Annual Report for Fiscal Year 2022 

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 Accountability 

Senate Committee on Finance 

House Committee on Ways and Means 

Senate Committee on Health, Education, Labor and Pensions 

House Committee on Education and the Workforce 

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 2022 

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 2022 

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 2022 

Appendix 2 EEO Policy Statement, dated July 8, 2020 

Appendix 3 Anti-Harassment Policy Statement, dated May 4, 2022 
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 

Accountability; 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 the Workforce; 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) 2022. 

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 964 employees (918 Permanent, 46 

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 2022 

Table 1 shows federal court cases pending by statute. There were two federal court cases 

pending at the end of FY 2022, with one case involving two statutes. 

TABLE 1 

Federal Court Cases Pending in FY 2022, Separated by Statute 

Statute Cases 

Title VII of the Civil Rights Act of 1964 2 

Age Discrimination in Employment Act of 1967 1 

Rehabilitation Act of 1973 0 

Whistleblower Protection Act 0 

Equal Pay Act of 1963 0 

One case settled in FY 2022. 
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 two cases, one involving two statutes. 

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

settlements. During FY 2022, PBGC settled one case and paid one hundred twenty-five 

thousand dollars ($125,000) to reimburse the Bureau of the Fiscal Service’s Judgment 

Fund. 

TABLE 2 

Status of Federal Court Cases in FY 2022, by Statute 

Statue Cases 

Title VII of the Civil Rights Act of 1964 2 

Pending 1 

Dismissed 0 

Settled 1 

Age Discrimination Employment Act 1 

Pending 1 

Dismissed 0 

Settled 0 

Rehabilitation Act of 1973 0 

Pending 0 

Dismissed 0 

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 2022 

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 2022 

Attached as Appendix 1 is the PBGC’s final year-end No FEAR Act Data for FY 2022. 

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 that periodically are sent to all its employees and contractors. 

These statements emphasize PBGC’s commitment 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) and 

Anti-Harassment Policy Statement (Appendix 3). 
6 

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 

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 filed during Fiscal Years 2022 and 2021. The basis of a 

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, equal pay, pregnancy discrimination, 

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 2022, 8 PBGC employees filed 9 formal complaints of 

discrimination in comparison to 12 formal complaints of discrimination filed the 

previous year by 8 employees. There was no change in the number of filers from the 

previous year’s total of 8 individuals; the number of repeat filers decreased by 2 in FY 

2022. 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 

2022 9 8 1 

2021 12 8 3 
7 

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

complaints filed in FY 2022 and FY 2021. 

TABLE 5 

EEO Bases in Formal EEO Complaints at PBGC 

Year Race Reprisal Age Disability Sex 

2022 4 2 3 3 2 

2021 7 7 6 4 9 

In FY 2022, race was the most frequently alleged basis with 4 cases filed, a decrease 

from the previous year with 7 cases filed. Age and disability were the second most 

frequently alleged bases, with 3 cases filed under each basis, a decrease from the 

previous year under each basis. Reprisal and sex were the third most frequently alleged 

bases with 2 cases filed under each basis in FY 2022, both decreases compared to the 

complaints filed under the bases in FY 2021. Formal complaints filed in FY 2022 under 

the basis of disability decreased by 1, with 3 cases filed in FY 2022 compared to the 

previous year’s 4 cases. Additionally, formal complaints filed in FY 2022 under other 

bases include color and national origin, with 2 complaints filed under each basis. No 

complaints were alleged under religion, pregnancy discrimination, equal pay, genetics 

and non-EEO during the FY 2022 reporting period. 

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

complaints filed in FY 2022 and FY 2021. 

