Annual Report for Fiscal Year 2018 

under the 

Notification and Federal Employee Antidiscrimination 

and Retaliation Act of 2002 

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 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 
Table of Contents 

A. Introduction 

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

Laws 

1. Number of Federal Court Cases Pending or Resolved in F Y 2018 

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 

1. Employees Disciplined in Connection with Federal Court Cases 

2. Employees Disciplined Whether or Not in Connection with Federal Court Cases 

D. Final Year-End No FEA R Act Data for F Y 2018 

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 

 Actions Planned to Improve PBGC's EE O Program 

G. No FEA R Act Training Plan 

APPENDICES: 

Appendix 1 Final Year-End No FEA R Act Data for F Y 2018 

Appendix 2 EE O Policy Statement, dated November 16, 2016 

Appendix 3 Prevention of Workplace Harassment Policy Statement, 

dated January 24, 2018 

2 
A. Introduction 

Thi s repor t is prepare d b y th e Pensio n Benefi t Guarant y Corporatio n (PBGC ) i n accordanc e 

wit h th e requirement s o f Titl e II , Sectio n 203 , o f th e Notificatio n an d Federa l Employe e 

Antidiscriminatio n an d Retaliatio n Ac t o f 200 2 (N o FEA R Ac t o r Act) . Th e Ac t require s federa l 

agencie s t o submi t a n annua l repor t t o th e Speake r o f th e Hous e o f Representatives; th e Presiden t 

P r o Tempor e o f th e Senate ; th e Senat e Committe e o n Homelan d Securit y an d Governmenta l 

Affairs ; th e Hous e Committe e o n Oversigh t an d Reform ; th e Senat e Committe e o n 

Health , Education , Fabor , an d Pensions ; th e Hous e Committe e o n Educatio n an d Fabor ; th e U.S . 

Equa l Employmen t Opportunit y Commission ; th e Offic e o f Personne l Managemen t an d th e 

Attorne y General . 

T h e Ac t hold s federa l agencie s accountabl e fo r violation s o f antidiscriminatio n an d 

whistleblowe r protectio n law s relatin g t o federa l employment . Th e repor t contain s dat a an d 

analysis concernin g equa l employmen t opportunit y (EEO ) complaint s activit y a t PBGC , includin g 

Federa l cour t case s an d resultin g disciplinar y action s durin g Fisca l Yea r (FY )

I t is th e la w o f this natio n an d th e polic y o f PBG C t o prohibi t discriminatio n i n th e 

workplace . PBG C is committe d t o maintainin g a n environmen t tha t provide s equa l employmen t 

opportunit y fo r its approximatel y 94 4 employee s a s wel l as applicants fo r employment . 

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

1. The Number of Federal Court Cases Pending or Resolved in F Y 2018 

A s show n belo w i n Tabl e 1 , federa l cour t case s unde r tw o federa l antidiscriminatio n o r 

whistleblowe r law s wer e pendin g o r resolve d i n Fisca l Yea r Ther e wer e tw o case s i n total , 

o n e o f whic h involve d bot h statutes. 

Laws 

TABLE 1 

Federal Court Cases Pending or Resolved in F Y 2018 Separated by Statute 

Title VII of the Civil Rights Act of 1964: 

Age Discrimination in Employment Act of 1967: 

Rehabilitation Act of 1973: 

Whistleblower Protection Act: 

Equal Pay Act of 1963: 

2 

0 

1 

0 

0 

3 
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 

Tabl e 2 belo w show s th e statu s an d dispositio n o f federa l cour t case s unde r federa l 

antidiscriminatio n o r whistleblowe r laws , b y statute , i n Fisca l Yea r Th e tabl e show s pendin g 

case s unde r tw o statutes. Ther e wer e tw o pendin g case s i n total , on e o f whic h involve d bot h 

statutes. 

A s a governmen t corporation , PBG C ha s corporat e fund s availabl e t o pa y judgment s an d 

settlements. Durin g F Y PBG C pai d n o settlements t o th e Judgmen t Fund , no r di d i t mak e 

a n y budge t relatin g t o th e Judgmen t Fund . 

TABLE 2 

Status of Federal Court Cases Pending in F Y 2018 by Statute 

Title VII of the Civil Rights Act of 1964: 2 

Pending: 2 

Dismissed: 0 

Settled: 0 

Age Discrimination Employment Act of 1967: 0 

Pending: 0 

Dismissed: 0 

Settled: 0 

Rehabilitation Act of 1 

Pending 1 

Dismissed: 0 

Settled: 0 

Whistleblower Protection Act: 0 

Pending: 0 

Dismissed: 0 

Settled: 0 

Equal Act 1963: 0 

Pending: 0 

Dismissed: 0 

Settled: 0 

4 
C. Employees Disciplined for Conduct Inconsistent with Federal Antidiscrimination or 

Whistleblower Laws 

Tabl e 3 show s th e numbe r o f finding s o f conduc t inconsisten t wit h federa l 

antidiscriminatio n o r whistleblowe r law s an d th e numbe r o f employee s discipline d fo r suc h conduc t 

i n F Y Th e tabl e show s n o finding s o f suc h conduc t an d n o employee s discipline d fo r suc h 

conduct . 

TABLE 3 

Employees Disciplined for Conduct Inconsistent with 

Federal Antidiscrimination or Whistleblower Laws in F Y 2018 

1. Employees Disciplined in Connection with Federal Court Cases 

Number of Findings: 0 

Number of Employees Disciplined: 0 

2. Employees Disciplined Whether or Not in Connection with Federal Court Cases 

Number of Employees Disciplined: 0 

D. Final Year-End No FEA R Act Data for F Y 2018 

Attache d as Appendi x 1 is th e PBGC' s fina l year-en d N o FEA R Ac t Dat a fo r F Y

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

Whistleblower Laws 

PBG C is committe d t o maintainin g a workplac e tha t promote s productivity , 

professionalism , an d a n environmen t tha t protects th e dignit y o f al l its workers . PBG C issue s 

polic y statements, whic h periodicall y ar e sen t t o al l its employee s an d contractors. Th e statements 

provid e tha t an y harassmen t of , o r by , PBG C employees , sexua l o r non-sexual , is expressl y 

prohibite d an d wil l no t b e tolerated . Further , the y provid e tha t employee s wh o engag e i n 

discriminator y o r harassin g behavio r ma y b e t o appropriat e correctiv e action , u p t o an d 

includin g dismissa l fro m employment . S e e EE O Polic y Statement , date d Novembe r

(Appendi x 2 ) an d Preventio n o f Workplac e Harassmen t Polic y Statement , date d Januar y 24 ,

(Appendi x 3) . 

