o  	The Civil Service Reform Act of 1978, in overhauling federal personnel
laws, also underscored the government's commitment to EEO. The act
provides (1) that for the federal workforce to reflect the nation's
diversity, federal personnel management should follow merit principles,
including treating employees fairly and equitably and (2) that personnel
actions should be free from prohibited practices, including
discrimination. The act also requires agencies to conduct a continuing
program for recruiting minorities that is intended to address minority
underrepresentation.

Other statutes, executive orders, and executive policy further constitute
the federal workplace EEO framework.

EEOC and OPM each play important roles within this framework in ensuring
EEO in the federal workplace through their leadership and oversight of
federal agencies. EEOC enforces laws prohibiting employment discrimination
in the federal workplace and oversees federal agencies' EEO programs,
including their affirmative employment programs. As the government's human
capital manager, OPM is responsible for ensuring that personnel management
functions follow the merit principles, including those aimed at ensuring
equal employment opportunity. OPM is also responsible for assisting
agencies in carrying out

minority recruitment programs and evaluating their effectiveness in
eliminating minority underrepresentation. To carry out their
responsibilities, EEOC and OPM issue regulations and directives that,
among other things, require agencies to analyze workforce demographics,
identify underrepresented groups, develop strategies to address
underrepresentation, and prepare annual reports. In addition, EEOC and OPM
review federal workforce demographic data to track the representation of
the various groups of employees across government, within agencies, and
within occupational categories at agencies; review reports from agencies
on their status and progress in meeting program requirements; conduct
on-site reviews at federal agencies; and provide federal agencies with
technical assistance, training, and guidance. Although responsibility for
ensuring EEO is shared among agencies, EEOC is responsible under statute
and executive order for providing leadership and coordination to promote
efficiency and eliminate conflict, competition, duplication and
inconsistency.

We provided OPM and EEOC with a draft of this report for their review and
comment. OPM, in its comments, said that, in general, the report
accurately reflects OPM's current roles and responsibilities. In response
to EEOC's comments, we clarified the report to indicate that we had not
fully discussed EEOC's responsibility for the federal employees'
discrimination complaint process because (1) this report focuses on
affirmative employment and (2) we previously reported on the complaint
process.

Background 	In 1964 Congress passed the landmark Civil Rights Act
prohibiting discrimination on the basis of race, color, religion, gender,
or national origin in a number of areas, including employment, housing,
voting, and education. Title VII of the act addresses employment
discrimination and created EEOC.6 Congress amended title VII in 1972 to
extend employment discrimination protections to federal workers and
applicants for federal employment and gave the Civil Service Commission
(CSC), OPM's predecessor agency for carrying out human capital functions
in the federal government, responsibility for enforcing title VII
requirements for federal employment. These responsibilities were later
transferred to EEOC under Reorganization Plan No. 1 of 1978 when CSC was
abolished and OPM created.7 In enacting the 1972 amendments, Congress
concluded that the

6 Pub. L. No. 88-352, title VII, 78 Stat. 241, 253-266 (July 2, 1964). 7
43 Fed. Reg. 19,807, 92 Stat. 3781 (Feb. 23, 1978).

government had failed to pursue its policy of equal employment opportunity
for the federal workforce, noting statistics that minorities and women
continued to be denied access to a large number of jobs, particularly at
higher-level policymaking and supervisory positions.8

In recent years, GAO as well as OPM, the Merit Systems Protection Board
(MSPB),9 and EEOC have reported on EEO-related issues concerning women and
minorities in the federal workforce. In 2001 and 2003, we reported on the
representation of minorities and women in the career Senior Executive
Service during the 1990s and early 2000s.10 While we found that the
representation of minorities and women had increased during that period,
we reported that the representation of minorities and women would not
increase substantially by 2007 if then-current SES appointment patterns
continued.11 In addition to representation issues, surveys of the federal
workforce by OPM and MSPB have revealed that minorities have less
favorable perceptions about workplace fairness and equity than
nonminorities. Also, EEOC reported that federal employees filed 20,226
discrimination complaints in fiscal year 2003.

Experiences or perceptions of unfair treatment and the lack of opportunity
and inclusiveness, whether real or perceived, can undermine the efficient
and effective accomplishment of government agencies' mission. Recognizing
this, the government has further developed the EEO policy framework for
the federal workplace and has established EEOC and OPM as the principal
agencies charged with carrying out the government's policy for EEO,
affirmative employment, and workforce diversity. For the purpose of this
review, we defined EEO, affirmative employment, and workforce diversity as
follows:

8 Staff of Subcomm. on Labor of the Senate Comm. on Labor and Public
Welfare, 92nd Cong., Legislative History of the Equal Employment
Opportunity Act of 1972 (Comm. Print 1972), at 82-86 and 421-425.

9 MSPB is an independent federal agency that adjudicates employee appeals
of personnel actions and conducts studies of the federal civil service and
other merit systems in the executive branch.

10 GAO, Senior Executive Service: Diversity Increased in the Past Decade,
GAO-01-377 (Washington, D.C.: Mar. 16, 2001).

11 GAO, Senior Executive Service: Enhanced Agency Efforts Needed to
Improve Diversity as the Senior Corps Turns Over, GAO-03-34 (Washington,
D.C.: Jan. 17, 2003).

Figure 1: Definitions of EEO, Affirmative Employment, and Workforce
Diversity

EEO is the policy embodied in law that requires that employment actions be
free from prohibited discrimination, including discrimination on the basis
of race, color, religion, gender, national origin, age, disability, and
retaliation for filing discrimination claims or other protected activity.

Affirmative employment is a program designed to identify and eliminate
discriminatory practices and policies and to ensure EEO. In the federal
sector, affirmative employment includes actions by federal
departments/agencies to identify and eliminate barriers to EEO in
accordance with the policies of EEOC and OPM.

Workforce diversity indicates the extent to which people in a workforce
are similar and different from each other, including characteristics
protected by law, i.e., race, color, religion, gender, national origin,
age, and disability.a Workforce diversity may also take into account other
factors, such as background, education, work roles, and personality.b

  Statutes, Executive Orders, and Executive Policy Underpin the Government's
  Framework for EEO in the Federal Workplace

Source: GAO.

aSee GAO-05-90 for a discussion on managing workforce diversity.

bEEOC's roles and responsibilities are limited in scope to those groups
protected from discrimination by the statutes discussed in the EEO
framework.

Various statutes, executive orders, and other executive policy form the
framework relating to EEO in the federal workplace.12 This framework,
which governs civil rights and personnel management, places primary
responsibility on federal agencies to provide workplaces that have a
culture of fairness, equity, and inclusiveness free from discrimination.

