Annual Report for Fiscal Year 2020

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

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 2020

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 2020

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 2020

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 PBGC 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 Government 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; the Office of Personnel 

Management; and the Department of Justice.

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) 2020. 

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 952 employees (909 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 2020

As shown below in Table 1, there were a total of five federal court cases pending and none 

resolved in FY 2020. Some of these cases involved more than one statute. 

TABLE 1

Federal Court Cases Pending or Resolved in FY 2020, 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
4

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

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 2020, 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 2020 by Statute

Title VII of the Civil Rights Act of 1964 5

5

0

0

Pending

Dismissed

Settled

Age Discrimination Employment Act of 1967 3

3

0

0

Pending

Dismissed

Settled

Rehabilitation Act of 1973 1

1

0

0

Pending

Dismissed

Settled

Whistleblower Protection Act 0

0

0

0

Pending

Dismissed

Settled

Equal Pay Act of 1963 0

0

0

0

Pending

Dismissed

Settled 
5

C. Employees Disciplined for Conduct Inconsistent with Federal Antidiscrimination or 

Whistleblower Laws

Table 3 shows zero findings of discrimination and zero 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 2020

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 2020

Attached as Appendix 1 is the PBGC’s final year-end No FEAR Act Data for FY 2020. 

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) 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 of suggested penalties, which has been in effect since 2007, 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 for Fiscal Years 2019 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 (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 2020, 7 PBGC employees filed 11 formal complaints of 

discrimination in comparison to the 14 formal complaints of discrimination filed the 

previous year by 13 employees. The number of filers decreased from the previous year’s 

total of 13 to 7 individuals; however, the number of repeat filers increased to 3 in FY 2020 

from 1 in FY 2019.

TABLE 4

 Number of Formal EEO Complaints and Number of Filers

Fiscal Years Number of 

Complaints Filed

Number of 

Complainants

Repeat Filers

2020 11 7 3

2019 14 13 1
7

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

complaints filed in FY 2020 and FY 2019. 

TABLE 5

EEO Bases in Formal EEO Complaints at PBGC

Year Race Reprisal Age Disability Sex

2020 6 6 2 7 6

2019 12 11 10 3 9

In FY 2020 disability was the most frequently alleged basis, with 7 cases filed, an increase 

from the previous year of 3 cases filed. Race, reprisal, and sex are the second most 

frequently alleged bases in FY 2020, with 6 cases filed under each basis respectively, a 

decrease from the previous year under each basis. Age, the least frequently filed basis with 

2 cases filed in FY 2020 decreased compared to the 10 cases filed in FY 2019. Formal 

complaints filed in FY 2020 under the other bases include both color and national origin, 

each having 1 complaint filed separately. Non-EEO, Genetics and Pregnancy 

Discrimination Act were not alleged in the current reporting period. 

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

complaints filed in FY 2020 and FY 2019. The leading issue in FY 2020 was reasonable 

accommodation with 5 complaints filed, an increase from 2 in FY 2019; harassment (nonsexual) with 3 complaints filed, an increase from 2 in FY 2019; and terms and conditions 

of employment had 2 complaints filed in FY 2020, a decrease from FY 2019’s 5

complaints. Notably, complaints filed under the issue of promotion/non-selection 

decreased by 80% in FY 2020.

TABLE 6

Leading Issues in Formal EEO Complaint 

Year Harassment 

(Non-Sexual)

Promotion/

Non-Selection

Reasonable 

Accommodation

Terms and 

Conditions 

of 

Employment

2020 3 1 5 2

2019 2 5 2 5
8

1. Trends

a. The total number of formal complaints filed in FY 2020, 11, is the lowest number 

of complaints filed since FY 2017. 

b. The largest trending decrease in alleged basis was sex. Complaints alleging sex as 

a basis went from 27 complaints in FY 2016 to 6 complaints in FY 2020, a 

78% decrease. 

c. The most frequently claimed protected basis in FY 2020 is disability, representing

7 complaints. Complaints alleging race had been one of the leading alleged bases 

in the past 3 fiscal years. The protected basis in which the least number of 

complaints were filed in the past 3 fiscal years was national origin, where only a 

single complaint was filed both in FY 2019 and FY 2020. Complaints identifying

race, reprisal and sex were the second most frequently alleged protected bases, all 

representing 6 complaints filed separately in FY2020, lower than the previous fiscal 

year with 12, 9 and 11 complaints filed, respectively. Complaints filed under race, 

reprisal and sex have been decreasing from FY 2016 and leveling off. 