PBG C maintain s a n interna l directiv e o n disciplinar y an d advers e actions, outlinin g th e 

procedure s fo r addressin g employe e misconduct , an d includin g a tabl e o f suggeste d penaltie s fo r 

variou s infractions. Thi s table , whic h ha s bee n i n effec t sinc e 2007 , include s severa l categorie s 

addressin g conduc t tha t is inconsisten t wit h federa l antidiscriminatio n o r whistleblowe r laws . 

Usin g a progressiv e disciplin e approach , an d dependin g o n th e natur e o f th e misconduct , th e 

penaltie s ca n rang e fro m a writte n repriman d fo r a first offens e t o remova l fro m duty . 

5 
F. Data Analysis 

Durin g F Y PBG C employee s file d forma l complaint s o f discrimination . Thi s is i n 

compariso n t o forma l complaint s file d th e previou s year . Th e numbe r o f peopl e filin g 

complaint s slightl y increase d fro m th e previou s year's tota l o f 1 5 individual s t o individuals . Th e 

numbe r o f repea t filers als o increase d b y 1 fro m th e previou s year. 

A n analysis o f th e F Y complain t dat a reveals tha t th e leadin g base s fo r forma l 

complaint s wer e race, sex and reprisal whic h wer e raise d i n an d cases, respectively . Age 

a n d disability wer e th e nex t mos t frequen t base s i n F Y bein g raise d i n 7 case s each . Thi s wa s 

t h e sam e numbe r o f case s wit h age as a basis as i n th e previou s year . 

Disability case s mor e tha n doubled , goin g fro m 3 case s i n F Y t o 7 i n F Y

Religion case s tripled , goin g fro m 1 cas e i n F Y t o 3 case s i n F Y Genetics an d Non-EEO 

case s eac h occurre d onc e i n F Y 2017 . Neithe r o f thes e case s ha d a singl e occurrenc e i n F Y 2018 . 

T h e leadin g issue s fo r forma l complaint s i n F Y wer e appointment/hire an d 

terms/conditions of employment, whic h wer e reporte d i n 4 case s each . Th e nex t highest frequenc y 

issue s i n complaint s wer e harassment(non-sexual) an d termination, whic h wer e reporte d i n tw o 

case s each . 

1. Trends 

a. Th e numbe r o f complaint s ha s generall y bee n decreasin g sinc e F Y

b . Th e largest decrease s i n allege d base s wer e i n color an d national origin. Complaint s 

allegin g color o r national origin a s a basis eac h wen t fro m 5 case s t o 3 cases. Thi s 

is a 40 % decreas e fro m th e previou s yea r fo r bot h bases. 

T h e mos t frequentl y claime d protecte d base s i n F Y race, sex, reprisal, 

wer e als o th e leadin g base s i n th e previou s year . Al l thre e hav e bee n th e leadin g 

base s i n complaint s i n 4 o f th e last 5 fisca l years. 

c. Durin g F Y th e highest increase s i n issue s allege d wa s i n terms conditions 

of employment, an d appointment/hire whic h appeare d i n 4 complaint s apiece . Bot h 

issue s double d thei r occurrenc e fro m th e previou s year . Thi s is th e highest 

occurrenc e o f this issu e sinc e N o othe r issue s ha d a significan t increas e i n 

occurrence . 

Harassment experience d a grea t decreas e i n fro m previou s years. 

Thi s issu e wa s onl y recorde d i n 2 cases, compare d t o 8 i n F Y a 75 % decline . 

Thi s is als o th e lowes t occurrenc e o f this issu e i n th e last five years. 

d . Fo r complain t processing , F Y reflecte d a decreas e i n th e averag e numbe r o f 

day s i n th e forma l complain t investigatio n stage . Th e averag e numbe r day s t o 

investigat e a forma l complain t decrease d fro m 39 5 i n F Y t o i n F Y

T h e averag e numbe r o f day s i n th e Fina l Actio n stag e wa s 6 8 days, u p fro m day s 

i n F Y Th e averag e numbe r o f day s t o dismiss a complain t decrease d fro m

day s i n F Y t o 4 9 day s i n F Y

6 
2. Causal Analysis 

I n F Y th e Agenc y sa w a sligh t increas e i n th e numbe r o f complaint s file d against it . 

Thi s increase d complain t tota l coul d b e th e resul t o f severa l factors. Becaus e PBG C is a smal l 

agenc y wit h unde r 1,00 0 employees , i t is difficul t t o determin e whethe r an d wha t systemi c issue s 

m a y hav e le d t o th e increas e i n complaints . PBGC' s staf f continuall y train s i n th e us e o f a n 

automate d complain t trackin g an d reportin g syste m tha t allow s fo r a d ho c reportin g o n complain t 

matters an d offers flexibility i n analyzin g issue s as the y occur. Th e Agenc y wil l continu e t o 

monito r complain t activit y t o identif y best practice s i n th e processin g o f EE O complaints . 

3. Knowledge Gained 

T h e Agenc y recognize s reduce d participatio n o f Alternativ e Disput e Resolutio n (ADR ) ca n 

potentiall y contribut e t o a highe r cas e loa d i n th e future . Th e Agenc y plan s t o refocu s its efforts t o 

increas e participatio n i n AD R durin g th e complain t process, particularl y i n th e earl y stages. Th e 

Agenc y an d its leadershi p wil l continu e t o trai n managers an d employee s abou t th e benefits o f 

ADR . 

