*The U.S. Equal Employment Opportunity Commission*

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# EEOC Investigations - What An Employer Should Know

## What is EEOC?

- The Equal Employment Opportunity Commission is anindependent federal agency created by Congress in 1964 to eradicate discrimination in employment. The various  statutes enforced by the Commission  prohibit employment discrimination on the basis of race, color, sex, national origin, religion, retaliation, age anddisability.
- EEOC has authority to receive, initiate and investigate charges of discrimination filed against employers who have a  statutory minimum  number of employees.
- EEOC's role in an investigation is to fairly and accurately evaluate the charge allegations in light of all the evidence obtained.

## What happens when a charge has been filed against me?

- You will always be notified that a charge of discrimination has been filed      and you will be provided with the name and contact information for the investigator 	 assigned to your case.  A charge does not constitute a finding that your 	 company engaged in discrimination. The EEOC has a responsibility to investigate and 	 determine whether there is a reasonable cause to believe discrimination occurred.
- In many cases, you may opt to resolve a charge early in the process through mediation or settlement.      At the start of an investigation, EEOC will advise you if your charge is eligible for     mediation, but feel free to ask the investigator about the settlement option.   Mediation and     settlement are voluntary resolutions.
- During the investigation, you and the Charging Party will be asked to provide information.      Your investigator will evaluate the information submitted to determine whether unlawful     discrimination has taken place.  You may be asked to:		   - submit a  statement of position .  This is your opportunity to tell your side of the          story and you should take advantage of it.
  - respond to a  Request for Information  (RFI).  The RFI may ask you to submit          copies of personnel policies, Charging Party's personnel files, the personnel files of          other individuals and other relevant information. 
  - permit an  on-site visit .  While you may view such a visit as being disruptive to          your operations, our experience has been that such visits greatly expedite the fact-          finding process and may help achieve quicker resolutions.  In some cases, an on-          site visit may be an alternative to a RFI if requested documents are made available          for viewing or photocopying.
  - provide contact information for or have employees available for  witness          interviews .  You may be present during interviews with management personnel,          but an investigator is allowed to conduct interviews of non-management level          employees without your presence or permission. 
- If the charge was not dismissed by the EEOC when it     was received, that means there was some basis for proceeding with further investigation.      There are many cases where it is unclear whether discrimination may have occurred and an     investigation is necessary.  You are encouraged to present any facts that you believe show     the allegations are incorrect or do not amount to a violation of the law. An 	 employer's input and cooperation will assist EEOC in promptly and thoroughly     investigating a charge.	              - Work with the investigator to identify the most efficient and least burdensome way          to gather relevant evidence.
  - You should submit a prompt response to the EEOC and provide the information requested, even if          you believe the charge is frivolous.		  		          - If there are extenuating circumstances preventing a                timely response from you, contact your investigator to work 			   out a new due date for the information. 
  - Provide complete and accurate information in response to requests from your          investigator.
  - The average time it takes to process an EEOC investigation is about 182 days.		 		     - Our experience shows that undue delay in responding                   to requests for information extends the time it takes to complete an                   investigation. 
  - If you have concerns regarding the scope of the information being sought, advise          the investigator.  Although EEOC is entitled to all information relevant to the          allegations contained in the charge, and has the authority to subpoena such          information, in some instances, the information request may be modified. 
  - Keep relevant documents. If you are unsure whether a document is needed, ask          your investigator.  By law, you are required to keep certain documents for a set          period of time. 
-   Your investigator will:   - be available to answer most questions you have about the process.
  - keep you informed about the charge process, including the rights and          responsibilities of the parties at the conclusion of the investigation.
  - conduct an appropriate, thorough and timely investigation.
  - allow you to respond to the allegations.
  - inform you of the outcome of the investigation. 
- Once the investigator has completed the investigation, EEOC will make a determination     on the merits of the charge.	 	    - If EEOC determines that there is no reasonable cause to believe that 		 discrimination occurred, the charging party will be issued a letter 		 called a  Dismissal and Notice of Rights  that tells 		 the charging party s/he has the right to file a lawsuit in federal 		 court within 90 days from the date of receipt of the letter. The 		 employer will also receive a copy of this document.
  - If EEOC determines there is reasonable cause to  believe discrimination		  has occurred, both parties will be issued a  Letter of Determination 		  stating that there is reason to believe that discrimination occurred 		  and inviting the parties to join the agency in seeking to resolve the charge,		  through an informal process known as  conciliation .
  - Where conciliation fails, EEOC has the authority to enforce 		violations of its statutes by filing a lawsuit in federal court.  		If the EEOC decides not to litigate, the charging 		party will receive a  Notice of Right to Sue  and may file 		a lawsuit in federal court within 90 days. 

## How does a charge get resolved?

EEOC offers employers many opportunities to resolve charges of discrimination.  Successfully resolving the case through one of these voluntary processes may save you time, effort and money.  Methods of resolution include:

- mediation
- settlement 
- conciliation

### Mediation

EEOC has greatly expanded it's mediation program.  The program is free, quick,voluntary and confidential.  If mediation is successful, there is no investigation.

