Annual Report for Fiscal Year 2021

under the

Notification and Federal Employee Antidiscrimination

and Retaliation Act of 2002

Report Prepared for:

Speaker of the House of Representatives

President pro tempore of the Senate

Senate Committee on Homeland Security and Governmental Affairs

House Committee on Oversight and Reform

Senate Committee on Finance

House Committee on Ways and Means

Senate Committee on Health, Education, Labor and Pensions

House Committee on Education and Labor 

Equal Employment Opportunity Commission

Office of Personnel Management

Attorney General of the United States

Report Submitted by: 

Pension Benefit Guaranty Corporation 
2

Table of Contents

A. Introduction

B. Federal Court Cases Arising Under the Federal Antidiscrimination or

Whistleblower Laws

1. The Number of Federal Court Cases Pending or Resolved in FY 2021

2. Status or Disposition of Federal Court Cases Including the Amount of Money

Required to be Reimbursed to the Judgment Fund and Any Budget

Adjustments Relating to the Judgment Fund

C. Employees Disciplined for Conduct Inconsistent with Federal Antidiscrimination or

Whistleblower Laws

D. Final Year-End No FEAR Act Data for Fiscal Year 2021

E. PBGC’s Discipline Policy for Conduct Inconsistent with Federal Antidiscrimination

or Whistleblower Laws

F. Data Analysis

1. Trends

2. Causal Analysis

3. Knowledge Gained

4. Actions Planned to Improve PBGC’s EEO Program

G. No FEAR Act Training Plan

APPENDICES:

Appendix 1 Final Year-End No FEAR Act Data for FY 2021

Appendix 2 EEO Policy Statement, dated July 8, 2020

Appendix 3 Anti-Harassment Policy Statement, dated September 19, 2020
3 

A. Introduction

This report is prepared by the Pension Benefit Guaranty Corporation (PBGC) in

accordance with the requirements of Title II, Section 203, of the Notification and Federal 

Employee Antidiscrimination and Retaliation Act of 2002 (No FEAR or Act). The Act 

requires federal agencies to submit an annual report to the Speaker of the House of 

Representatives; the President pro tempore of the Senate; the Senate Committee on

Homeland Security and Governmental Affairs; the House Committee on Oversight and 

Reform; the Senate Committee on Finance; the House Committee on Ways and Means; the 

Senate Committee on Health, Education, Labor and Pensions; the House Committee on 

Education and Labor; the U.S. Equal Employment Opportunity Commission; Office of 

Personnel Management, and the Attorney General of the United States. 

The Act holds federal agencies accountable for violations of antidiscrimination and

whistleblower protection laws relating to federal employment. The report contains data 

and analysis concerning equal employment opportunity (EEO) complaint activity at

PBGC, including federal court cases, and resulting disciplinary actions during Fiscal

Year (FY) 2021. 

It is the law of this nation and the policy of PBGC to prohibit discrimination in the

workplace. PBGC is committed to maintaining an environment that provides equal

employment opportunity to its total workforce of 949 employees (901 Permanent, 48 

Temporary), as well as applicants for employment. 

B. Federal Court Cases Arising Under the Federal Antidiscrimination or Whistleblower

Laws

1. The Number of Federal Court Cases Pending or Resolved in FY 2021 

As shown below in Table 1, there was a total of five federal court cases pending at the end 

of FY 2021. Some of these cases involved more than one statute. 

TABLE 1 

Federal Court Cases Pending in FY 2021, Separated by Statute

Title VII of the Civil Rights Act of 1964 5

Age Discrimination in Employment Act of 1967 3

Rehabilitation Act of 1973 1

Whistleblower Protection Act 0

Equal Pay Act of 1963 0

There were no cases resolved (settled) in FY 2021. 
4 

2. Status or Disposition of Federal Court Cases Including the Amount of Money

Required to be Reimbursed to the Judgement Fund and Any Budget Adjustments 

Relating to the Judgement Fund 

Table 2 shows the status and disposition of federal court cases by statute. The table shows 

a total of five cases, some involving more than one statute.

As a government corporation, PBGC has corporate funds available to pay judgments and 

settlements. During FY 2021, PBGC paid no settlements from the Judgment Fund, nor did 

it make any budget adjustments relating to the Judgment Fund. 

TABLE 2 

Status of Federal Court Cases in FY 2021, by Statute

Title VII of the Civil Rights Act of 1964 5 

Pending 2 

Dismissed 3 

Settled 0 

Age Discrimination Employment Act of 1967 3 

Pending 1 

Dismissed 2 

Settled 0 

Rehabilitation Act of 1973 1 

Pending 0 

Dismissed 1 

Settled 0 

Whistleblower Protection Act 0 

Pending 0 

Dismissed 0 

Settled 0 

Equal Pay Act of 1963 0 

Pending 0 

Dismissed 0 

Settled 0 
5

C. Employees Disciplined for Conduct Inconsistent with Federal Antidiscrimination or 

Whistleblower Laws

Table 3 shows no findings of discrimination and no employees disciplined for having been

found to have engaged in discrimination in violation of the civil rights laws.

TABLE 3

Employees Disciplined for Conduct Inconsistent with Federal Antidiscrimination or

Whistleblower Laws in FY 2021

Employees Disciplined in Connection with Federal Court Cases

0

0

Number of Findings

Number of Employees Disciplined

Employees Disciplined Whether or Not in Connection with Federal Court

Cases

Number of Employees Disciplined 0

D. Final Year-End No FEAR Act Data for FY 2021

Attached as Appendix 1 is the PBGC’s final year-end No FEAR Act Data for FY 2021.

