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

United States Government Accountability Office:

GAO:

April 2005:

Equal Employment Opportunity:

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

GAO-05-195:

GAO Highlights:

Highlights of GAO-05-195, a report to the Ranking Minority Member, 
Committee on Homeland Security and Governmental Affairs, U.S. Senate: 

Why GAO Did This Study:

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. 

GAO is not making recommendations in this report. 

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. 

www.gao.gov/cgi-bin/getrpt?GAO-05-195. 

To view the full product, including the scope and methodology, click on 
the link above. For more information, contact George H. Stalcup at 
(202) 512-9490 or StalcupG@gao.gov. 

[End of section]

Contents:

Letter:

Results in Brief:

Background:

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

EEOC and OPM Have Primary Oversight for EEO:

Agency Comments and Our Evaluation:

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:

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

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

Figure 4: Key Elements of Agencies' FEORP Plans:

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

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:

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.[Footnote 
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).[Footnote 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 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.[Footnote 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.[Footnote 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.[Footnote 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. 

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. 

* 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. 

* 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. 

* 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.[Footnote 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.[Footnote 7] 
In enacting the 1972 amendments, Congress concluded that the 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.[Footnote 8]

In recent years, GAO as well as OPM, the Merit Systems Protection Board 
(MSPB),[Footnote 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.[Footnote 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.[Footnote 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:

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]. 

Source: GAO. 

[A] See GAO-05-90 for a discussion on managing workforce diversity. 

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

[End of figure]

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

Various statutes, executive orders, and other executive policy form the 
framework relating to EEO in the federal workplace.[Footnote 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.[Footnote 13] According to the order, 
the policy of equal opportunity should be an integral part of every 
aspect of personnel policy and practice 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.[Footnote 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 1973[Footnote 15] 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,[Footnote 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. 

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,[Footnote 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,[Footnote 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,[Footnote 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,[Footnote 20] the first two of 
which are directly applicable to EEO in promoting a fair, equitable, 
and inclusive workplace:

* 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. 

* 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.[Footnote 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 underrepresentation[Footnote 
22] of minorities in the federal workforce by requiring that executive 
agencies conduct a continuing program for recruiting 
minorities.[Footnote 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.[Footnote 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. 

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.[Footnote 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.[Footnote 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)[Footnote 27] protects 
men and women who perform substantially equal work in the same 
establishment from sex-based wage discrimination. The Age 
Discrimination in Employment Act (ADEA),[Footnote 28] as amended, 
protects individuals who are 40 years of age or older from age-based 
employment discrimination. 

EEOC and OPM Have Primary Oversight for EEO:

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. 

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

EEOC: 
* Provide leadership and coordination of federal EEO efforts; 
* Promote equality of opportunity in the federal workplace; 
* Enforce laws prohibiting employment discrimination; 
* Establish procedures for handling discrimination complaints and 
adjudicating complaints; 
* Establish affirmative employment program requirements; 
* Provide guidance, training, and technical assistance for agencies; 
* Monitor federal agencies' compliance with EEO laws; 
* Review agencies' affirmative employment programs; 
* Issue annual report on the federal workforce providing data on the 
representation of minorities, women, and persons with disabilities. 

OPM: 
* Oversee personnel management in the executive branch; 
* Build a high-quality and diverse federal workforce; 
* Enforce merit system principles that ensure that employees work in a 
fair and discrimination-free environment; 
* Assess agencies' human capital practices; 
* Monitor workforce diversity; 
* Establish requirements for and assist agencies in carrying out equal 
opportunity recruiting program to address underrepresentation; 
* Provide agencies with guidance and training; 
* Evaluate agencies' efforts to eliminate underrepresentation; 
* Issue annual reports on the representation of minorities, women, and 
disabled veterans in the federal workforce. 

Source: GAO. 

[End of figure]

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 
federal-sector 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, color, religion, gender, national origin, age, or disability, and 
providing for the adjudication of complaints and hearing of 
appeals.[Footnote 29],[Footnote 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. 

