**(200)-70** **[Equal Employment Opportunity (EEO), Diversity, Special
Emphasis]{.underline}**

1.  [Reasonable Accommodation for Individuals with
    Disabilities]{.underline}

70.1.1 [Purpose]{.underline}

A reasonable accommodation is an adjustment or alteration that enables a
qualified person with a disability to apply for a job, perform job
duties, or enjoy equal benefits and privileges of employment. Federal
departments and agencies will make reasonable accommodations for
qualified persons with disabilities unless doing so would impose an
undue hardship on the agency. The concept of reasonable accommodation
applies to all aspects of employment, including recruitment, training,
promotion, reassignment, and developmental assignments.

Reasonable accommodations vary with the needs of the individuals
involved and the type of position in question. TIGTA needs to use
ingenuity and be flexible in making reasonable accommodations.
Accommodations are determined on a case-by-case basis, taking into
consideration the applicant or employee, the specific disability and
existing limitations, the essential functions of the particular job, the
work environment, any applicable medical or environmental requirements,
and the effectiveness of the proposed accommodation. The cost of a job
or work environment accommodation can often be minimal. The applicant or
employee should always be consulted before an accommodation is made.

Reasonable accommodation training will be a part of the new on line
employee orientation. Managers are to be trained on their
responsibilities regarding Reasonable Accommodation processing.
Management training will include at a minimum: (1) how to determine who
is considered an individual with a disability under the Rehabilitation
Act, and (2) how to engage in the interactive process.

70.1.2 [Sources for Reference]{.underline}

[Section 501 of the Rehabilitation Act of
1973](http://www.eeoc.gov/policy/rehab.html), as amended (29 U.S.C. §
701) --- Prohibits discrimination against qualified individuals with
disabilities who work in the Federal Government. The substantive
employment standards of the Americans with Disabilities Act of 1990 (42
U.S.C. § 12111, et seq. and 42 U.S.C. §§ 12201-204 and 12210) are
applicable to the Federal Government through the Rehabilitation Act.
[See]{.underline} 29 C.F.R. § 1614.203(b).

[Exec. Order No.
11478](http://www.dol.gov/oasam/regs/statutes/EO11478.htm), 3 C.F.R. 803
(1966-1970) (as amended) -- prohibits employment discrimination and
requires affirmative action on various bases, including disability, by
the Federal Government.

Exec. Order No. 13164- Requires agencies to establish effective written
procedures for processing requests for reasonable accommodation.

[Exec. Order No.
1](http://www.dol.gov/oasam/regs/statutes/EO11478.htm)3, 160, [[65 Fed.
Reg.
39,773]{.underline}](https://www.lexis.com/research/buttonTFLink?_m=5dab5f8ffc0ccefbf5021ac324fddada&_xfercite=<cite cc%3D"USA"><!%5BCDATA%5B89 Ky. L.J. 1189%5D%5D><%2Fcite>&_butType=3&_butStat=2&_butNum=392&_butInline=1&_butinfo=<cite cc%3D"USA"><!%5BCDATA%5B65 FR 39773%5D%5D><%2Fcite>&_fmtstr=FULL&docnum=1&_startdoc=1&wchp=dGLbVtz-zSkAl&_md5=efb8713f07a1f6d0f80f34f9726b3517)
(June 23, 2000) -- prohibits disability-based discrimination in
education programs and activities conducted by federal agencies.

[People With Disabilities in the Federal Government: An Employment
Guide](http://www.opm.gov/disability/mngr_8-03.asp) - This guide is
intended to help Federal employers and human resource personnel
understand issues and programs aimed at improving the employment of
people with disabilities.

[Enforcement Guidance: Reasonable Accommodation and Undue Hardship Under
the Americans with Disabilities
Act](http://www.eeoc.gov/policy/docs/accommodation.html) -This
Enforcement Guidance clarifies the rights and responsibilities of
employers and employees/applicants for employment with disabilities
regarding reasonable accommodation and undue hardship. Specifically,
employers must provide reasonable accommodation to qualified individuals
with a disability unless it poses an undue hardship to the agency.

## 70.1.3 Definition of Key Terms

Please see [29 C.F.R. §
1630.2](http://a257.g.akamaitech.net/7/257/2422/08aug20031600/edocket.access.gpo.gov/cfr_2003/julqtr/29cfr1630.2.htm)
for a complete list of ADA regulatory definitions issued by the
Department of Labor.

-   Reasonable Accommodation: In general, "reasonable accommodations"
    are reasonable changes in the work environment or in the way things
    are customarily done that enable a qualified individual with a
    disability to enjoy both equal employment opportunities and equal
    benefits and privileges of employment. As defined in 29 C.F.R. §
    1630.2(o)(1), "reasonable accommodation" means:

1.  Modifications or adjustments to a job application process that
    enable a qualified applicant with a disability to be considered for
    the position such qualified applicant desires; or

2.  Modifications or adjustments to the work environment, or to the
    manner of circumstances under which the position held or desired is
    customarily performed, that enable a qualified individual with a
    disability to perform the essential functions of that position; or

3.  Modifications or adjustments that enable a covered entity's employee
    with a disability to enjoy equal benefits and privileges of
    employment as are enjoyed by its other similarly situated employees
    without disabilities.

-   Disability means, with respect to an individual:\
    \
    a. A physical or mental impairment that substantially limits one or
    more of the major life activities of such individual;\
    b. A record of such impairment; or,\
    c. Being regarded as having such impairment

-   Benefits or Privileges of Employment: Benefits and privileges of
    employment include, but are not limited to, employer-sponsored: (1)
    training, (2) services (e.g., employee assistance programs (EAP\'s),
    credit unions, cafeterias, lounges, gymnasiums, auditoriums,
    transportation), and (3) parties or other social functions (e.g.,
    parties to celebrate retirements and birthdays, and company
    outings). If an employee with a disability needs a reasonable
    accommodation in order to gain access to, and have an equal
    opportunity to participate in, these benefits and privileges, then
    the employer must provide the accommodation unless it can show undue
    hardship.

-   Major Life Activities: Include but are not limited to caring for
    oneself, speaking, walking, performing manual tasks, seeing,
    hearing, breathing, learning, and working.

-   Physical or Mental Impairment means:

    -   Any physiological disorder, or condition, cosmetic
        disfigurement, or anatomical loss affecting one or more of the
        following body systems: neurological, musculoskeletal, special
        sense organs, respiratory (including speech organs),
        cardiovascular, reproductive, digestive, respiratory,
        genito-urinary, hemic and lymphatic, skin, and endocrine; or,

    -   Any mental or psychological disorder, such as mental
        retardation, organic brain syndrome, emotional or mental
        illness, and specific learning disabilities.

-   Invisible or Hidden Disabilities: These are disabilities that are
    not easily recognizable, and may include asthma, arthritis, chronic
    fatigue syndrome, epilepsy, kidney disease, diabetes, cancer,
    chronic depression, learning disabilities and mild mental
    retardation.

-   Qualified Individual with a Disability: An individual with a
    disability is qualified if (1) s/he satisfies the requisite skill,
    experience, education, and other job-related requirements of the
    position; and, (2) s/he can perform the *[essential
    functions]{.underline}* of the position, with or without a
    reasonable accommodation. See [26 C.F.R. §
    1630.3](http://a257.g.akamaitech.net/7/257/2422/08aug20031600/edocket.access.gpo.gov/cfr_2003/julqtr/29cfr1630.2.htm)
    for exceptions to this definition, including kleptomania and persons
    currently engaging in illegal drug use.

-   Essential Functions: In general, those job duties that are so
    fundamental to the position that the individual holds or desires
    that s/he cannot do the job without performing them. A job function
    may be considered \"essential\" for any of several reasons,
    including but not limited to the following: the position exists to
    perform that function; there are a limited number of employees
    available to perform the function; and/or, the function is highly
    specialized so that the individual is hired based on his/her ability
    to perform the particular function. Determination of the essential
    functions of a position must be done on a case-by-case basis so that
    it reflects the job as actually performed, and not simply the
    components of a generic position description.

-   Reassignment: Reassignment may be a form of reasonable accommodation
    when an employee, due to a disability, can no longer continue
    performing the essential functions of his/her current position, even
    with reasonable accommodation. Reassignments are made only to vacant
    positions and employees who are qualified for the new position as a
    last resort. If an employee with a disability is qualified for a
    position available for reassignment, the employee may be reassigned
    without having to compete for the new position.