TABLE 6 

Leading Issues in Formal EEO Complaint 

Year Harassment 

(NonSexual) 

Promotion/ 

NonSelection 

Reasonable 

Accommodation 

Terms and 

Conditions 

of 

Employment 

Performance 

Evaluation/Appraisal 

2022 3 3 1 2 1 

2021 1 2 2 5 2 

The leading issues in FY 2022 were harassment (non-sexual) and promotion/nonselection, each with 3 complaints filed. The complaints represent an increase of 2 and 1 

complaints filed, respectively, in FY 2021. The second leading issue was terms and 

conditions of employment with 2 complaints filed under the issue, representing a 

decrease of 3 complaints filed in the previous year. One complaint was filed under each 

of the issues of reasonable accommodation and performance evaluation/appraisal, 

representing a decrease in 1 of each the previous filing year. 
8 

1. Trends 

a. The total number of formal complaints filed in FY 2022 was 9, a decrease of 3 

from the previous year. 

b. The largest trending decrease in an alleged basis over 4 years was sex. 

Complaints alleging sex as a basis went from 11 complaints in FY 2019 to 2 

complaints in FY 2022. 

c. The most frequently claimed protected basis in FY 2022 was race, representing 

4 complaints, compared to FY 2021, with 7 complaints filed under this basis. 

Complaints alleging race, reprisal, sex, and age have been the leading alleged 

bases within the past 4 fiscal years. 

Complaints identifying age and disability were the second most frequently 

alleged protected bases, each representing 3 complaints filed in FY 2022. 

Reprisal decreased by 5 in FY 2022 to 2 from 7 in FY 2021. Complaints filed 

under the age and disability bases decreased to 3 each in FY 2022 from, 

respectively, 6 and 4 complaints filed the previous year. In FY 2022, complaints 

filed under the color and national bases remained the same with 2 complaints 

filed in both; non-EEO complaints decreased by 1 to no complaints. Religion, 

pregnancy discrimination, and genetics remained the same with no complaints 

filed in FY 2022 and FY 2021. 

In FY 2022, there was an increase in formal complaints filed under the issues of 

harassment (non-sexual) and promotion/non-selection with 3 complaints filed in 

FY 2022 under both issues. Complaints filed on issues alleging terms and 

conditions of employment decreased to 2 in FY 2022 from 5 in FY 2021. Issues 

alleging performance evaluation/appraisal and reasonable accommodation 

disability decreased in FY 2022, with 1 complaint filed under each compared to 

2 complaints filed under each in the previous year. Complaints filed under the 

issue of termination increased to 1. 

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 and the 180-day 

investigation requirement. 

FY 2022 reflected an increase in the average number of days to 150 in the 

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

processing times for investigation because of the complexity of issues and 

multiple amendments filed during the FY 2021 reporting period, although the 

complaint activity slightly decreased in FY 2022. It is important to note that the 

average of 150 days in the investigative phase is below the 180-day regulatory 

timeframe for completing investigations. 
9 

The total average number of days in investigation increased by 14 days, from 

136 days in FY 2021 to 150 days in FY 2022, an increase of 10%. In FY 2022 

compared to FY 2021, the average number of days in investigations where a 

hearing was requested (including investigations of cases that were withdrawn) 

slightly decreased to 211 days, while the average number of days in 

investigations where a hearing was not requested decreased by 48 days, or 31%, 

to 106 days. The average number of days in a final agency action where a 

hearing was requested decreased by 4 days to 23 days, or 15%, while the 

average number of days in a final agency action where a hearing was not

requested decreased from 41 days to zero days. 

The average number of days in cases that were dismissed by the Agency 

decreased to 3 in FY 2022 from 8 in FY 2021. The average number of days 

pending prior to dismissal decreased by 16 days, or 36%, to 29 days in FY 2022 

from 45 days in FY 2021. The Agency continues to meet the 180-day 

requirement and will assess processing times at the investigative stage. 

2. Causal Analysis 

Formal EEO complaint activity decreased by 25% in FY 2022 to 9 from the total 

number of 12 formal complaints filed 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.

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 2022:

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

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

barrier analysis, EEO action plans, and annual EEO training. 
10 

 OEEO offered Supervisory EEO training and EEO Employee training and will 

review and establish a schedule for ongoing EEO training courses for both current 

and new managers and supervisors. 

 The Human Resources Department 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, GS-14, and newly added GS-13 grade 

levels. 

 Agency senior leaders have provided continued support for barrier analysis by 

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

employment opportunity and diversity, equity, inclusion, and accessibility are 

integrated into the Agency’s strategic operations. The goal is to be proactive in the 

prevention of discrimination. 

