Equal Employment Opportunity: Rising Trends in EEO Complaint Caseloads in
the Federal Sector (Briefing Report, 07/24/98, GAO/GGD-98-157BR).

Pursuant to a congressional request, GAO reviewed the inventories of
unresolved equal employment opportunity (EEO) complaints at federal
agencies and the Equal Employment Opportunity Commission (EEOC),
focusing on: (1) trends in the size of inventories and the age of cases
in inventory at the various stages of the EEO complaint process; (2)
trends in the number of complaints filed by federal employees and the
time taken by agencies and EEOC to process them; and (3) implications of
these trends.

GAO noted that: (1) agencies' complaint inventories and, even more so,
EEOC's hearings and appeals inventories, have increased since fiscal
year (FY) 1991; (2) at agencies, the number of unresolved complaints in
inventory rose about 102 percent, from 16,964 at the end of FY 1991 to
34,267 by the end of FY 1997; (3) at EEOC, during this period, the
inventory of hearing requests from complainants increased 218 percent,
while the inventory of appeals filed by complainants increased 518
percent; (4) at agencies in FY 1996, about 49 percent of cases pending
the initial dismissal or acceptance decision had been in inventory
longer than the 180-day time limit, an increase from about 13 percent in
FY 1991, while the proportion of complaints pending investigation more
than 180 days was larger in FY 1996 than in FY 1991; (5) the size of
inventories and the age of cases in them increased as agencies and EEOC
did not keep up with the influx of new cases during the 1990s; (6) at
agencies, the number of complaints increased, from 17,696 in FY 1991 to
27,587 in FY 1997; (7) postal workers have accounted for a large and
disproportionate share of complaints, hearing requests, and appeals; (8)
with the increased case loads, EEOC and, to some extent, agencies, took
longer on average to process complaints, contributing to the size and
age of the inventories; (9) also, the time EEOC took to adjudicate an
appeal had increased from 109 days in FY 1991 to 375 days in FY 1997;
(10) agencies took longer to close and issue final decisions in cases
that involved a hearing before an EEOC administrative judge than it took
them to close other cases; (11) the implications of these trends are
that inventories of cases pending will grow even larger in the future,
particularly at EEOC, and that cases will take even longer to process
than they do today; (12) to deal with these increases, EEOC requested
funding for additional administrative judges to process hearing requests
and attorneys to process appeals in its FY 1999 budget requests; (13) at
agencies, it is unclear if, and to what extent, complaint filings will
continue their generally upward trend; (14) it is unclear whether the
overall reduction in the number of complaints filed by nonpostal
employees signals a moderation in the future flow of nonpostal cases
through the process; and (15) considering recent trends, however, the
Postal Service seems likely to continue to be a significant factor in
the volume of complaints.

--------------------------- Indexing Terms -----------------------------

 REPORTNUM:  GGD-98-157BR
     TITLE:  Equal Employment Opportunity: Rising Trends in EEO 
             Complaint Caseloads in the Federal Sector
      DATE:  07/24/98
   SUBJECT:  Administrative hearings
             Federal employees
             Employment discrimination
             Fair employment programs
             Administrative remedies
             Postal service employees

             
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Cover
================================================================ COVER


Briefing Report to Congressional Requesters

July 1998

EQUAL EMPLOYMENT OPPORTUNITY -
RISING TRENDS IN EEO COMPLAINT
CASELOADS IN THE FEDERAL SECTOR

GAO/GGD-98-157BR

EEO Complaint Caseloads

(410267)


Abbreviations
=============================================================== ABBREV

  ADR - alternative dispute resolution
  EEO - equal employment opportunity
  EEOC - Equal Employment Opportunity Commission
  FY - fiscal year
  MSPB - Merit Systems Protection Board

Letter
=============================================================== LETTER


B-279407

July 24, 1998

The Honorable Elijah E.  Cummings
Ranking Minority Member
Subcommittee on Civil Service
Committee on Government Reform and Oversight
United States House of Representatives

The Honorable Albert R.  Wynn
United States House of Representatives

This briefing report responds to your request that we develop and
analyze information about the inventories of unresolved equal
employment opportunity (EEO) complaints at federal agencies and the
Equal Employment Opportunity Commission (EEOC) and how trends in the
number of complaints filed and the time taken to process them have
contributed to inventory levels.  The report presents analyses of (1)
trends in the size of inventories and the age of cases in inventory
at the various stages of the EEO complaint process, (2) trends in the
number of complaints filed by federal employees and the time taken by
agencies and EEOC to process them, and (3) implications of these
trends.  This report also presents data on complaints filed by U.  S. 
Postal Service workers and how these have contributed to EEOC's
caseloads.\1 Selected Postal Service-related complaint statistics are
included in appendix I.  In addition, as agreed with your offices, we
are providing selected complaint statistics about the Departments of
Agriculture and the Interior (see app.  II).  On July 21, 1998, we
briefed you on the results of our review.  This report provides the
substance of that briefing. 


--------------------
\1 We refer to the Postal Service as a federal agency, even though it
is an independent governmental establishment, because it is bound by
most of the same discrimination complaint processes that apply to
most federal agencies. 


   BACKGROUND
------------------------------------------------------------ Letter :1

Federal employees, including postal workers, are protected by a
variety of laws against discrimination because of race, color, sex,
religion, national origin, age, or disability.\2

(See app.  III for a brief discussion of these laws.) In addition,
federal employees are protected from retaliation for filing a
complaint, participating in an investigation of a complaint, or
opposing a prohibited personnel practice. 

Federal employee EEO complaints are to be processed in accordance
with regulations (29 C.F.R.  part 1614) promulgated by EEOC.  These
regulations also establish processing time requirements for each
stage of the complaint process.  Under these regulations, federal
agencies decide whether to dismiss or accept complaints employees
file with them and investigate accepted complaints.  After the
investigation, a complainant can request a hearing before an EEOC
administrative judge, who may issue a recommended decision that the
agency is to consider in making its final decision.  An employee
dissatisfied with a final agency decision or its decision to dismiss
a complaint may file an appeal with EEOC.  Generally, federal
employees must exhaust the administrative process before pursuing
their complaints in court. 

Postal workers who are covered under collective bargaining agreements
and who allege discrimination have more redress opportunities than
other federal workers covered under collective bargaining agreements. 
These postal workers can take two courses of action concurrently: 
(1) file a discrimination complaint under the federal employee
discrimination complaint process and also (2) file a grievance
through procedures under the collective bargaining agreement.  Other
federal workers who are employed by agencies subject to the
provisions of title 5 of the U.S.  Code and covered under collective
bargaining agreements must choose between these two redress paths. 

In November 1995 and in subsequent testimonies, we stated that the
redress system for federal employees, particularly the EEO complaint
process, was inefficient, time consuming, and costly.\3 We noted,
among other things, that the discrimination complaint process was
burdened by a number of cases that were not legitimate discrimination
complaints; some were frivolous complaints or attempts by employees
to get a third party's assistance in resolving workplace disputes
unrelated to discrimination.  Similarly, EEOC reported in its 1996
study that ".  .  .  there may be a sizable number of disputes in the
1614 process [so named for the regulations governing the process]
which may not involve discrimination issues at all.  They reflect,
rather, basic communications problems in the workplace."\4
Accordingly, the number of discrimination complaints is not a
reliable indicator of the level of discrimination occurring in the
federal workplace. 

In a discrimination complaint process recognized as inefficient and
time consuming, and burdened with many cases that do not really
involve discrimination issues, employees with EEO complaints can wait
a long time to have them resolved.  In the fall of 1997, the Civil
Service Subcommittee, House Committee on Government Reform and
Oversight, held hearings in which federal employees voiced their
concerns about lengthy processing times and growing inventories of
EEO complaints awaiting disposition. 


--------------------
\2 Applicants for federal employment may file complaints with a
federal agency that they believe engaged in discriminatory conduct. 

\3 Federal Employee Redress:  An Opportunity for Reform
(GAO/T-GGD-96-42, Nov.  29, 1995); Federal Employee Redress:  A
System in Need of Reform (GAO/T-GGD-96-110, Apr.  23, 1996); and
Civil Service Reform:  Redress System Implications of the Omnibus
Civil Service Reform Act of 1996 (GAO/T-GGD-96-160, July 16, 1996). 

\4 ADR Study, U.S.  Equal Employment Opportunity Commission, Office
of Federal Operations, Oct.  1996. 


   RESULTS IN BRIEF
------------------------------------------------------------ Letter :2

Agencies' complaint inventories and, even more so, EEOC's hearings
and appeals inventories, have increased since fiscal year 1991.  At
agencies, the number of unresolved complaints in inventory rose about
102 percent, from 16,964 at the end of fiscal year 1991 to 34,267 by
the end of fiscal year 1997.  At EEOC, during this period, the
inventory of hearing requests from complainants increased 218
percent, from 3,147 to 10,016, while the inventory of appeals filed
by complainants increased 581 percent, from 1,466 to 9,980. 