-   Decision Maker: As outlined below, in subsection 70.1.4.1, the
    possible decision makers include; the employee's immediate
    supervisor or another manager in the chain of command, and for
    applicants, it would be the Bureau of Public Debt (BPD) staff member
    handling the application or the TIGTA manager involved in the hiring
    process.

-   Undue Hardship: In general, if the provision of an accommodation
    causes significant difficulty or expense to the employer, then TIGTA
    may not have to provide that particular accommodation. Determination
    of undue hardship is always made on a case-by-case basis. Factors to
    be considered include: nature and net cost of the accommodation
    (taking into consideration the availability of outside funding),
    overall financial resources of the facility or facilities involved
    in the provision of the reasonable accommodation, the number persons
    employed at such facility, the effect on expenses and resources of
    the facility, overall financial resources of the employer, the type
    of operations of the employer (including the composition, structure
    and functions of the workforce of the employer), the geographic
    separateness and administrative or fiscal relationship of the
    facility or facilities in question to the employer; and, the impact
    the accommodation would have on the operation of the facility or
    agency (including the impact on the ability of other employees to
    perform their duties and the impact on the facility's ability to
    conduct business).

    -   Before denying an accommodation based on "undue hardship" the
        decision maker must ensure the Office of Chief Counsel and the
        EEO Program Manager reviews the denial and the determination
        that the request poses an undue hardship.

70.1.4 [Procedures]{.underline}

TIGTA fully complies with all requirements of the Rehabilitation Act of
1973, as amended. Under the law, federal agencies must provide
reasonable accommodations to qualified employees or applicants with
disabilities, unless to do so would cause undue hardship. TIGTA is
committed to providing reasonable accommodations to its employees and
applicants for employment in order to ensure that individuals with
disabilities enjoy full access to equal employment opportunity and equal
benefits and privileges of employment. TIGTA shall consider requests for
reasonable accommodations:

-   when a qualified applicant with a disability needs an accommodation
    during the application/hiring process;

-   when a qualified employee with a disability needs an accommodation
    to enable him or her to perform the essential functions of the job
    or to gain access to the workplace; and,

-   when a qualified employee with a disability needs an accommodation
    to enjoy equal benefits and privileges of employment as similarly
    situated employees without disabilities.

TIGTA will process requests for reasonable accommodation and, where
appropriate, provide reasonable accommodations in a prompt, fair and
efficient manner.

70.1.4.1 [Making a Reasonable Accommodation Request]{.underline}

A request for reasonable accommodation is a statement that an individual
needs an adjustment or change in the job application process, the work
environment, or in the provision of a benefit or privilege of employment
for a reason related to a claimed qualifying disability. The reasonable
accommodation process begins as soon as the request for accommodation is
made.

A request does not have to necessarily contain specific language, such
as \"reasonable accommodation,\" \"disability,\" or \"Rehabilitation
Act.\" An individual with a disability may request a reasonable
accommodation whenever s/he chooses, even if s/he has not previously
disclosed the existence of a disability. Any TIGTA employee or applicant
may consult the EEO Program Manager for further information or
assistance in connection with requesting or processing a request for a
reasonable accommodation.

An employee may request a reasonable accommodation orally or in writing
from his/her supervisor, or another supervisor or manager in his/her
immediate chain of command.

An applicant may request a reasonable accommodation orally or in writing
from any TIGTA employee with whom the applicant has contact in
connection with the application process (including BPD employees acting
on behalf of TIGTA). BPD is responsible for training the members of its
staff who are involved in the application process to recognize requests
for reasonable accommodation and to handle them appropriately.

A family member, health professional, or other representative may
request an accommodation on behalf of a TIGTA employee or applicant. The
request should go to one of the same persons to whom the employee or
applicant would make the request.

Once the designated decision maker receives the request for
accommodation, s/he will (1) acknowledge the request in writing, (2)
explain to the requestor that s/he will be making the decision on the
request, and (3) explain the steps in processing his/her request for
reasonable accommodation (i.e. time limits, interactive process, etc.).

## 

## Written Requests for Record Keeping Purposes

To enable TIGTA to keep accurate records regarding requests for
accommodation, employees seeking a reasonable accommodation must follow
up an oral request either by completing the attached [\"Reasonable
Accommodation Request](../../200-exhibits/exhibit200-70-1.doc)\" form
([exhibit200-70-1](../../200-exhibits/exhibit200-70-1.doc)) or otherwise
confirming their request in writing (including by e-mail) to the EEO
Program Manager. For job applicants seeking a reasonable accommodation,
the official receiving the request must give the job applicant the
\"Reasonable Accommodation Request\" form to fill out. A copy of the
Reasonable Accommodation Request" form must be provided to the TIGTA
official responsible for processing the request. If an individual with a
disability requires assistance with this requirement, the staff member
receiving the request will provide that assistance.

While the written confirmation should be made as soon as possible
following an oral request, TIGTA will begin processing written and oral
requests when they are received, whether or not written confirmation of
an oral request has been provided.

When an individual needs a reasonable accommodation on a repeated basis
(e.g., the assistance of sign language interpreters or readers), the
written form is required only for the first request. However,
appropriate advance notice must be given each time the accommodation is
needed. (See [Exhibit 70.1](../../200-exhibits/exhibit200-70-1.doc),
Selected Reasonable Accommodation Resources, for information on
requesting sign language interpreters.)

2.  [Information Tracking and Reporting]{.underline}

The decision maker will complete the attached \"[Information
Reporting](http://www.eeoc.gov/policy/docs/eeocprocedures-form3.html)\"
form and submit it to the EEO Program Manager within 10 business days of
the decision. The decision maker should attach to the form copies of all
information, including medical information, s/he received in connection
with the request.

-   The EEO Program Manager will maintain these records for five years
    or the length of the employee\'s tenure with TIGTA, whichever is
    longer.

-   The EEO Program Manager will collect and maintain a record of the
    following aggregate information for each fiscal year, which may be
    obtained by individual managers or employees as allowable under
    federal confidentiality law:

    -   the number of reasonable accommodations that have been requested
        in the application process and whether the requests have been
        granted or denied;

    -   the jobs for which reasonable accommodations have been
        requested;

    -   the types of reasonable accommodations that have been requested
        for each of those jobs;

    -   the number of reasonable accommodations, by type, for each job
        that have been approved, and the number of accommodations, by
        type, that have been denied;

    -   the number of requests for reasonable accommodations, by type,
        that relate to the benefits or privileges of employment, and
        whether the requests have been granted or denied;

    -   the reasons for denial of requests for reasonable accommodation;

    -   the amount of time (calendar days) taken to process each request
        for reasonable accommodation; and,

    -   the sources of technical assistance that have been consulted in
        trying to identify possible reasonable accommodations.

        2.  [Time Frames for Processing Requests/Providing Reasonable
            Accommodation]{.underline}

If a request can be processed by the employee\'s supervisor, no
supporting medical information is required, and no extenuating
circumstances apply, the request shall be processed and the
accommodation, if approved, provided as soon as possible but no later
than 20 business days from the date the supervisor receives the request.

Certain \"extenuating circumstances\" may require longer time frames for
providing reasonable accommodations (e.g., if medical documentation is
required). Should medical documentation be requested the time will be
"tolled" until sufficient medical documentation is provided. The
decision maker shall resume the processing of the request immediately
upon receipt of adequate medical documentation.

Denial of reasonable accommodation must be recorded on the attached
\"[Denial of
Request](http://www.eeoc.gov/policy/docs/eeocprocedures-form2.html)\"
form. The form explains the individual\'s right to ask for
reconsideration, first from the decision maker and then from another
designated individual.

## 

## 70.1.4.4 Determining Which TIGTA Official Will Handle the Request

As the first step in processing a request for reasonable accommodation,
the individual who receives the request must determine who will be
responsible for handling the request and forward it, if necessary. The
person who handles the request for accommodation will be referred to as
the \"decision maker.\" The possible decision makers include: an
employee\'s supervisor or managerial chain and, during the hiring
process, either BPD (to facilitate the application process) or the TIGTA
manager responsible for making the hiring decision. The individual
receiving a request for accommodation should follow the instructions
below to determine which of these individuals should receive the
request.

The reasonable accommodation request should be forwarded to the
appropriate person as soon as possible but in no more than five business
days. All requests for reasonable accommodation must be copied to the
Office of Chief Counsel.