When the Civil Rights Act of 1964 was enacted, title VII of the act
prohibiting employment discrimination did not apply to the federal
government as an employer. The government's EEO policy for federal workers
had been addressed in executive orders. In particular, Executive Order No.
11478, issued in 1969, stated the government's policy to (1) provide equal
opportunity in federal employment for all persons; (2) prohibit
discrimination in employment because of race, color, religion, gender, or
national origin; and (3) promote the full realization of EEO through a
continuing affirmative program in each executive department and agency.13
According to the order, the policy of equal opportunity should be an
integral part of every aspect of personnel policy and practice

12 Although the application of EEO laws varies between the three branches
(executive, legislative, and judicial) of the federal government, this
report focuses primarily on the EEO framework applicable to the executive
branch.

13 Exec. Order No. 11478, 34 Fed. Reg. 12,985 (Aug. 8, 1969).

in the employment, development, advancement, and treatment of federal
civilian employees.

Federal workers and applicants for federal employment received broad
statutory protection against employment discrimination with the passage of
the Equal Employment Opportunity Act of 1972. The hallmark 1972 act
extended to federal workers the protections of title VII of the Civil
Rights Act of 1964 prohibiting discrimination on the basis of race, color,
religion, gender, or national origin in employment matters, such as
recruitment, hiring, wages, promotions, benefits, discipline, discharge,
and layoffs.14 In addition, the 1972 amendments, enacted to address the
underrepresentation of minorities and women, require each federal
department and agency to prepare plans to maintain an affirmative program
of EEO. Under the plans, agencies are required to establish training and
education programs designed to provide a maximum opportunity for employees
to advance so as to perform at their highest potential.

The Rehabilitation Act of 197315 extended employment discrimination
protections to federal employees and applicants for employment with
disabilities. Similar to the requirements under title VII, section 501 of
the Rehabilitation Act requires federal departments and agencies to
prepare affirmative action program plans for the hiring, placement, and
advancement of individuals with disabilities. These plans are to be
updated annually and describe the extent to which the special needs of
employees with disabilities are being met, and the methods used.

A separate program was established for disabled veterans. The Disabled
Veterans Affirmative Action Program was authorized by the Vietnam Era
Veterans' Readjustment Assistance Act of 1974,16 as amended. The law
requires agencies to have an affirmative action program for the
recruitment, employment, and advancement of disabled veterans and requires
a separate affirmative action plan for disabled veterans that is to be
part of agencies' efforts under the Rehabilitation Act.

14 Pub. L. No. 92-261, sec. 11, 86 Stat. 103, 111-112 (Mar. 24, 1972),
codified at 42 U.S.C. sec. 2000e-16.

15 Pub. L. No. 93-112, sec. 501, 87 Stat. 355, 390-391 (Sept. 26, 1973),
codified at 29 U.S.C. sec. 791.

16 Pub. L. No. 93-508, sec. 403, 88 Stat. 1578, 1593 (Dec. 3, 1974)
codified at 38 U.S.C. sec. 4214.

Besides the Rehabilitation Act and the Disabled Veterans Affirmative

Action Program, two executive orders issued in 2000 are to enhance EEO

and affirmative employment in the federal government for persons with

disabilities. Executive Order No. 13163, Increasing the Opportunity for

Individuals with Disabilities to Be Employed in the Federal

Government,17 was implemented to support the goals of the Rehabilitation

Act and promote an increase in federal employment opportunities for

persons with disabilities. Under the order, agencies are required to,
among

other things, expand outreach efforts, increase efforts to accommodate

disabled individuals, and prepare plans to increase the employment

opportunities for individuals with disabilities. Executive Order No.
13164,

Requiring Federal Agencies to Establish Procedures to Facilitate the

Provision of Reasonable Accommodation,18 promotes a model federal

workplace that provides reasonable accommodation for individuals with

disabilities in the application process and for employees to perform the

essential functions of a position. Under the order, agencies are required
to

establish written procedures for processing requests for reasonable

accommodation.

The Civil Service Reform Act (CSRA) of 1978,19 in overhauling federal
personnel laws, strengthened protections against discrimination and
retaliation in the federal workplace and underscored the government's
commitment to ensuring EEO and to addressing underrepresentation. The CSRA
stated that in order to provide a federal workforce reflective of the
nation's diversity, federal personnel management should be implemented
consistent with merit system principles and free from prohibited personnel
practices. The CSRA listed nine merit system principles,20 the first two
of which are directly applicable to EEO in promoting a fair, equitable,
and inclusive workplace:

o  	Recruitment should be from qualified individuals from appropriate
sources in an endeavor to achieve a workforce from all segments of
society, and selection and advancement should be determined solely on the
basis of relative ability, knowledge, and skills after fair and open
competition that assures that all receive equal opportunity.

17 Exec. Order No. 13163, 65 Fed. Reg. 46,563 (July 26, 2000). 18 Exec.
Order No. 13164, 65 Fed. Reg. 46,565 (July 26, 2000). 19 Pub. L. No.
95-454, 92 Stat. 1111 (Oct. 13, 1978). 20 5 U.S.C. sec. 2301.

o  	All employees and applicants for employment should receive fair and
equitable treatment in all aspects of personnel management without regard
to political affiliation, race, color, religion, national origin, gender,
marital status, age, or handicapping condition, and with proper regard for
their privacy and constitutional rights.

The CSRA also required that personnel actions should be free from
prohibited personnel practices, including discrimination for or against
any employee or applicant for employment based on race, color, religion,
gender, national origin, age, handicapping condition, marital status, or
political affiliation.21

The CSRA further emphasized the government's resolve to ensure EEO and to
address underrepresentation. The act established the Federal Equal
Opportunity Recruitment Program to address underrepresentation22 of
minorities in the federal workforce by requiring that executive agencies
conduct a continuing program for recruiting minorities.23

Executive Order No. 13171, Hispanic Employment in the Federal Government,
issued in 2000, affirmed ongoing policies for equality of opportunity in
federal employment and recommended additional policies to eliminate the
underrepresentation of Hispanics in the federal workforce.24 The order
requires agencies to (1) develop recruiting plans for Hispanics that
create a fully diverse workforce and (2) assess and eliminate any systemic
barriers to the effective recruitment and consideration of Hispanics. The
order established the Interagency Task Force to review best practices,
provide advice, assess overall executive branch progress, and recommend
further actions in eliminating the underrepresentation of Hispanics.

21 5 U.S.C. sec. 2302.

22 "Underrepresentation is a situation in which the number of members of a
minority group designation (determined by the Equal Employment Opportunity
Commission in consultation with the Office of Personnel Management) within
a category of civil service employment constitutes a lower percentage of
the total number of employees within the employment category than the
percentage that the minority group constituted within the labor force of
the United States, as determined under the most recent decennial or
middecade census, or current population survey." (5 U.S.C. sec.
7201(a)(1)).

23 5 U.S.C. sec. 7201.