 OEEO will continue 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 process should be 

refined internally. 

 OEEO sponsored a two-day managers training: Mitigating Bias in Talent 

Management. 

 OEEO provided several series under the Education & Enrichment Program: (i) The 

Real Talk series on various topics, including Neurodiversity Inclusiveness in the 

Workplace; LGBTQ+ Inclusiveness in The Workplace; and Allyship in the 

Workplace and Social Mobility, (ii) Book Club 3-Part Discussion — The Sum of 

Us; What Racism Costs Everyone; and How We Can Prosper Together, (iii) 

Affinity Chats, and (iv) facilitated discussions for all races, ethnicities, and genders. 

 PBGC’s Diversity Equity Inclusion and Accessibility Council sponsored the FY 

2022 Community Day titled “Viewing Diversity Through Various Lenses.” 

 PBGC’s Section 508 Compliance Team continued to raise awareness by conducting 

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

year. 

 The Office of Policy and External Affairs (OPEA) continued targeted recruitment 

outreach for underrepresented groups to include the International Association of 

Black Actuaries and The Organization of Latino Actuaries. PRAD successfully 

hired four minority women economists and actuaries; and COLA hired a minority 

female with Veterans’ preference in management. 

 The Office of Management and Administration (OMA) continued to enhance 

developmental opportunities by establishing career ladder positions that are 

promotable to GS-13 grade level. In FY 2022 there were 7 career ladder 

promotions: two Hispanic Females, two White Females, two Females, and one Two 

or More Races. 
11 

 The Office of Benefits Administration (OBA) introduced the Building a Better You 

Through Professional Development training series. The series lasted over a sixmonth period and offered seven courses that allowed employees to learn, reflect, 

improve, and practice in different areas of their growth and professional 

development. OBA also expanded its mentoring program and provided one-on-one 

coaching, mentoring, and training; as a result, sixteen (16) employees reached their 

full performance level (FPL). 

Of the 16 OBA employees who earned career ladder promotions, there were nine 

males (8.33%) of 108 males in OBA’s workforce, and seven females (4.54%) of 

154 females in OBA’s workforce. Breaking the data down further, there were six 

African Americans (4.55%) of 132 African Americans in OBA’s workforce, which 

is 2.29% of OBA’s total workforce of 262 employees; three Asians (25%) of 12 

Asians in OBA’s workforce, which is 1.14% of OBA’s total workforce; four 

Caucasians (5.06%) of 79 Caucasians in OBA’s workforce, which is 1.52% of 

OBA’s total workforce; two Hispanics (16.6%) of 12 Hispanics in OBA’s 

workforce, which is 0.76% of OBA’s total workforce and one Not Specified (100%) 

of one Not Specified in OBA’s workforce, which is 0.38% of OBA’s total 

workforce. Additionally, OBA continued to work with HRD to recruit and hire one 

Schedule A candidate for career ladder positions. 

 The Office of Negotiations and Restructuring (ONR) onboarded eleven external 

hires. Of the eleven hires, six were female and five were male. The newly hired 

employees identified as one African American employee, two Asian employees, 

and eight Caucasian employees. 

 The Office of Information Technology (OIT) continued to work directly with HRD 

to create career ladder opportunities that lead to several hires whose career paths 

increased to higher grade levels than the previously occupied positions. Those hires 

include four males and six females: one White male, two Caucasian females; three 

African American females; three Asian males, one Asian female, one Two or More 

Races, and one Targeted Disability. 

 The Office of the Chief Financial Officer (OCFO) continues to work with HRD to 

hire persons with targeted disabilities through Schedule A appointing authority. 

Two employees were hired under the Schedule A Program. The OCFO continued to 

identify career pathing opportunities to develop career ladders, allowing hiring at 

lower grade levels to support succession planning and building a talent pipeline. 

OCFO reported that currently 95% of all the organization’s positions are career 

ladder positions starting at the lower grade levels. 