BPD will handle the requests that seek accommodation in order to apply
for a TIGTA position. Requests for accommodation from applicants (during
the hiring process) will be handled by BPD or the TIGTA manager
responsible for making the hiring decision.

Requests for accommodation from employees will be handled by the
requesting employee\'s immediate supervisor or managerial chain.

Certain requests for accommodation will be coordinated with various
functions to obtain additional information or help in implementing a
necessary accommodation. These requests include:

-   Requests for adaptive equipment, including information technology
    and communications equipment, or specially designed furniture. The
    EEO Program Manager will provide contact/resource information and
    guidance to obtain adaptive equipment. The decision maker will
    coordinate these requests and furniture requests with the Office of
    Mission Support.(OMS).

-   Requests for a reader or sign language interpreter, or other staff
    assistant to enable employees to perform their job functions, where
    the accommodation cannot be provided by current staff. The EEO
    Program Manager will provide contact/resource information and
    guidance to obtain interpreter services or other staff assistance.
    The decision maker will coordinate such requests with OMS. (See
    [Exhibit 70.1](../../200-exhibits/exhibit200-70-1.doc), Selected
    Reasonable Accommodation Resources for information on requesting
    sign language interpreters.)

-   Requests for the removal of architectural barriers, including
    reconfigured work spaces. The EEO Program Manager will provide
    contact/resource information and/or guidance to the decision maker.
    The decision maker will coordinate these requests with OMS who will,
    as necessary, coordinate with the General Services Administration or
    the owner of the building.

-   Requests by headquarters staff for accessible parking will be
    coordinated through OMS.

-   Requests for materials in alternative formats (e.g., Braille, large
    print) which cannot be handled by the supervisor or the Assistant
    Inspector General of the Function Heads should be coordinated
    through the EEO Office.

-   Requests for reassignment to another job. The decision maker will
    coordinate these requests with OMS and BPD.

In addition, the EEO Program Manager will be available, as needed, to
provide assistance to employees and decision makers in processing
requests.

If the EEO Program Manager has any involvement as a decision maker on a
request for reasonable accommodation then s/he shall recuse him/herself
from handling any future or current EEO related matter concerning the
reasonable accommodation.

All decision makers should have designated back-ups to continue
receiving, processing, and providing reasonable accommodations when the
decision maker is unavailable. Decision makers should ensure that
individuals know who has been designated as back-up. The time frames
discussed below will generally not be suspended or extended because of
the unavailability of a decision maker.

## 

## 70.1.4.5 The Interactive Process

The next step in processing a request for reasonable accommodation is
for the parties to begin the interactive process to determine what, if
any, accommodation should be provided. This means that the individual
requesting the accommodation and the TIGTA decision maker must
communicate with each other about the request, the process for
determining whether an accommodation will be provided, and potential
accommodations.

Communication is a priority throughout the entire process. The TIGTA
decision maker will have the principal responsibility of identifying
possible accommodations. S/he will take a proactive approach in
searching out and considering possible accommodations, including
consulting appropriate resources for assistance. The employee requesting
the accommodation should also participate to the extent possible in
helping to identify an effective accommodation. The EEO Program Manager
is also available to provide assistance in researching resources which
are available to help both the decision maker and the individual
requesting the accommodation to identify possible accommodations.

When a request for accommodation is made by a third party, the decision
maker should, if possible, confirm with the applicant or employee with a
disability that s/he, in fact, wants a reasonable accommodation before
proceeding. It may not be possible to confirm the request if the
employee has, for example, been hospitalized in an acute condition (e.g.
for Multiple Sclerosis treatment). In this situation, TIGTA will process
the third party\'s request and will consult directly with the individual
needing the accommodation as soon as it is practicable.

On-going communication is particularly important where the specific
limitation, problem, or barrier is unclear; where an effective
accommodation is not obvious; or, where the parties are considering
different possible reasonable accommodation. In those cases where the
disability, the need for accommodation, and the type of accommodation
that should be provided are clear, extensive discussions are not
necessary. However, the decision maker and requesting individual should
communicate to ensure there is a full exchange of relevant information.

The decision maker or any other TIGTA official who receives information
in connection with a request for reasonable accommodation may share
information connected with that request with other agency officials only
when the agency official(s) have a need to know the information in order
to make determinations on a reasonable accommodation request or for
other official business purposes.

-   For example, OSM will typically be consulted in connection with
    requests for adaptive equipment for computers. However, OSM may have
    no need to know any information about the medical condition of the
    person seeking the accommodation. OSM may only need to know the
    employee's functional limitations insofar as these limitations
    affect technology needs.

There are specific considerations in the interactive process when
responding to a request for reassignment.

-   Reassignment will only be considered if no other reasonable
    accommodation is available to enable the individual to perform the
    essential functions of his or her current job, or if the only
    effective accommodation would cause undue hardship.

-   In considering whether there are positions available for
    reassignment, the decision maker will work with the employee's chain
    of command, OMS and the individual requesting the accommodation to
    identify: (1) all vacant positions within the agency for which the
    employee may be qualified, with or without reasonable accommodation;
    and, (2) all positions which OMS has reason to believe will become
    vacant over the next 30 business days and for which the employee may
    be qualified. The agency will first focus on positions which are
    equivalent to the employee\'s current job in terms of pay, status,
    and other relevant factors. If there is no vacant equivalent
    position, TIGTA will consider vacant lower level positions for which
    the individual is qualified.

-   If a position is not available within TIGTA, the EEO Program Manager
    will consult with other bureaus to determine if a vacancy exists or
    will become available within the next 30 days, for which the
    employee qualifies and can perform the duties with or without a
    reasonable accommodation. If no positions are available the EEO
    Program Manager will maintain a record done of the search.

-   Reassignment may be made to a vacant position outside of the
    employee\'s commuting area if the employee is willing to relocate.
    As with other transfers not required by management, TIGTA will not
    reimburse the employee\'s relocation costs.

## 

## 70.1.4.6 Does the Individual Requesting the Accommodation Have a Disability 

## 

## Request for Medical Information 

> TIGTA is entitled to know that an employee or applicant has a covered
> disability that requires a reasonable accommodation. In some cases the
> disability and need for accommodation will be obvious or otherwise
> already known to the decision maker. In these cases, TIGTA will not
> seek any further medical information. However, when a disability
> and/or need for reasonable accommodation is not obvious or otherwise
> already known to the decision maker, TIGTA may require that the
> requester provide reasonable documentation of the disability and his
> or her functional limitations.
>
> The decision maker will make a determination as to whether medical
> documentation is necessary with legal advice from Counsel. If it is,
> the necessary medical information will be requested. If it is not
> necessary, the decision making process will resume with the medical
> information already provided.
>
> If a determination is made to seek medical documentation, TIGTA will
> request only that information needed to substantiate that the
> individual has a covered disability and needs the reasonable
> accommodation requested. TIGTA requests for medical information will
> follow the requirements set forth in the [Equal Employment Opportunity
> Commission\'s Enforcement Guidance: Disability-Related Inquiries and
> Medical Examinations of Employees Under the Americans with
> Disabilities
> Act](http://www.eeoc.gov/policy/docs/guidance-inquiries.html).
>
> The decision maker will seek information or documentation about the
> disability and/or functional limitations from the individual, and/or
> ask the individual to obtain such information from an appropriate
> professional, such as a doctor, social worker, or rehabilitation
> counselor. In order to obtain the most relevant information, all
> requests for information should describe the nature of the job, the
> essential functions the individual is expected to perform, and any
> other relevant information. The decision maker will seek legal advice
> from Counsel in preparing the request for additional medical
> information or documentation.
>
> Once medical documentation is received, the decision maker will
> evaluate it. Consultation with a physician chosen by TIGTA may be
> necessary. Legal advice from Counsel should be sought throughout this
> process.
>
> If the documentation provided by the health care professional and
> requestor is insufficient to enable TIGTA to determine whether an
> accommodation is appropriate, the decision maker may take the
> following steps in seeking further information.

-   First, the decision maker will explain to the requestor, in specific
    terms, why the documentation which has been provided is
    insufficient, what additional documentation is needed, and why the
    additional documentation is necessary.

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-   The requestor may then make a written request to the health care
    provider or other appropriate professional to provide the missing
    documentation.

-   Alternatively, the decision maker and the requestor may agree that
    the individual will sign a limited release, and that TIGTA may
    thereafter submit a list of specific questions to the requestor's
    health care professional or may otherwise contact the individual\'s
    doctor in writing.