Requirements for Federal Agencies:

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.[Footnote 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.[Footnote 32] 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: Demonstrated commitment from agency 
leadership; 
Major agency responsibilities: 
* Having a definitive and meaningful statement of EEO policy; 
* Allocating sufficient resources to the EEO program; 
* Ensuring that all employees are informed of EEO policies and 
procedures. 

Model EEO Program element: Integration of EEO into the agency's 
strategic mission; 
Major agency responsibilities: 
* 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; 
* Structuring an EEO program so as to maintain a discrimination-free 
workplace and support of the agency's strategic mission; 
* Ensuring EEO officials' involvement in critical workplace decisions, 
access to senior staff, and participation in meetings involving 
critical personnel decisions; 
* 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. 

Model EEO Program element: Management and program accountability; 
Major agency responsibilities: 
* Hiring of managers and supervisors who have the skills needed to 
supervise in a diverse workplace; 
* Making clear that all managers and supervisors share responsibility 
with EEO program and human resources officials for the successful 
implementation of EEO programs; 
* 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; 
* 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: Proactive prevention of unlawful 
discrimination; 
Major agency responsibilities: 
* Self assessing the EEO program to monitor progress, prevent 
discrimination, and identify barriers to free and open competition; 
* 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; 
* Having an effective reasonable accommodation procedure to handle the 
needs of employees with disabilities. 

Model EEO Program element: Efficiency; 
Major agency responsibilities: 
* 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); 
* Having an effective system for collecting and analyzing data on 
workforce composition and on discrimination complaints and their 
resolution; 
* Consulting with EEOC to learn about best EEO practices in other 
agencies. 

Model EEO Program element: Responsiveness and legal compliance; 
Major agency responsibilities: 
* Certifying to EEOC the agency's full compliance with EEO laws, 
regulations, and other guidance; 
* Annual reporting to EEOC of EEO efforts and accomplishments and 
compliance with EEOC orders. 

Source: EEOC. 

[End of table]

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:

* 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; 
* 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; 
* Analyze workforce broken out by nine major occupational 
categories,[A] comparing their workforce composition in each category 
with the equivalent category in the CLF.[B]; 
* 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; 
* Compare the applicant pool with the relevant CLF appropriate for the 
occupation and geographic area being recruited; 
* 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. 

[A] The categories include officials and managers; professionals; 
technicians; sales; administrative support workers; craft workers, 
operatives, laborers, and service workers. 

[B] EEOC 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. 

[End of figure]

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 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.[Footnote 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 Oversight:

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 (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.[Footnote 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,[Footnote 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.[Footnote 36] These data are reported 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 1978[Footnote 37] 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.[Footnote 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).[Footnote 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 assessing agencies' performance in 
meeting the President's Management Agenda (PMA) standards dealing with 
reducing underrepresentation and implementing processes to sustain 
workforce diversity. 

Requirements for Agencies:

The CSRA requires agencies to conduct a continuing program for 
recruiting minorities--the FEORP--and required OPM to issue 
implementing regulations for the program.[Footnote 40] Among OPM's 
requirements is that agencies have an equal opportunity recruiting plan 
for minorities and women.[Footnote 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.[Footnote 42] Key elements of the FEORP plans are 
shown in figure 4. 

Figure 4: Key Elements of Agencies' FEORP Plans:

* 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; 
* Workforce planning. Occupations and grade levels of occupations to be 
filled in the future and an assessment of the internal availability of 
candidates; 
* Recruitment. Methods the agency intends to use to locate and develop 
minority and women candidates for each category of underrepresentation; 
* Barrier removal. Efforts that will be undertaken to identify jobs 
that can be redesigned so as to improve opportunities for minorities 
and women; 
* 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. 

[End of figure]

Agencies are also required to submit annual FEORP reports to 
OPM.[Footnote 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 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.[Footnote 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 DVAAP[Footnote 45] 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.[Footnote 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 
Plan,[Footnote 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).[Footnote 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:

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

* 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; 
* 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; 
* 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; 
* 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; 
* 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; 
* 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 workforce.[A]; 
* 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. 

Source: Human Capital Accountability and Assessment Framework. 

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

[End of figure]

OPM Oversight:

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 diversity[Footnote 49] 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. 

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, PATCO[Footnote 
50] 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. 

