United States General Accounting Office

GAO Briefing Report to Congressional

Requesters

July 1998 EQUAL EMPLOYMENT

OPPORTUNITY

Rising Trends in EEO

Complaint Caseloads in

the Federal Sector

GAO/GGD-98-157BR

GAO United States

General Accounting Office

Washington, D.C. 20548

B-279407 

July 24, 1998

The Honorable Elijah E. Cummings

Ranking Minority Member

Subcommittee on Civil Service

Committee on Government Reform and Oversight

United States House of Representatives

The Honorable Albert R. Wynn

United States House of Representatives

This briefing report responds to your request that we develop and analyze

information about the inventories of unresolved equal employment

opportunity (EEO) complaints at federal agencies and the Equal

Employment Opportunity Commission (EEOC) and how trends in the

number of complaints filed and the time taken to process them have

contributed to inventory levels. The report presents analyses of (1) trends

in the size of inventories and the age of cases in inventory at the various

stages of the EEO complaint process, (2) trends in the number of

complaints filed by federal employees and the time taken by agencies and

EEOC to process them, and (3) implications of these trends. This report also

presents data on complaints filed by U. S. Postal Service workers and how

these have contributed to EEOC’s caseloads.1

 Selected Postal

Service-related complaint statistics are included in appendix I. In addition,

as agreed with your offices, we are providing selected complaint statistics

about the Departments of Agriculture and the Interior (see app. II). On

July 21, 1998, we briefed you on the results of our review. This report

provides the substance of that briefing.

Background Federal employees, including postal workers, are protected by a variety of

laws against discrimination because of race, color, sex, religion, national

origin, age, or disability.2

 (See app. III for a brief discussion of these laws.)

In addition, federal employees are protected from retaliation for filing a

complaint, participating in an investigation of a complaint, or opposing a

prohibited personnel practice.

Federal employee EEO complaints are to be processed in accordance with

regulations (29 C.F.R. part 1614) promulgated by EEOC. These regulations

1

We refer to the Postal Service as a federal agency, even though it is an independent governmental

establishment, because it is bound by most of the same discrimination complaint processes that apply

to most federal agencies.

2

Applicants for federal employment may file complaints with a federal agency that they believe

engaged in discriminatory conduct.

Page 1 GAO/GGD-98-157BR EEO Complaint Caseloads
B-279407 

also establish processing time requirements for each stage of the

complaint process. Under these regulations, federal agencies decide

whether to dismiss or accept complaints employees file with them and

investigate accepted complaints. After the investigation, a complainant can

request a hearing before an EEOC administrative judge, who may issue a

recommended decision that the agency is to consider in making its final

decision. An employee dissatisfied with a final agency decision or its

decision to dismiss a complaint may file an appeal with EEOC. Generally,

federal employees must exhaust the administrative process before

pursuing their complaints in court.

Postal workers who are covered under collective bargaining agreements

and who allege discrimination have more redress opportunities than other

federal workers covered under collective bargaining agreements. These

postal workers can take two courses of action concurrently: (1) file a

discrimination complaint under the federal employee discrimination

complaint process and also (2) file a grievance through procedures under

the collective bargaining agreement. Other federal workers who are

employed by agencies subject to the provisions of title 5 of the U.S. Code

and covered under collective bargaining agreements must choose between

these two redress paths.

In November 1995 and in subsequent testimonies, we stated that the

redress system for federal employees, particularly the EEO complaint

process, was inefficient, time consuming, and costly.3

 We noted, among

other things, that the discrimination complaint process was burdened by a

number of cases that were not legitimate discrimination complaints; some

were frivolous complaints or attempts by employees to get a third party’s

assistance in resolving workplace disputes unrelated to discrimination.

Similarly, EEOC reported in its 1996 study that “. . . there may be a sizable

number of disputes in the 1614 process [so named for the regulations

governing the process] which may not involve discrimination issues at all.

They reflect, rather, basic communications problems in the workplace.”4

Accordingly, the number of discrimination complaints is not a reliable

indicator of the level of discrimination occurring in the federal workplace.

3

Federal Employee Redress: An Opportunity for Reform (GAO/T-GGD-96-42, Nov. 29, 1995); Federal

Employee Redress: A System in Need of Reform (GAO/T-GGD-96-110, Apr. 23, 1996); and Civil Service

Reform: Redress System Implications of the Omnibus Civil Service Reform Act of 1996

(GAO/T-GGD-96-160, July 16, 1996).