As the size of the inventories grew, so did the average length of
time that cases had been in inventory as well as the proportion of
cases remaining in inventory longer than allowed by regulations. 
Regulations require an agency to decide whether to dismiss or accept
a complaint, investigate an accepted complaint, and report the
investigation results to the complainant within 180 days from the
filing of a complaint.  (In some cases, agencies are allowed an
additional 90 days to complete an investigation.) At agencies, in
fiscal year 1996 (the latest year for which detailed agency complaint
data were available), about 49 percent of cases pending the initial
dismissal or acceptance decision had been in inventory longer than
the 180-day time limit, an increase from about 13 percent in fiscal
year 1991, while the proportion of complaints pending investigation
more than 180 days was larger in fiscal year 1996 (about 59 percent)
than in fiscal year 1991 (about 51 percent).  Regulations also
require that EEOC issue a recommended decision within 180 days of a
request for a hearing.  At EEOC, in fiscal year 1997, 50 percent of
the hearing requests had been in inventory longer than the 180-day
time limit, an increase from about 22 percent in fiscal year 1991. 
There are no time limits governing EEOC's processing of appeals. 
However, as an indication of the increase in time it takes, EEOC data
show that in fiscal year 1997, 58 percent of the appeals cases had
been in inventory longer than 200 days, an increase from about 3
percent in fiscal year 1991. 

The size of the inventories and the age of cases in them increased as
agencies and EEOC did not keep up with the influx of new cases during
the 1990s.  At agencies, the number of complaints increased, from
17,696 in fiscal year 1991 to 27,587 in fiscal year 1997 (about 56
percent).  At EEOC, during fiscal years 1991 to 1997, requests for
hearings increased from 5,773 to 11,198 (94 percent), while appeals
to EEOC of agency decisions rose from 5,266 to 8,453 (about 61
percent).  Postal workers have accounted for a large and
disproportionate share of complaints, hearing requests, and appeals. 
This share, after declining in fiscal years 1992 and 1993, began to
increase, coinciding with an increase in the proportion of the
federal workforce represented by postal workers.  In fiscal year
1993, postal workers represented 23.5 percent of the federal
workforce and accounted for 40 percent of complaints, about 33
percent of hearing requests, and about 35 percent of appeals.  By
fiscal year 1996, postal workers represented 31.2 percent of the
federal workforce and accounted for 50 percent of complaints, about
43 percent of hearing requests, and about 44 percent of appeals. 

With the increased caseloads, EEOC and, to some extent, agencies,
took longer on average to process complaints, contributing to the
size and age of the inventories.  The average amount of time EEOC
took to process a hearing request increased from 173 days in fiscal
year 1991 to 277 days in fiscal year 1997.  Also, the time EEOC took
to adjudicate an appeal had increased from 109 days in fiscal year
1991 to 375 days in fiscal year 1997.  The trend was not as clear at
agencies.  Overall, however, the average number of days to close a
case increased from 341 days in fiscal year 1991 to 379 days in
fiscal year 1996.  Agencies took longer to close and issue final
decisions in cases that involved a hearing before an EEOC
administrative judge than it took them to close other cases.  In
fiscal year 1996, for example, this figure was 613 days.  Because a
hearing precedes an agency's final decision, the longer EEOC takes to
process a hearing request, the longer it will take an agency to make
its final decision. 

There are a variety of factors that can affect inventory levels and
case processing.  One factor is the relationship between the influx
of cases and the capacity of staff to process them.  At EEOC, the
number of hearing requests received each year per administrative
judge rose about 31 percent, from 109 in fiscal year 1991 to 143 in
fiscal year 1996, because of the influx of new cases.  The hearings
inventory grew because the average number of cases processed and
closed each year per administrative judge, despite increasing 23
percent from 95 to 117 during this period, was, except for fiscal
year 1993, always less than the average number of requests received. 
The number of appeals received each year per attorney increased about
54 percent, from 133 in fiscal year 1991 to 205 in fiscal year 1996. 
The appeals inventory grew because the average number of cases
processed and closed each year per attorney, despite increasing 18
percent from 133 to 157 during this period, was, except for fiscal
year 1991, always less than the average number of appeals received. 
For agencies, the data EEOC reported did not allow a precise
comparison of the number of staff to caseloads at the various stages
of the complaint process. 

The implications of these trends are that inventories of cases
pending will grow even larger in the future, particularly at EEOC,
and that cases will take even longer to process than they do today. 
EEOC projects that incoming hearing requests and appeals will
continue to increase.  To deal with these increases, EEOC requested
funding for additional administrative judges to process hearing
requests and attorneys to process appeals in its fiscal year 1999
budget request.  Even with these additional resources, however, EEOC
projects that, by the end of 2002, its hearings inventory will grow
to 15,950, with cases taking an average of 510 days to process, and
its appeals inventory will grow to 18,953, with cases taking an
average of 900 days to process.  Without additional resources, EEOC
projects that inventories will grow even larger, with cases taking
still longer to process.  Further, considering recent trends, it
appears likely that a large proportion of EEOC's hearings and appeals
caseloads will be composed of postal worker's complaints. 

At agencies, it is unclear if, and to what extent, complaint filings
will continue their generally upward trend.  Recent trend data show
that postal workers have driven the overall increase in the number of
complaints filed since fiscal year 1994.  While the overall number of
postal worker complaints increased from 10,221 in fiscal 1994 to
14,326 in fiscal year 1997, the overall number of complaints filed by
nonpostal workers decreased from 14,371 in fiscal year 1994 to 13,261
in fiscal year 1997.  EEOC has not studied the reason for these
trends.  It is unclear whether the overall reduction in the number of
complaints filed by nonpostal employees signals a moderation in the
future flow of nonpostal cases through the process.  It is also
unclear whether postal worker complaint filings will continue to
grow.  Considering recent trends, however, the Postal Service seems
likely to continue to be a significant factor in the volume of
complaints. 


   SCOPE AND METHODOLOGY
------------------------------------------------------------ Letter :3

In developing information about complaint inventories, we focused on
complaints that fall within the jurisdiction of EEOC, although
certain allegations of discrimination may also be adjudicated by the
Merit Systems Protection Board (MSPB).\5 We did so for two reasons. 
First, the vast majority of discrimination complaints fall within
EEOC's jurisdiction.  Second, concerns about case inventories and
lengthy processing times raised in hearings before the Subcommittee
on Civil Service and in other forums have focused on complaints
within EEOC's jurisdiction. 

We developed and analyzed complaint caseload trends for agencies,
including the Postal Service, as well as for EEOC's hearings and
appeals caseloads generally for fiscal years 1991 through 1997.\6
Agencies' complaint data for fiscal year 1997, which EEOC provided
and which we used in our analysis, were preliminary and limited to
the overall number of complaints filed with the agencies and the
overall number of complaints in agencies' inventories.  Because more
detailed fiscal year 1997 agency complaint data were not available at
the time of our review, our analysis of the age of cases in agencies'
inventories and the time taken by agencies to process complaints was
limited to fiscal years 1991 through 1996, except for the Postal
Service, which gave us fiscal year 1997 data directly.  For EEOC, our
analysis included first quarter fiscal year 1998 data for the age of
cases in its hearings inventory and the average time to process
hearing requests.  We selected 1991 as a base year because it
preceded intensive government downsizing, the implementation of new
laws expanding civil rights protections and remedies, and the
implementation of new regulations governing the federal employee EEO
complaint process. 

To develop and analyze information about the trends in the size and
age of inventories, the number of complaints filed by federal
employees, and the amount of time taken by federal agencies and EEOC
to process complaints, we obtained data from EEOC, principally those
data reported by EEOC in its annual Federal Sector Report on EEO
Complaints Processing and Appeals, and from the Postal Service.  We
did not verify the data in EEOC's reports or those provided by the
Postal Service.  In addition, we interviewed EEOC and Postal Service
officials to obtain their perspectives on inventories, complaint
trends, and processing times.  To make observations about the
implications of the trends, we drew upon our analysis of the trend
data and discussions with EEOC and Postal Service officials. 

In addition to providing aggregate data on federal agencies, in
consultation with your offices, we developed and analyzed data on the
(1) Postal Service using data reported by EEOC and obtained from the
Postal Service and (2) Departments of Agriculture and the Interior
using data reported by EEOC. 