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

Agenc y initiative s relatin g t o EE O planne d fo r F Y

• Expan d knowledg e o f an d participatio n i n th e EE O Alternativ e Disput e Resolutio n 

program . 

• Provid e additiona l EE O trainin g o n area s identifie d throug h barrie r an d trend s 

analyses. 

• Continu e benchmarkin g wit h othe r federa l secto r agencie s o n EE O issues. 

• Enhanc e constructiv e collaborativ e departmenta l partnership s withi n th e Agenc y t o 

continu e integratio n o f EE O int o th e Agency' s strategi c operations. 

• Provid e quarterl y workforc e diversit y profile s t o hel p leadershi p identif y an d mee t 

i ts affirmativ e employmen t an d diversit y an d inclusio n goals. 

Provid e targete d trainin g o n anti-harassmen t t o b e conducte d b y th e Offic e o f th e 

Genera l Counsel , th e Huma n Resource s Departmen t an d th e Offic e o f Equa l 

Employmen t Opportunit y fo r managers an d supervisors. 

Continu e th e Affirmativ e Employmen t Committee s fo r Hispanic s an d Women . 

Establis h a Disabilit y Affirmativ e Employmen t Committee . 

• Continu e th e Boo k Clu b tha t supports equa l employmen t opportunit y efforts an d 

employe e engagement . 

• Implemen t a n EE O Dashboar d porta l fo r managers an d supervisors. 

 Collaborat e wit h th e Huma n Resource s Departmen t an d th e Qualit y Managemen t 

Departmen t t o establis h talen t pipelin e training . 

7 
G. No FEA R Act Training Plan 

Durin g F Y th e Agenc y wil l ensur e N o FEA R Ac t trainin g fo r al l ne w employee s 

brough t o n board . Th e Agenc y wil l als o continu e t o deplo y bi-annua l trainin g fo r curren t 

employee s as required . 

8 
APPENDI X 

Equal Employment Opportunity Data Posted Pursuant to the No FEAR Act 

Pension Benefit Guaranty Corporation (PBGC) 

F o r th e Fisca l Yea r ende d Septembe r 30 , 201 8 

Complain t Activit y 

Comparativ e Dat a 

Complain t Activit y 

Previou s Fisca l Yea r Dat a 

F Y 201 8 

Complain t Activit y 201 3 201 4 201 6 201 7 

F Y 201 8 

Numbe r o f Complaint s File d 3 7 2 9 1 6 1 8 

Numbe r o f Complainant s 1 3 3 1 4 2 2 8 1 5 1 6 

Repea t Filer s 2 4 2 1 1 2 

Complaint s b y Basi s 

Comparativ e Dat a 

Complaint s b y Basi s 

Previou s Fisca l Yea r Dat a 

F Y 201 8 

Note : Complaint s ca n b e file d allegin g multipl e bases . 

The su m o f th e base s ma y no t equa l tota l complaint s filed . 

201 3 201 4 201 6 201 7 

F Y 201 8 

Rac e 1 1 1 9 3 6 2 5 1 0 1 4 

Colo r 8 2 3 1 8 3 

Religio n 0 2 2 1 1 3 

Reprisa l 1 3 3 2 4 0 2 4 1 0 1 0 

S e x 1 1 2 1 2 9 2 7 1 0 1 2 

P D A 1 0 0 0 0 0 

Nationa l Origi n 0 3 9 7 5 3 

Equa l Pa y Ac t 2 1 0 0 1 0 

A g e 1 2 2 0 2 3 7 7 

Disabilit y 2 6 6 1 3 7 

Genetic s 0 0 0 0 1 0 

Non-EE O 2 0 0 0 1 0 

Complaint s b y Issu e 

Comparativ e Dat a 

Complaint s b y Issu e 

Previou s Fisca l Yea r Dat a 

F Y 201 8 

Note : Complaint s ca n b e file d allegin g multipl e bases . 

The su m o f th e base s ma y no t equa l tota l complaint s filed . 

201 3 201 4 201 5 201 6 201 7 

F Y 201 8 

Appointment/Hir e 1 0 1 2 2 4 

Assignmen t o f Dutie s 3 1 0 1 7 1 0 

Award s 0 1 1 0 0 0 

Conversio n t o Ful l Time/Per m Statu s 0 0 0 0 0 0 

Disciplinar y Actio n 

Demotio n 0 0 0 1 0 0 

Repriman d 0 2 0 2 0 0 

Suspensio n 

Remova l 

0 

0 

0 

0 

1 

1 

0 

0 

0 

1 

0 

0 

Othe r 

Dut y Hour s 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

Pert . 5 1 7 1 0 5 3 1 

Examination/Tes t 0 0 0 0 0 0 

Harassmen t 

Non-Sexua l 3 1 7 6 3 8 2 

Sexua l 0 1 0 0 1 1 

Medica l Examinatio n 0 0 0 0 0 0 

P a y includin g overtim e 1 3 8 8 1 0 

Promotion/Non-Selectio n 3 4 1 2 1 1 1 2 

Reassignmen t 

Denie d 0 1 2 0 0 0 

Directe d 1 0 1 0 1 0 

Reasonabl e Accommodatio n Disabilit y 1 2 2 1 1 1 

Reinstatemen t 0 0 0 0 0 0 

Religiou s Accommodatio n 0 0 0 0 0 0 

Retiremen t 0 1 0 0 0 0 

Sex-Stereotypin g 0 0 0 0 0 0 

0 0 0 1 1 0 

Terminatio n 1 2 1 0 1 2 

Terms/Condition s o f Employmen t 1 0 1 4 1 8 2 4 

Tim e an d Attendanc e 1 3 1 0 0 1 

Trainin g 1 3 0 0 0 0 

Othe r 

Use r Define d - Othe r 1 0 0 0 0 0 0 

Othe r 0 0 0 0 1 3 

Use r Define d - Othe r 3 0 0 0 0 0 0 

Use r Define d - Othe r 4 0 0 0 0 0 0 

Pag e 1 o f 4 
APPENDI X 1 

Processin g Tim e 

Comparativ e Dat a 

-

Processin g Tim e 

Previou s Fisca l Yea r Dat a 

F Y 2018 

-

Processin g Tim e 2013 | 2014 | | 2016 | 2017 

F Y 2018 

-

Complaint s pendin g durin g fisca l yea r 

-

Averag e numbe r o f day s i n investigatio n 201. 1 168.8 3 183.4 5 242.4 7 395.1 9 174.9 3 