4

ADR Study, U.S. Equal Employment Opportunity Commission, Office of Federal Operations,

Oct. 1996.

Page 2 GAO/GGD-98-157BR EEO Complaint Caseloads
B-279407 

In a discrimination complaint process recognized as inefficient and time

consuming, and burdened with many cases that do not really involve

discrimination issues, employees with EEO complaints can wait a long time

to have them resolved. In the fall of 1997, the Civil Service Subcommittee,

House Committee on Government Reform and Oversight, held hearings in

which federal employees voiced their concerns about lengthy processing

times and growing inventories of EEO complaints awaiting disposition.

Results in Brief Agencies’ complaint inventories and, even more so, EEOC’s hearings and

appeals inventories, have increased since fiscal year 1991. At agencies, the

number of unresolved complaints in inventory rose about 102 percent,

from 16,964 at the end of fiscal year 1991 to 34,267 by the end of fiscal year

1997. At EEOC, during this period, the inventory of hearing requests from

complainants increased 218 percent, from 3,147 to 10,016, while the

inventory of appeals filed by complainants increased 581 percent, from

1,466 to 9,980.

As the size of the inventories grew, so did the average length of time that

cases had been in inventory as well as the proportion of cases remaining in

inventory longer than allowed by regulations. Regulations require an

agency to decide whether to dismiss or accept a complaint, investigate an

accepted complaint, and report the investigation results to the

complainant within 180 days from the filing of a complaint. (In some cases,

agencies are allowed an additional 90 days to complete an investigation.)

At agencies, in fiscal year 1996 (the latest year for which detailed agency

complaint data were available), about 49 percent of cases pending the

initial dismissal or acceptance decision had been in inventory longer than

the 180-day time limit, an increase from about 13 percent in fiscal year

1991, while the proportion of complaints pending investigation more than

180 days was larger in fiscal year 1996 (about 59 percent) than in fiscal

year 1991 (about 51 percent). Regulations also require that EEOC issue a

recommended decision within 180 days of a request for a hearing. At EEOC,

in fiscal year 1997, 50 percent of the hearing requests had been in

inventory longer than the 180-day time limit, an increase from about

22 percent in fiscal year 1991. There are no time limits governing EEOC’s

processing of appeals. However, as an indication of the increase in time it

takes, EEOC data show that in fiscal year 1997, 58 percent of the appeals

cases had been in inventory longer than 200 days, an increase from about

3 percent in fiscal year 1991.

Page 3 GAO/GGD-98-157BR EEO Complaint Caseloads
B-279407 

The size of the inventories and the age of cases in them increased as

agencies and EEOC did not keep up with the influx of new cases during the

1990s. At agencies, the number of complaints increased, from 17,696 in

fiscal year 1991 to 27,587 in fiscal year 1997 (about 56 percent). At EEOC,

during fiscal years 1991 to 1997, requests for hearings increased from 5,773

to 11,198 (94 percent), while appeals to EEOC of agency decisions rose from

5,266 to 8,453 (about 61 percent). Postal workers have accounted for a

large and disproportionate share of complaints, hearing requests, and

appeals. This share, after declining in fiscal years 1992 and 1993, began to

increase, coinciding with an increase in the proportion of the federal

workforce represented by postal workers. In fiscal year 1993, postal

workers represented 23.5 percent of the federal workforce and accounted

for 40 percent of complaints, about 33 percent of hearing requests, and

about 35 percent of appeals. By fiscal year 1996, postal workers

represented 31.2 percent of the federal workforce and accounted for

50 percent of complaints, about 43 percent of hearing requests, and about

44 percent of appeals.

With the increased caseloads, EEOC and, to some extent, agencies, took

longer on average to process complaints, contributing to the size and age

of the inventories. The average amount of time EEOC took to process a

hearing request increased from 173 days in fiscal year 1991 to 277 days in

fiscal year 1997. Also, the time EEOC took to adjudicate an appeal had

increased from 109 days in fiscal year 1991 to 375 days in fiscal year 1997.

The trend was not as clear at agencies. Overall, however, the average

number of days to close a case increased from 341 days in fiscal year 1991

to 379 days in fiscal year 1996. Agencies took longer to close and issue

final decisions in cases that involved a hearing before an EEOC

administrative judge than it took them to close other cases. In fiscal year

1996, for example, this figure was 613 days. Because a hearing precedes an

agency’s final decision, the longer EEOC takes to process a hearing request,

the longer it will take an agency to make its final decision.