There is one known limitation to the data presented in this report. 
That concerns the quality of the data that were available for our
analysis.  Although we did not verify data, we found inconsistences
in the data reported by EEOC and the Postal Service.  In analyzing
data in the annual Federal Sector Report on EEO Complaints Processing
and Appeals for this and a related report,\7 we found inconsistencies
in data EEOC reported about individual agencies.  We considered some
of these inconsistencies material, including errors we found in
detailed tables of agencies' complaint inventories for fiscal year
1996.  We brought these inconsistencies to EEOC's attention and
obtained corrected figures.  In addition, before issuing a bound
version of the fiscal year 1996 Federal Sector Report on EEO
Complaints Processing and Appeals, EEOC corrected errors that we
found in materials it provided us before publication.  Moreover,
EEOC, which prepares the annual reports using data provided by
federal agencies but does not verify the information agencies report,
said that there are inconsistencies in some agencies' data.  EEOC
also said that it had initiated actions to improve the quality and
timeliness of its processes to collect and report federal EEO
complaint data.  Further, after reviewing the complaint data report
for fiscal year 1997 that the Postal Service submitted to EEOC, we
brought questionable figures about the average age of cases in the
Postal Service's complaint inventory to a Postal Service official's
attention.  These questionable figures, which we considered material,
were corrected by the Postal Service, which submitted revised data to
EEOC and undertook an examination of the computer program it uses to
compile the statistics. 

We performed our work in Washington, D.C., from February through July
1998 in accordance with generally accepted government auditing
standards. 


--------------------
\5 MSPB adjudicates, among other things, employee appeals of firings
or suspensions of more than 14 days, including cases in which an
appellant alleges that the firing or suspension occurred because of
unlawful employment discrimination.  These are known as "mixed
cases." MSPB's decisions in mixed cases may be reviewed by EEOC. 

\6 Some data were not available for each fiscal year because of
differences in the type of data EEOC collected from agencies. 

\7 Equal Employment Opportunity:  Administrative Judges' Recommended
Decisions and Agencies' Actions (GAO/GGD-98-122R, June 10, 1998). 


   AGENCY COMMENTS
------------------------------------------------------------ Letter :4

We received comments on a draft of this report from EEOC and the
Postal Service.  The Postal Service said that the report appeared to
be a very thorough and balanced presentation and offered comments of
a clarifying nature.  The Postal Service, in offering an observation
about the discrimination complaint process for federal employees,
said that "further efforts at overhauling this very cumbersome system
should be undertaken by the various stakeholders to insure that
prompt and fair handling of claims with merit are possible." The
Postal Service said that one measure it has taken to deal with the
complaint process is an organizationwide alternative dispute
resolution (ADR) program.  EEOC provided comments of a technical or
clarifying nature.  We considered the Postal Service's and EEOC's
comments and made changes as appropriate in finalizing this report. 


---------------------------------------------------------- Letter :4.1

We are sending copies of this briefing report to the Chairman of the
Civil Service Subcommittee, House Committee on Government Reform and
Oversight, and to the Chairman and Ranking Minority Members of other
congressional committees with responsibilities related to the EEO
complaint processes for federal employees and the Postal Service.  We
are also sending copies to the Chairman of the EEOC, the Postmaster
General, the Directors of the Office of Personnel Management and the
Office of Management and Budget, and other interested parties.  We
will make copies of this report available to others on request. 

Major contributors to this report are listed in appendix IV.  Please
contact me on (202) 512-8676 if you or your staff have any questions
concerning this report. 

Michael Brostek
Associate Director, Federal Management
 and Workforce Issues


Briefing Section I INTRODUCTION
============================================================== Letter 



   (See figure in printed
   edition.)


   OBJECTIVES
------------------------------------------------------------ Letter :5




   (See figure in printed
   edition.)


   SCOPE AND METHODOLOGY
------------------------------------------------------------ Letter :6




   (See figure in printed
   edition.)


   PROCESSING FEDERAL EMPLOYEE EEO
   COMPLAINTS
------------------------------------------------------------ Letter :7

   Source:  GAO analysis of 29
   C.F.R.  part 1614 and EEOC
   Management Directive 110.

   (See figure in printed
   edition.)

Agencies and EEOC process federal employees' EEO complaints under
regulations\8

promulgated by EEOC, which also establish processing time standards. 
Employees unable to resolve their concerns through counseling can
file a complaint with their agency, which either dismisses or accepts
it (the first stage) and, if the complaint is accepted, conducts an
investigation (the second stage).  Agencies are to decide whether to
accept a complaint, investigate it, and report investigation results
within 180 days from the complaint's filing. 

After receiving the investigation results, an employee who pursues a
complaint has two choices:  (1) request a hearing before an EEOC
administrative judge (the third stage) who issues a recommended
decision, which the agency can accept, reject, or modify in making
its final decision or (2) forgo a hearing and ask for a final agency
decision (the fourth stage).  An employee has 30 days to make this
decision.  When a hearing is requested, the administrative judge is
to issue a recommended decision within 180 days of the request.  An
agency is to issue its final decision within 60 days of receiving an
administrative judge's recommendation or a request for a final
decision.  Up to this point, EEOC standards have allowed complaint
processing to take up to 270 days without a hearing, 450 days with
one. 

An employee dissatisfied with a final agency decision or its decision
to dismiss a complaint may appeal to EEOC, which is to conduct a de
novo\9 review (the fifth stage).  The employee has 30 days to file an
appeal, but regulations do not establish time standards for EEOC's
review.  The final (sixth) stage within the administrative process is
that the complainant or agency may request EEOC to reconsider its
decision from the appeal within 30 days of receiving the decision. 
However, regulations do not establish time standards for the EEOC's
reconsideration. 

EEOC has proposed revisions to the regulations, including the
following:  (1) In cases that administrative judges decide, judges
would issue final and not recommended decisions.  (2) In addition to
employees, agencies would be able to appeal judges' decisions.  (3)
Appeals of administrative judges' decisions would be based on the
substantial evidence standard of review rather than on a de novo
standard.\10




   (See figure in printed
   edition.)


--------------------
\8 29 C.F.R.  part 1614. 

\9 A complete review of all evidence from the beginning of a case. 

\10 Substantial evidence is the degree of relevant evidence that a
reasonable person might accept as adequate to support a conclusion. 


   NOT ALL CASES GO THROUGH ALL
   STAGES OF THE COMPLAINT PROCESS
------------------------------------------------------------ Letter :8



      NOT ALL CASES GO THROUGH ALL
      STAGES OF THE COMPLAINT
      PROCESS
---------------------------------------------------------- Letter :8.1

Complaints that are dismissed by the agency, withdrawn by the
complainant, or settled by the parties may not go through all the
stages of the complaint process at agencies. 

Complaints may be dismissed in the first stage of the complaint
process.  There is no further processing of a dismissed complaint by
an agency except in cases in which a complainant appeals the
dismissal to EEOC and EEOC remands the complaint to the agency for
further action. 

Withdrawals and settlements may occur at any point before a final
agency decision.  For example, a complainant may withdraw a complaint
or an agency may pursue a settlement after reviewing investigation
results.  Likewise, a complainant may withdraw a complaint or an
agency may pursue a settlement based on facts raised during a hearing
before an EEOC administrative judge.  If an agency does not comply
with the terms of a settlement agreement, however, the complaint may
be reinstated. 

Dismissals, withdrawals, and settlements accounted for 69.1 percent
of complaints closed by agencies in fiscal year 1996.  Of the 25,150
complaints agencies closed in fiscal year 1996, 8,904 (35.4 percent)
were dismissed, 2,653 (10.5 percent) were withdrawn, and 5,830 (23.2
percent) were settled.  In the remaining 7,763 cases (30.9 percent),
agencies issued final decisions. 


Briefing Section II TRENDS IN THE
SIZE AND AGE OF CASES IN THE
COMPLAINT INVENTORY
============================================================== Letter 



   (See figure in printed
   edition.)


   COMPLAINT INVENTORIES HAVE
   RISEN AND CASES HAVE BEEN IN
   INVENTORY LONGER
------------------------------------------------------------ Letter :9

Agencies' complaint inventories and, even more so, EEOC's hearings
and appeals inventories, have increased since fiscal year 1991.  At
agencies, the number of unresolved complaints in inventory rose about
102 percent, from 16,964 at the end of fiscal year 1991 to 34,267 by
the end of fiscal year 1997.  At EEOC, during fiscal years 1991 to
1997, the number of pending hearing requests increased 218 percent,
from 3,147 to 10,016, while the number of cases pending appeal rose
581 percent, from 1,466 to 9,980. 

As the number of complaints in inventory increased, so has the
average length of time the average case has been in inventory.  At
agencies, after generally declining during fiscal years 1991 to 1994,
the average age of the cases in inventory began to rise, reaching a
peak of 397 days in fiscal year 1996.  How long cases remain in the
agency inventory, depends, in part, on how long cases remain in
EEOC's hearings inventory.  After reaching a low of 105 days in
fiscal year 1993, the average age of a case in EEOC's hearings
inventory rose to 243 days in fiscal year 1997.  The average age of
cases in EEOC's appeals inventory increased more rapidly, from a low
of 87 days in fiscal year 1992 to 285 days in fiscal year 1997. 