E. PBGC’s Discipline Policy for Conduct Inconsistent with Federal Antidiscrimination or

Whistleblower Laws

PBGC is committed to maintaining a workplace that promotes productivity,

professionalism, and an environment that protects the dignity of all its workers. PBGC

issues policy statements, which periodically are sent to all its employees and contractors.

The statements provide that PBGC is committed to ensuring that its employees and

applicants for employment are treated equitably in an environment that is free from

discrimination and harassment based on race, religion, color, sex, pregnancy, sexual

orientation, gender identity, parental status, marital status, national origin, age, disability,

family medical history or genetic information. All employees are responsible for

exhibiting professional conduct and behavior in the workplace and cooperating in the

enforcement of this policy. Further, individuals engaging in conduct or behavior that

violates this policy may be subjected to appropriate disciplinary action up to and including 

removal from Federal service. See EEO Policy Statement (Appendix 2), Anti- Harassment

Policy Statement (Appendix 3).

PBGC maintains a directive on disciplinary and adverse actions, outlining the procedures

for addressing employee misconduct, including a table of suggested penalties for various

infractions. The table has been in effect since 2007 and includes several categories

addressing conduct that is inconsistent with federal antidiscrimination or whistleblower
6 

laws. Using a progressive discipline approach, and depending on the nature of the 

misconduct, the penalties can range from a written reprimand for a first offense to removal 

from duty. 

F. Data Analysis 

Introduction 

This section provides data and trend analysis on the commonly cited bases and issues in 

formal EEO complaints for Fiscal Years 2021 and 2020. The basis of the complaint is 

the protected characteristic the complainant alleges to form the motivation for the 

discriminatory behavior. The bases protected by EEO statutes are race, color, religion, 

national origin, sex, disability, age, genetic information, and retaliation/reprisal (for

participating in the EEO complaint process or for opposing practices made illegal under

the EEO laws.)

The issue of a complaint is the specific subject matter about which an individual is

alleging a discriminatory incident for which he/she is seeking redress.

Table 4 shows that in FY 2021, 8 PBGC employees filed 12 formal complaints of 

discrimination in comparison to 11 formal complaints of discrimination filed the 

previous year by 7 employees. There was an increase in the number of filers from the 

previous year’s total of 7 individuals; however, the number of repeat filers, 3, remained

the same. See also Appendix 1. 

TABLE 4 

Number of Formal EEO Complaints and Number of Filers

Fiscal Years Number of

Complaints Filed

Number of

Complainants

Repeat Filers

2021 12 8 3

2020 11 7 3

Table 5 shows an analysis of the five leading alleged bases cited in the formal EEO

complaints filed in FY 2021 and FY 2020. 

TABLE 5 

EEO Bases in Formal EEO Complaints at PBGC

Year Race Reprisal Age Disability Sex

2021 7 7 6 4 9

2020 6 6 2 7 6

In FY 2021 sex was the most frequently alleged basis, with 9 cases filed, an increase 

from the previous year with 6 cases filed under that basis. Race and reprisal were the 
7 

second most frequently alleged bases, with 7 cases filed under each basis respectively, an 

increase from the previous year under each basis. Age was the third most frequently 

alleged basis with 6 cases filed in FY 2021, an increase compared to 2 cases filed under 

that basis in FY 2020. Formal complaints filed in FY 2021 under the basis of disability

decreased by 3, with 4 cases filed in FY 2021 compared to the previous year’s 7 cases. 

Additionally, formal complaints filed in FY 2021 under other bases include color and 

national origin, with 2 complaints filed under each basis, and 1 complaint filed under 

a non-EEO basis. No complaints were alleged under the Genetics and Pregnancy 

Discrimination Act in the reporting period. 

Table 6 shows a trend analysis of the five leading alleged issues cited in formal EEO 

complaints filed in FY 2021 and FY 2020. 

TABLE 6 

Leading Issues in Formal EEO Complaint

Year Harassment

(NonSexual)

Promotion/

NonSelection

Reasonable

Accommodation 

Terms and

Conditions

of 

Employment

Performance

Evaluation/Appraisal 

2021 1 2 2 5 2

2020 3 1 5 2 2

The leading issue in FY 2021 was terms and conditions of employment with 5 

complaints filed representing an increase from 2 complaints filed in FY 2020. The 

second leading issues were promotion/non-selection, reasonable accommodation, and

performance evaluation/appraisal, each with 2 complaints filed. 

The 2 complaints filed under promotion/non-selection was an increase from 1 in FY 

2020; the 2 complaints filed under reasonable accommodation was a decrease from 5 in 

FY 2020; and the 2 complaints filed under performance evaluation/appraisal was the 

same as in FY 2020. Complaints filed under harassment (non-sexual) decreased from 3 

in FY 2020 to 1 in FY 2021. 

1. Trends

a. The total number of formal complaints filed in FY 2021, 12, increased by 1 

from the previous year. 

b. The largest trending decrease in alleged basis was disability. Complaints

alleging disability as a basis went from 8 complaints in FY 2018 to 4 complaints 

in FY 2021, a 50% decrease.

c. The most frequently claimed protected basis in FY 2021 was sex, representing 9 

complaints, compared to FY 2020, with 6 complaints filed under this basis. 