There are a variety of factors that can affect inventory levels and case

processing. One factor is the relationship between the influx of cases and

the capacity of staff to process them. At EEOC, the number of hearing

requests received each year per administrative judge rose about

31 percent, from 109 in fiscal year 1991 to 143 in fiscal year 1996, because

of the influx of new cases. The hearings inventory grew because the

average number of cases processed and closed each year per

administrative judge, despite increasing 23 percent from 95 to 117 during

this period, was, except for fiscal year 1993, always less than the average

Page 4 GAO/GGD-98-157BR EEO Complaint Caseloads
B-279407 

number of requests received. The number of appeals received each year

per attorney increased about 54 percent, from 133 in fiscal year 1991 to 205

in fiscal year 1996. The appeals inventory grew because the average

number of cases processed and closed each year per attorney, despite

increasing 18 percent from 133 to 157 during this period, was, except for

fiscal year 1991, always less than the average number of appeals received.

For agencies, the data EEOC reported did not allow a precise comparison of

the number of staff to caseloads at the various stages of the complaint

process.

The implications of these trends are that inventories of cases pending will

grow even larger in the future, particularly at EEOC, and that cases will take

even longer to process than they do today. EEOC projects that incoming

hearing requests and appeals will continue to increase. To deal with these

increases, EEOC requested funding for additional administrative judges to

process hearing requests and attorneys to process appeals in its fiscal year

1999 budget request. Even with these additional resources, however, EEOC

projects that, by the end of 2002, its hearings inventory will grow to 15,950,

with cases taking an average of 510 days to process, and its appeals

inventory will grow to 18,953, with cases taking an average of 900 days to

process. Without additional resources, EEOC projects that inventories will

grow even larger, with cases taking still longer to process. Further,

considering recent trends, it appears likely that a large proportion of

EEOC’s hearings and appeals caseloads will be composed of postal worker’s

complaints.

At agencies, it is unclear if, and to what extent, complaint filings will

continue their generally upward trend. Recent trend data show that postal

workers have driven the overall increase in the number of complaints filed

since fiscal year 1994. While the overall number of postal worker

complaints increased from 10,221 in fiscal 1994 to 14,326 in fiscal year

1997, the overall number of complaints filed by nonpostal workers

decreased from 14,371 in fiscal year 1994 to 13,261 in fiscal year 1997. EEOC

has not studied the reason for these trends. It is unclear whether the

overall reduction in the number of complaints filed by nonpostal

employees signals a moderation in the future flow of nonpostal cases

through the process. It is also unclear whether postal worker complaint

filings will continue to grow. Considering recent trends, however, the

Postal Service seems likely to continue to be a significant factor in the

volume of complaints.

Page 5 GAO/GGD-98-157BR EEO Complaint Caseloads
B-279407 

Scope and

Methodology

In developing information about complaint inventories, we focused on

complaints that fall within the jurisdiction of EEOC, although certain

allegations of discrimination may also be adjudicated by the Merit Systems

Protection Board (MSPB).5

 We did so for two reasons. First, the vast

majority of discrimination complaints fall within EEOC’s jurisdiction.

Second, concerns about case inventories and lengthy processing times

raised in hearings before the Subcommittee on Civil Service and in other

forums have focused on complaints within EEOC’s jurisdiction.

We developed and analyzed complaint caseload trends for agencies,

including the Postal Service, as well as for EEOC’s hearings and appeals

caseloads generally for fiscal years 1991 through 1997.6

 Agencies’

complaint data for fiscal year 1997, which EEOC provided and which we

used in our analysis, were preliminary and limited to the overall number of

complaints filed with the agencies and the overall number of complaints in

agencies’ inventories. Because more detailed fiscal year 1997 agency

complaint data were not available at the time of our review, our analysis of

the age of cases in agencies’ inventories and the time taken by agencies to

process complaints was limited to fiscal years 1991 through 1996, except

for the Postal Service, which gave us fiscal year 1997 data directly. For

EEOC, our analysis included first quarter fiscal year 1998 data for the age of

cases in its hearings inventory and the average time to process hearing

requests. We selected 1991 as a base year because it preceded intensive

government downsizing, the implementation of new laws expanding civil

rights protections and remedies, and the implementation of new

regulations governing the federal employee EEO complaint process.