-

Averag e numbe r o f day s i n fina l actio n 15. 8 157.5 8 6 7 31.3 3 68.2 9 

-

Complain t pendin g durin g fisca l yea r wher e hearin g wa s requeste d 

-

Averag e numbe r o f day s i n investigatio n 189. 5 165.6 4 176.4 4 247.0 7 404.6 1 177. 8 

-

Averag e numbe r o f day s i n fina l actio n 25. 5 17.6 7 157.5 8 42. 5 31.3 3 24.2 5 

-

Complain t pendin g durin g fisca l yea r wher e hearin g wa s no t requeste d 

- Averag e numbe r o f day s i n investigatio n 247. 5 173.8 6 206.2 5 1 7 8 318. 4 173. 5 -

Averag e numbe r o f day s i n fina l actio n 1 1 3 0 1 8 3 0 1 2 7 

-

Complaint s Dismisse d b y Agenc y 

Comparativ e Dat a 

-

Complaint s Dismisse d b y Agenc y 

Previou s Fisca l Yea r Dat a 

F Y 2018 

-

Complaint s Dismisse d b y Agenc y 2013 2014 2015 2016 2017 

F Y 2018 

-

Tota l Complaint s Dismisse d b y Agenc y 3 1 7 1 0 1 3 1 0 

-

Averag e day s pendin g prio r t o dismissa l 3 8 1 5 6 3 9 9 1 7 8 1 2 3 4 9 

-

Complaint s Withdraw n b y Complainant s 

-

Tota l Complaint s Withdraw n b y Complainant s 3 3 1 7 4 1 5 

-

Tota l Fina l Agenc y Action s Findin g Discriminatio n 

Comparativ e Dat a 

Tota l Fina l Agenc y Action s Findin g Discriminatio n 

Previou s Fisca l Yea r Dat a 

F Y 2018 

Tota l Fina l Agenc y Action s Findin g Discriminatio n 

2013 2014 2015 2016 2017 

F Y 2018 

Tota l Fina l Agenc y Action s Findin g Discriminatio n f f % f f % # % ff % # % ff % 

Tota l Numbe r Finding s 0 0 1 0 0 2 

Withou t Hearin g 0 0 0 0 0 0 0 0 0 0 2 1 0 0 

Wit h Hearin g 0 0 0 0 1 1 0 0 0 0 0 0 0 0 

Finding s o f Discriminatio n Rendere d b y Basi s 

Comparativ e Dat a 

Finding s o f Discriminatio n Rendere d b y Basi s 

Previou s Fisca l Yea r Dat a 

F Y 2018 

Note : Complaint s ca n b e file d allegin g multipl e bases . 

The su m o f th e base s ma y no t equa l tota l complaint s an d 

findings . 

2013 2014 2015 2016 2017 

F Y 2018 

Note : Complaint s ca n b e file d allegin g multipl e bases . 

The su m o f th e base s ma y no t equa l tota l complaint s an d 

findings . 