G. No FEAR Act Training Plan 

The No FEAR Act requires mandatory bi-annual training. No FEAR training addresses 

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 
12 

of the Whistleblower Protection Act. PBGC has an ongoing obligation to train new 

employees within 90 days of onboarding and to existing employees every two years 

under the No FEAR Act. In FY 2023, all PBGC employees will be required to complete 

the training. 
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, 2022 

Part 1 Complaint Activity Comparative Data by Fiscal Year 

Part 1 Complaint Activity 2017 2018 2019 2020 2021 2022

Number of Complaints Filed 16 19 14 11 12 9

Number of Complainants 15 17 13 7 8 8

Repeat Filers 1 2 1 3 3 1

Part 2 Complaints by Basis Comparative Data by Fiscal Year 1

Part 2 Complaints by Basis 2017 2018 2019 2020 2021 2022

Race 10 15 12 6 7 4

Color 5 3 5 1 2 2

Religion 1 3 1 0 0 0

Reprisal 10 11 9 6 7 2

Sex 10 13 11 6 9 2

PDA 0 0 0 0 0 0

National Origin 5 3 1 1 2 2

Equal Pay Act 1 0 1 0 2 0

Age 7 8 10 2 6 3

Disability 3 8 3 7 4 3

Genetics 1 0 0 0 0 0

Non‐EEO 1 0 0 0 1 0

1. Note: Complaints can be filed alleging multiple bases. The sum of the bases may not equal total complaints filed. 

Part 3 Complaints by Issue Comparative Data by Fiscal Year 2

Part 3 Complaints by Issue 2017 2018 2019 2020 2021 2022

Appointment/Hire 2 5 0 1 0 0

Assignment of Duties 1 0 2 0 1 0

Awards 0 0 0 0 0 0

Conversion to Full Time/Perm Status 0 0 0 0 0 0
Appendix 1 

Part 3 Complaints by Issue 2017 2018 2019 2020 2021 2022

Disciplinary Action

Demotion 0 0 0 0 1 0

Reprimand 0 0 0 0 0 0

Suspension 0 0 2 0 0 0

Removal 1 0 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 3 1 2 2 2 1

Examination/Test 0 0 0 0 0 0

Harassment

Non‐Sexual 8 2 2 3 1 3

Sexual 1 1 0 0 0 0

Medical Examination 0 0 0 0 0 0

Pay including overtime 1 0 0 2 0 0

Promotion/Non‐Selection 1 2 5 1 2 3

Reassignment

Denied 0 0 0 0 0 0

Directed 1 0 0 0 0 0

Reasonable Accommodation Disability 1 1 2 5 2 1

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 0 0 0 0 0

Termination 1 2 1 1 0 1

Terms/Conditions of Employment 2 4 5 2 5 2

Time and Attendance 0 1 0 0 1 0

Training 0 0 0 0 0 0

Other

User Defined ‐ Other 1 0 0 0 0 0 0

User Defined ‐ Other 2 1 3 0 0 0 0

User Defined ‐ Other 3 0 0 0 0 0 0

User Defined ‐ Other 4 0 0 0 0 0 0

2. Note: Complaints can be filed alleging multiple bases. The sum of the bases may not equal total complaints filed. 
Appendix 1 

Part 4 Processing Time Comparative Data by Fiscal Year 

Part 4 Processing Time 2017 2018 2019 2020 2021 2022

Complaints pending during fiscal year

Average number of days in investigation 395.19 174.93 171.29 124.0 136.0 150.00

Average number of days in final action 31.33 68.29 23.14 68.75 34.0 22.86

Complaints pending during fiscal year where hearing was requested

Average number of days in investigation 404.61 177.8 181.2 127.4 213.1 211.48

Average number of days in final action 31.33 24.25 15.0 81.33 27.0 22.86

Complaints pending during fiscal year where hearing was not requested

Average number of days in investigation 318.4 173.5 146.5 130.0 154.0 106.00

Average number of days in final action 0.0 127.0 50.8 31.0 41.0 0.00

Part 5 Complaints Dismissed by Agency Comparative Data by Fiscal Year 

Part 5 Complaints Dismissed by Agency 2017 2018 2019 2020 2021 2022

Complaints Dismissed by Agency 3 11 3 3 8 3

Average days pending prior to dismissal 123 57 21 28 44.67 29.4

Complaints Withdrawn by Complainants

Total Complaints Withdrawn by

Complainants 4 15 5 0 1 0

Part 6 Total Final Agency Actions Finding Discrimination Comparative Data by Fiscal Year 