To develop and analyze information about the trends in the size and age of

inventories, the number of complaints filed by federal employees, and the

amount of time taken by federal agencies and EEOC to process complaints,

we obtained data from EEOC, principally those data reported by EEOC in its

annual Federal Sector Report on EEO Complaints Processing and Appeals,

and from the Postal Service. We did not verify the data in EEOC’s reports or

those provided by the Postal Service. In addition, we interviewed EEOC and

Postal Service officials to obtain their perspectives on inventories,

complaint trends, and processing times. To make observations about the

5

MSPB adjudicates, among other things, employee appeals of firings or suspensions of more than 14

days, including cases in which an appellant alleges that the firing or suspension occurred because of

unlawful employment discrimination. These are known as “mixed cases.” MSPB’s decisions in mixed

cases may be reviewed by EEOC.

6

Some data were not available for each fiscal year because of differences in the type of data EEOC

collected from agencies.

Page 6 GAO/GGD-98-157BR EEO Complaint Caseloads
B-279407 

implications of the trends, we drew upon our analysis of the trend data

and discussions with EEOC and Postal Service officials.

In addition to providing aggregate data on federal agencies, in consultation

with your offices, we developed and analyzed data on the (1) Postal

Service using data reported by EEOC and obtained from the Postal Service

and (2) Departments of Agriculture and the Interior using data reported by

EEOC.

There is one known limitation to the data presented in this report. That

concerns the quality of the data that were available for our analysis.

Although we did not verify data, we found inconsistences in the data

reported by EEOC and the Postal Service. In analyzing data in the annual

Federal Sector Report on EEO Complaints Processing and Appeals for this

and a related report,7

 we found inconsistencies in data EEOC reported

about individual agencies. We considered some of these inconsistencies

material, including errors we found in detailed tables of agencies’

complaint inventories for fiscal year 1996. We brought these

inconsistencies to EEOC’s attention and obtained corrected figures. In

addition, before issuing a bound version of the fiscal year 1996 Federal

Sector Report on EEO Complaints Processing and Appeals, EEOC corrected

errors that we found in materials it provided us before publication.

Moreover, EEOC, which prepares the annual reports using data provided by

federal agencies but does not verify the information agencies report, said

that there are inconsistencies in some agencies’ data. EEOC also said that it

had initiated actions to improve the quality and timeliness of its processes

to collect and report federal EEO complaint data. Further, after reviewing

the complaint data report for fiscal year 1997 that the Postal Service

submitted to EEOC, we brought questionable figures about the average age

of cases in the Postal Service’s complaint inventory to a Postal Service

official’s attention. These questionable figures, which we considered

material, were corrected by the Postal Service, which submitted revised

data to EEOC and undertook an examination of the computer program it

uses to compile the statistics.

We performed our work in Washington, D.C., from February through

July 1998 in accordance with generally accepted government auditing

standards.

7

Equal Employment Opportunity: Administrative Judges’ Recommended Decisions and Agencies’

Actions (GAO/GGD-98-122R, June 10, 1998).

Page 7 GAO/GGD-98-157BR EEO Complaint Caseloads
B-279407 

Agency Comments We received comments on a draft of this report from EEOC and the Postal

Service. The Postal Service said that the report appeared to be a very

thorough and balanced presentation and offered comments of a clarifying

nature. The Postal Service, in offering an observation about the

discrimination complaint process for federal employees, said that “further

efforts at overhauling this very cumbersome system should be undertaken

by the various stakeholders to insure that prompt and fair handling of

claims with merit are possible.” The Postal Service said that one measure

it has taken to deal with the complaint process is an organizationwide

alternative dispute resolution (ADR) program. EEOC provided comments of

a technical or clarifying nature. We considered the Postal Service’s and

EEOC’s comments and made changes as appropriate in finalizing this

report.

We are sending copies of this briefing report to the Chairman of the Civil

Service Subcommittee, House Committee on Government Reform and

Oversight, and to the Chairman and Ranking Minority Members of other

congressional committees with responsibilities related to the EEO

complaint processes for federal employees and the Postal Service. We are

also sending copies to the Chairman of the EEOC, the Postmaster General,

the Directors of the Office of Personnel Management and the Office of

Management and Budget, and other interested parties. We will make

copies of this report available to others on request.