Complaints alleging race and sex have been two of the leading alleged bases

in the past 4 fiscal years. The protected basis in which the fewest complaints 
8

were filed was equal pay, where only 1 to 2 complaints were filed under the 

basis in the past 4 years. Complaints identifying reprisal and age were the 

second most frequently alleged protected bases, representing 7 and 6 complaints 

filed respectively in FY 2021. Reprisal increased to 7 in FY 2021 from 6 in FY 

2020, and age increased to 6 in FY 2021 from 2 in the previous year. 

Complaints filed under national origin, color, equal pay and non-EEO had a

slight increase, while complaints filed under the basis of disability decreased 

from 7 to 4. Genetics and Pregnancy Discrimination Act claims remained the 

same with no complaints filed in FY 2021 and FY 2020.

In FY 2021, there was an increase to 5 in formal complaints filed on issues 

alleging terms and conditions of employment, from 2 in FY 2020. Complaints 

filed on issues alleging reasonable accommodation and harassment (non-sexual) 

decreased by 3 and 2, respectively, from 5 and 3, respectively, in FY 2020. 

Formal complaints alleging promotion/non-selection increased to 2 in FY 2021 

compared to 1 in FY 2020, while complaints identifying performance/evaluation 

remained the same at 2 in FY 2021 and FY 2020.

d. This section contains data on: (1) the average number of days for completion 

of each stage of the EEO process; (2) pending complaints at various stages of 

the EEO process; and (3) pending formal complaints exceeding the 180-day

investigation requirement.

FY 2021 reflected an increase in the average number of days, 136, in the formal 

complaint investigation stage. This is likely due to the increase in the number of 

formal complaints filed during the FY 2021 reporting period. It is important to 

note that the average of 136 days in the investigative phase is still significantly 

below the 180-day regulatory timeframe for completing investigations.

The total average number of days in investigation increased by 12 days, from 

124 days in FY 2020 to 136 days in FY 2021, an increase of 9.7%. In FY 2021 

compared to FY 2020, the average number of days in investigations (including 

investigations of cases that were withdrawn) increased, the average number of 

days in final agency action decreased, and the average number of days in cases 

that were dismissed increased. The Agency will continue to strive to achieve the 

180-day requirement and assess processing times at the investigative stage.

2. Causal Analysis

Formal EEO complaint activity increased by 9.1% in FY 2021, or an increase in 

total formal complaints filed by 1 over the preceding year. PBGC will continue as a

leading Agency in its commitment to outreach, Office of Equal Employment 

Opportunity (OEEO) Affirmative Employment Committees and focus groups,

affinity groups, employee training, and diversity workshops.
9

3. Knowledge Gained

PBGC will continue to educate the workforce in Equal Employment Opportunity,

civil rights laws, and regulations, by providing continued trainings, workshops and

marketing the availability of conflict management and Alternative Dispute

Resolution (ADR). ADR is an option at all stages of the EEO process and PBGC

managers and employees are educated on the benefits of ADR. The Agency and its

leadership strongly promote and advocate employee outreach, employee training

and zero tolerance of workplace discrimination. PBGC has also invested in 

providing training and seminars in leadership development, managing workforce 

generations, disability awareness and work-life balance.

4. Actions Planned to Improve PBGC’s Equal Employment Opportunity Program

PBGC senior leaders, managers, and supervisors hold themselves accountable for

achieving the EEO elements and standards via their performance plans.

Agency initiatives and accomplishments in FY 2021:

• PBGC’s senior leadership team, including its Director, demonstrated

commitment to moving the Agency to a model EEO program status via support 

of barrier analysis and annual EEO training.

• OEEO offered EEO training for employees and supervisors.

• OEEO reviewed and established a schedule for ongoing EEO training courses in FY

2022.

• The Human Resources Department (HRD) continued to offer a comprehensive

leadership development training program for managers and supervisors with

courses focused on diversity, inclusion, and unconscious bias, as well as a

Leadership/Executive Coaching Program with International Coaching 

Federation (ICF) certified coaches available to employees at the SL, GS-15, and 

GS-14 grade levels.

• Agency senior leaders provided continued support for barrier analysis by

providing organizational points of contact to work with OEEO so that equal

opportunity and diversity and inclusion are integrated into their departmental

action plans and the Agency’s overall strategic operations. The goal is to be 

proactive in the prevention of discrimination.

• OEEO continued to engage senior leaders, human resources staff, and hiring

officials to examine ways to improve recruitment and retention and discuss

process improvement to determine whether the recruitment and selection

processshould be refined internally.

• OEEO continued its book club with discussions focused on topics that

support equity, diversity, and inclusion to create a more engaged workforce.

• OEEO continued YOUniversity, a bias awareness program.

• PBGC’s Affirmative Employment Committees assisted in barrier analysis

program development to support PBGC’s EEO program.

• PBGC’s Diversity Equity Inclusion and Accessibility Council sponsored 

a Community Day titled “Pension Hidden Figures.”

• PBGC’s Section 508 Compliance Team continued to conduct multiple 
10 

virtual “Acclimate to Section 508” Learning Series courses throughout the 

year.

• In FY 2021, Office of Policy and External Affairs (OPEA) continued 

targeted recruitment outreach for underrepresented groups. 

• Office of Management and Administration (OMA) enhanced developmental 

opportunities by establishing a career ladder position which is promotable to 

GS- 13 grade level.

• Office of Benefits Administration (OBA) continued to work with HRD on a 

workforce planning strategy that will allow recruitment of recent graduates at 

the GS-07/09 grade level with career ladders to GS-13. Additionally, OBA 

continued to work with HRD to recruit and hire three Schedule A candidates 

for career ladder positions. 