24 Exec. Order No. 13171, 65 Fed. Reg. 61,251 (Oct. 12, 2000).

Government policy for dealing with underrepresentation and workforce
diversity is also articulated in the President's Management Agenda (PMA).
The PMA, implemented in fiscal year 2002, is a strategy for improving the
management and performance of the federal government. The PMA contains
five governmentwide goals to improve federal management and deliver
results, including the strategic management of human capital. Among the
standards for success within the strategic management of human capital
goal is how well agencies address underrepresentation and implement
programs to sustain diversity.

In 2002, acting to address continuing concerns about discrimination and
retaliation in the federal workplace, Congress passed the Notification and
Federal Employee Antidiscrimination and Retaliation (No FEAR) Act.25 The
provisions of the act attempt, among other things, to enhance the
accountability of EEO management and address the causes of and remedies
for workplace conflict that can give rise to discrimination and
retaliation complaints. The No FEAR Act holds agencies financially
accountable for the costs of judgments and settlements in discrimination
cases and also focuses on the policies that agencies have implemented to
hold individuals who unlawfully discriminate against others accountable
for their conduct. Agencies are also to notify and provide training for
their employees on their rights and protections in cases of discrimination
and reprisal. In addition, the No FEAR Act stipulates that agencies are to
submit annual reports that contain discrimination complaint data, an
evaluation of the data to identify underlying causes, and remedial plans
to improve their civil rights and complaint programs.26 Furthermore, in
enacting this law, Congress intended that federal managers should receive
adequate training in managing a diverse workforce, dispute resolution, and
other essential communication skills.

Other statutes that protect workers in the private sector also protect
federal workers. The Equal Pay Act of 1963 (EPA)27 protects men and women
who perform substantially equal work in the same establishment from
sex-based wage discrimination. The Age Discrimination in

25 Pub. L. No. 107-174, 116 Stat. 566 (May 15, 2002).
26 The requirements of the No FEAR Act went into effect October 1, 2003.
27 Pub. L. No. 88-38, 77 Stat. 56 (June 10, 1963). See 29 U.S.C. sec. 206
(d).

  EEOC and OPM Have Primary Oversight for EEO

Employment Act (ADEA),28 as amended, protects individuals who are 40 years
of age or older from age-based employment discrimination.

Within the EEO framework, EEOC and OPM play important roles in pursuit of
a fair, equitable, and inclusive federal workplace through their
leadership and oversight of federal agencies. EEOC's role is founded on
its responsibility to enforce federal antidiscrimination laws in the
federal and private sectors and OPM's responsibility is founded on its
responsibility to serve as the government's human capital manager. Among
the many duties that EEOC and OPM carry out in this regard, both issue
regulations, directives, and guidance to supplement the EEO framework and
establish requirements for agencies. In carrying out their oversight
responsibilities, both EEOC and OPM review federal workforce demographic
data and annual reports from agencies, conduct on-site visits, and provide
guidance and training. In addition, both agencies issue annual reports on
federal workforce demographics. Figure 2 provides an overview of EEOC's
and OPM's roles within the EEO framework.

28 Pub. L. No. 90-202, 81 Stat. 602 (Dec. 15, 1967), amended by Pub. L.
No. 93-259, sec. 28, 88 Stat. 55, 74-75 (Apr. 8, 1974). See 29 U.S.C.
secs. 621-634.

Figure 2: Overview of the Roles of EEOC and OPM within the EEO Framework

                                                                         EEOC 
        o  Provide leadership and coordination of federal EEO efforts.  o     
        Promote equality of opportunity in the federal workplace.  o  Enforce 
        laws prohibiting employment discrimination.  o  Establish procedures  
        for handling discrimination complaints and adjudicating complaints.   
        o  Establish affirmative employment program requirements.  o  Provide 
        guidance, training, and technical assistance for agencies.  o         
        Monitor federal agencies' compliance with EEO laws.  o  Review        
        agencies' affirmative employment programs.  o  Issue annual report on 
        the federal workforce providing data on the representation of         
        minorities, women, and persons with disabilities.                     
                                                                          OPM 
         o  Oversee personnel management in the executive branch.  o  Build a 
         high-quality and diverse federal workforce.  o  Enforce merit system 
                     principles that ensure that employees work in a fair and 
          discrimination-free environment.  o  Assess agencies' human capital 
                    practices.  o  Monitor workforce diversity.  o  Establish 
                   requirements for and assist agencies in carrying out equal 
           opportunity recruiting program to address underrepresentation.  o  
          Provide agencies with guidance and training.  o  Evaluate agencies' 
        efforts to eliminate underrepresentation.  o  Issue annual reports on 
        the representation of minorities, women, and disabled veterans in the 
                                                           federal workforce. 

Source: GAO.

Although both EEOC and OPM have responsibilities and carry out activities
within the EEO framework, EEOC is responsible under statute and executive
order for providing leadership and coordination of federal EEO efforts.

    EEOC's Role within the Framework

EEOC's mission is to promote equality of opportunity in the workplace and
enforce federal laws prohibiting employment discrimination. In the federal
sector, EEOC is responsible for enforcing the employment discrimination
prohibitions under title VII of the Civil Rights Act, the Rehabilitation
Act, the EPA, and the ADEA. Responsibility for federalsector EEO had
originally belonged to CSC, OPM's predecessor agency, but was transferred
to EEOC under Reorganization Plan No. 1 of 1978. Another major EEOC
responsibility is establishing procedures for handling federal employees'
allegations of discrimination based on race,

Requirements for Federal Agencies

color, religion, gender, national origin, age, or disability, and
providing for the adjudication of complaints and hearing of appeals.29, 30
In addition, EEOC establishes affirmative employment program requirements,
monitors federal agencies' compliance with EEO laws and procedures, and
reviews and assesses the effectiveness of agencies' affirmative employment
programs.

Pursuant to its authority under title VII of the Civil Rights Act, section
501 of the Rehabilitation Act of 1973, and the ADEA, EEOC is responsible
for the annual review and approval of agencies' affirmative employment
plans, reviewing and evaluating the operation of all agencies' EEO
programs, and periodically obtaining and publishing progress reports. EEOC
is also authorized to issue policies, rules, regulations, orders, and
instructions to carry out its responsibilities. Under Executive Order No.
13164, EEOC is to provide agencies with guidance to establish their
written procedures for processing requests for reasonable accommodation,
which are to be submitted to EEOC. In addition, EEOC is to receive the
annual reports that agencies are required to prepare under the provisions
of the No FEAR Act.

EEOC has implemented statutory requirements under title VII and section
501 of the Rehabilitation Act by issuing a series of Management Directives
(MDs) that have provided agencies with instructions, procedures, and
guidance.31 The most recent of these, MD-715, effective in October 2003,
superseded earlier directives.