Part 6 Total Final

Agency Actions

Finding

Discrimination

2017 2017

%

2018 2018

%

2019 2019

%

2020 2020

%

2021 2021

%

2022 2022

%

Total Number of

Findings 0 0 0 0 0 2

Race 0 0 0 0 0 0 0 0 0 0 0 0

Color 0 0 0 0 0 0 0 0 0 0 2 100

Part 7 Finding of Discrimination Rendered by Basis Comparative Data by Fiscal Year 3

Part 7 Finding of

Discrimination

Rendered  

by Basis

2017 2017

%

2018 2018

%

2019 2019

%

2020 2020

%

2021 2021

%

2022 2022

%

Total Number of

Findings 0 0 0 0 0 9

Race 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 2 22.22

Color 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 1 11.11

Religion 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00
Appendix 1 

Part 7 Finding of

Discrimination

Rendered  

by Basis

2017 2017

%

2018 2018

%

2019 2019

%

2020 2020

%

2021 2021

%

2022 2022

%

Reprisal 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 2 22.22

Sex 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 2 22.22

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 2 22.22

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    9   

Race 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 2 22.22

Color 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 1 11.11

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 2 22.22

Sex 0 0.00 0 0.00 0 0.00 0 0.00 0 0.00 2 22.22

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 2 22.22

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

3. Note: Complaints can be filed alleging multiple bases. The sum of the bases may not equal total complaints and findings. 
Appendix 1 

Part 8 Finding of Discrimination Rendered by Issue Comparative Data by Fiscal Year 

Part 8 Finding of

Discrimination

Rendered by Issue

2017 2017

%

2018 2018

%

2019 2019

%

2020 2020

%

2021 2021

%

2022 2022

%

Total Number of

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

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‐

Selection 0 0 0 0 0 0 0 0 0 0 2 200

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
Appendix 1 

Part 8 Finding of

Discrimination

Rendered by Issue

2017 2017

%

2018 2018

%

2019 2019

%

2020 2020

%

2021 2021

%

2022 2022

%

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

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/Non‐

Selection 0 0 0 0 0 0 0 0 0 0 2 200

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 0 0 0 0 0 0 0 0 0 0 0 0
Appendix 1 

Part 8 Finding of

Discrimination

Rendered by Issue

2017 2017

%

2018 2018

%

2019 2019

%

2020 2020

%

2021 2021

%

2022 2022

%

Accommodation

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 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/Non‐

Selection 0 0 0 0 0 0 0 0 0 0 0 0
Appendix 1 

Part 8 Finding of

Discrimination

Rendered by Issue

2017 2017

%

2018 2018

%

2019 2019

%

2020 2020

%

2021 2021

%

2022 2022

%

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

Part 9 Complaints Pending from Previous Fiscal Years by Status Comparative Data by Fiscal Year 

Part 9 Complaints Pending from  

Previous Fiscal Years by Status 2017 2018 2019 2020 2021 2022

Total complaints from previous Fiscal Years 55 22 5 7 9 3

Total Complainants 48 19 4 5 4 2

Number complaints pending

Investigation 2 0 0 0 0 0

ROI issued, pending Complainant's action 0 0 0 0 0 0

Hearing 49 19 5 7 8 3

Final Agency Action 1 3 0 0 1 0

Appeal with EEOC Office of Federal Operations 10 10 10 1 0 8
Appendix 1 

Part 10 Complaint Investigations Comparative Data by Fiscal Year 

Part 10 Complaint Investigations 2017 2018 2019 2020 2021 2022

Pending Complaints Where Investigations Exceed

Required Time Frames 1 0 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. 
May 4, 2022

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 (40 and over), 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 comment.

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 

Appendix 3
lawsuit under these laws; or opposing employment practices that they reasonably believe 

discriminate against individuals, in violation of these laws.

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 unwelcomed, 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

Wendy Lawrence (HRD) – (202) 229-3142

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.