• Office of Negotiations and Restructuring (ONR) enhanced developmental 

opportunities by offering technical skills training to develop performance of 

staff, and soft skills training to enhance communication skills. In addition, 

actuaries continued to have extensive professional education opportunities 

including webinars conducted by the Society of Actuaries, the Conference of 

Consulting Actuaries, and the American Academy of Actuaries. 

• In FY 2021, ONR onboarded 10 external hires including one Schedule A 

applicant. 

• Office of Information Technology (OIT) continued to work with HRD to 

develop recruitment strategies targeted at underrepresented groups. 

• Office of the Chief Financial Officer (OCFO) continued to work with HRD 

to hire persons with targeted disabilities through Schedule A appointing 

authority. 

• In FY 2021, Office of the General Counsel (OGC)’s diversity outreach efforts 

included recruitment of four females for the summer law clerk program. All 

four accepted offers of permanent employment at the end of the program. In 

addition, OGC made eight hires in FY 2021. Of these hires, 66% were Women, 

38% were Black or African American, and 25% were disabled veterans. OGC 

enhanced developmental opportunities by promoting a Mexican American to 

Assistant General Counsel. 

G. No FEAR Act Training Plan

The No Fear Act requires mandatory bi-annual training and PBGC met this requirement 

by completing the training in FY 2021. The No FEAR Act training addressed PBGC’s 

ongoing obligation to provide training to new employees within 90 days of onboarding 

and to existing employees every two years under the No FEAR Act. The training

addressed the rights and remedies available under the employment discrimination and 

whistleblower protection laws; the history of the No FEAR Act and its requirements; 

identifying anti-discrimination laws, issues, protected classes, and obligations under the 

No FEAR Act; the history of the Whistleblower Protection Act and recognized

categories of whistleblower protection; and where and how to report suspected 

violations of the Whistleblower Protection Act. No FEAR training was offered to all

PBGC employees from August 2, 2021, through August 27, 2021. PBGC completed the 

required training at a 100% rate. 
Appendix 1 

Equal Employment Opportunity Data Posted Pursuant to the No FEAR Act 

Pension Benefit Guaranty Corporation (PBGC) 

For the Fiscal Year ended September 30, 2021 

Part I Complaint Activity

Comparative Data

Previous Fiscal Year Data

FY 2021 2016 2017 2018 2019 2020

Number of Complaints Filed 29 16 19 14 11 12

Number of Complainants 28 15 17 13 7 8

Repeat Filers 1 1 2 1 3 3

Complaints by Basis Comparative Data

Previous Fiscal Year Data

FY 2021 Note: Complaints can be filed alleging

multiple bases. The sum of the bases may not

equal total complaints filed.

2016 2017 2018 2019 2020

Race 25 10 15 12 6 7

Color 18 5 3 5 1 2

Religion 18 5 3 5 1 0

Reprisal 24 10 11 9 6 7

Sex 27 10 13 11 6 9

PDA 0 0 0 0 0 0

National Origin 7 5 3 1 1 2

Equal Pay Act 0 1 0 1 0 2

Age 23 7 8 10 2 6

Disability 1 3 8 3 7 4

Genetics 0 1 0 0 0 0

Non-EEO 0 1 0 0 0 1

Part III Complaints By Issue Comparative Data

Previous Fiscal Year Data

Note: Complaints can be filed alleging multiple bases. The FY 2021 sum of the bases may not equal total complaints filed. 2016 2017 2018 2019 2020