Major contributors to this report are listed in appendix IV. Please contact

me on (202) 512-8676 if you or your staff have any questions concerning

this report.

Michael Brostek

Associate Director, Federal Management

 and Workforce Issues

Page 8 GAO/GGD-98-157BR EEO Complaint Caseloads
Page 9 GAO/GGD-98-157BR EEO Complaint Caseloads
Contents

Letter 1

Briefing Section I 

Introduction

14

Objectives 14

Scope and Methodology 15

Processing Federal Employee EEO Complaints 16

Not All Cases Go Through All Stages of the Complaint Process 18

Briefing Section II 

Trends in the Size and

Age of Cases in the

Complaint Inventory

20

Complaint Inventories Have Risen and Cases Have Been in

Inventory Longer

20

Agencies’ Complaint Inventories Have Grown 22

EEOC’s Hearings and Appeals Inventories Have Increased 24

Average Age of the Complaint Inventory at Agencies FYs 1991 -

1996

26

Agency Cases Pending Dismissal/Acceptance and Investigation 28

Average Age of EEOC”s Hearings and Appeals Inventories Has

Increased

30

Proportion of EEOC’s Hearings Inventory Older Than 180 Days

Has Risen

32

More Appeals Have Been in Inventory For Longer Periods of

Time at EEOC

34

Briefing Section III 

Trends in the Number

of Complaints Filed

and the Time Taken to

Process Them

36

The Number of New Cases and the Time of Process Them

Increased

36

The Number of Complaints Filed With Agencies Has Increased 38

Postal Workers Have Accounted for an Increasing Share of

Complaints Filed

40

Increases in Complaints Filed With Agencies Attributed to

Several Factors

42

Hearings Requested and Appeals Filed Have Increased at EEOC 44

Complaint Processing Time at Agencies FYs 1991 - 1996 46

Average Time for Agencies, Complaint Investigations Has

Increased

48

EEOC Processing Times for Hearings and Appeals Have

Increased

50

Relationship Between New Cases and Capacity of Staff to

Process Them

52

Page 10 GAO/GGD-98-157BR EEO Complaint Caseloads
Contents

Briefing Section IV 

Implications of the

Trends in Inventories,

New Cases, and

Processing Time

54

Implications of Trends for EEOC 54

Implications of Trends for Agencies 56

Possible Reasons for Decrease in Non-Postal Complaints Since

FY 1994

58

Appendix I 

Selected Complaint

Data on the U.S.

Postal Service

60

Appendix II 

Selected Complaint

Data on the

Departments of

Agriculture and the

Interior and Other

Reporting Federal

Agencies

63

Appendix III 

Antidiscrimination

Statutes Applicable to

Federal Employees

64

Appendix IV 

Major Contributors to

This Report

65

Tables Table I.1: Total and Postal Service Inventories of Complaints,

Hearing Requests, and Appeals and Postal Service as a

Percentage of the Totals for Fiscal Years 1991-1997

60

Page 11 GAO/GGD-98-157BR EEO Complaint Caseloads
Contents

Table I.2: Average Age of Complaints in the Postal Service’s

Inventory Since Complaint Filed, by Stage of the Complaint

Process for Fiscal Years 1991-1997

60

Table I.3: Percentage of Postal Workers’ Complaints Pending

Dismissal/Acceptance and Investigation More Than 180 Days for

Fiscal Years 1991-1997

61

Table I.4: Postal Workers as a Percentage of the Federal

Workforce for Fiscal Years 1991-1996

61

Table I.5: Total and Postal Workers’ Complaints, Hearing

Requests, and Appeals and Postal Workers as a Percentage of

Total Complaints, Hearing Requests, and Appeals for Fiscal Years

1991-1997

61

Table I.6: Postal Service Complaint Processing Time in Days by

Closure Category for Fiscal Years 1991-1997

62

Abbreviations

ADR alternative dispute resolution

EEO equal employment opportunity

EEOC Equal Employment Opportunity Commission

FY fiscal year

MSPB Merit Systems Protection Board

Page 12 GAO/GGD-98-157BR EEO Complaint Caseloads
Page 13 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section I 

Introduction

GAO

Develop and analyze 

Trends in the size and ages of cases 

in agencies' and EEOC's complaint 

inventories

Trends in the number of complaints 

filed and the time taken by agencies 

and EEOC to process them

Implications of the trends

Objectives

Page 14 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section I 

Introduction

GAO Scope and Methodology

Compiled information about complaints 

in EEOC's jurisdiction

Obtained and analyzed information in 

EEOC and Postal Service reports

Interviewed EEOC and Postal Service 

officials

Page 15 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section I 

Introduction

GAO Processing Federal Employee EEO 

Complaints

Complaint

filed

Processing Days

No time

standard

Process

Does agency

accept or 

dismiss?