-   If, after a reasonable period of time, there is still insufficient
    documentation to evaluate whether the requestor has a disability and
    needs a reasonable accommodation, the decision maker (with legal
    advice from Counsel) may request that the requestor be examined by a
    physician chosen by TIGTA.

-   In some cases, the individual requesting the accommodation will
    supply medical documentation directly to the decision maker without
    being asked. In these cases, the decision maker will consider such
    documentation and if additional information is needed, the decision
    maker will follow the procedures within this section.

***NOTE: The failure to provide necessary documentation or to cooperate
in TIGTA\'s efforts to obtain such documentation can result in a denial
of the reasonable accommodation.***

## Confidentiality Requirements Regarding Medical Information Obtained in the Reasonable Accommodation Process

Under the Rehabilitation Act, medical information obtained in connection
with the reasonable accommodation process must be kept confidential.
This means that all medical information, including information about
functional limitations and reasonable accommodation needs, that TIGTA
obtains in connection with a request for reasonable accommodation must
not be included or placed in a personnel file (EPF, OPF, or Drop File).
All medical documentation must be placed in a separate Employee Medical
File and kept secure to maintain confidentiality. Any TIGTA employee who
obtains or receives such information is strictly bound by these
confidentiality requirements. The EEO Program Manager will maintain
custody of all records obtained or created during the processing of a
request for reasonable accommodation, including medical records, and
will respond to requests from current employees. Records will be
maintained in accordance with [all applicable federal confidentiality
laws.](http://www.access.gpo.gov/nara/cfr/waisidx_01/29cfr1611_01.html)
Counsel's legal review of potential disclosures should be obtained as
needed.

Medical information may be disclosed as follows:

-   supervisors and managers who have a need to know (including the
    decision maker) may be informed of necessary restrictions on the
    work or duties of the employee and the necessary accommodation(s),
    but medical information should only be disclosed if there is a need
    to know.

-   first aid and safety personnel may be informed, when needed to
    provide emergency treatment in situations involving imminent danger
    or death or physical injury;

-   Treasury officials with a need to know may be given information
    necessary to investigate the agency\'s compliance with the
    Rehabilitation Act.

> 70.1.4.7 [Time Frames for Processing Requests and Providing Reasonable
> Accommodations]{.underline}
>
> TIGTA will process requests for reasonable accommodation and, where
> requests are granted, provide the reasonable accommodations, in as
> short a time frame as reasonably possible. The time necessary to
> process a request will depend on the nature of the accommodation
> requested and the possible need to obtain supporting documentation.
>
> The time limits set in these procedures are maximum processing times.
> It may not be necessary to take the full length of allowable time to
> provide a requested reasonable accommodation. Because unreasonable
> delay in providing a reasonable accommodation could constitute undue
> delay in violation of the Rehabilitation Act, deciding officials
> should act as quickly as reasonably possible in responding to requests
> for a reasonable accommodation.

A.  Expedited processing: In certain circumstances, a request for
    reasonable accommodation requires an expedited review and decision
    in a time frame that is shorter than the 20 business days discussed
    below. These circumstances include the following:

-   to enable an applicant to apply for a job. Depending on the
    timetable for receiving applications, conducting interviews, taking
    tests, and making hiring decisions, there may be a need to expedite
    a request for reasonable accommodation in order to ensure that an
    applicant with a disability has an equal opportunity to apply for a
    job. Therefore, OMS, BPD and managers need to move as quickly as
    possible to make a decision on the request.

-   to enable an employee to attend a meeting scheduled to occur
    shortly. For example, an employee may need a sign language
    interpreter for a meeting scheduled to take place in 5 days.

B.  Absent a need to obtain additional medical documentation and absent
    extenuating circumstances, the decision maker should process the
    request no later than 20 business days from the date the decision
    maker receives the request, and sooner, if possible. Since decision
    makers may need the full 20 business days to engage in the
    interactive process and collect all relevant information about
    possible accommodations, they should not delay beginning this
    process. Failure to meet this time frame solely because a decision
    maker delayed processing the request is not an extenuating
    circumstance.

-   If the decision maker believes that it is necessary to obtain
    medical documentation to process the request, the decision maker
    will make such request to the requestor as soon as possible after
    his or her receipt of the request for accommodation, but in any
    case, before the expiration of the 20-day period.

-   If the decision maker requests medical documentation, the 20-day
    period stops running until adequate medical information is obtained.

-   When adequate medical information is obtained, a decision on the
    reasonable accommodation request will be provided within 20 business
    days from the date the decision maker received the necessary
    documentation from the requestor.

C.  Extenuating Circumstances: These are factors that could not
    reasonably have been anticipated or avoided in advance of the
    request for accommodation. \"Extenuating circumstances\" covers
    limited situations in which unforeseen or unavoidable events prevent
    prompt processing of an accommodation request. For example, TIGTA
    may not delay processing or providing an accommodation because a
    particular staff member is unavailable.

> When extenuating circumstances are present, the time for processing a
> request for reasonable accommodation and providing the accommodation
> will be extended as reasonably necessary. All TIGTA staff is expected
> to act as quickly as reasonably possible in processing requests and
> providing accommodations. The following may be examples of extenuating
> circumstances:

-   There is a pending request to the employee for medical
    documentation.

-   The purchase of equipment needed for an accommodation may take
    longer than 20 business days.

-   Equipment must be back-ordered, the vendor typically used by TIGTA
    for goods or services has unexpectedly gone out of business, or the
    vendor cannot promptly supply the needed goods or services, and
    another vendor is not immediately available.

```{=html}
<!-- -->
```
-   The requestor needs to work with equipment on a trial basis to
    ensure that it is effective before TIGTA buys it.

-   New staff needs to be hired or contracted for, or an accommodation
    involves the removal of architectural barriers.

> Where extenuating circumstances are present, the decision maker must
> notify the individual, in writing, of the reason for the delay, and
> the approximate date on which a decision, or provision of the
> reasonable accommodation, is expected. Further developments or changes
> should also be promptly communicated to the individual in writing.

-   If there is a delay in providing an accommodation which has been
    approved, the decision maker must determine whether temporary
    measures can be taken to assist the employee, e.g., providing the
    requested accommodation on a temporary basis or providing a
    different form of accommodation on a temporary basis. In addition,
    the decision maker may take certain measures that are not reasonable
    accommodations within the meaning of the law (e.g., temporary
    removal of an essential function) if: (1) they do not interfere with
    TIGTA operations; and, (2) the employee is clearly informed in
    writing that they are being provided only on a temporary, interim
    basis. For example, there may be a delay in receiving adaptive
    equipment for an employee with a vision disability. During the
    delay, the supervisor might arrange for other employees to act as
    readers. This temporary measure would allow the employee to perform
    to the extent possible until the necessary equipment arrives.

-   If a delay is attributable to the need to obtain or evaluate medical
    documentation and TIGTA has not yet determined that the individual
    is entitled to an accommodation, TIGTA may provide an accommodation
    on a temporary basis. In such a case, the decision maker will notify
    the individual in writing that the accommodation is being provided
    on a temporary basis pending a decision on the accommodation
    request, including whether the employee has a qualifying disability.

-   TIGTA decision makers who approve such temporary measures are
    responsible for ensuring that all reasonable and necessary steps to
    promptly make a determination on the accommodation request.

## 10.1.4.8 Granting a Reasonable Accommodation Request

> Once the decision maker determines that a reasonable accommodation
> will be provided, that decision should be communicated to the
> individual. If the accommodation cannot be provided immediately, the
> decision maker should inform the individual of the projected time
> frame for providing the accommodation.

## 70.1.4.9 Denial of Reasonable Accommodation Request

> Once the decision maker determines that a request for reasonable
> accommodation will be denied, s/he must fill out the attached
> \"[Denial of
> Request](http://www.eeoc.gov/policy/docs/eeocprocedures-form2.html)\"
> form and give it to the individual who requested the accommodation.
> The explanation for the denial should clearly state the specific
> reasons for the denial. If the decision maker has denied a specific
> requested accommodation, but has offered to make a different
> accommodation in its place (which was not agreed to during the
> interactive process), the denial notice should explain both the
> reasons for the denial of the requested accommodation and the reasons
> the decision maker believes that the offered accommodation will be
> effective. Reasons for the denial of a request for reasonable
> accommodation should include the following, where applicable (keeping
> in mind that the actual notice to the individual must include specific
> reasons for the denial):

-   The requested accommodation would not be effective. Meaning it would
    not effectively remove a barrier to allow the requestor to perform
    the essential functions of his/her position.