Appointment/Hire 2 2 5 0 1 0

Assignment of Duties 7 1 0 2 0 1

Awards 0 0 0 0 0 0

Conversion to Full Time/Perm Status 0 0 0 0 0 0

Disciplinary Action

Demotion 1 0 0 0 0 1

Reprimand 2 0 0 0 0 0

Suspension 0 0 0 2 0 0

Removal 0 1 0 0 0 0

Other 1 0 0 0 0 0 0

Other 2 0 0 0 0 0 0

Duty Hours 0 0 0 0 0 0

Perf. Eval./ Appraisal 5 3 1 2 2 2

Examination/Test 0 0 0 0 0 0

Harassment

Non-Sexual 3 8 2 2 3 1

Sexual 0 1 1 0 0 0
Appendix 1 

Part III Complaints By Issue Comparative Data

Previous Fiscal Year Data

Note: Complaints can be filed alleging multiple bases. The FY 2021 

sum of the bases may not equal total complaints filed. 2016 2017 2018 2019 2020

Medical Examination 0 0 0 0 0 0

Pay including overtime 8 1 0 0 2 0

Promotion/Non-Selection 11 1 2 5 1 2

Reassignment

Denied 0 0 0 0 0 0

Directed 0 1 0 0 0 0

Reasonable Accommodation Disability 1 1 1 2 5 2

Reinstatement 0 0 0 0 0 0

Religious Accommodation 0 0 0 0 0 0

Retirement 0 0 0 0 0 0

Sex-Stereotyping 0 0 0 0 0 0

Telework 1 1 0 0 0 0

Termination 0 1 2 1 1 0

Terms/Conditions of Employment 18 2 4 5 2 5

Time and Attendance 0 0 1 0 0 1

Training 0 0 0 0 0 0

Other

User Defined - Other 1 0 0 0 0 0 0

User Defined - Other 2 0 1 3 0 0 0

User Defined - Other 3 0 0 0 0 0 0

User Defined - Other 4 0 0 0 0 0 0

Processing Time

Comparative Data

Previous Fiscal Year Data

FY 2021 2016 2017 2018 2019 2020

Complaints pending during fiscal year

Average number of days in investigation 242.47 395.19 174.93 171.29 124.0 136.00

Average number of days in final action 67.0 31.33 68.29 23.14 68.75 34.00

Complaints pending during fiscal year where hearing was requested 

Average number of days in investigation 247.07 404.61 177.8 181.2 127.4 213.10

Average number of days in final action 42.5 31.33 24.25 15.0 81.33 27.00

Complaints pending during fiscal year where hearing was not requested

Average number of days in investigation 178.0 318.4 173.5 146.5 130.0 154.00

Average number of days in final action 3637.0 0.0 127.0 50.8 31.0 41.00

Part V Complaints Dismissed by Agency 

Comparative Data

Previous Fiscal Year Data 

FY 2021 2016 2017 2018 2019 2020

Total Complaints Dismissed by Agency 1 3 11 3 3 8 

Average days pending prior to dismissal 178 123 57 21 28 44.67

Complaints Withdrawn by Complainants

Total Complaints Withdrawn by

Complainants

7 4 15 5 0 1 
Part VI Total Final

Agency Actions

Finding

Discrimination

Comparative Data

Previous Fiscal Year Data

FY 2021 

2016 2017 2018 2019 2020

# % # % # % # % # % # %

Total Number

Findings 0 0 0 0 0 0

Without Hearing 0 0 0 0 0 0 0 0 0 0 0 0

 With Hearing 0 0 0 0 0 0 0 0 0 0 0 0

Findings of

Discrimination 

Rendered

by Basis

Comparative

Data

Previous Fiscal Year

Data FY 2021 

Note: Complaints 

canbe filed

allegingmultiple

bases. The sumof 

the bases may not

equal total

complaints and

findings.

2016 2017 2018 2019 2020

# % # % # % # % # % # %

Total

Number

Findings

0 0 0 0 0 0

Race 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Color 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Religion 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Reprisal 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Sex 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

PDA 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

National

Origin 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Equal Pay

Act 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Age 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Disability 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Genetics 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Non-EEO 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Findings

After

Hearing

0 0 0 0 0 0

Race 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Color 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Religion 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Reprisal 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Sex 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Appendix 1 
Appendix 1 

Findings of

Discrimination

Rendered

by Basis

Comparative Data

Previous Fiscal Year Data 

FY 2021 

Note: Complaints 

canbe filed

allegingmultiple

bases. The sumof 

the bases may not

equal total

complaints and

findings.

2016 2017 2018 2019 2020

# % # % # % # % # % # %

PDA 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

National

Origin 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Equal Pay

Act 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Age 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Disability 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Genetics 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Non-EEO 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Finding

Without

Hearing

0 0 0 0 0 0

Race 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Color 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Religion 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Reprisal 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Sex 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

PDA 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

National

Origin 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Equal Pay

Act 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Age 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Disability 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Genetics 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Non-EEO 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00