Yes, Accept Complaint

investigated

180 days allowed to dismiss/accept and investigate complaint.

450 days allowed from date a complaint is filed to an agency decison with a hearing. 

270 days allowed from date a complaint is filed to an agency decision without a hearing.

180 days from a

hearing request

to a decision.

No, Dismiss

Appeal

to 

EEOC

Does

employee request

hearing?

EEOC

hearing

Yes

Agency

final

decision

No

Source: GAO analysis of 29 C.F.R. part 1614 and EEOC Management Directive 110.

Agencies and EEOC process federal employees’ EEO complaints under

regulations8

 promulgated by EEOC, which also establish processing time

standards. Employees unable to resolve their concerns through counseling

can file a complaint with their agency, which either dismisses or accepts it

(the first stage) and, if the complaint is accepted, conducts an

investigation (the second stage). Agencies are to decide whether to accept

8

29 C.F.R. part 1614.

Page 16 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section I 

Introduction

a complaint, investigate it, and report investigation results within 180 days

from the complaint’s filing.

After receiving the investigation results, an employee who pursues a

complaint has two choices: (1) request a hearing before an EEOC

administrative judge (the third stage) who issues a recommended decision,

which the agency can accept, reject, or modify in making its final decision

or (2) forgo a hearing and ask for a final agency decision (the fourth

stage). An employee has 30 days to make this decision. When a hearing is

requested, the administrative judge is to issue a recommended decision

within 180 days of the request. An agency is to issue its final decision

within 60 days of receiving an administrative judge’s recommendation or a

request for a final decision. Up to this point, EEOC standards have allowed

complaint processing to take up to 270 days without a hearing, 450 days

with one.

An employee dissatisfied with a final agency decision or its decision to

dismiss a complaint may appeal to EEOC, which is to conduct a de novo9

review (the fifth stage). The employee has 30 days to file an appeal, but

regulations do not establish time standards for EEOC’s review. The final

(sixth) stage within the administrative process is that the complainant or

agency may request EEOC to reconsider its decision from the appeal within

30 days of receiving the decision. However, regulations do not establish

time standards for the EEOC’s reconsideration.

EEOC has proposed revisions to the regulations, including the following:

(1) In cases that administrative judges decide, judges would issue final and

not recommended decisions. (2) In addition to employees, agencies would

be able to appeal judges’ decisions. (3) Appeals of administrative judges’

decisions would be based on the substantial evidence standard of review

rather than on a de novo standard.10

9

A complete review of all evidence from the beginning of a case.

10Substantial evidence is the degree of relevant evidence that a reasonable person might accept as

adequate to support a conclusion.

Page 17 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section I 

Introduction

GAO

A complaint may not go through all 

stages of the process if it is

Dismissed

Withdrawn

Settled

Not All Cases Go Through All Stages 

of the Complaint Process

Page 18 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section I 

Introduction

Not All Cases Go Through

All Stages of the Complaint

Process

Complaints that are dismissed by the agency, withdrawn by the

complainant, or settled by the parties may not go through all the stages of

the complaint process at agencies.

Complaints may be dismissed in the first stage of the complaint process.

There is no further processing of a dismissed complaint by an agency

except in cases in which a complainant appeals the dismissal to EEOC and

EEOC remands the complaint to the agency for further action.

Withdrawals and settlements may occur at any point before a final agency

decision. For example, a complainant may withdraw a complaint or an

agency may pursue a settlement after reviewing investigation results.

Likewise, a complainant may withdraw a complaint or an agency may

pursue a settlement based on facts raised during a hearing before an EEOC

administrative judge. If an agency does not comply with the terms of a

settlement agreement, however, the complaint may be reinstated.