Under MD-715, EEOC provides policy guidance and standards for agencies for
establishing and maintaining effective affirmative employment programs
under title VII and section 501 of the Rehabilitation Act.32

29 Regulations setting forth the policies and procedures for
discrimination complaints are contained in 29 C.F.R. part 1614. Additional
policies, procedures, and guidance relating to the processing of
employment discrimination complaints are contained in EEOC Management
Directive 110.

30 We previously reported on EEOC's complaints management responsibilities
(GAO/T-GGD-00-104 and GAO/GGD-99-128).

31 EEOC regulations, 29 C.F.R. part 1614, establish the requirements for
processing and adjudicating EEO complaints but also provide general
guidance on agencies' EEO programs.

32 According to EEOC, MD-715 reflected recent and significant changes in
the law, including Supreme Court decisions, at the time it was issued.

According to a senior EEOC official, MD-715 upgraded standards and methods
by which agencies measure and analyze workforce diversity as they continue
to take steps toward increasing the employment of underrepresented groups.
EEOC separately issued instructions for implementing MD-715 requirements
for (1) a "Model EEO Program" to achieve a discrimination-free and
inclusive workplace, (2) identifying and eliminating barriers to equal
participation, and (3) reporting.

In MD-715, EEOC established six essential elements for a Model EEO
Program. According to EEOC's MD-715 instructions, attaining a Model EEO
Program will provide the infrastructure for an agency to achieve the
ultimate goal of a discrimination-free work environment, characterized by
an atmosphere of inclusion and free and open competition for employment
opportunities. Table 1 shows these elements and the major responsibilities
that EEOC places on agencies in incorporating them into the EEO program.

 Table 1: Elements of a Model EEO Program and Major Agency Responsibilities for
                               the Model Program

Model EEO Program element Major agency responsibilities

Demonstrated commitment from agency leadership

Integration of EEO into the agency's strategic mission

o  Having a definitive and meaningful statement of EEO policy.

o  Allocating sufficient resources to the EEO program.

o  Ensuring that all employees are informed of EEO policies and
procedures.

o  	Having agency managers be an integral part of the agency's EEO
program, with the EEO office providing managers with direction and
guidance and monitoring key activities.

o  	Structuring an EEO program so as to maintain a discrimination-free
workplace and support of the agency's strategic mission.

o  	Ensuring EEO officials' involvement in critical workplace decisions,
access to senior staff, and participation in meetings involving critical
personnel decisions.

o  	Including an appropriate reporting structure, with the agency's EEO
director having a regular and effective means of informing the agency head
and other management officials of the effectiveness, efficiency, and legal
compliance of the EEO program.

Management and program accountability  o  	Hiring of managers and
supervisors who have the skills needed to supervise in a diverse
workplace.

o  	Making clear that all managers and supervisors share responsibility
with EEO program and human resources officials for the successful
implementation of EEO programs.

o  	Making EEO an element in supervisors' and managers' performance
evaluations, with successful performance for all managers and supervisors
contingent on efforts to achieve a workforce free of discrimination.

o  	Providing for effective coordination between the agency's EEO office
and other management programs, such as the Federal Equal Opportunity
Recruitment Program, the Alternative Dispute Resolution office, and the
Employee Relations office.

            Model EEO Program element Major agency responsibilities

Proactive prevention of unlawful  o  Self assessing the EEO program to
monitor progress, prevent discrimination, and discrimination identify
barriers to free and open competition.

o  	Developing a comprehensive antiharassment policy that includes
informing employees of prohibited behavior, providing multiple avenues of
redress, and making clear that acts of harassment will not be tolerated.

o  	Having an effective reasonable accommodation procedure to handle the
needs of employees with disabilities.

Efficiency  o  	Having a fair, impartial, and neutral complaint resolution
system that includes access to alternative dispute resolution and timely
compliance with orders from EEOC and other adjudicatory bodies (such as
the Merit Systems Protection Board and the Federal Labor Relations
Authority).

o  	Having an effective system for collecting and analyzing data on
workforce composition and on discrimination complaints and their
resolution.

o  Consulting with EEOC to learn about best EEO practices in other
agencies.

Responsiveness and legal compliance  o  	Certifying to EEOC the agency's
full compliance with EEO laws, regulations, and other guidance.

o  	Annual reporting to EEOC of EEO efforts and accomplishments and
compliance with EEOC orders.

Source: EEOC.

EEOC MD-715 requires agencies to complete a self assessment checklist to
determine the extent to which their program meets Model EEO Program
requirements.

Under MD-715, EEOC also requires agencies to systematically identify,
examine, and remove barriers to equal participation at all levels of the
workforce. EEOC defines a barrier as an agency policy, principle,
practice, or condition that limits or tends to limit employment
opportunities for members of a particular race, gender, or ethnic
background, or is based on an individual's disability status.

MD-715 instructions to agencies contain steps for agencies to follow in
identifying and eliminating barriers. The first of these is to analyze
data concerning the agency's workforce to determine if there are any
disparities in the representation of any particular group (e.g., women,
minorities, and individuals with disabilities). EEOC instructs agencies to
analyze workforce data and personnel actions on several levels as figure 3
shows.

Figure 3: EEOC Instructions to Agencies for Analysis of Workforce Data and
Personnel Actions

o  	Analyze data concerning agency workforce, looking at participation
rates of the employee population by race, national origin, gender, and
disability to determine if any particular group is being underutilized by
the agency in a particular occupation or at a particular grade or pay
level.

o  	Compare overall workforce demographic profile with the national
Civilian Labor Force (CLF), which is composed of those 16 and older who
are employed or looking for work and not in the military or are
institutionalized.

a

o  	Analyze workforce broken out by nine major occupational categories,
comparing their workforce composition in each category with the equivalent
category in the CLF.b

o  	Compare "major occupations" within the workforce (i.e., occupations
that are mission relevant and heavily populated) with relevant CLF data
based on the occupation and the geographic location of the agency's area
of recruitment.

o  	Compare the applicant pool with the relevant CLF appropriate for the
occupation and geographic area being recruited.

o  	Compare data on promotions, training opportunities, performance
incentives, and separations with data for the total workforce (and, in the
case of promotions, with data for the workforce in "feeder grades" below
the level of the promoted positions).

Source: EEOC.

aThe categories include officials and managers; professionals;
technicians; sales; administrative support workers; craft workers,
operatives, laborers, and service workers.

bEEOC advises agencies to use the Census 2000 EEO Data Tool to obtain CLF
data for comparative purposes. This tool, available to agencies through
the Census Web site (www.census.gov/eeo2000), allows agencies to obtain
and sort data from the Census 2000 Special EEO Tabulation, which was
created by a consortium of EEOC, OPM, and the Labor and Justice
Departments. This tabulation serves as the primary external benchmark for
comparing the race, ethnicity, and gender of an organization's workforce
with that of the analogous external labor market, within a specified
geography and job category.