Findings of

Discrimination Rendered

by Issue

Comparative Data

Previous Fiscal Year Data

FY 2021 2016 2017 2018 2019 2020

# % # % # % # % # % # %

Total Number Findings 0 0 0 0 0 0

Appointment/Hire 0 0 0 0 0 0 0 0 0 0 0 0

Assignment of Duties 0 0 0 0 0 0 0 0 0 0 0 0

Awards 0 0 0 0 0 0 0 0 0 0 0 0

Conversion to Full

Time/Perm Status 0 0 0 0 0 0 0 0 0 0 0 0
Appendix 1 

Findings of

Discrimination Rendered

by Issue

Comparative Data

Previous Fiscal Year Data

FY 2021 2016 2017 2018 2019 2020

# % # % # % # % # % # %

Disciplinary Action

Demotion 0 0 0 0 0 0 0 0 0 0 0 0

Reprimand 0 0 0 0 0 0 0 0 0 0 0 0

Suspension 0 0 0 0 0 0 0 0 0 0 0 0

Removal 0 0 0 0 0 0 0 0 0 0 0 0

Other 1 0 0 0 0 0 0 0 0 0 0 0 0

Other 2 0 0 0 0 0 0 0 0 0 0 0 0

Duty Hours 0 0 0 0 0 0 0 0 0 0 0 0

Perf. Eval. / Appraisal 0 0 0 0 0 0 0 0 0 0 0 0

Examination/Test 0 0 0 0 0 0 0 0 0 0 0 0

Harassment

Sexual 0 0 0 0 0 0 0 0 0 0 0 0

Non-Sexual 0 0 0 0 0 0 0 0 0 0 0 0

Medical Examination 0 0 0 0 0 0 0 0 0 0 0 0

Pay including overtime 0 0 0 0 0 0 0 0 0 0 0 0

Promotion/Non- 0 0 0 0 0 0 0 0 0 0 0 0

Reassignment

Denied 0 0 0 0 0 0 0 0 0 0 0 0

Directed 0 0 0 0 0 0 0 0 0 0 0 0

Reasonable 0 0 0 0 0 0 0 0 0 0 0 0

Reinstatement 0 0 0 0 0 0 0 0 0 0 0 0

Religious 0 0 0 0 0 0 0 0 0 0 0 0

Retirement 0 0 0 0 0 0 0 0 0 0 0 0

Sex-Stereotyping 0 0 0 0 0 0 0 0 0 0 0 0

Telework 0 0 0 0 0 0 0 0 0 0 0 0

Termination 0 0 0 0 0 0 0 0 0 0 0 0

Terms/Conditions of

Employment 0 0 0 0 0 0 0 0 0 0 0 0

Time and Attendance 0 0 0 0 0 0 0 0 0 0 0 0

Training 0 0 0 0 0 0 0 0 0 0 0 0

Other - User Define

User Defined - Other

1 0 0 0 0 0 0 0 0 0 0 0 0

User Defined - Other

2 0 0 0 0 0 0 0 0 0 0 0 0

User Defined - Other

3 0 0 0 0 0 0 0 0 0 0 0 0

User Defined - Other

4 0 0 0 0 0 0 0 0 0 0 0 0

Findings After Hearing 0 0 0 0 0 0

Appointment/Hire 0 0 0 0 0 0 0 0 0 0 0 0

Assignment of Duties 0 0 0 0 0 0 0 0 0 0 0 0

Awards 0 0 0 0 0 0 0 0 0 0 0 0
Appendix 1 

Findings of

Discrimination Rendered

by Issue

Comparative Data

Previous Fiscal Year Data

FY 2021

2016 2017 2018 2019 2020

# % # % # % # % # % # %

Conversion to Full

Time/Perm Status 0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary Action

Demotion 0 0 0 0 0 0 0 0 0 0 0 0

Reprimand 0 0 0 0 0 0 0 0 0 0 0 0

Suspension 0 0 0 0 0 0 0 0 0 0 0 0

Removal 0 0 0 0 0 0 0 0 0 0 0 0

Other 1 0 0 0 0 0 0 0 0 0 0 0 0

Other 2 0 0 0 0 0 0 0 0 0 0 0 0

Duty Hours 0 0 0 0 0 0 0 0 0 0 0 0

Perf. Eval. / Appraisal 0 0 0 0 0 0 0 0 0 0 0 0

Examination/Test 0 0 0 0 0 0 0 0 0 0 0 0

Harassment

Sexual 0 0 0 0 0 0 0 0 0 0 0 0

Non-Sexual 0 0 0 0 0 0 0 0 0 0 0 0

Medical Examination 0 0 0 0 0 0 0 0 0 0 0 0

Pay including overtime 0 0 0 0 0 0 0 0 0 0 0 0

Promotion/NonSelection 0 0 0 0 0 0 0 0 0 0 0 0

Reassignment

Denied 0 0 0 0 0 0 0 0 0 0 0 0

Directed 0 0 0 0 0 0 0 0 0 0 0 0

Reasonable

Accommodation

Disability

0 0 0 0 0 0 0 0 0 0 0 0

Reinstatement 0 0 0 0 0 0 0 0 0 0 0 0

Religious

Accommodation 0 0 0 0 0 0 0 0 0 0 0 0

Retirement 0 0 0 0 0 0 0 0 0 0 0 0

Sex-Stereotyping 0 0 0 0 0 0 0 0 0 0 0 0

Telework 0 0 0 0 0 0 0 0 0 0 0 0

Termination 0 0 0 0 0 0 0 0 0 0 0 0

Terms/Conditions of

Employment 0 0 0 0 0 0 0 0 0 0 0 0

Time and Attendance 0 0 0 0 0 0 0 0 0 0 0 0

Training 0 0 0 0 0 0 0 0 0 0 0 0

Other - User Define

User Defined – Other 1 0 0 0 0 0 0 0 0 0 0 0 0

User Defined – Other 2 0 0 0 0 0 0 0 0 0 0 0 0

User Defined – Other 3 0 0 0 0 0 0 0 0 0 0 0 0

User Defined – Other 4 0 0 0 0 0 0 0 0 0 0 0 0
Appendix 1 

Findings of

Discrimination Rendered

by Issue

Comparative Data

Previous Fiscal Year Data

FY 2021 2016 2017 2018 2019 2020

# % # % # % # % # % # %

Findings Without

Hearing 0 0 0 0 0 0

Appointment/Hire 0 0 0 0 0 0 0 0 0 0 0 0

Assignment of Duties 0 0 0 0 0 0 0 0 0 0 0 0

Awards 0 0 0 0 0 0 0 0 0 0 0 0

Conversion to Full

Time/Perm Status 0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary Action