Another measure of inventory age is the proportion of cases that have
been in process longer than allowed by regulations.  With greater
frequency, agencies and EEOC have not met the time standards.  At
agencies, in fiscal year 1996, about 49 percent of cases pending the
initial dismissal or acceptance decision had been in inventory longer
than the 180-day time limit, an increase from about 13 percent in
fiscal year 1991, while the proportion of complaints pending
investigation more than 180 days was larger in fiscal year 1996
(about 59 percent) than in fiscal year 1991 (about 51 percent).  At
EEOC, in fiscal year 1997, about 50 percent of the hearing requests
had been in inventory longer than the 180-day time limit, up from
about 22 percent in fiscal year 1991.  There are no time limits
governing EEOC's processing of appeals.  However, EEOC data show that
in fiscal year 1997, 58 percent of the appeals cases had been in
inventory longer than 200 days, up from 3 percent in fiscal year
1991. 




   (See figure in printed
   edition.)


   AGENCIES' COMPLAINT INVENTORIES
   HAVE GROWN
----------------------------------------------------------- Letter :10

   Source:  GAO analysis of EEOC
   data.

   (See figure in printed
   edition.)



      AGENCIES' COMPLAINT
      INVENTORIES HAVE GROWN
--------------------------------------------------------- Letter :10.1

At agencies, the number of unresolved complaints in inventory rose
about 102 percent, from 16,964 at the end of fiscal year 1991 to
34,267 by the end of fiscal year 1997.  The larger proportion of the
growth in agencies' inventories has been in the
earlier--acceptance/dismissal decision and investigation--stages. 
Cases pending acceptance/dismissal grew from 2,075 (12.2 percent of
the agencies' inventory) at the end of fiscal year 1991 to 6,029
(19.3 percent of the inventory) by the end of fiscal year 1996.  At
the same time, cases pending investigation increased from 5,514 (32.5
percent of the inventory) to 12,305 (39.4 percent of the inventory). 

The Postal Service's inventory of complaints increased about 242
percent, from 3,963 to 13,549 during fiscal years 1991 to 1997.  In
fiscal year 1997, Postal Service cases accounted for 39.5 percent of
the 34,267 complaints in overall agency inventories.  (See app.  I,
table I.1.)




   (See figure in printed
   edition.)


   EEOC'S HEARINGS AND APPEALS
   INVENTORIES HAVE INCREASED
----------------------------------------------------------- Letter :11

   Source:  GAO analysis of EEOC
   data.

   (See figure in printed
   edition.)



      EEOC'S HEARINGS AND APPEALS
      INVENTORIES HAVE INCREASED
--------------------------------------------------------- Letter :11.1

EEOC's inventories of cases in the hearing and appeal stages
increased at a greater rate than agencies' complaint inventories. 
During fiscal years 1991 to 1997, the number of pending hearing
requests increased 218 percent, from 3,147 to 10,016.  At the same
time, the number of cases pending appeal rose 581 percent, from 1,466
to 9,980. 

The portion of EEOC hearings and appeals inventories represented by
postal workers' cases has increased since fiscal year 1993.  Postal
workers' cases were 45.9 percent of EEOC's hearings inventory in
fiscal year 1997; in fiscal year 1993, this figure was 27.4 percent. 
Similarly, postal workers' cases were 43.3 percent of EEOC's appeals
inventory in fiscal year 1997; in fiscal year 1993, this figure was
32.4 percent.  (See app.  I, table I.1.)




   (See figure in printed
   edition.)


   AVERAGE AGE OF THE COMPLAINT
   INVENTORY AT AGENCIES FYS 1991
   - 1996
----------------------------------------------------------- Letter :12

   Source:  GAO analysis of EEOC
   data.

   (See figure in printed
   edition.)

Agencies report data on the average age of cases in inventory for
each of the four stages of the complaint process as well as an
overall average.  After declining through fiscal year 1994, the
overall average age of the cases in inventory began to rise, reaching
a peak of 397 days in fiscal year 1996. 

Agencies have the most direct control over cases in the first two
stages of the complaint process--dismissal/acceptance and
investigation.  A notable increase in the age of cases came in the
complaints pending dismissal/acceptance category, the first stage of
the complaint process.  Except for fiscal year 1994, when it
decreased, the average age of complaints in the first stage increased
from 120 days at the end of fiscal year 1991 to 425 days by the end
of fiscal year 1996.  The average age of cases in the second stage of
the process--investigation--increased in fiscal year 1996 after
declining in fiscal years 1994 and 1995. 

Complaints generally have not remained in the Postal Service's
inventory as long as they have in other federal agencies'.  In fiscal
year 1996, for example, the last year for which comparable figures
were available, the average age of complaints in the Postal Service's
inventory was 315 days compared with 443 days for other federal
agencies.  However, this figure for the Postal Service increased to
494 in fiscal year 1997 (no comparable figure for other agencies was
available).  (See app.  I, table I.2.)

How long cases remain in the agency inventory at the hearing and
final agency decision stages depends, in part, on how long cases
remain in EEOC's hearings inventory.  The average age of cases in the
hearing and final agency decision stages trended upward in fiscal
years 1995 and 1996.  This increase can be partly attributed to an
increase in the average age of cases in EEOC's inventory of hearing
requests, which we will discuss later in this report (see pp.  30 and
31). 




   (See figure in printed
   edition.)


   AGENCY CASES PENDING
   DISMISSAL/ACCEPTANCE AND
   INVESTIGATION
----------------------------------------------------------- Letter :13

   Source:  GAO analysis of EEOC
   data.

   (See figure in printed
   edition.)



      AGENCIES' CASES PENDING
      DISMISSAL/ACCEPTANCE AND
      INVESTIGATION
--------------------------------------------------------- Letter :13.1

The average length of time cases have been in inventory is just one
measure of inventory age.  Another measure is the proportion of cases
that have been in process longer than allowed by regulations. 

Regulations require an agency to decide whether to dismiss or accept
a complaint, investigate an accepted complaint, and report the
investigation results to the complainant within 180 days from the
filing of the complaint.  (In some cases, agencies are allowed an
additional 90 days to complete an investigation.\11 ) Frequently,
agencies have not met the 180-day time standard.  In fiscal year
1996, for example, 48.5 percent of the cases pending the initial
dismissal or acceptance decision had been in the inventory more than
180 days.  Although this figure has fluctuated, there has been an
overall upward trend since fiscal year 1991, when 13.1 percent were
not completed within the required time.  In addition, the proportion
of complaints pending investigation that were in inventory more than
180 days fluctuated between 45.7 and 65.5 percent during fiscal years
1991 to 1996.  However, the proportion of complaints pending
investigation more than 180 days was larger in fiscal year 1996
(about 59 percent) than in fiscal year 1991 (about 51 percent). 
There were no data on the number of cases pending investigation more
than 180 days in which an extension had been authorized. 

The Postal Service, like other federal agencies, frequently has not
met the 180-day requirement to dismiss or accept a complaint,
investigate an accepted complaint, and report the investigation
results to the complainant.  (See app.  I, table I.3.)




   (See figure in printed
   edition.)


--------------------
\11 Regulations allow this extension when the parties agree to it. 


   AVERAGE AGE OF EEOC"S HEARINGS
   AND APPEALS INVENTORIES HAS
   INCREASED
----------------------------------------------------------- Letter :14

   \ a Not reported.

   (See figure in printed
   edition.)

   Source:  GAO analysis of EEOC
   data.

   (See figure in printed
   edition.)



      AVERAGE AGE OF EEOC'S
      HEARINGS AND APPEALS
      INVENTORIES HAS INCREASED
--------------------------------------------------------- Letter :14.1

Overall, EEOC has experienced increases in the average age of cases
in both its hearings and appeals inventories.  After reaching a low
of 105 days in fiscal year 1993, the average age of a case in EEOC's
hearings inventory rose to 243 days in fiscal year 1997.  The upward
trend has continued in the first quarter of fiscal year 1998, with
the average age further increasing to 261 days. 

The average age of cases in the appeals inventory increased more
rapidly.  From a low of 87 days in fiscal year 1992, the average age
of a case in EEOC's appeals inventory increased to 285 days in fiscal
year 1997. 




   (See figure in printed
   edition.)


   PROPORTION OF EEOC'S HEARINGS
   INVENTORY OLDER THAN 180 DAYS
   HAS RISEN
----------------------------------------------------------- Letter :15

   Source:  GAO analysis of EEOC
   data.