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 Council[Footnote 51] 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.[Footnote 52] Under this order, 
EEOC is to:

* 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:

* 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 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. 

Agency Comments and Our Evaluation:

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,

Signed by: 

George H. Stalcup: 
Director, Strategic Issues:

[End of section]

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.[Footnote 53]

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:

* 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. 

* 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. 

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

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

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

* 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. 

[End of section]

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

U.S. EQUAL EMPLOYMENT OPPORTUNITY COMMISSION: 
Washington, D.C. 20507:

March 31, 2005:

Mr. George Stalcup:
Director, Strategic Issues:
U.S. Government Accountability Office: 
Washington, D.C. 20548:

Dear Mr. Stalcup:

Thank you for providing EEOC the opportunity to submit comments on the 
Government Accountability Office's (GAO) proposed report entitled Equal 
Employment Opportunity: The Policy Framework in the Federal Workplace 
and the Roles of EEOC and OPM (GAO-05-195). We have several comments on 
this proposed report. 

We believe that the report in several respects does not fully reflect 
EEOC's roles, responsibilities and activities in the federal workplace. 
EEOC, by federal statute and Executive order, has primary 
responsibility for leadership and coordination of the oversight of the 
EEO programs of federal agencies. 

Moreover, EEOC has primary responsibility for the enforcement of anti-
discrimination laws in the federal sector, playing a central and unique 
role in adjudicating cases of employment discrimination by providing 
hearings at the investigative stage, reviewing appeals from final 
action taken by agencies in discrimination complaints, and by issuing 
binding decisions on federal agencies. 

In FY 2004 alone, EEOC processed over 11,000 hearing requests and 8,000 
appeals. Yet, Management Directive 110, one of EEOC's most significant 
policy directives for the federal sector, is mentioned only in a 
footnote. By contrast, OPM's five policy initiatives (FEORP, DVAAP, 
E.O. 13171, E.O. 13163, and the Presidential Management Agenda (PMA)) 
are discussed in the text. 

The table which sets forth EEOC's key roles does not include EEOC's 
hearings and appeal complaint adjudication roles. It also omits EEOC's 
outreach and technical assistance to the federal workforce on the 
requirements of Title VII, the Rehabilitation Act, the Age 
Discrimination in Employment Act and the Equal Pay Act. This has been 
an area in which EEOC has significantly increased its efforts. 

I note that EEOC has completed its evaluation of the Relationship 
Management Project mentioned in the report. Based on the results of the 
project, EEOC has expanded the project to include six additional 
agencies. 

We have several other specific editorial comments, which we have 
enclosed as an attachment to this letter. 

Thank you for the opportunity to provide comments to this report. 

Sincerely,

Signed by: 

Carlton M. Hadden:

Director, Office Federal Operations: 

Attachment:

Attachment:

Additional comments on GAO's proposed report entitled Equal Employment 
Opportunity: The Policy Framework in the Federal Workplace and the 
Roles of EEOC and OPM (GAO-05-195):

Page 1, Paragraph 1: The wording of this section suggests that § 717 
only prohibits illegal discrimination and established a redress 
program, when, in fact, it requires much more, including training. 

Page 3, Paragraph 2: The report should define the term 
"underrepresentation."

Page 4: The report should add the Age Discrimination in Employment Act 
and the Equal Pay Act as statutes that EEOC enforces. 

Page 19: Table 2 does not adequately describe the Model EEO Program as 
set forth in EEOC's Management Directive 715. 

[End of section]

Appendix III: GAO Contacts and Staff Acknowledgments:

GAO Contacts:

George H. Stalcup (202) 512-9490, StalcupG@gao.gov; 
Belva M. Martin (202) 512-4285, MartinB@gao.gov:

Acknowledgments:

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

FOOTNOTES

[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. 

[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. 

[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). 

[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). 

[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). 

[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. 

[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. 

[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 mid-decade 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). 

[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). 

[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. 

[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. 

[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. 

[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. 

[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. 

[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. 

[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. 

[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). 

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

[50] PATCOB, not including blue-collar workers. 

[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). 

[53] GAO/T-GGD-00-104 and GAO/GGD-99-128. 

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