Using their workforce analysis and information from other sources, such as
employee surveys, past discrimination complaints, and input from employees
and employee groups, EEOC, in MD-715, instructs that agencies should
review their employment policies and procedures in their ongoing
obligation to eliminate barriers to identify those that might be reducing
opportunities for employees but are not essential to an agency's mission.
One such example is a requirement that all persons holding a program
analyst position hold a master of business administration (MBA) degree,
with no allowance being made for equivalent experience. EEOC's MD-715
instructions also state that the barrier analysis should deal with matters
relating to persons with disabilities, such as the effectiveness and
efficiency with which the agency processes requests for reasonable
accommodation under the Rehabilitation Act. According to the instructions,
after an agency has identified barriers, it should devise a plan aimed at
eliminating the barriers that are not job related or modifying the

                                 EEOC Oversight

adverse impact of those that are job related. For example, an agency that
has a low number of African-American women as program analysts at the
General Schedule (GS) grade 13 level and above compared with those at
grade 12 and below might examine whether the requirement for an MBA for
promotion to grade 13 might not be necessary and might be a barrier.

Under previous management directives, EEOC required federal agencies under
its jurisdiction to report annually on their EEO programs and the status
of women, minorities, and persons with disabilities in the agency.33
Similarly, agency reports required under MD-715 are to include workforce
data collected and analyzed by race, gender, national origin, and
disability; a description of identified barriers; and a plan for
eliminating or moderating them. In addition, agencies must evaluate their
EEO programs using EEOC's checklist and certify to EEOC that they have
done so (although they do not have to submit the checklist).

EEOC exercises oversight by reviewing the reports that agencies submit
annually. EEOC uses the government's Central Personnel Data File (CPDF),
maintained by OPM, to check agencies' workforce data submissions and track
the representation of minorities, women, and persons with disabilities
across government, within agencies, and within occupational categories at
agencies.

EEOC also conducts periodic on-site reviews of agencies' EEO activities.
EEOC's decision on where to do such reviews is based in part on data from
agencies' annual reports but also on newspaper reports, the volume and
nature of individual EEO complaints, and letters from the public. EEOC's
on-site reviews examine a certain part of an agency's EEO program, such as
affirmative employment or the complaint process, at the agency's
headquarters or a field facility. During fiscal years 2002 to 2004, EEOC
conducted 67 on-site reviews. According to EEOC officials, the agency is
developing a tool to systematically evaluate agencies' EEO programs, to be
known as the EEO Program Compliance Assessment

33 Up through fiscal year 2002, agencies were required to file a report
for women and minorities under MD-714 and a separate report for persons
with disabilities under MD-713. The final reports under MD-713 and 714
were for fiscal year 2002. In order to facilitate the transition to
MD-715, EEOC did not require agency reports for fiscal year 2003. The
first reports required under MD-715 covering fiscal year 2004 were to have
been filed by January 31, 2005. According to EEOC, 120 agencies and 81
major subcomponents of certain agencies were required to file reports
under MD-715 for fiscal year 2004. As of April 12, 2005, 125 of 201
required reports from agencies and major subcomponents had been filed with
EEOC.

(EPCA). This assessment will be based on the elements of a Model EEO
Program set forth in MD-715. According to a senior EEOC official, EEOC
intends for the EPCA to supplement the evaluation of federal agencies
under the human capital standards of the PMA by providing more-detailed
measurements of agencies' EEO programs.34

In addition, EEOC, in the fall of 2003, began a pilot project at six
federal agencies to work with selected agencies on an ongoing basis. Under
this program, known as the Customer Relationship Management Program,
multidisciplined teams of EEOC staff work with the agencies on affirmative
employment, complaint management, and other key areas pertaining to EEO.
The teams also meet with the agencies and help them analyze their data
regarding EEO. In commenting on a draft of this report, EEOC said it had
completed its evaluation of the Customer Relationship Management Program
and expanded the project to include six additional agencies.

EEOC also provides federal agencies with guidance and technical assistance
through publications, such as guidance on reasonable accommodation,35 and
through training in areas such as EEO law and practice, complaint
adjudication and management, alternative dispute resolution, and
compliance with the requirements of MD-715. EEOC's Web site also provides
information on EEO law and regulations, as well as EEO policies and
directives. In addition, according to EEOC, the agency conducts outreach
to employer and employee groups to provide general information about EEOC,
its mission, the employment discrimination laws enforced by EEOC, and the
complaint process.

EEOC Reporting 	EEOC reports data on EEO in federal agencies in its Annual
Report on the Federal Workforce. The report includes governmentwide and
federal agency data for the fiscal year for which it was issued and a
comparison of data from 10 years previously. In addition to discrimination
complaint data, the report includes data on workforce participation by
minorities, women, and persons with disabilities.36 These data are
reported

34 EEOC has not been assigned responsibility for any elements of the PMA.
EPCA, if implemented, would involve a separate process.

35 EEOC, Policy Guidance on Executive Order 13164: Establishing Procedures
to Facilitate the Provision of Reasonable Accommodation (Oct. 20, 2000).

36 In previous annual reports, EEOC compared federal workforce data to the
CLF and also reported data by Professional, Administrative, Technical,
Clerical, Other White-collar, and Blue-collar (PATCOB) occupational
categories.

governmentwide and by agency, overall and for upper-level employees (GS-14
and GS-15 and Senior Pay Level). EEOC also reports data on the number of
workers in major occupations (mission-oriented occupations with 100 or
more employees) in selected agencies. These occupations, according to
EEOC, frequently serve as gateways into upper management positions.

    OPM's Role within the Framework

OPM is the government's human capital manager, and its mission is to build
a high-quality and diverse federal workforce based on merit system
principles. The agency was created by the Civil Service Reform Act and
Reorganization Plan No. 2 of 197837 to assume the personnel management
tasks of the abolished CSC. Title 5 of the U.S. Code empowers OPM to
oversee personnel management in the executive branch. Specifically, OPM is
tasked with executing, administering, and enforcing civil service laws and
regulations, including the merit system principles that require fair and
equitable treatment and equal opportunity, and prohibit discrimination in
all aspects of federal employment.38 Title 5 also requires OPM to
establish systems for assessing federal agencies' management of human
capital.