-   Providing the requested accommodation would result in undue
    hardship. Before reaching this determination, the decision maker
    must have explored whether other effective accommodations exist
    which would *not* impose undue hardship and therefore can be
    provided. A determination of undue hardship means that TIGTA finds
    that a specific accommodation would result in significant difficulty
    or expense, or would fundamentally alter the nature of TIGTA\'s
    operations.

-   Medical documentation was inadequate to establish that the requestor
    has a disability and/or needs a reasonable accommodation.

-   The requested accommodation would require the removal of an
    essential function.

-   The requested accommodation would require the lowering of a
    performance standard.

> The written notice of denial also informs the individual that s/he has
> the right to file an EEO complaint and may have rights to pursue a
> Merit Systems Protection Board (MSPB) appeal. The notice also explains
> TIGTA\'s procedures for informal dispute resolution.
>
> All decisions on a denial request for a reasonable accommodation shall
> be reviewed by the Office of Chief Counsel.

## 70.1.4.8 Informal Dispute Resolution

> Requestors can request prompt reconsideration of a denial of a
> reasonable accommodation.
>
> If a requestor wishes reconsideration, s/he should first request in
> writing that the decision maker reconsider the decision. The
> individual may present additional information in support of his/her
> request. The decision maker will respond to the request for
> reconsideration within five business days.
>
> If the decision maker does not reverse the decision, the requestor may
> request in writing that the second-level supervisor reconsider the
> decision. The second-level supervisor will respond to this request for
> reconsideration within ten business days.
>
> Pursuing any of the informal dispute resolution procedures identified
> above, including seeking reconsideration from the decision maker and
> requesting reconsideration by the next person in the decision maker\'s
> chain of command, does not affect the time limits for initiating
> statutory claims. This means that the time periods for filing an EEO
> or MSPB complaint do not stop running while an employee is pursuing
> informal dispute resolution. In addition, an individual\'s
> participation in the informal dispute resolution process does not
> satisfy the requirements for bringing a claim under EEO or MSPB.

1.  **[Official Time for Preparing EEO Complaints]{.underline}**

    1.  [Overview.]{.underline} EEO regulations require an agency to
        grant an employee a

reasonable amount of official time, if otherwise on duty, to prepare an
EEO complaint and to respond to agency and EEOC requests for
information. In addition, if the complainant has designated another
agency employee as a representative, the Agency is required to grant the
employee a reasonable amount of official time, if otherwise on duty, to
prepare the complaint and respond to agency and EEO requests for
information. Official time may only be granted to an employee while
his/her complaint is in the administrative process.

2.  [What is a Reasonable Amount of Official Time]{.underline}?
    "Reasonable" is defined as

whatever is appropriate under the particular circumstances of the
complaint, in order to allow a complete presentation of the relevant
information associated with the complaint and to respond to agency
requests for information. An employee's right to official time to pursue
his/her EEO complaint is not an unqualified right. It is restrained by
legitimate management considerations, like business necessity.

3.  [Entitlement.]{.underline} The actual number of hours to which the
    complaint and/or

representative are entitled will vary, depending on the nature and
complexity of the complaint and considering the mission of the Agency
and the Agency's need to have its employees available to perform their
normal duties on a regular basis. The manager and the complainant should
arrive at a written agreement as to the amount of official time to be
used [prior to]{.underline} the use of such time.

Reasonable time, as it pertains to preparation time (and not hearing
time) is generally defined in terms of hours, not days. Administrative
leave (official time) is only available during the administrative EEO
complaint process, which may extend up through an EEOC hearing.

4.  [Requests for Official Time Procedure.]{.underline} Below is the
    procedure for requesting

and granting official time.

  ------------- ---------------------------------------------------------
  Step          Procedures

  1             The employee/complainant in the pre-complaint process, or
                formal complaint process, a witness, and/or a
                complainant's representative must provide to his/her
                first-level manager a written request for official time
                in connection with a complaint of discrimination;
                preferably within three to five days prior to the
                individual\'s need for the official time. (If the
                timeframe is not met, a written explanation must be
                provided to the first-level manager indicating why the
                timeframe was not met.) The EEO Program Manager should be
                informed of the request or denial of official time.

  2             Upon receipt of the request, the manager should notify
                the employee/complainant, representative, and /or witness
                within a reasonable amount of time (preferable within two
                work days of the request) as to whether the official time
                requested has been approved or denied. This response must
                be provided in writing. (i.e., either an email or a
                memorandum). If the request is denied, in whole or in
                part, the management official must state in his/her
                written response why the request was denied. All requests
                and management responses for official time should be
                retained by the manager. The TIGTA EEO Program Manager
                should be kept apprised of all actions. Any EEO-related
                questions that management may have should be forwarded to
                TIGTA's EEO Program Manager. Legal questions or concerns
                should be directed to the Office of Chief Counsel.
  ------------- ---------------------------------------------------------

5.  [Questions and Answers.]{.underline}

Q: Can administrative leave be granted to complainants involved in EEO
litigation in court?

A: No. Managers do not have authority to grant official time in the
event an employee files a civil lawsuit in court. In civil actions,
employees are required to use their own annual leave, compensatory time,
and/or credit hours worked. Sick leave or court leave cannot be used.

However, should the employee prevail in a lawsuit, he or she may seek
damages, which may include reimbursement for leave incurred in
connection with preparation of the lawsuit.

Q: What are examples of the need for official time?

A: Official time may be granted for the following:

-   Preparing and presenting a complaint or perfecting an appeal.

-   Attending meetings and hearings with the Treasury Complaint Center,
    Office of Civil Rights and Diversity, and Equal Employment
    Opportunity Commission officials.

-   Preparing for meetings, conferences, and hearings outside of the
    above actions.

**70.3** **[Equal Employment Opportunity]{.underline}.** Federal law
provides individuals with equal opportunity in all areas of employment
regardless of the individual's race, color, sex, religion, national
origin, physical/mental disability, and/or age. The Federal Government
also has policies that ban discrimination based on a person's sexual
orientation, genetics, marital status, and/or parental status. Although
these are not recognized bases of discrimination under Federal
anti-discrimination statutes, complaints of discrimination on these
bases may be filed and processed under the Agency's EEO complaint
process and procedures. The Equal Employment Opportunity Commission
(EEOC) administers and enforces Federal laws prohibiting employment
discrimination in both the public and private sectors. Listed below are
some of the laws and regulations that govern the Federal EEO process.

-   Title VII of the [Civil Rights Act of
    1964](http://www.eeoc.gov/policy/vii.html)

-   [Civil Rights Act of 1991](http://www.eeoc.gov/policy/cra91.html)

-   [EEOC Regulations (](http://www.eeoc.gov/policy/cra91.html)[29
    C.F.R. Part
    1614](http://www.access.gpo.gov/nara/cfr/waisidx_00/29cfr1614_00.html))

-   EEOC Management Directive 110
    ([MD-110](http://www.eeoc.gov/federal/md110.html))

-   EEOC Management Directive 715
    ([MD-715](http://www.eeoc.gov/federal/md715/index.html))

-   [Rehabilitation Act of 1973](http://www.eeoc.gov/policy/rehab.html)

-   [Equal Pay Act](http://www.eeoc.gov/policy/epa.html) of 1963

-   Age Discrimination in Employment Act
    ([ADEA](http://www.eeoc.gov/policy/adea.html)) of 1967

TIGTA's EEO Program is designed to promote fair and equitable employment
opportunities for all employees and applicants for employment. The
program fosters and promotes a discrimination-free work environment by
ensuring that all employees understand the avenues available for
reporting discrimination and addressing workplace diversity issues.
TIGTA is committed to eliminating barriers to equal employment within
the workplace and to resolving workplace issues at the lowest possible
levels.

In accordance with EEOC MD-110 and MD-715, as well as 29 C.F.R. §
1614.102(b)(4), TIGTA has an EEO Program Manager. Pursuant to 29 C.F.R.
§ 1614.102(c)(1-4) TIGTA's EEO Program Manager is responsible for the
following:

> \(l\) Advising the head of the agency with respect to the preparation
> of national and regional equal employment opportunity plans,
> procedures, regulations, reports and other matters pertaining to the
> policy in 1614.101 and the agency program.
>
> \(2\) Evaluating from time to time the sufficiency of the total agency
> program for equal employment opportunity and reporting to the head of
> the agency with recommendations as to any improvement or correction
> needed, including remedial or disciplinary action with respect to
> managerial, supervisory or other employees who have failed in their
> responsibilities.
>
> \(3\) When authorized by the head of the agency, making changes in
> programs and procedures designed to eliminate discriminatory practices
> and to improve the agency\'s program for equal employment opportunity.