   (See figure in printed
   edition.)



      PROPORTION OF EEOC'S
      HEARINGS INVENTORY OLDER
      THAN 180 DAYS HAS RISEN
--------------------------------------------------------- Letter :15.1

As discussed earlier, another indicator of inventory age is the
proportion of cases that have not been processed within the time
limits established in regulations.  Regulations require that an
administrative judge issue a decision within 180 days of EEOC's
receipt of a request for a hearing, a standard that EEOC has had
increasing difficulty meeting since fiscal year 1993.  In fiscal year
1993, about 13 percent of the cases in EEOC's hearings inventory
exceeded the 180-day standard.  By fiscal year 1997, however, this
figure had increased to about 50 percent.  First quarter fiscal year
1998 data show that the percent of the cases in the hearings
inventory exceeding the 180-day standard had further increased to
54.2 percent. 




   (See figure in printed
   edition.)


   MORE APPEALS HAVE BEEN IN
   INVENTORY FOR LONGER PERIODS OF
   TIME AT EEOC
----------------------------------------------------------- Letter :16

   Source:  GAO analysis of EEOC
   data.

   (See figure in printed
   edition.)



      MORE APPEALS HAVE BEEN IN
      INVENTORY FOR LONGER PERIODS
      OF TIME AT EEOC
--------------------------------------------------------- Letter :16.1

Although there is a requirement that EEOC process hearing requests
within 180 days, there is no time requirement for its processing of
appeals.  Still, EEOC reports the age of cases in the appeals
inventory along four time strata.  These data show, for example, that
the proportion of cases in inventory for more than 200 days increased
from about 3 percent in fiscal year 1991 to 58 percent in fiscal year
1997.  Further, in fiscal year 1997, 39.5 percent of the appeals
cases had been in inventory for more than a year, an increase from
sixth-tenths of 1 percent in fiscal year 1991. 


Briefing Section III TRENDS IN THE
NUMBER OF COMPLAINTS FILED AND THE
TIME TAKEN TO PROCESS THEM
============================================================== Letter 



   (See figure in printed
   edition.)


   THE NUMBER OF NEW CASES AND THE
   TIME OF PROCESS THEM INCREASED
----------------------------------------------------------- Letter :17

Agencies and EEOC had an influx of new cases during the 1990s. 
Overall, the number of complaints federal employees filed with their
agencies increased about 56 percent, from 17,696 in fiscal year 1991
to 27,587 in fiscal year 1997.  At EEOC, during this period, requests
for hearings increased 94 percent, from 5,773 to 11,198, while
appeals rose 60.5 percent, from 5,266 to 8,453.  Postal workers, when
compared with their representation in the federal workforce,
accounted for a disproportionately high and increasing share of the
complaints, hearings requests, and appeals. 

As agencies and EEOC experienced increased caseloads, average
processing times increased.  In fiscal year 1996, for example,
agencies took an average of 228 days to dismiss a case, an increase
from 155 days in fiscal year 1995.  Similarly, the average time to
conduct investigations increased to 240 days in fiscal year 1996 from
171 days in fiscal year 1993.  Both of the 1996 figures exceeded the
180-day time standard.  EEOC also took much longer to process cases. 
From 173 days in fiscal year 1991, the average amount of time EEOC
took to process hearing requests increased to 277 days in fiscal year
1997, far in excess of the 180-day limit specified in regulations. 
The increase in the average amount of time EEOC took to process
appeals was greater, increasing from 109 days in fiscal year 1991 to
375 days in fiscal year 1997. 

A variety of factors can affect inventory levels and case processing. 
One factor is the relationship between the influx of cases and the
capacity of staff to process them.  At EEOC, during fiscal years 1991
to 1996, the number of hearing requests received per administrative
judge and the number of appeals received per attorney increased.  The
hearings inventory grew as the average number of hearing requests
processed and closed each year by administrative judges was, except
for one year, always less than the average number of requests
received.  The appeals inventory grew as the average number of cases
processed and closed each year by attorneys was, except for one year,
always less than the average number of appeals received.  (See pp. 
52 and 53 for details.) For agencies, the data EEOC reported did not
allow a precise comparison of the number of staff to caseloads at the
various stages of the complaint process. 




   (See figure in printed
   edition.)


   THE NUMBER OF COMPLAINTS FILED
   WITH AGENCIES HAS INCREASED
----------------------------------------------------------- Letter :18

   Source:  GAO analysis of EEOC
   data.

   (See figure in printed
   edition.)



      NUMBER OF COMPLAINTS FILED
      WITH AGENCIES HAS INCREASED
--------------------------------------------------------- Letter :18.1

Agencies, including the Postal Service, had to deal with an influx of
new cases during the 1990s.  The number of complaints federal
employees filed with their agencies increased sharply from 17,696 in
fiscal year 1991 to 27,472 in fiscal year 1995, declined to 26,410 in
fiscal year 1996, then increased again in fiscal year 1997 to 27,587. 
The number of new complaints filed with agencies was about 56 percent
greater in fiscal year 1997 than in fiscal year 1991.  Data also show
that increases in the total number of complaints filed since fiscal
year 1994 were largely driven by postal workers' complaints. 

Complaints filed by postal workers increased from 7,772 in fiscal
year 1991 to 13,322 in fiscal year 1995, decreased slightly to 13,252
in fiscal year 1996, then increased again to 14,326 in fiscal year
1997.  (See app.  I, table I.5).  A closer examination of the
complaint statistics shows that, when the number of postal worker
complaints is subtracted from the total number of complaints filed,
the number of complaints filed by nonpostal workers decreased, from
14,371 in fiscal year 1994 to 14,150 in fiscal year 1995 and
decreased further to 13,158 in fiscal year 1996, before increasing
slightly to 13,261 in fiscal year 1997. 




   (See figure in printed
   edition.)


   POSTAL WORKERS HAVE ACCOUNTED
   FOR AN INCREASING SHARE OF
   COMPLAINTS FILED
----------------------------------------------------------- Letter :19

The number of postal workers' complaints has represented a
disproportionate and increasing share of federal employee complaint
filings.  In fiscal year 1991, postal workers represented 23.9
percent of the federal workforce but accounted for 43.9 percent of
the complaints filed.  By fiscal year 1996, postal workers
represented 31.2 percent of the federal workforce while accounting
for 50.2 percent of the complaints filed.  (See app.  I, tables I.4
and I.5.)

We identified two factors that may help explain these trends.  One
factor is that from fiscal year 1991 to fiscal year 1996, the number
of nonpostal federal workers decreased about 18 percent, from
2,378,934 to 1,948,009, while the number of postal workers increased
about 18 percent, from 748,121 to 883,370.  The increase in the
proportion of complaints represented by postal workers closely
matched the increase in postal workers' representation in the federal
workforce.  The other factor is that postal workers have been more
likely to file complaints.  For example, in fiscal year 1996, there
were 15 complaints filed for every thousand postal workers compared
with 6.8 complaints filed for every thousand nonpostal workers. 
Comparable figures in fiscal year 1991 were 10.4 complaints for every
thousand postal workers and 4.2 complaints for every thousand
nonpostal workers. 

The Postal Service Manager, EEO Compliance and Appeals, identified
two reasons for postal workers' higher propensity to file complaints. 
First, postal workers can simultaneously file an EEO complaint under
the administrative process for federal employees and an EEO grievance
under their collective bargaining agreement.  About 40 percent of
postal workers who have filed a complaint under the federal employee
EEO complaint process have filed a grievance about the same matter. 
Second, about 85 percent of postal workers are blue-collar workers
covered under collective bargaining agreements.  This group of
employees, according to the Postal Service official, tends to file
complaints more often than white-collar workers. 




   (See figure in printed
   edition.)


   INCREASES IN COMPLAINTS FILED
   WITH AGENCIES ATTRIBUTED TO
   SEVERAL FACTORS
----------------------------------------------------------- Letter :20



      INCREASES IN COMPLAINTS
      FILED WITH AGENCIES
      ATTRIBUTED TO SEVERAL
      FACTORS
--------------------------------------------------------- Letter :20.1

In our August 1997 report about employers' experiences with
alternative dispute resolution (ADR) processes in the workplace,\12
we reported that the increase in discrimination complaints can be
attributed to several factors, according to EEOC, dispute resolution
experts, and officials of federal and private-sector organizations
that we studied. 

One factor that experts and officials cited for the increase in
complaints was downsizing, which resulted in appeals of job losses
and reassignments. 

A second factor was the Civil Rights Act of 1991, which allows
compensatory damages of up to $300,000 to be awarded to employees in
cases where the employer has engaged in unlawful, intentional
discrimination.  The availability of compensatory damages motivated
some employees to file complaints. 