OPM is responsible for several EEO-related programs. Under title 5 of the
U.S. Code, OPM is to assist agencies in carrying out their Federal Equal
Opportunity Recruitment Program (FEORP) activities and to oversee and
evaluate agencies' programs to determine their effectiveness in
eliminating minority underrepresentation. OPM has similar responsibilities
for the Disabled Veterans Affirmative Action Program (DVAAP).39 Under
Executive Order No. 13171, aimed at eliminating the underrepresentation of
Hispanics in the federal workforce, OPM's responsibilities include taking
the lead in promoting diversity, providing guidance, and chairing the
Interagency Task Force on Hispanic Employment in the Federal Government.
Executive Order No. 13163 (1) requires OPM to provide guidance on
increasing the opportunities for individuals with disabilities employed in
the federal government and (2) required agencies to submit their plans to
increase the employment opportunities for individuals with disabilities to
OPM. Moreover, the President has charged OPM, in conjunction with the
Office of Management and Budget (OMB), with

37 43 Fed. Reg. 36,037, 92 Stat. 3783 (May 23, 1978). 38 5 U.S.C. sec.
1103(a)(5). 39 38 U.S.C. sec. 4214.

                           Requirements for Agencies

assessing agencies' performance in meeting the President's Management
Agenda (PMA) standards dealing with reducing underrepresentation and
implementing processes to sustain workforce diversity.

The CSRA requires agencies to conduct a continuing program for recruiting
minorities-the FEORP-and required OPM to issue implementing regulations
for the program.40 Among OPM's requirements is that agencies have an equal
opportunity recruiting plan for minorities and women.41 OPM's regulations
require that the FEORP plans be incorporated into the affirmative
employment plans that EEOC requires under MD-715 in accordance with title
VII requirements. However, the FEORP plans must remain a separable part of
the affirmative employment plans so that the former can be submitted to
and reviewed by OPM.42 Key elements of the FEORP plans are shown in figure
4.

                Figure 4: Key Elements of Agencies' FEORP Plans

o  	Workforce analysis. Determinations of underrepresentation of
minorities and women, and development of quantifiable indexes for
measuring progress toward eliminating underrepresentation. In making
determinations of underrepresentation, agencies are to use the relevant
CLF as a comparison.

o  	Workforce planning. Occupations and grade levels of occupations to be
filled in the future and an assessment of the internal availability of
candidates.

o  	Recruitment. Methods the agency intends to use to locate and develop
minority and women candidates for each category of underrepresentation.

o  	Barrier removal. Efforts that will be undertaken to identify jobs that
can be redesigned so as to improve opportunities for minorities and women.

o  	Training and job development. Programs the agency will use to provide
skills, knowledge, and abilities to qualify increased numbers of
minorities and women for occupational series and grade levels where they
are significantly underrepresented.

Source: GAO analysis of 5 C.F.R. sec. 720.205.

Agencies are also required to submit annual FEORP reports to OPM.43 For
fiscal year 2003, OPM required agencies to provide data on employee
participation in agencywide and governmentwide career development programs
broken out by race, national origin, gender, and grade level. In

40 See 5 U.S.C. sec. 7201 and 5 C.F.R. part 720, subparts A and B.

41 The CSRA established the FEORP to address minority underrepresentation
through a continuing recruitment program, and OPM, through it regulations,
requires agencies' recruiting programs to include women as well. 5 C.F.R.
sec. 720.205.

42 5 C.F.R. sec. 720.205 (a).

43 5 C.F.R. sec. 720.207.

addition, OPM required agencies to provide a narrative report identifying
areas where the agencies had been most successful in recruiting, hiring,
and formal training of minorities and women, and how they were able to
achieve those results.44

The Vietnam Era Veterans' Readjustment Assistance Act authorizing the
DVAAP requires agencies to have an affirmative action program for the
recruitment, employment, and advancement of disabled veterans, and OPM
regulations for the DVAAP45 place certain requirements on agencies. OPM
requires agencies to analyze workforce data to identify problem areas and
deficiencies in the employment and advancement of disabled veterans. OPM
regulations require that an agency's affirmative action plan for disabled
veterans, which is to be part of its affirmative employment plan for
persons with disabilities that EEOC requires under MD-715 in accordance
with section 501 of the Rehabilitation Act, describe a number of things,
including recruiting methods; how the agency will provide or improve
internal advancement opportunities for disabled veterans; and how the
agency will monitor, review, and evaluate its planned efforts. OPM also
requires agencies to submit annual accomplishment reports that are to
include an explanation of the agency's progress in implementing its plan;
an identification of areas where progress has not been shown; and reasons
for the lack of progress, along with specific plans for overcoming
obstacles to progress.46

Executive Order No. 13171 on Hispanic representation in the federal
government requires agencies to carry out various activities, including
developing recruiting plans for Hispanics; assessing and eliminating
systemic barriers to recruiting and considering Hispanics; and
implementing the goals of the Hispanic Employment Initiative Nine-Point

44 OPM requires annual FEORP reports from agencies with employees in the
General Schedule, Federal Wage System, or Senior Level pay plans (the
latter including the Senior Executive Service and equivalent pay plans but
not those under the Executive Schedule). According to OPM's fiscal year
2003 report on the FEORP, 70 agencies were required to file FEORP reports
in that year. As of July 13, 2004, 43 agencies had submitted fiscal year
2003 FEORP reports to OPM.

45 5 C.F.R. part 720, subpart C.

46 According to OPM's fiscal year 2003 report, 87 agencies were required
to submit DVAAP accomplishment reports.

Plan,47 which OPM issued. In implementing its responsibilities under the
executive order, OPM asked agencies to provide information on activities
and accomplishments in implementing the Hispanic Nine-Point Plan; top
practices in strategic human capital management and planning that best
help improve the recruitment, retention, and promotion of Hispanics; and
how these practices align with the agency's Annual Performance Plan under
the Government Performance and Results Acts (GPRA).48

To guide agencies toward achieving the PMA human capital standards for
success, OPM developed the Human Capital Accountability and Assessment
Framework (HCAAF). The HCAAF does not establish requirements per se;
rather, it establishes suggested performance elements and measures that
OPM considers in assessing an agency's progress in meeting the human
capital standards of success of the PMA. Suggested performance elements
and measures deal with the PMA standard on reducing underrepresentation
and implementing programs to sustain diversity. Some of these are
described in figure 5:

47 Some of the elements of the Nine-Point Plan are supporting and
implementing the White House Initiative on Educational Excellence for
Hispanic Americans; providing students, faculty, and the Hispanic
community with employment information; and promoting participation of
Hispanic employees in career development programs.

