Annual Report for Fiscal Year 2023 

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 orWhistleblower Laws

1. The Number of Federal Court Cases Pending or Resolved in FY 2023

2. Status or Disposition of Federal Court Cases Including the Amount of MoneyRequired 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 2023

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

Whistleblower Laws

F. The Elijah E. Cummings Federal Employee Antidiscrimination Act of 2020

G. Data Analysis

1. Trends

2. Causal Analysis

3. Knowledge Gained

4. Actions Planned to Improve PBGC’s EEO Program

5. Agency Accomplishments and Initiatives in FY 2023

H. No FEAR Act Training Plan

APPENDICES:

Appendix 1 Final Year-End No FEAR Act Data for FY 2023

Appendix 2 EEO Policy Statement, dated April 7, 2023

Appendix 3 Anti-Harassment Policy Statement, dated April 7, 2023
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 Act 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; the 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) 2023.

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 976 employees (933 Permanent, 43 

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 2023

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

cases pending at the end of FY 2023, with one case involving two statutes. No cases 

were resolved in FY 2023. 

TABLE 1

Federal Court Cases Pending in FY 2023, Separated by Statute

Statute Cases

Title VII of the Civil Rights Act of 1964 1

Age Discrimination in Employment Act of 1967 2

Rehabilitation Act of 1973 0

Whistleblower Protection Act 0

Equal Pay Act of 1963 0
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 three cases, with two cases filed under one statute.

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

and settlements. During FY 2023, PBGC paid no settlements from the Bureau of the 

Fiscal Service’s Judgment Fund, nor did it make any budget adjustments relating to the 

Judgment Fund.

TABLE 2

Status of Federal Court Cases in FY 2023, by Statute

Statute Status Cases

Title VII of the Civil Rights Act of 

1964

Pending 1

Dismissed 0

Settled 0

Age Discrimination Employment

Act of 1967

Pending 2

Dismissed 0

Settled 0

Rehabilitation Act of 1973 Pending 0

Dismissed 0

Settled 0

Whistleblower Protection Act Pending 0

Dismissed 0

Settled 0

Equal Pay Act of 1963 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 2023

D. Final Year-End No FEAR Act Data for FY 2023

Attached as Appendix 1 is the PBGC’s final year-end No FEAR Act Data for FY 2023.

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 subject to appropriate disciplinary action up to and including 

removal from Federal service. See EEO Policy Statement (Appendix 2) and AntiHarassment Policy Statement (Appendix 3).

Employees Disciplined Number of 

Findings

Number of

Employees 

Disciplined

Employees Disciplined in

Connection with Federal Court

Cases

0 0

Employees Disciplined Whether 

or Not in Connection with 

Federal CourtCases

0 0
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. The Elijah E. Cummings Federal Employee Antidiscrimination Act of 2020

There were no findings of discrimination in FY 2023.

G. 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 2023 and 2022. 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/they are seeking redress.

Table 4 shows that in FY 2023, 9 PBGC employees filed 12 formal complaints of

discrimination in comparison to 9 formal complaints of discrimination filed the previous 

year by 8 employees. The number of repeat filers increased by 1 in FY 2023. See also 

Appendix 1, Part 1.

TABLE 4

Number of Formal EEO Complaints and Number of Filers

Fiscal Year Number of

Complaints Filed

Number of

Complainants

Repeat Filers

2023 12 9 2

2022 9 8 1
7

Table 5 shows the five leading alleged bases cited in the formal EEO complaints filed 

in FY 2023 and FY 2022. See also Appendix 1, Part 2.

TABLE 5

EEO Bases in Formal EEO Complaints

Table 6 shows the five leading alleged issues cited in formal EEO complaints filed in 

FY 2023 and FY 2022. See also Appendix 1, Part 3.