A third factor was the Americans With Disability Act of 1990, which
expanded discrimination protection.  While federal workers were
protected under the Rehabilitation Act of 1973, the publicity
surrounding the Americans With Disabilities Act made federal workers
more aware of their protections under the Rehabilitation Act,
according to EEOC and Postal Service officials. 

EEOC and Postal Service officials also told us that the
implementation in October 1992 of revised regulations governing the
EEO complaint process for federal employees (29 C.F.R.  part 1614)
was a factor because it provided improved access to the complaint
process. 




   (See figure in printed
   edition.)


--------------------
\12 Alternative Dispute Resolution:  Employers' Experiences With ADR
in the Workplace (GAO/GGD-97-157, Aug.  12, 1997). 


   HEARINGS REQUESTED AND APPEALS
   FILED HAVE INCREASED AT EEOC
----------------------------------------------------------- Letter :21

   Source:  GAO analysis of EEOC
   data.

   (See figure in printed
   edition.)



      HEARINGS REQUESTED AND
      APPEALS FILED HAVE INCREASED
      AT EEOC
--------------------------------------------------------- Letter :21.1

Accompanying the increase in complaint filings were increases in
EEOC's caseloads of requests for hearings before EEOC administrative
judges and appeals to EEOC of final agency decisions.  During fiscal
years 1991 to 1997, requests by complainants for hearings before an
EEOC administrative judge increased 94 percent, from 5,773 to
11,198,\13 while complainants' appeals to EEOC of final agency
decisions rose 60.5 percent, from 5,266 to 8,453.\14

As with complaints, postal workers' hearing requests and appeals have
represented a disproportionately large and increasing share of EEOC's
workload.  The numbers of hearing requests and appeals by postal
workers, after increasing in fiscal year 1992, decreased in fiscal
year 1993.  In fiscal year 1993, postal workers represented 23.5
percent of the federal workforce but accounted for 33 percent of
hearing requests and 35 percent of appeals.  By fiscal year 1996,
postal workers represented 31.2 percent of the federal workforce
while accounting for 42.9 percent of hearing requests and 44.2
percent of appeals.  (See app.  I, tables I.4 and I.5.) In fiscal
year 1997, postal workers' cases accounted for 47.1 percent of
hearing requests and 44.2 percent of appeals.  (See app.  I, table
I.5.)




   (See figure in printed
   edition.)


--------------------
\13 At the hearing stage, a case can be settled by the parties,
withdrawn by the complainant, remanded to the agency by the
administrative judge for further action, or result in a decision by
an administrative judge.  In fiscal year 1997, administrative judges
rendered decisions in 3,294 (35 percent) of the 9,424 requests for
hearings processed by EEOC.  Of these decisions, 9.9 percent
contained findings of discrimination.  We addressed trends in these
areas in Equal Employment Opportunity:  Administrative Judges'
Recommended Decisions and Agencies' Actions (GAO/GGD-98-122R, June
10, 1998). 

\14 Appeals statistics consist mainly of appeals of final agency
decisions and dismissals (about 85 percent of total appeals in fiscal
year 1997) but also include reconsideration requests, appeals of MSPB
and grievance decisions, and petitions for enforcement and
clarification. 


   COMPLAINT PROCESSING TIME AT
   AGENCIES FYS 1991 - 1996
----------------------------------------------------------- Letter :22

   \ a Separate data not reported
   for closures with and without
   hearings.

   (See figure in printed
   edition.)

   Source:  GAO analysis of EEOC
   data.

   (See figure in printed
   edition.)

EEOC reports the average time taken by agencies to process a
complaint from its date of filing by type of closure rather than by
each stage of the complaint process.  The reported data show that the
average time to process a complaint, after declining in fiscal years
1994 and 1995, went back up in fiscal year 1996 to 379 days.  This
was the lengthiest processing time for the 6 fiscal years 1991 to
1996.  Compared with nonpostal agencies, the Postal Service has
processed cases more quickly.  In fiscal year 1996, the Postal
Service's average time to close a case was 330 days while nonpostal
agencies took an average of 427 days.  This represented a slippage,
however, in the Postal Service's processing time compared with fiscal
year 1991 when it took an average of 230 days to close a case.  (See
app.  I, table I.6.) On the other hand, nonpostal agencies average
closure time in fiscal year 1991--434 days--was about the same when
compared with fiscal year 1996. 

Using the average processing time for case closure does not measure
the steps in the process against the time standards associated with
those steps.  For example, agencies are to make a decision to dismiss
a complaint within 180 days of its filing.  In fiscal year 1996,
agencies, on average, did not meet this standard because the average
time to make the dismissal decision was 228 days.  In addition, an
average masks the time taken from the filing of a complaint to
closing a case by issuing a final agency decision.  Closing a case
with a final decision--with or without an EEOC hearing--takes longer
than cases that are dismissed, withdrawn, or settled.  In fiscal year
1996, agencies closed cases in an average of 379 days.  However, in
cases closed with the issuance of a final agency decision without a
hearing, agencies took an average of 558 days, which exceeded the
amount of time allowed under regulations--270 days (see pp.  16 and
17).  In cases in which an administrative judge issued a decision,
average closure time was higher--613 days, which also exceeded the
amount of time allowed under regulations--450 days.  It is also
important to note that the processing times agencies report for the
issuance of final agency decisions does not include any time involved
in appeals of final agency decisions to EEOC. 




   (See figure in printed
   edition.)


   AVERAGE TIME FOR AGENCIES,
   COMPLAINT INVESTIGATIONS HAS
   INCREASED
----------------------------------------------------------- Letter :23

   Source:  GAO analysis of EEOC
   data.

   (See figure in printed
   edition.)

One factor affecting case processing times is the time required to
conduct complaint investigations, which has steadily increased.  In
fiscal year 1993 (the earliest year for which data were reported),
investigations took an average of 171 days from the time a case was
assigned to an investigator to when the investigation was completed. 
By fiscal year 1996, this figure had increased to 240 days.  The
average time to conduct investigations does not include the time it
took the agency to decide to accept a case and assign it to an
investigator. 

As the number of complaints increased, EEOC reports show that the
number of complaint investigations performed by agency personnel and
contractors increased overall during fiscal years 1993 to 1996.  The
number of complaint investigations performed by agency personnel
increased from 8,555 in fiscal year 1993\15 to 10,470 in fiscal year
1996.  In addition, the number of investigations completed by
contractor investigators increased from 3,091 in fiscal year 1993\16
to 3,493 in fiscal year 1996. 

Although the average time to close a case is less at the Postal
Service than at nonpostal agencies, the Postal Service takes longer
to complete complaint investigations.  In fiscal year 1993,
investigations at the Postal Service took an average of 196 days from
the time a case was assigned to an investigator to when the
investigation was completed; nonpostal agencies took an average of
162 days.  By fiscal year 1996, these figures had increased to 271
and 214 days respectively.  In fiscal year 1997, the length of time
to complete a complaint investigation at the Postal Service further
increased to an average of 431 days. 

The Postal Service said that increases in the amount of time required
to conduct investigations has been affected by claims for
compensatory damages, which, it said, accompany virtually every
formal complaint.  The Postal Service also said that, in some cases,
the investigation into compensatory damages can require more time
than the investigation into the underlying claim of discrimination. 




   (See figure in printed
   edition.)


--------------------
\15 Data for fiscal years 1991 and 1992 were not reported. 

\16 In fiscal year 1992, 2,381 investigations were performed by
contract investigators; data for investigations performed by agency
personnel were not reported.  Data for fiscal year 1991 were not
reported. 


   EEOC PROCESSING TIMES FOR
   HEARINGS AND APPEALS HAVE
   INCREASED
----------------------------------------------------------- Letter :24

   Source:  GAO analysis of EEOC
   data.

   (See figure in printed
   edition.)



      EEOC PROCESSING TIMES FOR
      HEARINGS AND APPEALS HAVE
      INCREASED
--------------------------------------------------------- Letter :24.1

EEOC has been taking longer to process hearing requests and
adjudicate appeals. 

From a low of 154 days in fiscal year 1994, the average amount of
time EEOC took to process hearing requests increased to 277 days in
fiscal year 1997.  By the first quarter of fiscal year 1998, this
average had increased to 289 days.  As we discussed earlier, the
longer EEOC takes to process a hearing request, the longer the total
time will be before a final decision in the case can be made by an
agency. 

There was an even greater increase in the average amount of time EEOC
took to process appeals.  This figure increased from 109 days in
fiscal year 1991 to 375 days in fiscal year 1997. 




   (See figure in printed
   edition.)


   RELATIONSHIP BETWEEN NEW CASES
   AND CAPACITY OF STAFF TO
   PROCESS THEM
----------------------------------------------------------- Letter :25

A variety of factors can affect inventory levels and how long it
takes to process cases.  One factor is the relationship between the
influx of cases and the capacity of staff to process them.  At EEOC,
the influx of cases during fiscal years 1991 to 1996 exceeded the
capacity of its staff to process them, despite overall increases in
staffing levels and productivity. 