# % ff % f f % # % f f % % 

Tota l Numbe r Finding s 0 0 0 0 0 0 l Numbe r Finding s 0 0 0 0 0 0 

Rac e 0 0 0 0 0 0 0 0 0 0 0 0 

Colo r 0 0 0 0 0 0 0 0 0 0 0 0 

Religio n 0 0 0 0 0 0 0 0 0 0 0 0 

Reprisa l 0 0 0 0 0 0 0 0 0 0 0 0 

S e x 0 0 0 0 0 0 0 0 0 0 0 0 

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

Nationa l Origi n 0 0 0 0 0 0 0 0 0 0 0 0 

Equa l Pa y Ac t 0 0 0 0 0 0 0 0 0 0 0 0 

A g e 0 0 0 0 0 0 0 0 0 0 0 0 

Disabilit y 0 0 0 0 0 0 0 0 0 0 0 0 

Genetic s 0 0 0 0 0 0 0 0 0 0 0 0 

Non-EE O 0 0 0 0 0 0 0 0 0 0 0 0 

Finding s Afte r Hearin g 0 0 0 0 0 0 

Rac e 0 0 0 0 0 0 0 0 0 0 0 0 

Colo r 0 0 0 0 0 0 0 0 0 0 0 0 

Religio n 0 0 0 0 0 0 0 0 0 0 0 0 

Reprisa l 0 0 0 0 0 0 0 0 0 0 0 0 

S e x 0 0 0 0 0 0 0 0 0 0 0 0 

P D A 0 0 0 0 0 0 0 0 0 0 0 0 

Nationa l Origi n 0 0 0 0 0 0 0 0 0 0 0 0 

Equa l Pa y Ac t 0 0 0 0 0 0 0 0 0 0 0 0 

A g e 0 0 0 0 0 0 0 0 0 0 0 0 

Disabilit y 0 0 0 0 0 0 0 0 0 0 0 0 

Genetic s 0 0 0 0 0 0 0 0 0 0 0 0 

Non-EE O 0 0 0 0 0 0 0 0 0 0 0 0 

Finding s Withou t Hearin g 0 0 0 0 0 0 

Rac e 0 0 0 0 0 0 0 0 0 0 0 0 

Colo r 0 0 0 0 0 0 0 0 0 0 0 0 

Religio n 0 0 0 0 0 0 0 0 0 0 0 0 

Reprisa l 0 0 0 0 0 0 0 0 0 0 0 0 

S e x 0 0 0 0 0 0 0 0 0 0 0 0 

P D A 0 0 0 0 0 0 0 0 0 0 0 0 

Nationa l Origi n 0 0 0 0 0 0 0 0 0 0 0 0 

Equa l Pa y Ac t 0 0 0 0 0 0 0 0 0 0 0 0 

Pag e 2 o f 4 
APPENDI X 1 

A g e 0 0 0 0 0 0 0 0 0 0 0 0 

Disabilit y 0 0 0 0 0 0 0 0 0 0 0 0 

Genetic s 0 0 0 0 0 0 0 0 0 0 0 0 

Non-EE O 0 0 0 0 0 0 0 0 0 0 0 0 

Finding s o f Discriminatio n Rendere d b y Issu e 

Comparativ e Dat a 

Finding s o f Discriminatio n Rendere d b y Issu e 

Previou s Fisca l Yea r Dat a 

F Y 2018 

Finding s o f Discriminatio n Rendere d b y Issu e 

2013 2014 2016 2017 

F Y 2018 

Finding s o f Discriminatio n Rendere d b y Issu e f f % # % # % ff % f f % # % 

Tota l Numbe r Finding s 0 0 1 0 0 0 

Appointment/Hir e 0 0 0 0 0 0 0 0 0 0 0 0 

Assignmen t o f Dutie s 0 0 0 0 0 0 0 0 0 0 0 0 

Award s 0 0 0 0 1 1 0 0 0 0 0 0 0 0 

Conversio n t o Ful l Time/Per m Statu s 0 0 0 0 0 0 0 0 0 0 0 0 

Disciplinar y Actio n 

Demotio n 0 0 0 0 0 0 0 0 0 0 0 0 

Repriman d 0 0 0 0 0 0 0 0 0 0 0 0 

Suspensio n 0 0 0 0 0 0 0 0 0 0 0 0 

Remova l 0 0 0 0 0 0 0 0 0 0 0 0 

Othe r 0 0 0 0 0 0 0 0 0 0 0 0 

Dut y Hour s 0 0 0 0 0 0 0 0 0 0 0 0 

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

Examination/Tes t 0 0 0 0 0 0 0 0 0 0 0 0 

Harassmen t 

Non-Sexua l 0 0 0 0 0 0 0 0 0 0 0 0 

Sexua l 0 0 0 0 0 0 0 0 0 0 0 0 

Medica l Examinatio n 0 0 0 0 0 0 0 0 0 0 0 0 

P a y includin g overtim e 0 0 0 0 0 0 0 0 0 0 0 0 

Promotion/Non-Selectio n 0 0 0 0 0 0 0 0 0 0 0 0 

Reassignmen t 

Denie d 0 0 0 0 0 0 0 0 0 0 0 0 

Directe d 0 0 0 0 0 0 0 0 0 0 0 0 

Reasonabl e Accommodatio n Disabilit y 0 0 0 0 0 0 0 0 0 0 0 0 

Reinstatemen t 0 0 0 0 0 0 0 0 0 0 0 0 

Religiou s Accommodatio n 0 0 0 0 0 0 0 0 0 0 0 0 

Retiremen t 0 0 0 0 0 0 0 0 0 0 0 0 

Sex-Stereotypin g 0 0 0 0 0 0 0 0 0 0 0 0 

Telewor k 0 0 0 0 0 0 0 0 0 0 0 0 

Terminatio n 0 0 0 0 0 0 0 0 0 0 0 0 

Terms/Condition s o f Employmen t 0 0 0 0 0 0 0 0 0 0 0 0 

Tim e an d Attendanc e 0 0 0 0 0 0 0 0 0 0 0 0 

Trainin g 0 0 0 0 0 0 0 0 0 0 0 0 

 Defin e 

Use r Define d - Othe r 1 0 0 0 0 0 0 0 0 0 0 0 0 

Othe r 0 0 0 0 0 0 0 0 0 0 0 0 

Use r 3 0 0 0 0 0 0 0 0 0 0 0 0 

Use r Define d - Othe r 4 0 0 0 0 0 0 0 0 0 0 0 0 

0 0 1 0 0 0 Finding s Afte r Hearin g 

Appointment/Hir e 0 0 0 0 0 0 0 0 0 0 0 0 

Assignmen t o f Dutie s 0 0 0 0 0 0 0 0 0 0 0 0 

Award s 0 0 0 0 1 1 0 0 0 0 0 0 0 0 

Conversio n t o Ful l Time/Per m Statu s 0 0 0 0 0 0 0 0 0 0 0 0 

Disciplinar y Actio n 

Demotio n 0 0 0 0 0 0 0 0 0 0 0 0 

Repriman d 0 0 0 0 0 0 0 0 0 0 0 0 

Suspensio n 0 0 0 0 0 0 0 0 0 0 0 0 