If the charge filed against your company is eligible for mediation, you will be invited to take part in the mediation process.  If mediation isunsuccessful, the charge is referred for investigation. 

#### Advantages of Mediation

-  EEOC's mediation program is  free . 
-  Mediation is  efficient .  The process is initiated before an investigation begins and most     mediations are completed in one session, which usually lasts for one to five hours. 
-  The average processing time for mediation is  84 days .
-  The mediation program is completely  voluntary . 
-  Successful mediation results in the  closure of the charge  filed with EEOC.  If mediation     is unsuccessful, the charge is referred for investigation. 
-  Mediators are  neutral  third parties who have no interest in the outcome of the mediation.
-  Mediation is a  confidential  process.  The sessions are not tape-recorded or transcribed.      Mediator notes taken during the mediation are discarded.  Information learned during the     mediation can not be used during an EEOC investigation if the mediation is unsuccessful.
-  Mediation is an  informal  process.  The goal of mediation is not fact finding.  The purpose     is to discuss the charge and reach an agreement that is satisfactory to all parties. 
-  Settlement agreements secured during mediation  are not admissions by the employer  of     any violation of laws enforced by the EEOC.
-   Mediation  avoids lengthy and unnecessary litigation . 
-   Settlement agreements secured during mediation are  enforceable .
-   The overwhelming majority of employers and charging parties participating in EEOC     mediation program are  satisfied with the process and would use 	 it again . 
- Mediation can help the parties understand  why the employment relationship     broke down .
- Mediation can help the parties identify ways to  repair an ongoing     relationship .

To learn more about EEOC's mediation program, and how to participate in it, visit the mediation section of the website.

### Settlement

Charges of discrimination may be settled at any time during the investigation.  EEOCinvestigators are experienced in working with the parties to reach satisfactory settlements.  Youshould contact the investigator if you are interested in resolving your charge through settlement.

#### Advantages of Settlement

-  Voluntary  settlement efforts can be pursued at any time during the investigation, but     settling a charge early may save you the time and effort associated with investigations.
-  Settlement is an  informal  process.  The goal of settlement is to reach an agreement that is     satisfactory to all parties. 
-  There is no  admission of liability .
-  If the parties, including EEOC, reach a voluntary agreement, the     charge will be  dismissed . 
-  Settlement agreements are  enforceable . 
-   Settlement  avoids lengthy and unnecessary litigation .

### Conciliation

EEOC is statutorily required to attempt to resolve findings of discrimination through "informalmethods of conference, conciliation, and persuasion."  See 42 U.S.C. 2000e-5.  After the partieshave been informed by letter that the evidence gathered during the investigation establishes thatthere is "reasonable cause" to believe that discrimination has occurred, the parties will be invitedto participate in conciliation discussions.  During conciliation, your investigator will work withyou and the Charging Party to develop an appropriate remedy for the discrimination.  Weencourage you to take advantage of this final opportunity to resolve the charge prior to EEOCconsidering the matter for litigation. 

#### Advantages of Conciliation

-  Conciliation is a  voluntary  process.
-  Conciliation discussions are negotiations and  counter-offers may be presented .
-  Conciliation offers the parties a final  opportunity to resolve the charge informally  - -     after an investigation has been conducted, but before a litigation decision has been     reached. 
-  Conciliation agreements  remove the uncertainty, cost and animosity surrounding     litigation .

## How else can EEOC assist me?

EEOC's outreach, education, and technical assistance efforts are vital components of our mission to eradicate employment discrimination.  Our outreach program is designed to encourage voluntary compliance with the anti-discrimination laws and to assist employers, employees and stakeholder groups to understand and prevent discrimination.  Take advantage of our expertise in the area of employment discrimination. 

- Many of our technical assistance materials are available 	 free of charge. Copies of the laws enforced by EEOC as well as EEOC 	 regulations are available on our website. The website also offers many 	 of our enforcement and policy guidances and other materials that 	 you may find helpful.  Pamphlets and brochures about EEOC and the laws it     enforces can also be obtained by completing the  publications 	 request form  on the website or by calling 1-800-669-3362 (voice), 1-800-800-3302 (TTY) or 1-513-489-8692 (Fax).
- We offer no-cost outreach and educational programs which make EEOC staff available for     presentations and participation in meetings with employees, employers, community     organizations and other members of the general public.
- We also offer fee-based training and technical assistance programs throughout the     country.

For more information on how we can assist you, visit the Outreach and Training section of the website.

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**Statutory Minimums**

Title VII of the Civil Rights Act of 1964 applies to employers withfifteen (15) or more employees.

The Age Discrimination in Employment Act of 1967 (ADEA) applies to employers with twenty (20) or more employees.

Title I of the Americans with Disabilities Act of 1990 (ADA) applies toemployers with fifteen (15) or more employees.

The Equal Pay Act of 1963 (EPA) applies to most employers with one or more employees.

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*This page was last modified on March 3, 2003.*

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