At EEOC, the number of administrative judges available for hearings
increased overall, from 53 in fiscal year 1991 to 75 in fiscal year
1996.  Still, the number of new hearing requests each year per
administrative judge increased about 31 percent, from 109 in fiscal
year 1991 to 143 in fiscal year 1996, because of the influx of cases. 
The hearings inventory grew because the average number of cases
processed and closed each year per administrative judge, despite
increasing about 23 percent overall during this period, from 95 to
117, was, except for fiscal year 1993, always less than the average
number of requests received.  The number of attorneys processing
appeals declined from 40 in fiscal year 1991 to 39 during fiscal
years 1992 through 1996.  This reduction, combined with the influx of
new cases, resulted in the number of appeals received each year per
attorney increasing about 54 percent, from 133 in fiscal year 1991 to
205 in fiscal year 1996.  The appeals inventory grew because the
average number of cases closed each year per attorney, despite
increasing 18 percent during this period, from 133 to 157, was,
except for fiscal year 1991, always less than the average number of
appeals received. 

While EEOC reported agency staffing levels and caseloads, the data
reported did not allow a precise comparison of the number of staff to
caseloads at the various stages of the complaint process.  The
staffing data reported by EEOC showed that the number of EEO
counselors, counselor/investigators, and investigators at agencies
declined overall from 16,169 full-time, part-time, and
collateral-duty staff in fiscal year 1992\17 to 12,317 in fiscal year
1996.  The reductions were mainly among part-time and collateral-duty
staff whose levels decreased from 15,418 to 10,910.  All but 17 of
the reductions occurred at nonpostal agencies.  Although part-time
and collateral duty staffing levels decreased, the number of
full-time staff, while fluctuating, was, in fact, higher in fiscal
year 1996 than in fiscal 1992--1,407 versus 751.\18

Briefing Section IV

--------------------
\17 Data for fiscal year 1991 were not reported. 

\18 The number of full-time staff at nonpostal agencies increased 118
percent, from 496 to 1,081, mostly in the counselor ranks.  At the
Postal Service, the number of full-time staff, made up almost
exclusively of counselor/investigators, increased about 28 percent,
from 255 to 326. 


IMPLICATIONS OF THE TRENDS IN
INVENTORIES, NEW CASES, AND
PROCESSING TIME
============================================================== Letter 



   (See figure in printed
   edition.)


   IMPLICATIONS OF TRENDS FOR EEOC
----------------------------------------------------------- Letter :26

The implications of these trends are that inventories of cases
pending will grow even larger in the future, particularly at EEOC,
and that cases will take even longer to process than they do today. 

EEOC projects that incoming hearing requests and appeals will
continue to increase.  To deal with these increases, EEOC's fiscal
year 1999 budget request proposes funding for 19 additional
administrative judges to process hearing requests (an increase of
about 25 percent) and 14 additional attorneys to process appeals (an
increase of about 36 percent).  However, EEOC projects that, even if
the budget request is approved, its hearings and appeals inventories
will grow. 

With the additional administrative judges, EEOC projects that by the
end of fiscal year 2002, the hearings inventory will be 15,950, an
increase from 10,016 at the end of fiscal year 1997.  Meanwhile, the
average length of time to process hearing requests is projected to
increase from 390 to 510 days.  Without additional administrative
judges, the hearings inventory is projected to grow even more, to
24,500 by 2002, with cases taking an average of 990 days to process. 
As hearings requests remain in EEOC's inventory for longer periods,
agencies will be delayed in issuing final decisions for cases in
which a hearing was requested. 

Similarly, with the additional attorneys, EEOC projects that by the
end of fiscal year 2002, the appeals inventory will be 18,953, an
increase from 9,980 at the end of fiscal year 1997.  The average
length of time to process appeals is projected to increase from 510
to 900 days.  Without the additional attorneys, the inventory is
projected to rise to 26,583, with appeals taking 1,680 days to
process. 

In addition, considering recent trends, it appears likely that a
large proportion of EEOC's hearings and appeals caseload will consist
of postal worker's complaints. 




   (See figure in printed
   edition.)


   IMPLICATIONS OF TRENDS FOR
   AGENCIES
----------------------------------------------------------- Letter :27



      IMPLICATIONS OF TRENDS FOR
      AGENCIES
--------------------------------------------------------- Letter :27.1

At agencies, it is unclear if, and to what extent, complaint filings
will continue their generally upward trend.  Except for fiscal year
1996, the number of complaints filed with agencies increased each
year during fiscal years 1991 to 1997.  A closer analysis of trends
shows that complaints filed by postal workers have driven the overall
increase in the number of complaints filed since fiscal year 1994. 
While the overall number of postal worker complaints increased from
10,221 in fiscal 1994 to 14,326 in fiscal year 1997, the number of
complaints filed by nonpostal workers decreased from 14,371 in fiscal
year 1994 to 14,150 in fiscal year 1995 and decreased further to
13,158 in fiscal year 1996, before increasing to 13,261 in fiscal
year 1997.  EEOC has not studied the reasons for these trends.  It is
unclear whether the overall reduction in the number of complaints
filed by nonpostal employees signals a moderation in the future flow
of nonpostal cases through the process.  It is also unclear whether
the number of complaints filed by postal workers will continue to
grow.  Considering recent trends, however, the Postal Service seems
likely to continue to be a significant factor in the volume of
complaints. 




   (See figure in printed
   edition.)


   POSSIBLE REASONS FOR DECREASE
   IN NON-POSTAL COMPLAINTS SINCE
   FY 1994
----------------------------------------------------------- Letter :28



      POSSIBLE REASONS FOR
      DECREASE IN NON-POSTAL
      COMPLAINTS SINCE FY 1994
--------------------------------------------------------- Letter :28.1

While EEOC did not study the reason for the overall decline in the
number of new complaints by nonpostal workers from fiscal year 1994
to fiscal year 1997, EEOC officials offered several possible
explanations for this decrease. 

One possible reason was the federal government shutdowns in October
and December 1995 and January 1996, which reduced the opportunity
both for discriminatory acts to occur and for the filing of
complaints in fiscal year 1996. 

Another possible reason was that agency downsizing initiatives were
drawing to a close; thus, workers would be less likely to resort to
the complaint process to preserve their jobs. 

Yet another reason could have been the smaller numbers of federal
workers resulting from downsizing.  Excluding the Postal Service,
which increased its workforce, the federal workforce of agencies
within EEOC's jurisdiction decreased about 8 percent, from 2,122,193
in fiscal year 1994 to 1,948,009 in fiscal year 1996. 

A further possible reason for the decrease in complaints in fiscal
year 1996 could have been agencies' use of alternative dispute
resolution (ADR) processes in the precomplaint counseling stage,
which may have resolved issues that otherwise would have led to
complaints.\19

Because of the high number of EEO complaints, in 1994, the Postal
Service began a pilot ADR program that used mediation.  The Postal
Service found that more than 70 percent of the cases mediated were
resolved and, in March 1998, announced the nationwide rollout of the
ADR program called REDRESS (Resolve Employee Disputes, Reach
Equitable Solutions Swiftly).  The Postal Service believes that
REDRESS will have a substantial impact on reducing its future
caseloads, with a resulting affect on EEOC's caseloads.  The Postal
Service said that the program will be fully implemented by 2000. 


--------------------
\19 Mediation was the most widely practiced ADR technique used by
federal agencies, as reported in Alternative Dispute Resolution: 
Employers' Experiences With ADR in the Workplace, (GAO/GGD-97-157,
Aug.  12, 1997). 


SELECTED COMPLAINT DATA ON THE
U.S.  POSTAL SERVICE
=========================================================== Appendix I



                                    Table I.1
                     
                     Total and Postal Service Inventories of
                        Complaints, Hearing Requests, and
                         Appeals and Postal Service as a
                       Percentage of the Totals for Fiscal
                                 Years 1991-1997

                            1991    1992    1993    1994    1995    1996    1997
------------------------  ------  ------  ------  ------  ------  ------  ------
Complaints
--------------------------------------------------------------------------------
================================================================================
Total                     16,964  18,668  22,258  27,044  30,605  31,195  34,267
Postal workers             3,963   4,626   5,026   6,893  10,105  11,357  13,549
Percent                    23.4%   24.8%   22.6%   25.5%   33.0%   36.4%   39.5%

Hearing requests
--------------------------------------------------------------------------------
================================================================================
Total                      3,147   3,977   3,991   5,177   6,367   8,275  10,016
Postal workers             1,440   1,837   1,094   1,827   2,567   3,327   4,594
Percent                    45.8%   46.2%   27.4%   35.3%   40.3%   40.2%   45.9%

Appeals
--------------------------------------------------------------------------------
================================================================================
Total                      1,466   2,029   2,900   4,363   6,498   8,376   9,980
Postal workers                \a     837     940   1,470   2,563   3,558   4,317
Percent                       \a   41.3%   32.4%   33.7%   39.4%   42.5%   43.3%
--------------------------------------------------------------------------------
\a Not available. 

