Hearings  before the House Committee on Science in October 2000 highlighted  alleged discriminatory conduct. EPA’s EEO program, like those in other agencies, is subject to several  regulations. EEOC Management  Directive 110 (Federal Complaints Processing Manual) provides general  guidance on how agencies should process employment discrimination  complaints. System for Tracking EEO Data Was Unreliable, but EPA Is Taking Steps to Improve

Information contained in EPA’s discrimination complaint data system was  unreliable because of data entry problems. As a  result, EPA had difficulty providing accurate EEO information. Although we believe the reconstructed numbers are indicative of the  situation at EPA, we cannot attest to the overall accuracy of these data. Table 1 shows the number of complaints on hand at the start of the year  and the number of new, closed, and on hand at the end of the year for fiscal  years 1995 through 2002 as reported to EEOC. For fiscal years 1995 through 2002, a total of 548 people filed 679  complaints. The agency closed 588 complaints during this period, including 125  dismissals; 48 withdrawals; 222 agency decisions, none of which found for  the complainant; and 178 settlements. EPA takes a long time to process complaints. A major contributing factor to this lengthy  process was the time used to investigate complaints. Over the same 8-year  period, the average time to complete an investigation was 465 days. When compared to the other 23 agencies that are  required to comply with the CFO Act, EPA’s total number of days to process  a complaint from filing to closing ranked fifth highest in 2002. According to EPA officials, the new  system is expected to automatically and accurately generate data for  completing EEOC’s Annual Federal Equal Employment Opportunity  Statistical Report of Discrimination Complaints. OCR officials told us that additional staffing would help facilitate timely  processing of discrimination complaints. Because of these problems  with incomplete and poorly done investigations, OCR terminated contracts  with certain investigative firms. Formal reviews are to be  completed within 60 days. EPA Does Not Track Disciplinary Actions against Managers, but a New Law Requires This Information

Besides not having a process to determine whether managers  discriminated in settled cases, EPA does not have a process to track or  routinely report data on disciplinary actions taken against managers for  discrimination or other types of misconduct. These data requirements should  alert agencies and employees that they are accountable for their actions in  cases involving discrimination, retaliation, or harassment. EPA has never had standard operating procedures for EEO complaint  processing and has been using draft procedures prepared in July 2001. A specific  process that holds managers accountable for discriminatory conduct may  enhance employee confidence in the EEO environment and demonstrate  the agency’s commitment to providing a fair and discrimination free  environment. EPA said that the report shows that the agency has made  considerable progress in addressing the backlog of cases involving alleged  discrimination and that it believes it has in place the procedures and  resources to ensure that current and future complaints are timely  processed. Regarding the recommendation to establish a process to assess whether  managers or other employees should be disciplined in cases in which  discrimination is found or allegations are settled, EPA said that it would  develop policies and procedures that will allow it to address effectively the  issue of disciplinary action against any manager or employee found to have  discriminated.
Why GAO Did This Study

Minority employees at the EPA reported for a number of years that the agency had discriminated against them based on their race and retaliated against them for filing complaints. These issues were aired at hearings held by the House Committee on Science at which EPA said it would take actions to ensure a fair and discrimination free workplace. GAO was asked to review (1) the accuracy of EPA's equal employment opportunity (EEO) data, (2) various issues about the processes used to resolve discrimination complaints, and (3) the disciplinary actions taken for managers who discriminate.

What GAO Found

EPA had difficulty providing accurate EEO data because of a data system that the agency believes was unreliable and was further compromised by data entry problems. When GAO identified problems with the information EPA provided, the agency manually reconstructed data for fiscal years 1995 through 2002. The reconstructed data indicate that during this period 548 EPA employees filed 679 discrimination complaints, and the agency closed 588 complaints. Complaints were closed with 125 dismissals, 48 withdrawals, 178 settlements, 5 remands, and 222 agency decisions not supporting the claimant. GAO cannot attest to the accuracy of these numbers but believes they are indicative of the situation at EPA. EPA recently procured new software to facilitate accurate tracking and reporting of EEO information and believes the software will rectify data problems. EPA has never had official standard operating procedures for complaint processing, which are required by regulation. Rather, EPA said that complaints were processed under general guidance provided by the Equal Employment Opportunity Commission (EEOC) until draft procedures, prepared in July 2001, were put into use. EPA has taken a long time to process discrimination complaints with cases averaging 650 days from filing to closing over fiscal years 1995-2002. A major contributing factor was that investigations, which are supposed to be done in 180 days, averaged a total of 465 days. The firms used by EPA failed to conduct thorough investigations and their reports did not provide complete or factual accounts of the incidents leading to the complaints. As a result, investigations often had to be redone, adding to the amount of time needed to complete them. Over the last year, EPA has discontinued the use of these firms and contracted with new ones that it believes are doing a much better job. EPA has also increased its own staffing for EEO matters to try to reduce processing times. EPA does not have a specific process for determining whether managers involved in discrimination complaints did in fact discriminate and if so whether managers should be disciplined. EPA officials told us that they have relied on training to rectify and prevent discriminatory conduct. Other agencies have formal processes to evaluate each case in which discrimination is found or a complaint is settled to determine whether discipline is warranted. EPA will be required to collect and report the number of agency employees disciplined for discrimination or harassment under the provisions of the Notification and Federal Employee Anti- Discrimination and Retaliation Act, effective in October 2003. A process like those in place at other agencies should also help EPA meet this requirement.