Demotion 0 0 0 0 0 0 0 0 0 0 0 0

Reprimand 0 0 0 0 0 0 0 0 0 0 0 0

Suspension 0 0 0 0 0 0 0 0 0 0 0 0

Removal 0 0 0 0 0 0 0 0 0 0 0 0

Other 1 0 0 0 0 0 0 0 0 0 0 0 0

Other 2 0 0 0 0 0 0 0 0 0 0 0 0

Duty Hours 0 0 0 0 0 0 0 0 0 0 0 0

Perf. Eval. / Appraisal 0 0 0 0 0 0 0 0 0 0 0 0

Examination/Test 0 0 0 0 0 0 0 0 0 0 0 0

Harassment

Sexual 0 0 0 0 0 0 0 0 0 0 0 0

Non-Sexual 0 0 0 0 0 0 0 0 0 0 0 0

Medical Examination 0 0 0 0 0 0 0 0 0 0 0 0

Pay including overtime 0 0 0 0 0 0 0 0 0 0 0 0

Promotion/NonSelection 0 0 0 0 0 0 0 0 0 0 0 0

Reassignment

Denied 0 0 0 0 0 0 0 0 0 0 0 0

Directed 0 0 0 0 0 0 0 0 0 0 0 0

Reasonable

Accommodation

Disability

0 0 0 0 0 0 0 0 0 0 0 0

Reinstatement 0 0 0 0 0 0 0 0 0 0 0 0

Religious

Accommodation 0 0 0 0 0 0 0 0 0 0 0 0

Retirement 0 0 0 0 0 0 0 0 0 0 0 0

Sex-Stereotyping 0 0 0 0 0 0 0 0 0 0 0 0

Telework 0 0 0 0 0 0 0 0 0 0 0 0

Termination 0 0 0 0 0 0 0 0 0 0 0 0

Terms/Conditions of

Employment 0 0 0 0 0 0 0 0 0 0 0 0

Time and Attendance 0 0 0 0 0 0 0 0 0 0 0 0

Training 0 0 0 0 0 0 0 0 0 0 0 0

Other - User Define

User Defined – Other 1 0 0 0 0 0 0 0 0 0 0 0 0
Appendix 1 

Findings of

Discrimination Rendered

by Issue

Comparative Data

Previous Fiscal Year Data

FY 2021 2016 2017 2018 2019 2020

# % # % # % # % # % # %

User Defined – Other 2 0 0 0 0 0 0 0 0 0 0 0 0

User Defined – Other 3 0 0 0 0 0 0 0 0 0 0 0 0

User Defined – Other 4 0 0 0 0 0 0 0 0 0 0 0 0

Part IX Complaints Pending from

Previous Fiscal Years By Status

Comparative Data

Previous Fiscal Year Data

FY 2021 2016 2017 2018 2019 2020

Total complaints from previous

Fiscal Years

47 55 5 5 7 9

Total Complainants 40 48 19 4 5 4

Number complaints pending

Investigation 13 2 0 0 0 0

ROI issued, pending

Complainant's action

0 0 0 0 0 0

Hearing 31 49 19 5 7 8

Final Agency Action 0 1 3 0 0 1

Appeal with EEOC Office of

Federal Operations

11 10 10 10 1 0

Part X Complaint Investigations

Comparative Data

Previous Fiscal Year Data

FY 2021 2016 2017 2018 2019 2020

Pending Complaints Where

Investigations Exceed Required Time

Frames

1 1 0 0 0 0 
July 8, 2020 

TO: All PBGC Staff

FROM: Gordon Hartogensis 

Director

SUBJECT: Equal Employment Opportunity Policy Statement

The Pension Benefit Guaranty Corporation (PBGC) protects the retirement incomes of nearly 37 

million American workers in nearly 25,000 private-sector defined benefit pension plans. For 

PBGC to do its job well, we must continue to strive for inclusion, cooperation, and respect for the 

talents that a diverse workforce can bring to any successful venture. 

PBGC is committed to ensuring that its employees and applicants for employment are treated

equitably in an environment that is free from discrimination based on race, religion, color, sex, 

pregnancy, sexual orientation, gender identity, parental status, marital status, national origin, age, 

disability, family medical history, genetic information or reprisal. Employees and applicants who 

believe they may have experienced discrimination on any of these bases, or who believe they may 

have been retaliated against for exercising the right to go through the Equal Employment 

Opportunity (EEO) process, should contact the Office of Equal Employment Opportunity (OEEO)

as discussed below. 

All employees will have the freedom to compete on a fair and level playing field. Equal 

employment opportunity covers all personnel/employment programs, management practices, and

decisions, including, but not limited to, recruitment, hiring, merit promotions, transfers, 

reassignments, training and career development, benefits and separations. 

All employees are responsible for exhibiting professional conduct and behavior in the workplace 

and cooperating in the enforcement of this policy. Individuals engaging in conduct or behavior 

that violates this policy may be subject to appropriate disciplinary action up to, and including, 

removal from Federal service.

If you believe you may have been subjected to discrimination or retaliation, you should contact 

OEEO at 202-229-4363 or email all-eeo-fed@pbgc.gov immediately. OEEO offers a confidential

and neutral early intervention process to address concerns without your having to initiate the EEO 

complaint process. If, however, you decide to initiate the EEO complaint process, you must do so

within 45 calendar days of the incident or the date you became aware of the incident. Where an

aggrieved individual elects and OEEO determines that Alternative Dispute Resolution (ADR) is 

appropriate, managers and/or supervisors have a duty to participate in PBGC’s ADR process.

In our work processes, PBGC will create avenues for full participation to enable excellence and

innovation that is realized through collaboration of diverse ideas, experiences, and perspectives. 

By working together to promote the principles of equal opportunity, we will ensure that all

Appendix 2
employees and applicants for employment have an opportunity to succeed and contribute to 

PBGC’s mission of protecting America’s retirement security.
September 19, 2020 

TO: All PBGC Staff

FROM: Gordon Hartogensis 

Director

SUBJECT: Anti-Harassment Policy Statement

The Pension Benefit Guaranty Corporation (PBGC) has a policy providing for a work environment 

free from all forms of harassment. For example, in addition to providing the protection required

by EEO laws from harassment based on race, color, religion, sex (including pregnancy, sexual

harassment, gender identity, sexual orientation, and non-sexual harassment based on sex), national

origin, age, disability (mental or physical), genetic information or reprisal, PBGC’s policy also

protects against harassment based on parental and marital status.

Harassment becomes unlawful where 1) enduring the offensive conduct becomes a condition of

continued employment, or 2) the conduct is severe or pervasive enough to create a work

environment that a reasonable person would consider intimidating, hostile, or abusive. 