TABLE 6

Leading Issues in Formal EEO Complaints

1. Trends

a. The total number of formal complaints filed in FY 2023 was 12, an increase of 3

from the previous year (Table 4).

b. The most frequently claimed protected basis in FY 2023 was disability, 

representing 9 complaints, compared to FY 2022, with 3 complaints filed under 

this basis (Table 5). Complaints alleging race, reprisal, sex, and age have been

the leading alleged bases within the past four fiscal years.

c. Complaints identifying age and reprisal were the second most frequently alleged 

protected bases, each representing 8 complaints filed in FY 2023. Complaints 

filed under race increased by 2 from the 4 complaints filed in the previous year,

and complaints filed under sex increased by 3 from the 2 complaints filed in the 

previous year (Table 5). In FY 2023, there were 4 complaints filed both under 

non-EEO and color. There was an increase by 2 complaints filed under religion

Year Race Reprisal Age Disability Sex

2023 6 8 8 9 5

2022 4 2 3 3 2

Year Harassment

(non-sexual)

Promotion / 

non-selection

Reasonable 

Accommodation

Other Terms 

and

Conditions of 

Employment

Performance 

Evaluation/

Appraisal

2023 4 1 5 7 0

2022 3 3 1 2 1
8

and a decrease of 1 complaint filed under national origin. Pregnancy

discrimination and genetics remained the same with no complaints filed in FY 

2023 and FY 2022 (see Appendix 1, Part 2).

In FY 2023, there was a significant increase in formal complaints filed under 

two issues — other terms and conditions of employment, and reasonable 

accommodation — with 7 and 5 complaints filed, respectively. Issues alleging 

promotion/non-selection and performance/appraisal decreased in FY 2023, with 

1 complaint filed under promotion/non-selection compared to 3 in FY 2022; and

zero complaints filed under performance evaluation/appraisal, a decrease from 1 

complaint filed in FY 2022. (Table 6) Issues alleging harassment (sexual), pay 

including overtime, telework, and time and attendance increased in FY 2023, 

with 1 complaint filed under each compared to zero complaints filed under each 

in the previous year. Complaints filed under the issue of termination remained 

the same as the previous year with 1 complaint filed (see Appendix 1, Part 3).

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 2023 reflected a very slight increase in the average number of days in the 

formal complaint investigation stage, from 150 to 151.38 days. These time 

periods are due to the complexity of issues and multiple amendments filed 

during the FY 2022 and FY 2023 reporting periods. It is important to note that 

the average of 151 days in the investigative phase is still below the 180-day 

regulatory timeframe for completing investigations.

The average number of days in investigation increased by 1 day, from 150 days 

in FY 2022 to 151 days in FY 2023. See Appendix 1, Part 4.

The number of cases that were dismissed by the Agency increased from 3 in FY 

2022 to 5 in FY 2023. The average number of days pending prior to dismissal 

increased from 29 days to 109 days, or 276% (see Appendix 1, Part 5). The 

increase is due to an unusual situation where the complainant initially requested 

a hearing by an Administrative Judge and the cases sat on the EEOC docket for 

months before the complainant withdrew their request for a hearing and the 

Agency was required to issue a final agency decision.

2. Causal Analysis

Formal EEO complaint activity increased in FY 2023 to 12 from 9 formal complaints 

filed the preceding year. We have not determined a specific cause for the increase. 

However, a reasonable assumption for the increase may be that PBGC returned to a new 

office headquarters after three years of employees teleworking during the COVID 

pandemic.
9

3. Knowledge Gained

PBGC will continue to educate the workforce in EEO, civil rights laws, and regulations,

by providing continued training, workshops, and marketing the availability of conflict 

management and the Alternative Dispute Resolution (ADR) Program. 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 EEO Program

PBGC senior leaders, managers, and supervisors will continue to hold themselves 

accountable for achieving the EEO elements and standards via their performance plans.

5. Agency Accomplishments and Initiatives in FY 2023

• 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.