In addition to these regulatory responsibilities, TIGTA's EEO Program
Manager is also responsible for:

-   Implementation of a continuing Affirmative Employment Program (AEP)
    to

> promote equal employment opportunity and to identify and eliminate
> discriminatory practices and policies.

-   Administration of the Special Emphasis Programs (SEP) to include,
    Disability, Federal Women's, Black Employment, Asian
    American-Pacific Islanders, Hispanic, and Native American programs.

-   Administration of the Reasonable Accommodation Program.

-   Administration of the Alternative Dispute Resolution (ADR) Program.

-   Providing consultative services to the Inspector General (IG), TIGTA
    managers, and employees.

-   Providing updates to the IG and senior-level management regarding
    new issues, trends and laws regarding EEO and diversity.

-   Implements and ensuring compliance with new guidance and laws
    regarding EEO and diversity.

-   Providing guidance and recommendations for resolving workplace
    disputes before and during informal and formal EEO complaint
    processing.

-   Developing and conducting training to agency personnel ensuring
    compliance with federally mandated programs, e.g. sexual harassment.

[Agency EEO Officials Cannot Serve as Representatives.]{.underline} In
accordance with MD-110 Chapter 1, Section VI and 29 C.F.R. §
1614.605(c), TIGTA's EEO Program Manager cannot serve as a
representative for complainants or agencies in the processing of
discrimination complaints. The EEO Program Manager is required to be
unbiased and merely collect the facts surrounding a complaint.

[Employee Responsibilities]{.underline}. TIGTA employees are encouraged
to resolve differences with management at the lowest level possible,
including concerns involving alleged discrimination. The efforts by the
employee and management to informally resolve conflicts do not replace
the EEO process.

There are statutory guidelines governing the time frames for bringing an
allegation of discrimination to an EEO Counselor, and employees are
advised to ensure that they are aware of and adhere to the appropriate
requirements. All TIGTA employees who believe they have been subjected
to discrimination must contact the appropriate EEO Counselor within 45
calendar days of the alleged incident for the complaint to be considered
timely.

[Management Responsibilities]{.underline}. All TIGTA managers are
responsible for taking the necessary steps to eliminate and/or prevent
discrimination in the workplace. Fostering dignity and respect within
the workplace is an essential part of eliminating and preventing
discrimination. This includes promoting and supporting special emphasis
programs and awareness activities.

Managers are responsible for responding promptly to allegations of
discrimination and/or sexual harassment in accordance with policy and
procedures, and for implementing immediate and appropriate action to
address the situation.

In accordance with MD-715, managers are **[required]{.underline}** to
participate and attempt to resolve complaints at the lowest level
possible to include: informal meetings, ADR, and other alternatives when
deemed appropriate.

[70.3.1 Equal Employment Opportunity Process]{.underline}. TIGTA's EEO
process follows the provisions in [29 C.F.R. Part
1614](http://www.eeoc.gov/federal/1614-final.html) and
[MD-110](http://www.eeoc.gov/federal/md110.html). The EEO process goes
through several stages.

[70.3.2 Informal Processing (Pre-complaint)]{.underline}. The informal
complaint processing or pre-complaint processing starts the moment a
complainant makes initial contact with an EEO Counselor. [EEOC
MD-110](http://www.eeoc.gov/federal/md110.html) and [29 C.F.R.
§1614.105(a) (1)](http://www.eeoc.gov/federal/1614-final.html) outline
the requirements and statutes associated with initiating a complaint of
discrimination.

[70.3.3 Pre-Complaint Process]{.underline}. TIGTA utilizes the Internal
Revenue Service (IRS) EEO pre-complaint (counseling) process, including
its ADR Program, under a [Memorandum of
Understanding](http://web.tigta.treas.gov/IMDS/mous/Agreement_IRS_TIGTA.pdf)
dated April 20, 2007. The first part of the process generally requires
that an allegedly aggrieved party must make initial contact with an IRS
EEO Counselor within **[45 days]{.underline}** of the alleged
discriminatory action or within **[45 days]{.underline}** of becoming
aware of the alleged discriminatory action ([29 C.F.R. §1614.105(a)
(1)](http://www.eeoc.gov/federal/1614-final.html)). In TIGTA offices, a
contact list of EEO Counselors along with a poster captioned "*Equal
Employment...It's the Law*" [Poster
11471](http://intranet.tigta.treas.gov/oms_eeo_docs/11471EEOLaw.pdf),
have been posted and displayed in conspicuous places, and on the Agency
[intranet web
sitehttp://intranet.tigta.treas.gov/oms_eeo_filing_process.asp](http://intranet.tigta.treas.gov/oms_eeo_filing_process.asp),
in the Special Emphasis Programs and Equal Employment Opportunity
section, for all employees to have access to the information.

When contacted, the EEO Counselor will set up an initial interview with
the complainant in order to gather information regarding the alleged
discrimination and advise the complainant in writing of his/her rights
and responsibilities in the process. The counseling period is 30 days,
but may be extended up to an additional 30 days with the agreement of
the complainant. During the counseling process the complainant has the
right to maintain or waive his/her anonymity. The Counselor is a neutral
party who will conduct a limited inquiry into the facts and
circumstances and attempt to find a resolution that is acceptable to the
parties. The Counselor will also explore the possibility of mediation.
The Counselor is not an advocate for either the complainant or the
Agency and cannot be compelled or allowed to represent or appear on
behalf of the complainant or the agency at an EEOC hearing.

Mediation is the only ADR process available to TIGTA employees in the
pre-complaint process. The Counselor may offer the complainant the
opportunity to participate in the ADR process, especially if it appears
that a resolution of the matter is possible. The Counselor will advise
the complainant that his or her participation in the ADR process is
voluntary and he or she has a right to representation during the ADR
process. The complainant may accept the offer of ADR or refuse and
continue with counseling. Should the complainant accept the offer,
he/she shall be asked to sign an agreement extending the counseling
process for up to 60 days in order to provide adequate time to engage in
the mediation process. The Counselor shall then take the necessary steps
to contact all interest parties and put them in contact with a neutral,
third-party mediator. Resolution of the matter will not be attempted
through regular EEO counseling if the complainant elects to participate
in ADR. For additional discussion of ADR during the pre-complaint
process see (600)-70.4.4.

Through ADR the parties attempt to reach a settlement of the alleged
disputes. If the matter is not settled, the EEO Counselor will hold a
final interview with the complainant and provide him/her with a written
Notice of the Right to File a Discrimination Complaint (Notice),
including a copy of Department of the Treasury Form Number TDF 62-03.5.
The Notice will inform the complainant of his/her right to file a formal
complaint of discrimination within 15 days of receipt of the notice,
identify the agency official with whom the complaint must be filed, and
of his/her obligation to inform the agency if he/she is represented.

[70.3.4 Formal Complaint Process]{.underline}. The complainant has [15
days]{.underline} from his/her receipt of the notice of Individual
Complaint of Employment Discrimination with the Department of the
Treasury to file a formal complaint. The Treasury Complaint Center (TCC)
at its discretion may dismiss a claim (29 C.F.R. § 1614.107) of
discrimination that is received untimely (i.e. outside the
45-calendar-day window).

The formal complaint must be a signed statement from the complainant or
his/her representative containing the complainant's or representative's
address and telephone number, and must be sufficiently precise to
identify the complainant and the agency, and describe generally the
agency action or practice, which form the basis of the complaint. (29
C.F.R. § 1614.106). Treasury employees may file a formal complaint using
Treasury [Form](http://intranet.treas.gov/forms/files/TDF62-03.5.pdf)
TDF 62-03.5.

\*Note -- The only issues that can be addressed in a formal complaint of
discrimination are those that the complainant raised in the
pre-complaint (counseling) process.

Once the Agency accepts a claim of discrimination for investigation, it
will assign the complaint to an EEO Investigator through the TCC. The
Agency is required by law to complete the investigation within 180 days
from the date the complainant filed the complaint of discrimination. If
the original complaint is amended or consolidated, the Agency must
complete the investigation within the earlier of 180 days after the last
amendment to the complaint or 360 days after the filing of the original
complaint. A complainant may request a hearing on the consolidated
complaints any time after 180 days from the date he/she filed the
original complaint. (29 C.F.R. § 1614.606).

