Stages of the Federal EEO Complaint Process
The Office of Equity, Diversity and Inclusion (EDI) is impartial in the administration of EEOC regulations. We neither represent the employee filing the complaint nor the management official(s) named in the complaint. Our role is to administer the regulations neutrally and fairly, to inform all parties of their responsibilities, and to detail what can be expected during each stage of the EEO process. All stages are governed by regulations found in 29 C.F.R. Part 1614 .
Stage One: The Informal Complaint Process
Counselee (the person filing the complaint) notifies agency of incident of alleged discrimination (or knowledge of incident).
Role of the EEO Counselor
The EEO Counselor conducts an informal limited inquiry within 30 calendar days concerning the allegations. During this stage, the EEO Counselor interviews the Counselee to determine the allegations that are being raised by the Counselee, obtains management's response, and acquires the information needed to make decisions on jurisdictional questions specified in the regulations.. In accordance with EEO regulations, the counseling period may be extended up to an additional 60 days.
EEO Counselor gathers information, documentation, and interviews relevant parties with the goal of resolving the complaint informally. EEO Counselors are neutral. They notify the parties of their rights in the EEO complaint process, and explain the process while gathering basic information regarding the allegations.
Alternative Dispute Resolution (ADR)
Once an individual contacts EDI to file an Informal Complaint, they will be provided a choice of ADR. This is either shuttle diplomacy (with an EDI Counselor) or mediation. By Health and Human Services policy, the form of ADR that is used to resolve EEO complaints, when shuttle diplomacy is not elected, is mediation. If mediation is chosen, a Mediator will be assigned. While the mediation is being arranged and conducted, the EDI Counselor still has the responsibility of conducting a limited inquiry into the allegations being raised. The key to mediation is that the parties will meet with one another and a neutral mediator who will assist in the discussions for the parties to understand the interests involved in the dispute. The mediator will assist in identifying solutions that may resolve the dispute. If mediation is selected, it extends the informal counseling period for up to 90 days to close the Informal Complaint. If the matter is not resolved during mediation, the EDI Counselor will issue a Notice of Right to file a Formal Complaint to the Counselee.
Conclusion of Informal Counseling
If the dispute is not settled during the Informal stage, the EDI Counselor will hold a final interview with the individual will receive a notice of right to file a formal complaint of discrimination with instructions about how to file. Formal complaints must be filed within 15 calendar days from receive of the notice of right to file.
Stage Two: The Formal EEO Complaint Process
Counselee files the formal complaint with EDI, thereby becoming the Complainant.
Review of Formal Complaint for Acceptance or Dismissal.
The filing of the Formal Complaint of Discrimination starts the second stage of the EEO Complaint Process. The EDI Formal Complaints Branch is responsible for processing all Formal Complaints of discrimination filed against the NIH in compliance with 29 C.F.R. §1614, EEOC Management Directive 110 and pertinent court decisions.
The Formal Complaints Branch is responsible for reviewing the complaint and any relevant documents from Stage One of the EEO process to determine whether the complaint will be accepted in accordance with EEOC regulations.
The 12 Bases for Dismissal are pursuant to 29 C.F.R. §1614 107(a)(1) -(a)(9).
An accepted case will proceed with investigation.
The EEO complaint will be assigned to an EEO Investigator. The EEO Investigator is neutral, and is responsible for gathering testimony and documentation from the Complainant, Agency representatives and witnesses to develop an impartial and appropriate factual record upon which to make findings on the claims raised by the written complaint.
Under 29 C.F.R. § 1614, the Report of Investigation must be completed within 180 calendar days from the date on which the complaint was filed. If the Complainant files an amendment to the complaint and it is accepted, this time frame may be extended in accordance with EEOC regulations.
At the end of the investigation, the Complainant receives an electronic copy of the ROI.
Post-investigation Election
After the Complainant receives a copy of the ROI, they may elect to:
Request a hearing before an EEOC Administrative Judge (AJ) or
Request that the Agency issue a decision on the merits of the complaint.
If you choose to file a request for a hearing, you will follow the procedures set forth by the EEOC.
If you choose to request a final agency decision, the final decision shall consist of findings by Agency on the merits of each claim(s) in the complaint or, as appropriate, the rationale for dismissing any claims in the complaint. If discrimination is found, the FAD will also discuss appropriate remedies and relief in accordance with subpart E of Title 29 C.F.R. § 1614.
If you fail to choose either option, the EDI Office will issue a FAD on the merits of the complaint.
If the Complainant, or the Agency, is dissatisfied with the final decision, either party may appeal to the EEOC's Office of Federal Operations (OFO) within 30 calendar days of receipt of the final decision.
Appeals
If the Complainant, or the Agency, is dissatisfied with the final decision, either party may appeal to the EEOC's Office of Federal Operations (OFO) within 30 calendar days of receipt of the final decision.
If the Agency adopts the Order in an AJ's decision or a FAD, it will implement the terms of the order.