In FY 2020, there was an increase in formal complaints filed on issues alleging

reasonable accommodation and harassment (non-sexual). However, complaints 

filed on issues alleging performance evaluation/appraisal and termination remained

the same in Fiscal Year 2020 as in FY 2019, while complaints identifying

promotion/non-selection decreased by 80% in 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 2020 reflected a significant decrease in the average number of days in the 

formal complaint investigation stage at 124.0. This is likely due to the decrease in 

the number of formal complaints filed during the FY 2020 reporting period. 

The average number of days in investigation decreased by 47 days, dropping 28% 

from 171.29 in FY 2019 to 124.0 in FY 2020. In FY 2020 the trend in the 

processing time for the average number of days in investigations and withdrawals 

decreased, while the average number of days in final action and dismissals

increased. The Agency will continue to improve the processing times at the 

Investigative and Final Agency Action stages by effectively conducting selfassessments of the operations and activities of the EEO program to identify 

inefficient and ineffective areas and costly practices. 
9

2. Causal Analysis

PBGC attributes the 21% decrease in formal EEO complaint activity in FY 2020 (from 

14 in FY 2019 to 11 in FY 2020 — see Table 4) to the Agency’s leadership and

commitment to outreach, Office of Equal Employment Opportunity (OEEO) affinity 

and focus groups, employee training and diversity workshops. (Another reason for the 

decrease in complaints is that people teleworked during the last half of FY 2020 due to 

the COVID-19 pandemic.) These efforts may have led to employees’ knowledge of 

their rights, responsibilities, and employee awareness of prohibited discriminatory 

behaviors. 

3. Knowledge Gained

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

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

and by 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 to 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 2020:

• Agency senior leaders have 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 the agency’s strategic 

operations. The goal is to be proactive in the prevention of discrimination.

• PBGC’s Diversity and Inclusion Council (D & I Council) provided “Be an 

Inclusion Agent” training to managers, supervisors, and employees.

• In FY 2020, the D & I Council formed a new employee resource group at PBGC 

for First Generation Professionals (FGPs).

• The D & I Council developed and offered a senior leader “brown bag” series 

titled “Creating Inclusion in A Virtual Work Environment.”

• OEEO continued its YOUniversity bias awareness program. 

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

equity, diversity, and inclusion to create a more engaged workforce.
10

G. No FEAR Act Training Plan 

The No FEAR Act requires agencies to provide training for their employees on the rights 

and remedies under federal antidiscrimination, retaliation, and whistleblower protection 

laws. New employees are required to complete the online No FEAR Act training course

within thirty days of their appointment. All permanent federal employees will be required 

to take the No FEAR Act training in FY 2021.
Appendix 1

Page 1 of 8

Equal Employment Opportunity Data Posted Pursuant to the No FEAR Act

Pension Benefit Guaranty Corporation (PBGC)

For the Fiscal Year ended September 30, 2020

Part I Complaint Activity

Comparative Data

Previous Fiscal Year Data FY 2020 2015 2016 2017 2018 2019

Number of Complaints Filed 45 29 16 18 14 11

Number of Complainants 42 28 15 16 13 7

Repeat Filers 2 1 1 2 1 3

Complaints by Basis Comparative Data

Previous Fiscal Year Data

FY 2020 Note: Complaints can be filed alleging 

multiple bases. The sum of the bases may not 

equal total complaints filed.

