In  addition, the percentage of separations accounted for by retirements  increased from about a third in fiscal year 1997, to about 40 percent in  fiscal year 1998, peaked at about 55 percent in fiscal year 1999, declined to  almost 40 percent in fiscal year 2000, and returned to about a third in fiscal  year 2001. Region X Made Temporary Changes to the Informal Stage of the EEO Process

Region X made changes to its informal EEO process in fiscal years 1999  and 2001. For fiscal years 1997 and 1998, current and former Region X EEO  counselors described an informal process that mirrored the federal sector  complaint process outlined in EEOC’s guidance. In fiscal year 1999, Region  X made changes to this process, under which EEO counselors were no  longer allowed to talk with managers but were required to submit questions  in writing to managers about what had transpired between employees and  managers. In addition, managers were encouraged to routinely have an  attorney from OGC review their written responses before these responses  were provided to the EEO counselors. Region X Employees about EEO

To gain an understanding of how familiar the Region’s employees are with  the EEO process, their willingness to participate in it, and their views on  the work environment, we surveyed all of the Region’s employees on the  EEO process and EEO environment in the Region and achieved a   75 percent response rate. According to the results of our survey, most  Region X employees are familiar with the EEO process, with almost two- thirds of Region X employees reporting having received or having seen  within the last 2 years written materials about the federal government’s  EEO regulations and written materials describing how to contact regional  EEO counselors. Conclusions

Our analysis showed no statistically significant differences for most of the  personnel actions we reviewed. However, these changes were  counter to the spirit of the regulations and the related guidance, which  emphasize the informal nature of precomplaint counseling and informal  resolution. In doing our work at Region X, we found that although SSA had issued EEO  handbooks in November 1995 for managers and supervisors as well as  employees, the handbooks do not contain agency-specific procedures on  how EEO counselors are to process complaints of discrimination. Without agency-specific procedures for EEO counselors to process  complaints of discrimination, counselors in different components could  use different procedures, with the result that employees are not treated  consistently. In addition, a sizeable portion of respondents to our survey—about 40  percent—indicated they were unwilling to become or uncertain about  becoming involved with the processes established for handling EEO  complaints. Objectives, Scope, and Methodology

As agreed, our objectives were to (1) provide information on the  composition of Region X’s workforce by EEO group (race/ethnicity and  gender) for fiscal years 1997 through 2001 overall and for personnel actions  such as promotions, awards, and adverse actions; (2) describe the EEO  complaint process and any changes to it in the Region for the 5-year period;  (3) assess whether the Region’s EEO complaint process is consistent with  federal regulations and related guidance; and (4) assess the familiarity  with the EEO process of the Region’s employees and their attitude toward  it. When asked about their willingness, if they believed that they had been  discriminated against, to either contact Region X’s CREO to participate in  counseling or to contact the Office of Civil Rights and Equal Opportunity  (OCREO) in Baltimore to file a formal EEO complaint, almost half of  respondents indicated that they would be generally or very willing to  participate in counseling or to file a formal EEO complaint. SSA Region X? American Indian/Alaska Native  2.
Why GAO Did This Study

Employees at the Social Security Administration's (SSA) Region X--which covers Alaska, Idaho, Oregon, and Washington--expressed concern about the Region's equal employment opportunity (EEO) process for employment discrimination complaints. GAO was asked to (1) provide information for fiscal years 1997 through 2001 on the composition of the Region X workforce and for personnel actions such as promotions, awards, and adverse actions by EEO group; (2) describe the EEO complaint process in Region X and any changes to it; (3) assess whether the Region's process is consistent with federal regulations and related guidance; and (4) assess the familiarity with the EEO process of the Region's employees and their attitude toward it.

What GAO Found

In a geographic area where minorities represent a small portion of the civilian workforce (about 13.5 percent), Region X generally had a higher percentage of each minority group, except for American Indian and Alaska Natives. Moreover, the percentage of minority employees in Region X had increased from about 19 percent in fiscal year 1997 to about 27 percent in fiscal year 2001. Women represented a much higher proportion of SSA's workforce than of the civilian workforce. Differences among racial/ethnic and gender groups for most of the personnel actions reviewed were not statistically significant. For fiscal years 1997 and 1998, current and former Region X EEO counselors described a process that mirrored the informal stage of the required federal sector complaint process. In fiscal year 1999, Region X changed its EEO process, so that EEO counselors were no longer allowed to talk with managers but were required to submit their questions in writing. In addition, managers were encouraged to routinely have an attorney from the Office of the General Counsel (OGC) review their written responses before these responses were provided to the EEO counselors. After the changes were in place for about a year, SSA headquarters officials held discussions with Region X officials to explain that having written inquiries and OGC involved in the informal EEO process was not consistent with the intent of resolving issues informally. Beginning early in fiscal year 2001, neither written EEO counselor queries to managers nor OGC involvement was required in the informal process. Region X's former use of written queries and OGC involvement were counter to the spirit of EEO regulations and their related guidance, which emphasize the informal nature of precomplaint counseling. In doing its work at Region X, GAO found that SSA had issued EEO handbooks for managers and employees, but the handbooks do not contain agency-specific procedures on how EEO counselors are to process complaints of discrimination. Agency-specific procedures are required by EEO regulations. Absent such procedures, components of an agency can use different procedures, as illustrated by Region X, resulting in employees across the country being treated differently. To gain an understanding of how familiar the Region's employees are with the EEO process and their willingness to participate in it, GAO surveyed all of the Region's employees. Most Region X employees reported having received or seen within the last 2 years written materials about EEO regulations and how to contact regional EEO counselors. Also, almost half the employees reported a willingness to participate in counseling or to file a formal EEO complaint if they believed they had been discriminated against. However, a sizeable portion of employees--about 40 percent--reported being unwilling or uncertain about becoming involved with the processes established for handling EEO complaints.