Dismissals, withdrawals, and settlements accounted for 69.1 percent of

complaints closed by agencies in fiscal year 1996. Of the 25,150 complaints

agencies closed in fiscal year 1996, 8,904 (35.4 percent) were dismissed,

2,653 (10.5 percent) were withdrawn, and 5,830 (23.2 percent) were

settled. In the remaining 7,763 cases (30.9 percent), agencies issued final

decisions.

Page 19 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section II 

Trends in the Size and Age of Cases in the

Complaint Inventory

GAO

Agencies' complaint inventories increased 

102 percent from FY 1991 to FY 1997

EEOC's hearings inventory increased 218 

percent from FY 1991 to FY 1997

EEOC's appeals inventory increased 581 

percent from FY 1991 to FY 1997

Cases have remained in inventory for 

increasingly longer periods, often longer than 

allowed by regulations

Complaint Inventories Have Risen and 

Cases Have Been in Inventory Longer

Agencies’ complaint inventories and, even more so, EEOC’s hearings and

appeals inventories, have increased since fiscal year 1991. At agencies, the

number of unresolved complaints in inventory rose about 102 percent,

from 16,964 at the end of fiscal year 1991 to 34,267 by the end of fiscal year

1997. At EEOC, during fiscal years 1991 to 1997, the number of pending

hearing requests increased 218 percent, from 3,147 to 10,016, while the

number of cases pending appeal rose 581 percent, from 1,466 to 9,980.

Page 20 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section II 

Trends in the Size and Age of Cases in the

Complaint Inventory

As the number of complaints in inventory increased, so has the average

length of time the average case has been in inventory. At agencies, after

generally declining during fiscal years 1991 to 1994, the average age of the

cases in inventory began to rise, reaching a peak of 397 days in fiscal year

1996. How long cases remain in the agency inventory, depends, in part, on

how long cases remain in EEOC’s hearings inventory. After reaching a low

of 105 days in fiscal year 1993, the average age of a case in EEOC’s hearings

inventory rose to 243 days in fiscal year 1997. The average age of cases in

EEOC’s appeals inventory increased more rapidly, from a low of 87 days in

fiscal year 1992 to 285 days in fiscal year 1997.

Another measure of inventory age is the proportion of cases that have

been in process longer than allowed by regulations. With greater

frequency, agencies and EEOC have not met the time standards. At

agencies, in fiscal year 1996, about 49 percent of cases pending the initial

dismissal or acceptance decision had been in inventory longer than the

180-day time limit, an increase from about 13 percent in fiscal year 1991,

while the proportion of complaints pending investigation more than 180

days was larger in fiscal year 1996 (about 59 percent) than in fiscal year

1991 (about 51 percent). At EEOC, in fiscal year 1997, about 50 percent of

the hearing requests had been in inventory longer than the 180-day time

limit, up from about 22 percent in fiscal year 1991. There are no time limits

governing EEOC’s processing of appeals. However, EEOC data show that in

fiscal year 1997, 58 percent of the appeals cases had been in inventory

longer than 200 days, up from 3 percent in fiscal year 1991.

Page 21 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section II 

Trends in the Size and Age of Cases in the

Complaint Inventory

GAO Agencies' Complaint Inventories Have 

Grown

1991 1992 1993 1994 1995 1996 1997

0

10,000

20,000

30,000

40,000

16,964

18,668

22,258

27,044

30,605 31,195

34,267

Number of cases

Fiscal year

Source: GAO analysis of EEOC data.

Page 22 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section II 

Trends in the Size and Age of Cases in the

Complaint Inventory

Agencies’ Complaint

Inventories Have Grown

At agencies, the number of unresolved complaints in inventory rose about

102 percent, from 16,964 at the end of fiscal year 1991 to 34,267 by the end

of fiscal year 1997. The larger proportion of the growth in agencies’

inventories has been in the earlier—acceptance/dismissal decision and

investigation—stages. Cases pending acceptance/dismissal grew from

2,075 (12.2 percent of the agencies’ inventory) at the end of fiscal year

1991 to 6,029 (19.3 percent of the inventory) by the end of fiscal year 1996.

At the same time, cases pending investigation increased from 5,514

(32.5 percent of the inventory) to 12,305 (39.4 percent of the inventory).

The Postal Service’s inventory of complaints increased about 242 percent,

from 3,963 to 13,549 during fiscal years 1991 to 1997. In fiscal year 1997,

Postal Service cases accounted for 39.5 percent of the 34,267 complaints in

overall agency inventories. (See app. I, table I.1.)