• PBGC’s Office of Equal Employment Opportunity (OEEO) continued to engage 

senior leaders, human resources staff, and hiring officials to identify methods to 

improve equal employment opportunity via quarterly dashboards, OEEO and 

organizational collaboration, and through various equal employment opportunity

and Diversity, Equity, Inclusion, and Accessibility (DEIA) trainings.

• The Affirmative Employment Program (AEP) completed the FY 2023 annual 

Management Directive-715, a report submitted to the EEOC, that assesses PBGC’s 

status as a Model EEO Program as determined by the EEOC’s six elements.

• AEP also briefed the agency head and the Executive Management Committee on the 

status of the agency’s EEO program.

• AEP continued to collaborate with each department leader and/or the departmental 

point of contact to address specific departmental EEO-related concerns/needs.

• AEP continued to provide a quarterly EEO dashboard to departmental leadership to 

support their recruitment and succession planning efforts.

• AEP continued to engage the Affirmative Employment Committees (Disability, 

Hispanic, and Women), which are composed of PBGC employees in EEO-related 

efforts to increase equal employment opportunity.
10

• AEP Committee held five Brown Bag Chat sessions – Session 1: Becoming Your 

Own Advocate, Session 2: How to Recover from Early Failure, Session 3: Breaking 

the Glass Ceiling, Session 4: Embrace the Journey, and Session 5: My Path to 

Professional Success. 

• OEEO Diversity Workshop held a discussion on discovering the Power to Uplevel 

Your Career Success.

• AEP Committee held a four-part series: Part 1 OEEO Disability Affirmative 

Employment Committee (DAEC) Four-Part Series on Culturally Competent 

Behavior in a Diverse Workplace - Embracing the Deaf and Hard of Hearing 

Culture in the Workplace. Part 2 OEEO DAEC Acceptance versus Accommodation: 

Creating an Inclusive Workplace. Part 3 OEEO DAEC Accessibility Matters: 

Cultivate a Welcoming Environment for Colleagues with Mobility Challenges. Part 

4 OEEO DAEC Unmasking: Suppressing Your True Self to Fit-In.

• AEP Committee held a two-part Real Talk Series: Part 1 - Cognitive Dissonance: 

Navigating the Map of Conflicting Beliefs. Part 2 - Cognitive Dissonance: 

Navigating the Map of Conflicting Beliefs.

• AEP Affinity Chat Panel Discussion - From Representation to Realization: The 

Blueprint for an Inclusive Workplace.

• AEP Joint Committee Events - Session 1: Representation Matters Campaign, 

Session 2: AEP Joint Committee Event Representation Matters Campaign. 

• AEP Book Club - Book: Using Your Difference to Make a Difference: How to 

Connect and Communicate in a Cross-Cultural World.

• AEP – YOUniversity: Three-session Bias Awareness Workshop.

H. 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 2023. 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 Act training was 

offered to all PBGC employees and PBGC’s Advisory Committee from June 7, 2023, 

through July 7, 2023. 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, 2023

Table of contents:

Part 1 Complaint Activity

Part 2 Complaints by Basis

Part 3 Complaints by Issue

Part 4 Processing Time

Part 5 Complaints Dismissed by Agency

Part 6 Total Final Agency Actions Finding Discrimination

Part 7 Finding of Discrimination Rendered by Basis

Part 8 Finding of Discrimination Rendered by Issue

Part 9 Complaints Pending from Previous Fiscal Years by Status

Part 10 Complaint Investigations
Appendix 1

Part 1 Complaint Activity

Complaint Activity 2018 2019 2020 2021 2022 2023 

Number of Complaints Filed 18 14 11 12 9 12

Number of Complainants 16 13 7 8 8 9 

Repeat Filers 2 1 3 3 1 2 

Part 2 Complaints by Basis

Complaints by Basis 2018 2019 2020 2021 2022 2023 

Race 14 12 6 7 4 6 

Color 3 5 1 2 2 4 

Religion 3 1 0 0 0 2 

Reprisal 10 9 6 7 2 8 

Sex 12 11 6 9 2 5 

PDA 0 0 0 0 0 0 
Appendix 1

Complaints by Basis 2018 2019 2020 2021 2022 2023 

National Origin 3 1 1 2 2 1 

Equal Pay Act 0 1 0 2 0 0 

Age 7 10 2 6 3 8 

Disability 7 3 7 4 3 9 

Genetics 0 0 0 0 0 0 

Non-EEO 0 0 0 1 0 4 

Part 3 Complaints by Issue 

Complaints By Issue 2018 2019 2020 2021 2022 2023 

Appointment/Hire 4 0 1 0 0 0 

Assignment of Duties* 0 2 0 1 0 0 

Awards 0 0 0 0 0 0 

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

Disciplinary Action: Demotion 0 0 0 1 0 0 
Appendix 1

Complaints By Issue 2018 2019 2020 2021 2022 2023 

Disciplinary Action: Reprimand** 0 0 0 0 0 0 

Disciplinary Action: Suspension 0 2 0 0 0 0 

Disciplinary Action: Removal 0 0 0 0 0 0 

Disciplinary Action: Other Disciplinary Actions** 0 0 0 0 0 0 

Disciplinary Action: Other 2** 0 0 0 0 0 0 

Duty Hours* 0 0 0 0 0 0 

Performance Evaluation/ Appraisal 1 2 2 2 1 0 

Examination/Test 0 0 0 0 0 0 

Harassment: Non-Sexual 2 2 3 1 3 4 

Harassment: Sexual 1 0 0 0 0 1 

Medical Examination 0 0 0 0 0 0 

Pay including overtime 0 0 2 0 0 1 

Promotion/Non-selection 2 5 1 2 3 1 

Reassignment: Denied/Directed 0 0 0 0 0 0 

Reassignment: Directed 0 0 0 0 0 0 

Reasonable Accommodation Disability 1 2 5 2 1 5 

Reinstatement* 0 0 0 0 0 0 

Religious Accommodation 0 0 0 0 0 0 
Appendix 1

Complaints By Issue 2018 2019 2020 2021 2022 2023 

Retirement* 0 0 0 0 0 0 

Sex-Stereotyping 0 0 0 0 0 0 

Telework 0 0 0 0 0 1 

Termination 2 1 1 0 1 1 

Terms/Conditions of Employment* 4 5 2 5 0 0 

Time and Attendance 1 0 0 1 0 1 

Training 0 0 0 0 0 0 

Other Terms/Conditions of Employment* 0 0 0 0 2 7 

 User Defined - Other 1* 0 0 0 0 0 0 

 User Defined - Other 2* 3 0 0 0 0 0 

 User Defined - Other 3* 0 0 0 0 0 0 

 User Defined - Other 4* 0 0 0 0 0 0 
Appendix 1

Part 4 Processing Time

Complaints pending during fiscal year

Processing Time 2018 2019 2020 2021 2022 2023 

Average number of days 

in investigation 174.93 171.29 124.0 136.0 150.0 151.38

Average number of days 

in final action 68.29 23.14 68.75 34.0 22.86 37.33

Complaints pending during fiscal year where hearing was requested

Processing Time 2018 2019 2020 2021 2022 2023

Average number of days 

in investigation 177.8 181.2 127.4 213.1 211.48 176.50

Average number of days 

in final action 24.25 15.0 81.33 27.0 22.86 41.00
Appendix 1

Complaints pending during fiscal year where hearing was not requested

Processing Time 2018 2019 2020 2021 2022 2023

Average number of days 

in investigation 173.5 146.5 130.0 154.0 106.0 160.75

Average number of days 

in final action 127.0 50.8 31.0 41.0 0.0 35.50

Part 5 Complaints Dismissed by Agency

2018 2019 2020 2021 2022 2023

Complaints Dismissed by 

Agency 10 3 3 8 3 5 

Average days pending 

prior to dismissal 49 21 28 44.67 29.4 109.80

Complaints Withdrawn by Complainants

2018 2019 2020 2021 2022 2023

Total Complaints 

Withdrawn by 

Complainants

15 5 0 1 0 4 
Appendix 1

Part 6 Total Final Agency Actions Finding Discrimination

Total Final Agency Actions 

Finding Discrimination

2018 2019 2020 2021 2022 2023

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

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

Part 7 Finding of Discrimination Rendered by Basis

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

findings.