48 Pub. L. No. 103-62, 107 Stat. 285 (Aug, 3, 1993).

Figure 5: Selected HCAAF Elements Relating to the PMA Standard of Reducing
Underrepresentation and Establishing a Process to Sustain Workforce
Diversity

o  	The agency identifies and monitors any underrepresentation of
minorities, women, disabled veterans, and individuals with severe
disabilities. The agency develops and implements diversity outreach plans
to improve representation. The agency tracks and analyzes workforce
diversity trends.

o  	The agency analyzes workforce demographics in mission-critical
occupations, including the size and distribution of workforce by
grade/series/geographical location, type of positions occupied, pay plan,
average age, average grade, retirement (eligible and expected),
separations, turnover, etc.

o  	The agency has a comprehensive strategic workforce plan that addresses
both current and future workforce competency requirements. Human capital
strategies are derived from workforce demographic studies, agency staffing
information, competitive sourcing studies, and analyses of the
effectiveness and efficiency of the agency's organizational structure.
Human capital workforce strategies include descriptions for recruiting,
hiring, deployment, retention, and other staffing initiatives.

o  	An analysis of workforce demographics (including the Senior Executive
Service) helps inform succession plans. The analysis includes data such as
average grade/age/length of service, distribution of the workforce (by
series, grade, gender, race/national origin, and supervisory status),
turnover rates, and retirement eligibility.

o  	The agency monitors the use of competitive and noncompetitive
appointments and promotions, temporary appointments, conversions, etc.,
including a breakdown by race/national origin and gender for compliance
with merit system principles and avoidance of prohibited personnel
practices.

o  	The agency has mechanisms in place to track and evaluate recruitment,
hiring, merit promotion, and retention activities. The demographics of
candidates (age, race/national origin, and gender) are compared with the
demographics of the agency

a

workforce.

o  	The agency tracks statistical data related to separations for
performance, the number of removals and downgrades, and the number of
denials of within-grade increases.

                                 OPM Oversight

Source: Human Capital Accountability and Assessment Framework.

aOPM takes the position that agencies are not required to collect race,
national origin, gender, and age information on applicants.

In carrying out its oversight responsibilities, OPM reviews the reports
that agencies submit for the FEORP, for the DVAAP, and in response to
Executive Order No. 13171 relating to Hispanic employment in the federal
government. In addition, OPM will review CPDF data in conjunction with its
review of agencies' FEORP submissions. For the FEORP, OPM will analyze
agencies' workforces by Professional, Administrative, Technical, Clerical,
Other White-collar, and Blue-collar (PATCOB) occupational categories to
determine where underrepresentation may exist. In addition, OPM provides
federal agencies with CPDF data on the employment of disabled veterans so
that agencies can identify problem areas and deficiencies in the
employment of such veterans.

OPM also exercises oversight through on-site audits of federal agencies'
human capital operations on a regular schedule, with an audit of each
agency about once every 3 years, according to OPM officials. These audits
focus on compliance with the merit system principles, according to OPM
officials, and thus they have an EEO element, since nondiscrimination is
part of the merit system principles. The audits have included an
evaluation of agencies' EEO efforts, according to OPM's Oversight &
Effectiveness Evaluation Handbook. The "compliance core" of each audit
includes verification that an agency has a FEORP program and a program for
affirmative employment. According to a senior OPM official, OPM plans to
expand its coverage of affirmative employment and EEO in its audits, in
view of the implementation of the HCAAF and the PMA. During fiscal years
2001 to 2003, OPM conducted 336 on-site reviews.

OPM has also instituted direct and continuing oversight of federal
agencies through a network of Human Capital Officers (HCOs) who work with
agencies' human capital staff, according to OPM officials. A senior OPM
official said that a major responsibility for each HCO is to monitor
agencies' compliance with the HCAAF and the human capital standards of the
PMA. The HCOs examine workforce diversity as a part of their continuing
review of human capital programs because it is an integral element of both
the HCAAF and PMA standards. In particular, according to senior OPM
officials, the HCOs analyze workforce data from the CPDF and from relevant
responses to the OPM Human Capital Survey, and will also examine
information from the FEORP and other reports. The HCOs then evaluate
agencies' diversity plans to alleviate weaknesses in the agencies' present
diversity status. The HCOs also participate in quarterly meetings with
agency, OPM, and OMB staff, during which the agencies' progress according
to PMA standards is evaluated.

The HCOs also provide agencies with advice and guidance concerning their
performance plans and programs. In addition, OPM provides federal agencies
with guidance and technical assistance related to EEO through publications
such as its guide on workforce diversity49 and other information available
on its Web site, and through its training courses that cover many aspects
of human capital management, including affirmative employment and
diversity.

49 OPM, Building and Maintaining a Diverse, High-Quality Workforce: A
Guide for Federal Agencies.

OPM Reporting

OPM prepares several reports containing workforce demographics, including
data on minorities, women, and persons with disabilities in the federal
workforce. The Fact Book contains general statistical information on the
federal workforce. It includes employment data for women, minorities, and
persons with disabilities for the executive branch as a whole and also
broken down by department, PATCO50 occupational category, and GS grade. It
also has a comparison of the representation of minorities and women in
federal civilian employment with their composition in the CLF.

The annual OPM FEORP report also contains statistical information on women
and minorities in the federal workforce (it does not include statistics on
persons with disabilities). OPM derives these data directly from the CPDF.
There is a comparison of federal minority and women representation with
the CLF, as in The Fact Book, which shows their distribution by PATCOB
occupational categories. The FEORP report also has a comparison of the
women and minority representation in 18 executive departments and 21
independent agencies with the relevant CLF for that agency. In addition to
the statistical reporting and analysis, the FEORP report contains
descriptions of selected initiatives that agencies reported to have taken
in support of FEORP. The annual Report on Employment of Veterans in the
Federal Government is similar to the FEORP report but is focused on
disabled and other veterans.

In 2001 OPM began reporting separately on Hispanic federal employment. OPM
has issued semiannual statistical data reports on Hispanic employment,
which include data on Hispanics in federal employment governmentwide and
in selected agencies, and on new Hispanic hiring, both in general and
under two programs: the Student Career Experience Program and the
Bilingual/Bicultural Program. As required by Executive Order No. 13171,
OPM also issues an annual report on Hispanic federal employment. This
report combines a semiannual report with a detailed review of practices
that affect Hispanic representation in the federal workforce, specifically
in the areas of community outreach, recruitment, career development, and
accountability.

50 PATCOB, not including blue-collar workers.

    Coordination of Federal EEO Activities

In recognition of the fact that multiple agencies are involved in carrying
out federal employment laws and policy, EEOC was given leadership for all
federal EEO programs and activities. Reorganization Plan No. 1 of 1978,
which was implemented in 1979, made EEOC the principal federal agency
responsible for enforcing federal EEO laws for the public and private
sectors. The plan also abolished the Equal Employment Opportunity
Coordinating Council51 and transferred its duties under 42 U.S.C. section
2000e-14 to EEOC. The Council had been responsible for promoting
efficiency and eliminating conflict, competition, duplication, and
inconsistency in the implementation and enforcement of EEO legislation,
orders, and policies.