Remova l 0 0 0 0 0 0 0 0 0 0 0 0 

Othe r 0 0 0 0 0 0 0 0 0 0 0 0 

Dut y Hour s 0 0 0 0 0 0 0 0 0 0 0 0 

Perf . 0 0 0 0 0 0 0 0 0 0 0 0 

Examination/Tes t 0 0 0 0 0 0 0 0 0 0 0 0 

Harassmen t 

Non-Sexua l 0 0 0 0 0 0 0 0 0 0 0 0 

Sexua l 0 0 0 0 0 0 0 0 0 0 0 0 

Medica l Examinatio n 0 0 0 0 0 0 0 0 0 0 0 0 

P a y includin g overtim e 0 0 0 0 0 0 0 0 0 0 0 0 

Promotion/Non-Selectio n 0 0 0 0 0 0 0 0 0 0 0 0 

Reassignmen t 

Denie d 0 0 0 0 0 0 0 0 0 0 0 

Directe d 0 0 0 0 0 0 0 0 0 0 0 0 

Reasonabl e Accommodatio n Disabilit y 0 0 0 0 0 0 0 0 0 0 0 0 

Pag e 3 o f 4 
APPENDI X 1 

Reinstatemen t 0 0 0 0 0 0 0 0 0 0 0 0 

Religiou s Accommodatio n 0 0 0 0 0 0 0 0 0 0 0 0 

Retiremen t 0 0 0 0 0 0 0 0 0 0 0 0 

Sex-Stereotypin g 0 0 0 0 0 0 0 0 0 0 0 0 

Telewor k 0 0 0 0 0 0 0 0 0 0 0 0 

Terminatio n 0 0 0 0 0 0 0 0 0 0 0 0 

Terms/Condition s o f Employmen t 0 0 0 0 0 0 0 0 0 0 0 0 

Tim e an d Attendanc e 0 0 0 0 0 0 0 0 0 0 0 0 

Trainin g 0 0 0 0 0 0 0 0 0 0 0 0 

Othe r - Use r Defin e 

Use r 1 0 0 0 0 0 0 0 0 0 0 0 0 

Othe r 0 0 0 0 0 0 0 0 0 0 0 0 

Use r 3 0 0 0 0 0 0 0 0 0 0 0 0 

Use r Define d - Othe r 4 0 0 0 0 0 0 0 0 0 0 0 0 

Finding s Withou t Hearin g 0 0 0 0 0 0 

Appointment/Hir e 0 0 0 0 0 0 0 0 0 0 0 0 

Assignmen t o f Dutie s 0 0 0 0 0 0 0 0 0 0 0 0 

Award s 0 0 0 0 0 0 0 0 0 0 0 0 

Conversio n t o Ful l Time/Per m Statu s 0 0 0 0 0 0 0 0 0 0 0 0 

Disciplinar y Actio n 

Demotio n 0 0 0 0 0 0 0 0 0 0 0 0 

Repriman d 0 0 0 0 0 0 0 0 0 0 0 0 

Suspensio n 0 0 0 0 0 0 0 0 0 0 0 0 

Remova l 0 0 0 0 0 0 0 0 0 0 0 0 

Othe r 0 0 0 0 0 0 0 0 0 0 0 0 

Dut y Hour s 0 0 0 0 0 0 0 0 0 0 0 0 

Perf . Eval. / Appraisa l 0 0 0 0 0 0 0 0 0 0 0 0 

Examination/Tes t 0 0 0 0 0 0 0 0 0 0 0 0 

Harassmen t 

Non-Sexua l 0 0 0 0 0 0 0 0 0 0 0 0 

Sexua l 0 0 0 0 0 0 0 0 0 0 0 0 

Medica l Examinatio n 0 0 0 0 0 0 0 0 0 0 0 0 

P a y includin g overtim e 0 0 0 0 0 0 0 0 0 0 0 0 

Promotion/Non-Selectio n 0 0 0 0 0 0 0 0 0 0 0 0 

Reassignmen t 

Denie d 0 0 0 0 0 0 0 0 0 0 0 0 

Directe d 0 0 0 0 0 0 0 0 0 0 0 0 

Reasonabl e Accommodatio n Disabilit y 0 0 0 0 0 0 0 0 0 0 0 0 

Reinstatemen t 0 0 0 0 0 0 0 0 0 0 0 0 

Religiou s Accommodatio n 0 0 0 0 0 0 0 0 0 0 0 0 

Retiremen t 0 0 0 0 0 0 0 0 0 0 0 0 

Sex-Stereotypin g 0 0 0 0 0 0 0 0 0 0 0 0 

Telewor k 0 0 0 0 0 0 0 0 0 0 0 0 

Terminatio n 0 0 0 0 0 0 0 0 0 0 0 0 

Terms/Condition s o f Employmen t 0 0 0 0 0 0 0 0 0 0 0 0 

Tim e an d Attendanc e 0 0 0 0 0 0 0 0 0 0 0 0 

Trainin g 0 0 0 0 0 0 0 0 0 0 0 0 

 Defin e 

Use r Define d - Othe r 1 0 0 0 0 0 0 0 0 0 0 0 0 

Othe r 0 0 0 0 0 0 0 0 0 0 0 0 

Use r Define d - Othe r 3 0 0 0 0 0 0 0 0 0 0 0 0 

Use r Define d - Othe r 4 0 0 0 0 0 0 0 0 0 0 0 0 

Pendin g Complaint s File d i n Previou s Fisca l Year s b y Statu s 

Comparativ e Dat a 

Pendin g Complaint s File d i n Previou s Fisca l Year s b y Statu s 

Previou s Fisca l Yea r Dat a 

F Y 201 8 

Pendin g Complaint s File d i n Previou s Fisca l Year s b y Statu s 201 3 201 4 201 5 201 7 

F Y 201 8 

Tota l complaint s fro m previou s Fisca l Year s 8 1 2 4 7 5 5 2 2 

Tota l Complainant s 7 1 2 2 2 4 0 4 8 1 9 

Numbe r complaint s pendin g 

Investigatio n 0 2 2 1 3 2 0 

 issued , pendin g Complainant' s actio n 0 0 0 0 0 0 

Hearin g 8 9 2 2 3 1 4 9 1 9 

Fina l Agenc y Actio n 0 1 0 0 1 3 

Appea l wit h EEO C Offic e o f Federa l Operation s 6 6 7 1 0 9 9 

Complain t Investigation s 

Comparativ e Dat a 

Complain t Investigation s 

Previou s Fisca l Yea r Dat a 

F Y 201 8 

Complain t Investigation s 201 3 201 4 201 5 201 6 201 7 

F Y 201 8 

Pendin g Complaint s Wher e Investigation s Excee d Require d 

Tim e Frame s 0 1 0 1 1 0 

Pag e 4 o f 4 
November

TO: All PBGC Staff 

FROM: W. Thomas Reeder, Jr.