Finding of 

Discrimination 

Rendered by Basis

2018 2019 2020 2021 2022 2023

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

Total Number Findings 0 0 0 0 9 0

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

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

Finding of 

Discrimination 

Rendered by Basis

2018 2019 2020 2021 2022 2023

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

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 2 22.22 0 0.00

Sex 0 0.00 0 0.00 0 0.00 0 0.00 2 22.22 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 2 22.22 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
Appendix 1

Findings After Hearings

Basis

2018 2019 2020 2021 2022 2023

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

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

Color 0 0.00 0 0.00 0 0.00 0 0.00 1 11.11 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 2 22.22 0 0.00

Sex 0 0.00 0 0.00 0 0.00 0 0.00 2 22.22 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 2 22.22 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
Appendix 1

Finding Without Hearing

Basis

2018 2019 2020 2021 2022 2023

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

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
Appendix 1

Part 8 Finding of Discrimination Rendered by Issue

Starting in FY2022, issues marked with:

* are reported under Other Terms / Conditions of Employment.

** are reported under Other Disciplinary Actions.

The reporting of Reassignment Claims has been changed from two separate Denied and Directed rows to one 

combined row: the first row now accommodates both "Reassignment: Denied/Directed" and the second row has 

been phased out for the current FY starting in FY2023. 

Finding of Discrimination Rendered by Issue

2018 2019 2020 2021 2022 2023

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

Total Number Findings 0 0 0 0 2 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

Disciplinary Action: Reprimand** 0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary Action: Suspension 0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary Action: Removal 0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary Action: Other Disciplinary Actions** 0 0 0 0 0 0 0 0 0 0 0 0
Appendix 1

Finding of Discrimination Rendered by Issue

2018 2019 2020 2021 2022 2023

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

Disciplinary Action: 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

Performance Evaluation/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

Harassment: 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 2 100 0 0

Reassignment: Denied/Directed 0 0 0 0 0 0 0 0 0 0 0 0

Reassignment: 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
Appendix 1

Finding of Discrimination Rendered by Issue

2018 2019 2020 2021 2022 2023

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

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 Terms/Conditions of Employment* 0 0 0 0 0 0 0 0 0 0 0 0

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

Finding of Discrimination Rendered by Issue

2018 2019 2020 2021 2022 2023

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

Appointment/Hire 0 0 0 0 0 0 0 0 0 0 0 0
Appendix 1

Finding of Discrimination Rendered by Issue

2018 2019 2020 2021 2022 2023

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

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

Disciplinary Action: Reprimand** 0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary Action: Suspension 0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary Action: Removal 0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary Action: Other Disciplinary Actions** 0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary Action: 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

Performance Evaluation/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

Harassment: 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
Appendix 1

Finding of Discrimination Rendered by Issue

2018 2019 2020 2021 2022 2023

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

Promotion/Non-selection 0 0 0 0 0 0 0 0 2 100 0 0

Reassignment: Denied/Directed 0 0 0 0 0 0 0 0 0 0 0 0

Reassignment: 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 Terms/Conditions of Employment* 0 0 0 0 0 0 0 0 0 0 0 0

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
Appendix 1

Finding of Discrimination Rendered by Issue

2018 2019 2020 2021 2022 2023

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

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

Finding of Discrimination Rendered by Issue

2018 2019 2020 2021 2022 2023

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

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

Disciplinary Action: Reprimand** 0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary Action: Suspension 0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary Action: Removal 0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary Action: Other Disciplinary Actions** 0 0 0 0 0 0 0 0 0 0 0 0
Appendix 1