The EEO Investigator is to conduct a thorough, impartial, fact-finding
investigation and provide enough information and documentation in the
investigative file for a reasonable fact-finder to make a decision based
on the merits of the complaint. The EEO Investigator's role is that of a
neutral party who gathers the facts available and presents a completed
case for review by both parties. The EEO Investigator is not an advocate
for either the complainant or the Agency, nor can he/she be compelled or
allowed to represent or appear on behalf of the complainant or the
Agency at a hearing.

Under 29 C.F.R. § 1614.108, agency personnel are required to respond
fully and in a timely manner to an EEO Investigator's request for
documents and/or testimony. Should the Agency or its employees fail to
show good cause for not responding fully and/or timely to an EEO
Investigator's requests for information and/or testimony, the EEOC AJ
may draw an adverse inference that the requested information or
testimony reflects unfavorably upon the agency. See [29 C.F.R. §
1614.108.3](http://www.doi.gov/diversity/doc/cfr1614/cfr1614h.htm) for
further details.

It is imperative that TIGTA personnel involved in EEO complaints of
discrimination comply with the request(s) of the EEO Investigator
assigned to the case.

The Office of Chief Counsel represents the Agency in these types of
matters. All TIGTA management officials must coordinate with the Office
of Chief Counsel with respect to requests for documents and/or
declarations/affidavits received from an EEO Investigator.

ADR may be offered to the complainant by either TIGTA or TCC after a
formal complaint is filed. If the parties enter into ADR, the time
period for processing the complaint may be extended by agreement for not
more than 90 days. If the dispute is not resolved, the complaint is
processed within the extended time period. For additional discussion of
ADR during the formal complaint process see (600)-70.4.4.2.

See the linked flow chart concerning the informal and formal process in
[Exhibit200-70-2](../../200-exhibits/exhibit200-70-2.pdf)

70.4 [Alternative Dispute Resolution]{.underline}

[70.4.1 Summary]{.underline}. ADR techniques are widely used by Federal
agencies to resolve workplace disputes in an expeditious, efficient, and
cost effective manner. EEOC regulations require federal agencies to make
ADR available during the pre-complaint and formal complaint processes.
In addition, EEOC policy requires that the use of ADR be governed by the
following core principles: (1) furtherance of the agency's mission; (2)
fairness (which requires voluntariness, neutrality, confidentiality, and
enforceability); (3) flexibility; (4) training; and, (5) evaluation.

Mediation is the only ADR process available to TIGTA employees and
applicants for employment. Mediation offers the parties an opportunity
to reach a mutually acceptable resolution to the disputed issues through
open and confidential discussions of their interests and concerns with
the assistance of a neutral third-party mediator.

In accordance with TIGTA goals and objectives, it is desirable to
achieve a discrimination-free workplace that promotes trust, dignity and
respect amongst all employees. ADR is a viable means to achieving these
goals and fosters a sense of willingness to listen, understanding of
issues and complaints, and identifying and correcting possible
behavioral/procedural discrepancies within the organization.

[TIGTA's ADR Policy
Statement](http://web.tigta.treas.gov/IMDS/interim-guidance/tigta-numbered-memos/fy2007/tigta0717.doc)[.]{.underline}

1.  [Statutes, Regulations and EEOC Directives and Policies. The
    Administrative]{.underline}

[Dispute Resolution Act of 1996, 5 U.S.C. §§
571-584](http://www.usdoj.gov/odr/adra.pdf) -- "Congress finds that (1)
an administrative procedure that is intended to offer a prompt, expert,
and inexpensive means of resolving disputes as an alternative to
litigation in the Federal courts; (2) administrative proceedings have
become increasingly formal, costly, and lengthy resulting in unnecessary
expenditures of time and in a decreased likelihood of achieving
consensual resolution of disputes; (3) alternative means of dispute
resolution have been used in the private sector for many years and, in
appropriate circumstances, have yielded decisions that are faster, less
expensive, and less contentious; (4) such alternative means can lead to
more creative, efficient, and sensible outcomes; (5) such alternative
means may be used advantageously in a wide variety of administrative
programs; (6) explicit authorization of the use of well-tested dispute
resolution techniques will eliminate the ambiguity of agency authority
under existing law; (7) Federal agencies may not only receive the
benefit of techniques that were developed in the private sector, but may
also take the lead in the further development and refinement of such
techniques; and, (8) the availability of a wide range of dispute
resolution procedures, and an increased understanding of the most
efficient use of such procedures, will enhance the operation of the
Government and better serve the public."

[29 C.F.R § 1614.102 Agency Programs (]{.underline}[29 C.F.R. §
1614.102](http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?TITLE=29&PART=1614&SECTION=102&YEAR=2000&TYPE=TEXT)[)]{.underline}
-- Among other things, provides that: "(a) Each agency shall maintain a
continuing affirmative program to promote equal opportunity and to
identify and eliminate discriminatory practices and policies. In support
of this program, the agency shall: (3) Conduct a continuing campaign to
eradicate every form of prejudice or discrimination from the agency\'s
personnel policies, practices and working conditions. (b) In order to
implement its program, each agency shall: (1) Develop the plans,
procedures and regulations necessary to carry out its program; and (2)
Establish or make available an alternative dispute resolution program.
Such program must be available for both the pre-complaint process and
the formal complaint process."

[29 C.F.R. §1614.108 Investigations (]{.underline}[29 C.F.R.§
1614.108](http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?TITLE=29&PART=1614&SECTION=108&YEAR=2000&TYPE=TEXT)[)]{.underline} -
Provides that: "(a) The investigation of complaints shall be conducted
by the agency against which the complaint has been filed. (b) In
accordance with instructions contained in Commission Management
Directives, the agency shall develop an impartial and appropriate
factual record upon which to make findings on the claims raised by the
written complaint. An appropriate factual record is one that allows a
reasonable fact finder to draw conclusions as to whether discrimination
occurred. Agencies may use an exchange of letters or memoranda,
interrogatories, investigations, fact-finding conferences or any other
fact-finding methods that efficiently and thoroughly address the matters
at issue. Agencies are encouraged to incorporate [alternative dispute
resolution]{.underline} techniques into their investigative efforts in
order to promote early resolution of complaints."

[Voluntary Settlement Attempts (]{.underline}[29 C.F.R §
1614.603](http://frwebgate.access.gpo.gov/cgi-bin/get-cfr.cgi?TITLE=29&PART=1614&SECTION=603&YEAR=2000&TYPE=TEXT)[)]{.underline}
-- Provides that: "\[e\]ach agency shall make reasonable efforts to
voluntarily settle complaints of discrimination as early as possible in,
and throughout, the administrative processing of complaints, including
the pre-complaint counseling stage. Any settlement reached shall be in
writing and signed by both parties and shall identify the claims
resolved."

[EEOC]{.underline} [Management Directive -
MD-110](http://www.eeoc.gov/federal/md110/chapter3.html) [Chapter
3]{.underline} -- States in part, that: "EEOC\'s revised regulations at
29 C.F.R. § 1614.102 (b) (2) require agencies to establish or make
available an alternative dispute resolution program. The ADR program
must be available during both the pre-complaint process and the formal
complaint process. The Commission has developed an ADR Policy which sets
forth core principles regarding the use of ADR. A copy of the EEOC\'s
ADR Policy Statement is included as Appendix H to this Management
Directive. EEOC regulations extend the counseling period where ADR is
used. [See]{.underline} § 1614.105 (f)."

[EEOC]{.underline} [Management Directive
715](http://www.eeoc.gov/federal/md715/index.html) -- States in part,
that: "This Directive provides policy guidance and standards for
establishing and maintaining effective affirmative programs of equal
employment opportunity under Section 717 of Title VII (PART A) and
effective affirmative action programs under Section 501 of the
Rehabilitation Act (PART B). The Directive also sets forth general
reporting requirements (PART C)." This directive supersedes Management
Directives 712 -- 714.