2015 2016 2017 2018 2019

Race 36 25 10 14 12 6

Color 23 18 5 3 5 1

Religion 2 1 1 3 1 0

Reprisal 40 24 10 10 9 6

Sex 29 27 10 12 11 6

PDA 0 0 0 0 0 0

National Origin 9 7 5 3 1 1

Equal Pay Act 0 0 1 0 1 0

Age 25 23 7 7 10 2

Disability 6 1 3 7 3 7

Genetics 0 0 1 0 0 0

Non-EEO 0 0 1 0 0 0

Part III Complaints By Issue Comparative Data

Previous Fiscal Year Data

Note: Complaints can be filed alleging multiple bases. The FY 2020

sum of the bases may not equal total complaints filed. 2015 2016 2017 2018 2019

Appointment/Hire 1 2 2 4 0 1

Assignment of Duties 1 7 1 0 2 0

Awards 1 0 0 0 0 0

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

Disciplinary Action

Demotion 0 1 0 0 0 0

Reprimand 0 2 0 0 0 0

Suspension 1 0 0 0 2 0

Removal 1 0 1 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 10 5 3 1 2 2

Examination/Test 0 0 0 0 0 0

Harassment

Non-Sexual 6 3 8 2 2 3

Sexual 0 0 1 1 0 0
Appendix 1

Page 2 of 8

Part III Complaints By Issue Comparative Data

Previous Fiscal Year Data

Note: Complaints can be filed alleging multiple bases. The FY 2020

sum of the bases may not equal total complaints filed. 2015 2016 2017 2018 2019

Medical Examination 0 0 0 0 0 0

Pay including overtime 8 8 1 0 0 2

Promotion/Non-Selection 12 11 1 2 5 1

Reassignment

Denied 2 0 0 0 0 0

Directed 1 0 1 0 0 0

Reasonable Accommodation Disability 2 1 1 1 2 5

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 0 1 1 0 0 0

Termination 1 0 1 2 1 1

Terms/Conditions of Employment 25 18 2 4 5 2

Time and Attendance 1 0 0 1 0 0

Training 0 0 0 0 0 0

Other

User Defined - Other 1 0 0 0 0 0 0

User Defined - Other 2 0 0 1 3 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 2020 2015 2016 2017 2018 2019

Complaints pending during fiscal year

Average number of days in investigation 0.0 242.47 395.19 174.93 171.29 124.0

Average number of days in final action 0.0 67.0 31.33 68.29 23.14 68.75

Complaints pending during fiscal year where hearing was requested

Average number of days in investigation 176.44 247.07 404.61 177.8 181.2 127.4

Average number of days in final action 157.58 42.5 31.33 24.25 15.0 81.33

Complaints pending during fiscal year where hearing was not requested

Average number of days in investigation 206.25 178.0 318.4 173.5 146.5 130.0

Average number of days in final action 0.0 183.0 0.0 127.0 50.8 31.0

Part 5 Complaints Dismissed by Agency

Comparative Data

Previous Fiscal Year Data FY 2020 2015 2016 2017 2018 2019

Total Complaints Dismissed by Agency 10 1 3 10 3 3

Average days pending prior to dismissal 399 178 123 49 21 28

Complaints Withdrawn by Complainants

Total Complaints Withdrawn by 

Complainants 1 7 4 15 5 0
Appendix 1

Page 3 of 8

Part VI Total Final 

Agency Actions 

Finding 

Discrimination

Comparative Data

Previous Fiscal Year Data

FY 2020

2015 2016 2017 2018 2019

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

Total Number 

Findings 1 0 0 0 0 0

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

With Hearing 1 10

0 0 0 0 0 0 0 0 0 0 0

Findings of 

Discriminati

on

Rendered 

by Basis

Comparative Data

Previous Fiscal Year Data FY 2020

Note: 

Complaints can 

be filed alleging 

multiple 

bases. The sum 

of the bases 

may not 

equal total 

complaints and 

findings.

2015 2016 2017 2018 2019

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

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

Page 4 of 8

Findings of 

Discriminati

on

Rendered 

by Basis

Comparative Data

Previous Fiscal Year Data FY 2020

Note: 

Complaints can 

be filed alleging 

multiple 

bases. The sum 

of the bases 

may not 

equal total 

complaints and 

findings.

2015 2016 2017 2018 2019

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

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 2020 2015 2016 2017 2018 2019

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

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 1 100 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

Page 5 of 8

Findings of 

Discrimination Rendered 

by Issue

Comparative Data

Previous Fiscal Year Data FY 2020 2015 2016 2017 2018 2019

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

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 1 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 1 100 0 0 0 0 0 0 0 0 0 0
Appendix 1

Page 6 of 8

Findings of 

Discrimination Rendered 

by Issue

Comparative Data

Previous Fiscal Year Data FY 2020 2015 2016 2017 2018 2019

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

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

Page 7 of 8

Findings of 

Discrimination Rendered 

by Issue

Comparative Data

Previous Fiscal Year Data FY 2020 2015 2016 2017 2018 2019

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

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

Page 8 of 8

Findings of 

Discrimination Rendered 

by Issue

Comparative Data

Previous Fiscal Year Data FY 2020 2015 2016 2017 2018 2019

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

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 2020 2015 2016 2017 2018 2019

Total complaints from previous 

Fiscal Years 25 47 22 22 5 7

Total Complainants 22 40 48 19 4 5

Number complaints pending

Investigation 2 13 2 0 0 0

ROI issued, pending 

Complainant's action 0 0 0 0 0 0

Hearing 22 31 49 19 5 7

Final Agency Action 0 0 1 3 0 0

Appeal with EEOC Office of 

Federal Operations 7 10 9 9 10 1

Part X Complaint Investigations

Comparative Data

Previous Fiscal Year Data FY 2020 2015 2016 2017 2018 2019

Pending Complaints Where 

Investigations Exceed Required Time 

Frames

0 1 1 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.