Finding of Discrimination Rendered by Issue

2018 2019 2020 2021 2022 2023

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

Disciplinary Action: 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

Performance Evaluation/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

Harassment: 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

Reassignment: Denied/Directed 0 0 0 0 0 0 0 0 0 0 0 0

Reassignment: 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
Appendix 1

Finding of Discrimination Rendered by Issue

2018 2019 2020 2021 2022 2023

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

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 Terms/Conditions of Employment* 0 0 0 0 0 0 0 0 0 0 0 0

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

Part 9 Complaints Pending from Previous Fiscal Years by Status

Complaints Pending from Previous Fiscal 

Years by Status 2018 2019 2020 2021 2022 2023

Total complaints from previous Fiscal Years 22 5 7 9 3 1

Total Complainants 19 4 5 4 2 1

Investigation 0 0 0 0 0 0

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

Hearing 19 5 7 8 3 1

Final Agency Action 3 0 0 1 0 0

Appeal with EEOC Office of Federal Operations 9 10 1 0 8 5

Part 10 Complaint Investigations

Complaint Investigations 2018 2019 2020 2021 2022 2023

Pending Complaints Where Investigations Exceed 

Required Time Frames 0 0 0 0 0 0
445 12th Street SW

Washington, DC 20024-2101

202-229-4000

PBGC.gov

April 7, 2023

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 33

million American workers. 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. 

The core mission of the Equal Employment Opportunity Commission (EEOC or the 

Commission) is to prevent and remedy discrimination in America’s workplaces and advance 

equal employment opportunity (EEO) for all. PBGC is committed to adhering to the laws that 

the Commission enforces. PBGC’s EEO Policy Statement is published as a reminder that all 

PBGC employees and applicants for employment are protected and covered by federal laws and 

Presidential Executive Orders designed to safeguard federal employees and job applicants from 

discrimination. The Agency’s policy further ensures that its employees and applicants for 

employment are treated equitably in an environment that is free from discrimination based on 

race, color, national origin, sex (including pregnancy, sexual harassment, gender identity, sexual 

orientation and non-sexual harassment based on sex), religion, age (40 and over), disability 

(mental or physical), family medical history, genetic information, and reprisal. PBGC’s policy 

statement also protects against harassment based on parental and marital status. PBGC will not

tolerate workplace harassment or reprisal against anyone who engages in protected activity.

Employees and applicants who believe they 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 EEO process, should contact the Office of Equal Employment Opportunity (OEEO) as 

discussed below. 

PBGC employees and applicants are also protected against retaliation. Consistent with federal 

laws, acts of retaliation against an employee who engages in protected activity, such as reporting 

discrimination or harassment or participating in the EEO process, whistleblowing, or the exercise 

of any appeal or grievance right provided by law will not be tolerated at PBGC. PBGC will take 

swift action when a PBGC employee, agent of PBGC, or non-employee is found to have engaged 

in discrimination, retaliation, or harassment (including sexual harassment).

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

protections extend to all personnel/employment programs, and management practices/decisions, 

t,V(\ 

PBGC Pension Benefit 

Guaranty Corporation 
202-229-4000 445 12th Street SW, Washington, DC 20024-2101 PBGC.gov

including, but not limited to, recruitment and hiring, appraisal systems, merit promotions, 

training, career development programs, transfers, reassignments, benefits, and separations.

PBGC provides reasonable accommodations to employees and applicants with disabilities and 

for sincerely held religious beliefs, observances, and practices.

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. Collectively, we must be diligent in maintaining a workplace free 

from discrimination and take the responsibility to ensure that our Agency continues to be a 

model employer. Our goal is to serve as an example for providing equity and inclusion in the 

workplace through the implementation of PBGC’s EEO Policy and cooperating fully with its 

enforcement. 