Source:  GAO analysis of EEOC and Postal Service data. 



                                    Table I.2
                     
                     Average Age (Days) of Complaints in the
                         Postal Service's Inventory Since
                         Complaint Filed, by Stage of the
                     Complaint Process for Fiscal Years 1991-
                                       1997

Stage of process            1991    1992    1993    1994    1995    1996    1997
------------------------  ------  ------  ------  ------  ------  ------  ------
Dismiss/accept                \a      27     146     182     540     582     320
Investigation                207     217     183     212     145     163     405
Proposed disposition\b       267     237      \c      \c      \c      \c      \c
Hearing                      494     502     180     284     307     322     887
Agency decision               \a      \a     179     210     239     251     302
Overall                      399     356     176     212     287     315     494
--------------------------------------------------------------------------------
\a No cases reported. 

\b When the agency notified the complainant in writing of its
proposed disposition of the complaint and of the right to a final
decision with or without an EEOC hearing. 

\c Discontinued as a reporting category. 

Source:  GAO analysis of EEOC and Postal Service data. 



                                    Table I.3
                     
                     Percentage of Postal Workers' Complaints
                         Pending Dismissal/Acceptance and
                       Investigation More Than 180 Days for
                              Fiscal Years 1991-1997

Stage of process            1991    1992    1993    1994    1995    1996    1997
------------------------  ------  ------  ------  ------  ------  ------  ------
Dismissal/                    \a       0    62.2    40.0    53.7    61.9    26.2
 acceptance
Investigation               50.4    48.2    71.8    55.8    40.4    58.6    48.6
--------------------------------------------------------------------------------
\a No cases reported. 

Source:  GAO analysis of EEOC and Postal Service data. 



                                    Table I.4
                     
                      Postal Workers as a Percentage of the
                     Federal Workforce for Fiscal Years 1991-
                                       1996

Fiscal year                         1991    1992    1993    1994    1995    1996
--------------------------------  ------  ------  ------  ------  ------  ------
Percent of workforce                23.9    23.2    23.5    27.2    28.6    31.2
--------------------------------------------------------------------------------
Source:  GAO analysis of EEOC data. 



                                    Table I.5
                     
                      Total and Postal Workers' Complaints,
                     Hearing Requests, and Appeals and Postal
                         Workers as a Percentage of Total
                        Complaints, Hearing Requests, and
                        Appeals for Fiscal Years 1991-1997

                            1991    1992    1993    1994    1995    1996    1997
------------------------  ------  ------  ------  ------  ------  ------  ------
Complaints
--------------------------------------------------------------------------------
================================================================================
Total                     17,696  19,106  22,237  24,592  27,472  26,410  27,587
Postal workers             7,772   8,469   8,858  10,221  13,322  13,252  14,326
Percent                    43.9%   44.3%   39.8%   41.6%   48.5%   50.2%   51.9%

Hearing requests
--------------------------------------------------------------------------------
================================================================================
Total                      5,773   6,907   8,882  10,712  10,515  10,677  11,198
Postal workers             2,605   3,337   2,933   3,934   4,451   4,583   5,275
Percent                    45.1%   48.3%   33.0%   36.7%   42.3%   42.9%   47.1%

Appeals
--------------------------------------------------------------------------------
================================================================================
Total                      5,266   5,997   6,361   7,141   8,152   8,001   8,453
Postal workers             2,250   2,649   2,227   2,450   3,436   3,534   3,734
Percent                    42.7%   44.2%   35.0%   34.3%   42.1%   44.2%   44.2%
--------------------------------------------------------------------------------
Source:  GAO analysis of EEOC and Postal Service data. 



                                    Table I.6
                     
                     Postal Service Complaint Processing Time
                      in Days by Closure Category for Fiscal
                                 Years 1991-1997

Closure category            1991    1992    1993    1994    1995    1996    1997
------------------------  ------  ------  ------  ------  ------  ------  ------
Dismissals                   134     150     154     135     116     208     197
Withdrawals                  256     256     266     213     218     296     300
Settlements                  217     211     307     279     280     341     401
Decision without hearing      \a      \a     227     520     393     512     439
Decision with hearing         \a      \a     734     721     510     527     689
Overall                      230     233     296     315     247     330     353
--------------------------------------------------------------------------------
\a Separate data not reported for closures with and without hearings. 

Source:  GAO analysis of EEOC and Postal Service data. 


SELECTED COMPLAINT DATA ON THE
DEPARTMENTS OF AGRICULTURE AND THE
INTERIOR AND OTHER REPORTING
FEDERAL AGENCIES
========================================================== Appendix II

                                                                             All
                                                                       reporting
                                                Agricultur  Interi       federal
                                                         e      or      agencies
----------------------------------------------  ----------  ------  ------------
Size of inventory-FY 1996                            1,405     774        31,195
Size of inventory-FY 1991                              410     529        16,964
Percent increase (rounded)                            243%     46%           84%


--------------------------------------------------------------------------------
Average age of inventory-FY 1996 (days)                649     570           397
Average age of inventory-FY 1991 (days)                420     471           379
Percent increase (rounded)                             55%     21%            5%


--------------------------------------------------------------------------------
Average age of inventory pending dismissal/            408     675           425
 acceptance-FY 1996 (days)
Average age of inventory pending dismissal/             16     115           120
 acceptance-FY 1991 (days)
Percent increase (rounded)                          2,450%    487%          254%


--------------------------------------------------------------------------------
Average age of inventory pending                       619     322           281
 investigation-FY 1996 (days)
Average age of inventory pending                       194     283           260
 investigation-FY 1991 (days)
Percent increase (rounded)                            219%     14%            8%


--------------------------------------------------------------------------------
Number of complaints filed-FY 1996                     566     369        26,410
Number of complaints filed-FY 1991                     288     340        17,696
Percent increase (rounded)                             97%      9%           49%
Average overall processing time-FY 1996 (days)         942     574           379
Average overall processing time-FY 1991 (days)         675     525           341
Percent increase (rounded)                             40%      9%           11%


--------------------------------------------------------------------------------
Average time to dismiss a complaint-FY 1996            715     448           228
 (days)
Average time to dismiss a complaint-FY 1991            408     388           207
 (days)
Percent increase (rounded)                             75%     15%           10%


--------------------------------------------------------------------------------
Average time to complete investigation-FY 1996         563     296           240
 (days)
Average time to complete investigation-FY            263\b     214           171
 1993\a (days)
Percent increase (rounded)                            114%     38%           40%
--------------------------------------------------------------------------------
\a Not reported in fiscal years 1991 and 1992. 

\b Figure is for fiscal year 1994; "0" reported for fiscal year 1993. 

Source:  GAO analysis of EEOC data. 


ANTIDISCRIMINATION STATUTES
APPLICABLE TO FEDERAL EMPLOYEES
========================================================= Appendix III

Title VII of the Civil Rights Act of 1964, as amended, makes it
illegal to discriminate in employment based on race, color, religion,
sex, or national origin. 

Section 501 of the Rehabilitation Act of 1973, as amended, makes it
illegal to discriminate against federal employees and applicants for
employment based on disability.  Federal agencies are required to
make reasonable accommodations to the known physical and mental
limitations of qualified employees or applicants with disabilities. 
Section 501 also requires affirmative action for hiring, placement,
and promotion of qualified individuals with disabilities. 

The Equal Pay Act, as amended, prohibits employers from
discriminating on the basis of sex in the payment of wages where
substantially equal work is performed under similar working
conditions. 

The Age Discrimination in Employment Act, as amended, protects people
40 years of age and older by prohibiting age discrimination in
hiring, discharge, pay, promotions, and other terms and conditions of
employment. 


MAJOR CONTRIBUTORS TO THIS REPORT
========================================================== Appendix IV

GENERAL GOVERNMENT DIVISION

Stephen E.  Altman, Assistant Director, Federal Management
 and Workforce Issues
Anthony P.  Lofaro, Evaluator-in-Charge

OTHER ACKNOWLEDGEMENTS

In addition to the above individuals, the contributions of the
following individuals are acknowledged:  Katherine M.  Wheeler and
Jena Y.  Sinkfield, General Government Division, for their assistance
in developing graphs and charts, and Lessie M.  Burke, General
Government Division, for editing assistance. 


*** End of document. ***