Examples include (but are not limited to):

• making negative comments about an employee’s personal religious beliefs, or trying to convert

them to a certain religious ideology;

• using racist slang, phrases, or nicknames;

• making remarks about an individual’s skin color or other ethnic traits;

• displaying racist drawings, or posters that might be offensive to a particular group;

• making offensive gestures;

• making offensive reference to an individual’s mental or physical disability;

• sharing inappropriate images, videos, e-mails, letters, or notes of an offensive nature;

• offensively talking about negative racial, ethnic, or religious stereotypes; or

• making derogatory age-related comments

While isolated incidents of harassment generally do not violate federal law, the goal of the AntiHarassment Policy Statement is to address and eliminate harassing conduct at the earliest possible 

stage, regardless of whether it violated the law.

Anti-discrimination laws also prohibit harassment against individuals in retaliation for filing a

discrimination charge, testifying, or participating in any way in an investigation, proceeding, or

lawsuit under these laws; or opposing employment practices that they reasonably believe

discriminate against individuals, in violation of these laws.

Appendix 3
Sexual harassment is defined as unwelcome sexual advances, requests for sexual favors, and other 

verbal or physical conduct of a sexual nature when submission to such conduct is made either

explicitly or implicitly a term or condition of an individual’s employment, submission to or

rejection of such conduct by an individual is used as the basis for employment decisions affecting

such individual, or such conduct has the purpose or effect of unreasonably interfering with an

individual’s work performance, or creating an intimidating, hostile, or offensive working 

environment. Such conduct may include: 

• an employer or supervisor conditioning promotion, job assignments, or other tangible job

benefits based on acquiescence to unwelcome sexual conduct, or penalizing an individual for

refusing to participate in such conduct;

• sexist or stereotypical remarks about a person’s clothing, body, appearance, or activities;

• sexually oriented jokes, stories, remarks, or discussions;

• descriptions of sexual acts;

• posting or displaying sexually graphic pictures anywhere in the workplace;

• deliberately touching, pinching, patting, or giving inappropriate looks to another person;

• pressure for dates or sexual activity;

• unwelcome telephone calls, e-mail messages, social network postings or letters of a sexual

nature; or

• demands for sexual favors.

In sexual harassment, the harasser may be male or female, and the victim may be of the opposite

sex or the same sex as the harasser. Even a consensual relationship between the harasser and the

victim may involve sexual harassment. For example, if the victim agrees to sexual behavior out of 

fear of retaliation, the conduct of the other party may still constitute sexual harassment despite the 

victim’s consent. The focus is on whether the conduct was unwelcome, not consensual. 

All employees are responsible for exhibiting professional conduct and behavior in the workplace

and cooperating in the enforcement of this policy. Individuals engaging in conduct or behavior

that violates this policy may be subject to appropriate disciplinary action up to, and including,

removal from Federal service. Supervisors must strive to maintain and promote a work

environment free of harassment. To prevent and remedy incidents of workplace harassment, PBGC

officials must be made aware of the conduct or behavior as soon as possible 

PBGC will not tolerate the creation of a hostile work environment and will address reported

workplace harassment promptly. Individuals who believe they are being harassed or subjected to a 

hostile work environment are encouraged to tell the alleged harasser (orally or in writing) to stop, 

keep a record of the events, immediately report the behavior, and cooperate in any inquiry

regarding allegations of harassment. Retaliation for reporting workplace harassment or for

assisting in any inquiry concerning a report of harassment also will not be tolerated. In addition,

PBGC will protect the confidentiality of employees who bring harassment claims, to the extent

possible. 

PBGC employees who believe they have been harassed or have been subjected to a hostile work

environment should report the matter immediately to their immediate supervisor, another 

management official, PBGC’s Office of Equal Employment Opportunity (OEEO) at (202) 229- 
4363, all-federal-EEO@PBGC.gov, or PBGC’s Harassment Inquiry Committee (HIC). The HIC

intake points of contact are:

Paul Chalmers (OGC) – (202) 229-3555;

Jaime Kunce (OGC) – (202) 229-3463;

Arrie Etheridge (HRD) – (202) 229-3728;

Karen Esser (HRD) – (202) 229-3275;

Upon receipt of a harassment allegation, the Agency will conduct a prompt, thorough, and

impartial inquiry, if appropriate. The fact-finding inquiry will commence within 10 calendar days

of the HIC receiving notice of a harassment allegation. The agency will take immediate and

appropriate corrective action when harassment occurs, and such corrective action must be taken

within 60 days of receiving notice of a harassment complaint.

Additional information about the HIC is available on SharePoint at

http://pbgcgov.sharepoint.com/EEO/Pages/AntiHarassment.aspx

An employee who reports allegations of harassment or hostile work environment to the HIC, a

PBGC supervisor/manager, or HRD has not filed an EEO complaint. An employee who wishes

to file an EEO complaint must contact PBGC’s EEO Office within 45 calendar days of the alleged

harassing conduct or the date they became aware of the harassing conduct. Failure to do so may

result in the dismissal of the EEO complaint.

The federal sector EEO discrimination complaint process cannot be initiated by reporting

harassment or hostile work environment to a supervisor or management official, HRD or by

contacting the Employee Assistance Program (EAP) or union.

This policy applies to all PBGC employees. Related questions or requests for information should

be directed to OEEO Director, Brenecia Watson, (202) 229-6868.