[EEOC facts on the Federal sector
ADR](http://www.eeoc.gov/federal/adr/facts.html)[.]{.underline}

[70.4.4 ADR in the Administrative Complaint Process.]{.underline}

[70.4.4.1 ADR in Pre-Complaint (Counseling) Phase.]{.underline} TIGTA
utilizes the IRS EEO pre-complaint (counseling) process, including its
ADR program, under a [Memorandum of
Understanding](http://web.tigta.treas.gov/IMDS/mous/Agreement_IRS_TIGTA.pdf)
dated April 20, 2007. When a complainant contacts an IRS EEO Counselor
concerning an alleged discriminatory act(s), the EEO Counselor will
inform the complainant of the availability of ADR in lieu of traditional
counseling. Participation in the IRS ADR program is voluntary for the
complainant. The complainant does not waive his/her right to file a
formal complaint of discrimination at a later date by agreeing to
participate in ADR.

Mediation is the only ADR method available during the EEO complaint
process for TIGTA employees. If the IRS EEO Counselor determines that
the dispute is appropriate for mediation and the complainant agrees to
mediation, resolution of the dispute will not be attempted through
traditional counseling. The EEO Counselor and the TIGTA EEO Program
Manager will coordinate the date, time, and location of mediation with
the complainant and his/her representatives, (if any), the appropriate
TIGTA manager/supervisor, TIGTA Counsel, and the mediator. The IRS ADR
Program uses only neutral, third party mediators who are certified and
trained in mediation. If the dispute is resolved with the mediator's
assistance, the parties will enter into a written settlement agreement.
If not, the counseling phase will proceed.

[70.4.4.2 ADR in the Formal Complaint Process.]{.underline} The TIGTA
EEO Program Manager may determine that ADR is appropriate at any time
after a formal complaint is filed. The TIGTA EEO Program Manager may
offer ADR at any time after the filing of the complaint until initiation
of the investigation. If TIGTA offers ADR after a formal complaint is
filed, and the complainant agrees to participate, the TIGTA EEO Program
Manager will obtain a signed authorization from the complainant
extending the formal process for up to 90 days and forward the
authorization to the TCC. This notification will take place within 48
hours from when ADR is elected and all time frames set forth in 29
C.F.R. Part 1614 for processing complaints are to be tolled.

TIGTA will provide a mediator or other neutral party, including contract
mediators, agency mediators, a member of the shared neutrals program, or
any mediator deemed appropriate for the particular situation, as long as
there is no conflict of interest.

If resolution is not achieved, the TCC will be notified and the
complaint will be reinstated at the point that processing was stopped.

After an investigation is completed, the TCC will evaluate the case
evidence and the prior resolution attempts to determine whether or not
additional ADR would be appropriate and beneficial.

If the TCC determines that ADR is appropriate, an appropriate official
from the TCC will consult with the TIGTA EEO Program Manager prior to
offering ADR to the complainant. All parties must agree to participate
in the ADR process, which, at this stage, will be a resolution
conference.

The resolution official may be a contract mediator, shared neutral, an
employee of another Federal Agency, or a member of the TCC staff, who
has not been involved in the processing of the complaint.

Consistent with MD-110, voluntary settlement throughout the
administrative process is encouraged. Therefore, TIGTA may offer the ADR
process even after a final agency decision or a hearing has been
elected. TIGTA is required to notify the parties that have jurisdiction
over the complaint at that period in time in order to conserve
resources.

Decisions to engage in an ADR process at the formal stage may not be
made by the subject of a complaint of discrimination. If the complainant
agrees to participate, she/he will be advised that participation is
voluntary and of the type of ADR being used, and must agree to the
suspension of the formal process while ADR proceeds.

Regardless of what type of ADR is used, all parties will be notified by
the EEO counselor and/or resolution official of the following:

-   Participation is voluntary.

-   Resolution discussions are confidential.

-   Records will not be kept of discussions during ADR.

-   The right to discontinue the process at any time.

-   Continuation of process if resolution is not achieved.

-   The right to representation.

-   Assurances against reprisal or retaliation.

-   The goal is resolution.

[70.4.3 Resolution]{.underline}. If resolution is achieved at either the
pre-complaint or formal stage, a written settlement agreement will be
prepared which includes a withdrawal of the EEO complaint and details
the terms of the settlement. The agreement must be signed by the
complainant, the appropriate management official and TIGTA Chief
Counsel's office (which has been delegated the authority to settle EEO
complaints on behalf of the Agency), and must be coordinated with the
appropriate TIGTA officials.

The agreement will contain appropriate language pertaining to
enforcement. (29 C.F.R. § 1614.504). Additionally, written agreements
settling a claim of age discrimination must comply with the requirements
of the Older Workers' Benefit Protection (OWBP) Act of 1990, including a
waiver of rights and claims under the ADEA (29 C.F.R. Part 1625).

If resolution is not achieved, the mediator or resolution official will
advise all parties that the ADR process is completed and that resolution
was not achieved. After notification that resolution was not achieved,
processing of the complaint will resume at the point processing ceased.

### 70.4.4 [Data Collection.]{.underline} TIGTA and the TCC are required to maintain data on the ADR Program in order to be able to evaluate the success of the program and for annual and other reporting purposes. At a minimum, collected data from TCC should include:

1.  Name of employee who elected ADR.

2.  Basis(es) and claim(s) of complaint.

3.  Whether settled or resolved.

4.  If not settled, any outstanding issues.

5.  Aggregated number of days spent in ADR.

6.  Mediator or resolution official used (contract, shared neutral,
    staff).

7.  Costs (Including contract fees, travel, staff time or costs).

8.  Remedies or relief granted.

The TIGTA EEO Program Manager will collect data from the IRS i-trak
system for reporting and evaluation purposes.

### 70.4.5 [Training and Evaluation.]{.underline} Training on the ADR process will be developed and made available on TIGTA's intranet in the future. 

70.5 Diversity. Diversity plays a major role in the success or failure
of any organization. It is important for all TIGTA employees to
understand the value of diversity. This includes fostering mutual
understanding of each other's differences and capitalizing on their
strengths. It is important that the Special Emphasis Programs (SEP) and
general awareness activities are supported and emphasized within the
workplace, in order for all employees to become more educated on the
value that differing cultures bring into the workplace. Each functional
work group and field office is encouraged to celebrate the various
awareness months as publicized by the EEO Office and look for creative
ways to increase understanding and awareness of the various cultures.
Many TIGTA field offices are co-located with IRS personnel and can
utilize their many celebrations and awareness activities to enhance
education and awareness by encouraging TIGTA employees to participate
and attend the functions. TIGTA Headquarters staff, in coordination with
the other Treasury bureaus, sponsor various SEP events to celebrate
diversity in Washington, DC. These events occur within the Washington DC
area. TIGTA encourages employees and management staff to participate and
attend the functions without the burden of increased travel expenses and
time.

TIGTA's employees represent a wide variety of cultural backgrounds. The
EEO Program Manager and Human Capital Management Team work together to
jointly develop recruitment strategies for future applicants to provide
TIGTA a diverse pool of applicants. The EEO Program Manager reviews
hiring trends and conducts analysis of hiring practices on an annual
basis and advises senior level management of the results. This provides
each functional work group the information they need to develop targeted
plans and initiatives to increase diversity among their ranks.

Each person brings their own set of strengths to the organization and
should be treated fairly and equitably in all facets of employment,
including promotion, hiring and performance objectives.

TIGTA has developed and implemented employee mentoring and career
enhancement programs. These programs are instrumental in career
development and prepare for succession planning and employment trends as
they arise. This provides an in-house employee workforce to compete for
upper level management positions as they become available.

Diversity is to be recognized on all levels of the organization as
strength and a necessity. People from diverse cultural and ethnic
backgrounds should be sought out to enhance TIGTA's workforce. As the
face of America changes, demographics and increased immigration continue
to expand and develop as rapidly as they are; it is imperative that
TIGTA reflect the country and the citizens we serve. TIGTA must not only
strive for the best and brightest applicants from all walks of life but
also develop strategies for acculturating our work environment and our
services. Various cultures are growing rapidly within our country and to
meet the ever-growing needs we must adapt to those cultures. The best
people and employees to reach the various cultures and groups are those
who represent those cultures and groups.

Diversity helps attract a talented and capable workforce that TIGTA
needs to accomplish its mission.

TIGTA strives to create a more diverse workforce that is inclusive and
not exclusive of any particular group. This means that all employees are
considered equal when contributing to the overall success of TIGTA and
our mission. With our blended community in the United States, and the
contributions made in society from individuals from all walks of life,
we would be missing a vital element to our success should any exclusion
occur.

TIGTA is dedicated to ensuring that the workplace, policies, procedures
and practices include all persons in a way of promoting value, trust and
respect to all

employees and customers alike.