PBGC employees or applicants who believe they have been subjected to discrimination, 

harassment, or retaliation should contact OEEO at 202-229-4363 or email all-eeofederal@pbgc.gov. If you decide to initiate the EEO complaint process, you must do so within 

45 calendar days of the incident you felt was discriminatory 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 supervisors have a duty to participate in the 

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 EEO, we will ensure that all employees and 

applicants for employment have an opportunity to succeed and contribute to PBGC’s mission of 

protecting America’s retirement security. PBGC leadership affirms our collective commitment to 

a workplace free of unlawful discrimination, harassment, and retaliation.
445 12th Street SW

Washington, DC 20024-2101

202-229-4000

PBGC.gov

April 7, 2023

TO: ALL PBGC Staff

FROM: Gordon Hartogensis 

 Director

SUBJECT: Anti-Harassment Policy Statement

The Pension Benefit Guaranty Corporation (PBGC) policy statement establishes guidelines and 

procedures required by EEO laws that provide protection for a workplace free of all discriminatory 

harassment. The Agency’s anti-harassment policy covers all the protected bases, including race,

color, national origin, sex (including pregnancy, sexual harassment, gender identity, sexual 

orientation, and non-sexual harassment based on sex), religion, age (40 and over), disability 

(mental or physical), family medical history, genetic information, and reprisal. PBGC’s policy

statement also protects against harassment based on parental and marital status. The Agency will 

not tolerate workplace harassment or reprisal against anyone who engages in protected activity 

and is committed to providing an environment where all employees are treated with dignity and 

respect, and free from unlawful discrimination and/or harassment. Reprisal against employees is 

strictly prohibited. It is the Agency’s policy not to tolerate adverse treatment of employees because 

they report harassment or provide information related to such complaints. Agency employees are 

prohibited from retaliating against and/or harassing those who report such conduct or behavior. 

Agency employees found to have engaged in retaliatory conduct or behavior should expect timely 

and appropriate corrective and/or disciplinary action up to removal from the agency. 

The Equal Employment Opportunity Commission (EEOC) defines harassment as unwelcome 

conduct that is based on race, color, national origin, sex (including pregnancy, sexual harassment, 

gender identity, sexual orientation and non-sexual harassment based on sex), religion, age (40 and 

over), disability (mental or physical), family medical history, genetic information, and reprisal. 

Harassment becomes unlawful when:

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; or

3) The harassing conduct causes a significant change in the employee’s terms, or condition of 

employment. 

Examples of harassing conduct may include but are not limited to:

t,V(\ 

PBGC Pension Benefit 

Guaranty Corporation 
202-229-4000 445 12th Street SW, Washington, DC 20024-2101 PBGC.gov

• 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 the conduct violated the law. Additionally, the Anti-Harassment 

Policy Statement aims to address and prevent antagonistic situations that violate the dignity of the 

Agency’s employees. It pertains to single or repeated incidents of intimidation, humiliation, 

degradation, bullying, or other undesirable verbal, non-verbal or physical conduct toward one 

person or a group of people. 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. 

To prevent and remedy incidents of workplace harassment, PBGC officials must be made aware 

of the conduct or behavior as soon as possible. 

No single situation constitutes harassment and harassment may be direct or indirect.

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.

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 b, 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;
202-229-4000 445 12th Street SW, Washington, DC 20024-2101 PBGC.gov

• 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.

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 is prohibited and will not be tolerated. 

In addition, PBGC is committed to protecting 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-EEO-federal@PBGC.gov or PBGC’s Harassment Inquiry Committee (HIC): 

HIC Intake Points of Contact

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. Absent extenuating circumstances, an inquiry should 

be completed, a decision reached, and final corrective action taken within 60 calendar days of the 

HIC receiving notice of the allegation. Extenuating circumstances include, but are not limited to, 

a delay in receiving the complainant’s statement or supporting documentation.

Additional information about the HIC Procedures is available on SharePoint at 

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