Executive Order No. 12067, Providing for Coordination of Federal Equal
Employment Opportunity Programs, which was issued in 1978, implemented the
Reorganization Plan, detailed coordination principles, and clarified
EEOC's role in this regard.52 Under this order, EEOC is to

o  	provide leadership and coordination to the efforts of federal
departments and agencies to enforce all federal statutes, executive
orders, regulations, and policies that require EEO; and

o  	strive to maximize effort, promote efficiency, and eliminate conflict,
competition, duplication, and inconsistency among the operations,
functions, and jurisdictions of the federal departments and agencies
having responsibility for enforcing such statutes, executive orders,
regulations, and policies.

In addition, EEOC is to consult with and utilize the special expertise of
federal departments and agencies with EEO responsibilities and cooperate
with such departments and agencies in the discharge of their equal
employment responsibilities.

In a forthcoming report, we will discuss how EEOC and OPM coordinate with
each other in developing policy, providing guidance, and exercising
oversight in the areas of EEO, affirmative employment, and workforce

51 The 1972 Equal Employment Opportunity Act established the Equal
Employment Opportunity Coordinating Council. In addition to the EEOC
Chairman, the Council was composed of the Secretary of Labor, the Attorney
General, the Chairman of the Civil Service Commission (the predecessor to
OPM), and the Chairman of the U.S. Civil Rights Commission.

52 Exec. Order No. 12067, 43 Fed. Reg. 28,967 (June 30, 1978).

  Agency Comments
  and Our Evaluation

diversity. That report will also present results from a governmentwide
survey of EEO and human capital professionals, including their experiences
and views of the various requirements placed on them; the extent to which
they believe these requirements contribute to their agencies' EEO,
affirmative employment, and workforce diversity objectives; and the extent
to which assistance from EEOC and OPM has helped their agency in achieving
the stated objectives.

We provided EEOC and OPM with a draft of this report for their review and
comment. In written comments, the Director of EEOC's Office of Federal
Operations said that, in several respects, the report did not fully
reflect EEOC's roles, responsibilities, and activities in the federal
workplace. Overall, we believe that the report accurately reflects EEOC's
role and responsibilities within the EEO framework. However, one major
area of responsibility that EEOC noted was not fully reflected in this
report relates to its adjudication of federal employee discrimination
complaints. We concur that EEOC plays an important role in this area. We
previously reported on EEOC's complaints management responsibilities and
have clarified the report to note that that these responsibilities are not
discussed in depth. EEOC also provided technical comments, which we
incorporated in the report where appropriate.

OPM provided comments in an e-mail from the Deputy Chief of Staff, Office
of the Director. OPM said that, in general, the report accurately reflects
OPM's current roles and responsibilities. OPM provided technical comments,
which we incorporated in the report where appropriate.

As agreed with your office, unless you release the report's contents
earlier, we plan no further distribution of it until 30 days from its
issue date. We will then send copies to the Chair of EEOC, the Acting
Director of OPM, and other interested parties. Copies will be made
available to others upon request. This report will also be available at no
charge on GAO's Web site at http://www.gao.gov.

If you or your staff have any questions concerning this report, please
contact me at (202) 512-9490. Other staff who made major contributions to
this report are listed in appendix III.

Sincerely yours,

George H. Stalcup Director, Strategic Issues

Appendix I: Objectives, Scope, and Methodology

Our objectives were to identify (1) the statutory framework under which
the Equal Employment Opportunity Commission (EEOC), the Office of
Personnel Management (OPM), and line agencies operate in promoting equal
employment opportunity (EEO) and pursuing affirmative employment and
workforce diversity objectives and (2) the roles and responsibilities of
EEOC and OPM within the framework and how these agencies carry out these
roles and responsibilities. This report primarily focuses on EEOC's
affirmative employment responsibilities within the framework. We
previously reported on EEOC's roles and responsibilities for establishing
procedures for handling federal employees' allegations of discrimination
and providing for the adjudication of complaints and hearing appeals.1

For our first objective, we reviewed those sections of the U.S. Code and
executive orders that pertain to EEO, affirmative employment, and
workforce diversity in the executive branch of the federal government.
Although the application of EEO laws varies between the three branches
(executive, legislative, and judicial) of the federal government, we
focused primarily on the EEO framework applicable to the executive branch.
We also reviewed other presidential policies and documents, including
Reorganization Plan No. 1 of 1978 and the President's Management Agenda
(PMA).

For our second objective, we reviewed the provisions of statutes,
executive orders, and policies that assigned oversight duties and
responsibilities to EEOC and OPM. In addition, we reviewed the Code of
Federal Regulations and policy directives or standards issued by EEOC and
OPM to supplement the requirements of statutes and executive orders. These
included the following:

o  	EEOC Management Directives (MDs) dealing with affirmative employment.
In October 2003, during the course of our review, EEOC issued MD-715,
which, issued under EEOC's authority granted by title VII of the Civil
Rights Act of 1964 and section 501 of the Rehabilitation Act of 1973, set
forth guidance on affirmative employment for federal agencies. MD-715
superseded MD-712 and MD-713, dealing with persons with disabilities, and
MD-714, dealing with minorities and women.

1 GAO/T-GGD-00-104 and GAO/GGD-99-128.

Appendix I: Objectives, Scope, and Methodology

o  	The regulations that OPM promulgated, under its authority granted by
the Civil Service Reform Act of 1978, for the Federal Equal Opportunity
Recruitment Program for the recruitment of minorities and women.

o  	The regulations that OPM promulgated, under its authority granted by
the Vietnam Era Veterans' Readjustment Assistance Act, for the Disabled
Veterans Affirmative Action Program.

o  	Instructions that OPM issued for implementing the requirements of
Executive Order No. 13171, Hispanic Employment in the Federal Government.

o  	The Human Capital Assessment and Accountability Framework, which OPM
uses to evaluate agencies on their human capital performance.

o  	The human capital section of the PMA. The Office of Management and
Budget uses a scorecard based on this agenda to evaluate agencies' overall
management performance and has delegated the human capital portion of the
scorecard review to OPM.

We also spoke with EEOC officials at the senior and staff levels involved
in oversight. At OPM, our discussions were generally limited to senior
staff responsible for supervising oversight. We also reviewed guidance
provided for these staff. We discussed our observations with senior
officials of EEOC and OPM.

We did our work from March 2003 through February 2005, in accordance with
generally accepted government auditing standards.

Appendix II: Comments from the U.S. Equal Employment Opportunity Commission

Appendix II: Comments from the U.S. Equal Employment Opportunity
Commission

Appendix II: Comments from the U.S. Equal Employment Opportunity
Commission

Appendix III: GAO Contacts and Staff Acknowledgments

  GAO Contacts Acknowledgments

(450188)

George H. Stalcup (202) 512-9490, [email protected] Belva M. Martin (202)
512-4285, [email protected]

Additional staff who made major contributions to this report were Steven
J. Berke, Karin Fangman, Anthony P. Lofaro, Anthony Patterson, and Amy
Rosewarne.

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