Director

SUBJECT: Equal Employment Opportunity Policy Statement 

T h e Pensio n Benefi t Guarant y Corporatio n (PBGC ) protects th e retiremen t income s o f nearl y 4 0 

millio n America n workers i n nearl y 24,00 0 private-secto r define d benefi t pensio n plans. Fo r 

PBG C t o d o its well , w e must continu e t o striv e fo r inclusion , cooperation , an d respect fo r th e 

talents tha t a divers e workforc e ca n brin g t o an y successful venture . 

PBG C is committe d t o ensurin g tha t its employee s an d applicants fo r employmen t are treated 

equitabl y i n a n environmen t tha t is free from discriminatio n based o n race , religion , color, sex, 

pregnancy , sexua l orientation , gende r identity , parenta l status, marita l status, nationa l origin , age, 

disability , famil y medica l history , o r geneti c information . Employee s an d applicants wh o believ e 

the y ma y hav e experience d discriminatio n o n an y o f thes e bases, o r wh o believ e the y ma y hav e 

bee n retaliate d against fo r exercisin g th e righ t t o g o throug h th e Equa l Employmen t Opportunit y 

(EEO ) process, shoul d contac t th e Offic e o f Equa l Employmen t Opportunit y (OEEO ) as discussed 

below . 

A l l employee s are responsibl e fo r exhibitin g professiona l conduc t an d behavio r i n th e workplac e 

a n d cooperatin g i n th e enforcemen t o f this policy . Individuals engagin g i n conduc t o r behavio r 

tha t violate s this polic y ma y b e subjec t t o appropriat e disciplinar y actio n u p to , an d

remova l from Federa l service . 

I f yo u believ e yo u ma y hav e bee n subjected t o discriminatio n o r retaliation , yo u shoul d contac t 

OEE O a t ext. 436 3 o r emai l eeo@pbgc.go v immediately . OEE O offers a confidentia l an d neutra l 

earl y interventio n process t o address concern s withou t you r havin g t o initiat e th e EE O complain t 

process. If , however , yo u decide t o initiat e th e EE O complain t process, yo u must d o so withi n 4 5 

calenda r day s o f th e inciden t o r th e dat e yo u became awar e o f th e incident . Wher e a n aggrieve d 

individua l elects an d OEE O determine s tha t Alternativ e Disput e Resolutio n (ADR ) is appropriate , 

managers and/o r supervisors hav e a dut y t o participat e i n PBGC' s AD R process. 

I n ou r wor k processes, PBG C wil l creat e avenue s fo r ful l participatio n t o enabl e excellenc e an d 

innovatio n tha t is realize d throug h collaboratio n o f divers e ideas, experiences, an d perspectives. 

B y workin g togethe r t o promot e th e principle s o f equa l opportunity , w e wil l ensur e tha t al l 

employee s an d applicants fo r employmen t hav e a n opportunit y t o succeed an d contribut e t o 

PBGC' s missio n o f protectin g America's retiremen t security . 

APPENDIX 2
 Benefit Guaranty Corporation 

Protectin g America' s Pension a K Street, Washington, D.C. 20005-4026 

JAN 2 4 2018 

TO: All PBGC Staff 

FROM: W. Thomas Reeder, Jr

Director

SUBJECT: Anti-Harassment Policy Statement 

T h e Pensio n Benefi t Guarant y Corporatio n (PBGC ) ha s a polic y providin g fo r a wor k environmen t 

fre e fro m al l form s o f harassment . Fo r example , i n additio n t o providin g th e protectio n require d 

b y EE O law s fro m harassmen t base d o n race , color , religion , se x (includin g pregnancy , sexua l 

harassment , gende r identity , an d non-sexua l harassmen t base d o n sex) , sexua l orientation , nationa l 

origin , age , disabilit y (menta l o r physical) , famil y medica l histor y o r geneti c information , PBGC' s

polic y protects against harassmen t o f an y kind .

Harassmen t become s unlawfu l wher e endurin g th e offensiv e conduc t become s a conditio n o f 

continue d employment , o r 2 ) th e conduc t is sever e o r pervasiv e enoug h t o creat e a wor k 

environmen t tha t a reasonabl e perso n woul d conside r intimidating , hostile , o r abusive . 

Example s ma y include , bu t ar e no t limite d to : 

• e comment s abou t a n persona l religiou s beliefs, o r tryin g t o conver t 

the m t o a certai n religiou s ideology

• g racist slang , phrases, o r nicknames

• g remark s abou t a n individual' s ski n colo r o r othe r ethni c traits

• g racist drawings , o r posters tha t migh t b e offensiv e t o a particula r group

• g offensiv e gestures

• g offensiv e referenc e t o a n individual' s menta l o r physica l disability

• g inappropriat e images, videos, e-mails, letters, o r note s o f a n offensiv e nature

• y talkin g abou t negativ e racial , ethnic , o r religiou s stereotypes; o

• g derogator y age-relate d comment

N o singl e situatio n constitute s harassmen t an d determinatio n is mad e fro m th e facts o n a case-by -

cas e basis. Harassmen t ma y b e direc t o r indirect . Th e harassmen t ma y b e directe d a t you , bu t i t 

c a n als o b e directe d a t someon e els e o r eve n a t n o one . Indirec t harassmen t ma y no t b e directe d a t 

you , bu t yo u stil l fin d i t offensive . Fo r example , tw o employee s ar e i n th e makin g 

disparagin g comment s abou t a particula r race . Th e comment s ar e no t addresse d a t anyone , bu t i t 

create s a n intimidatin g an d hostil e environmen t fo r yo u wh o happene d t o b e utilizin g th e commo n 

area . Yo u ma y b e abl e t o brin g a clai m fo r harassmen t relate d t o race . 

APPENDIX 3
Anti-discriminatio n law s als o prohibi t harassmen t against individual s i n retaliatio n fo r filin g a 

discriminatio n charge , testifying , o r participatin g i n an y wa y i n a n investigation , proceeding , o r 

lawsui t unde r thes e laws ; o r opposin g employmen t practice s tha t the y reasonabl y believ e 

discriminat e against individuals , i n violatio n o f thes e laws . 

Sexua l harassmen t is define d as unwelcom e sexua l advances, requests fo r sexua l favors, an d othe r 

verba l o r physica l conduc t o f a sexua l natur e whe n submissio n t o suc h conduc t is mad e eithe r 

explicitl y o r implicitl y a ter m o r conditio n o f a n individual' s employment , submissio n t o o r 

rejectio n o f suc h conduc t b y a n individua l is use d as th e basis fo r employmen t decision s affectin g 

suc h individual , o r suc h conduc t ha s th e purpos e o r effec t o f unreasonabl y interferin g wit h a n 

individual' s wor k performance , o r creatin g a n intimidating , hostile , o r offensiv e workin g 

environment . Suc h conduc t ma y include , bu t is no t limite d to : 

• a n employe r o r superviso r conditionin g promotion , assignments, o r othe r tangibl e jo b 

benefits base d o n acquiescenc e t o unwelcom e sexua l conduct , o r penalizin g a n individua l fo r 

refusin g t o participat e i n suc h conduct ; 

• sexist o r stereotypica l remark s abou t a person's clothing , body , appearance , o r activities; 

• sexuall y oriente d jokes , stories, remarks , o r discussions; 

• description s o f sexua l acts; 

• postin g o r displayin g sexuall y graphi c picture s anywher e i n th e workplace ; 

• deliberatel y touching , pinching , patting , o r givin g inappropriat e look s t o anothe r person ; 

• pressur e fo r date s o r sexua l activity ; 

• unwelcom e telephon e calls, e-mai l messages, socia l networ k posting s o r letters o f a sexua l 

nature ; o r 

• demand s fo r sexua l favors. 

I n sexua l harassment , th e harasse r ma y b e mal e o r female , an d th e victi m ma y b e o f th e opposit e 

s e x o r th e sam e se x as th e harasser. Eve n a consensua l relationshi p betwee n th e harasse r an d th e 

victi m ma y involv e sexua l harassment . Fo r example , i f th e victi m agree s t o sexua l behavio r ou t o f 

fea r o f retaliation , th e conduc t o f th e othe r part y ma y stil l constitut e sexua l harassment . Th e focu s 

is o n whethe r th e conduc t wa s unwelcome , no t consensual . 

T h e goa l o f th e Anti-Harassmen t Polic y Statemen t is t o address an d eliminat e harassin g conduc t 

a t th e earliest possibl e stage , regardless o f whethe r th e conduc t violate d th e law . Al l employee s 

a r e responsibl e fo r exhibitin g professiona l conduc t an d behavio r i n th e workplac e an d cooperatin g 

i n th e enforcemen t o f this policy . Individual s engagin g i n conduc t o r behavio r tha t violate s this 

polic y ma y b e t o appropriat e disciplinar y actio n u p to , an d including , remova l fro m Federa l 

service . Supervisors mus t striv e t o maintai n an d promot e a wor k environmen t fre e o f harassment . 

T o preven t an d remed y incidents o f workplac e harassment , PBG C officials mus t b e mad e awar e 

o f th e conduc t o r behavio r as soo n as possibl e 

PBG C wil l no t tolerat e th e creatio n o f a hostil e wor k environmen t an d wil l address reporte d 

workplac e harassmen t promptly . Individual s wh o believ e the y ar e bein g harasse d o r t o 

a hostil e wor k environmen t ar e encourage d t o tel l th e allege d harasse r (orall y o r i n writing ) t o stop , 

kee p a recor d o f th e events, immediatel y repor t th e behavior , an d cooperat e i n an y inquir y 

regardin g allegation s o f harassment . Retaliatio n fo r reportin g workplac e harassmen t o r fo r 
assistin g i n an y inquir y concernin g a repor t o f harassmen t als o wil l no t b e tolerated . I n addition , 

PBG C wil l protec t th e confidentialit y o f employee s wh o brin g harassmen t claims , t o th e exten t 

possible . 

PBG C employee s wh o believ e the y hav e bee n harasse d o r hav e bee n subjecte d t o a hostil e wor k 

environmen t shoul d repor t th e matte r immediatel y t o thei r immediat e supervisor , anothe r 

managemen t official , o r t o PBGC' s Harassmen t Inquir y Committe e (HIC) . Report s t o th e HI C 

m a y b e directe d t o Kare n Esse r (HRD ) - ext . 3275 , o r Easmun t (OGC ) - ext . 3357 . 

Additiona l informatio n abou t th e HI C is availabl e o n SharePoin t at: 

Employee s ma y als o repor t allegation s o f harassmen t t o PBGC' s Offic e o f Equa l Employmen t 

Opportunit y a t ext . 4363 ,

Upo n receip t o f a harassmen t allegatio n th e Agenc y wil l conduc t a prompt , thorough , an d impartia l 

inquiry , i f appropriate . Th e Agenc y wil l tak e immediat e an d appropriat e correctiv e actio n i f i t 

determine s harassmen t ha s occurred . 

A n employe e wh o reports allegation s o f harassmen t o r hostil e wor k environmen t t o th e HIC , a 

PBG C supervisor/manager , o r HR D ha s not file d a n EE O complaint . A n employe e wh o wishe s 

t o a n EE O complain t mus t contac t PBGC' s EE O Offic e withi n 4 5 calenda r day s o f th e allege d 

harassin g conduc t o r th e dat e the y becam e awar e o f th e harassin g conduct . Failur e t o d o so ma y 

resul t i n th e dismissa l o f th e EE O complaint . 

The federal sector EE O discrimination complaint process cannot be initiated by reporting 

harassment or hostile work environment to a supervisor or management official, the HIC, 

HRD or by contacting the Employee Assistance Program (EAP) or union. 

Thi s polic y applie s t o al l PBG C employees . Relate d question s o r requests fo r informatio n shoul d 

b e directe d t o OEEO , Breneci a Watson , ext.6868 .