Page 23 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section II 

Trends in the Size and Age of Cases in the

Complaint Inventory

GAO EEOC's Hearings and Appeals 

Inventories Have Increased

1991 1992 1993 1994 1995 1996 1997

0

2,000

4,000

6,000

8,000

10,000

12,000

Number of cases

Fiscal year

Hearings Appeals

3,147

1,466

3,977

2,029

3,991

2,900

5,177

4,363

6,367 6,498

8,275 8,376

10,016 9,980

Source: GAO analysis of EEOC data.

Page 24 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section II 

Trends in the Size and Age of Cases in the

Complaint Inventory

EEOC’s Hearings and

Appeals Inventories Have

Increased

EEOC’s inventories of cases in the hearing and appeal stages increased at a

greater rate than agencies’ complaint inventories. During fiscal years 1991

to 1997, the number of pending hearing requests increased 218 percent,

from 3,147 to 10,016. At the same time, the number of cases pending

appeal rose 581 percent, from 1,466 to 9,980.

The portion of EEOC hearings and appeals inventories represented by

postal workers’ cases has increased since fiscal year 1993. Postal workers’

cases were 45.9 percent of EEOC’s hearings inventory in fiscal year 1997; in

fiscal year 1993, this figure was 27.4 percent. Similarly, postal workers’

cases were 43.3 percent of EEOC’s appeals inventory in fiscal year 1997; in

fiscal year 1993, this figure was 32.4 percent. (See app. I, table I.1.)

Page 25 GAO/GGD-98-157BR EEO Complaint Caseloads
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Trends in the Size and Age of Cases in the

Complaint Inventory

GAO Average Age of the Complaint Inventory 

at Agencies FYs 1991 - 1996

Stage of process 1991 1992 1993 1994 1995 1996

Dismiss/accept 120 154 313 196 376 425

Investigation 260 279 305 257 249 281

Hearing 532 547 484 377 467 487

Agency decision 653 599 438 366 504 510

Overall average 

age 379 376 368 289 367 397

Number of days in inventory since complaint filed

Source: GAO analysis of EEOC data.

Agencies report data on the average age of cases in inventory for each of

the four stages of the complaint process as well as an overall average.

After declining through fiscal year 1994, the overall average age of the

cases in inventory began to rise, reaching a peak of 397 days in fiscal year

1996.

Page 26 GAO/GGD-98-157BR EEO Complaint Caseloads
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Trends in the Size and Age of Cases in the

Complaint Inventory

Agencies have the most direct control over cases in the first two stages of

the complaint process—dismissal/acceptance and investigation. A notable

increase in the age of cases came in the complaints pending

dismissal/acceptance category, the first stage of the complaint process.

Except for fiscal year 1994, when it decreased, the average age of

complaints in the first stage increased from 120 days at the end of fiscal

year 1991 to 425 days by the end of fiscal year 1996. The average age of

cases in the second stage of the process—investigation—increased in

fiscal year 1996 after declining in fiscal years 1994 and 1995.

Complaints generally have not remained in the Postal Service’s inventory

as long as they have in other federal agencies’. In fiscal year 1996, for

example, the last year for which comparable figures were available, the

average age of complaints in the Postal Service’s inventory was 315 days

compared with 443 days for other federal agencies. However, this figure

for the Postal Service increased to 494 in fiscal year 1997 (no comparable

figure for other agencies was available). (See app. I, table I.2.)

How long cases remain in the agency inventory at the hearing and final

agency decision stages depends, in part, on how long cases remain in

EEOC’s hearings inventory. The average age of cases in the hearing and

final agency decision stages trended upward in fiscal years 1995 and 1996.

This increase can be partly attributed to an increase in the average age of

cases in EEOC’s inventory of hearing requests, which we will discuss later

in this report (see pp. 30 and 31).

Page 27 GAO/GGD-98-157BR EEO Complaint Caseloads
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Trends in the Size and Age of Cases in the

Complaint Inventory

GAO

Initial dismissal/acceptance Investigation

Stages of the process

Agency Cases Pending Dismissal/ 

Acceptance and Investigation 

Frequently, agencies did not dismiss/accept and 

investigate complaints in 180 days.

1991 1992 1993 1994 1995 1996

0

10

20

30

40

50

60

70

13.1

21.2

45.8

35.4

38.3

48.5 50.9

46.7

65.5

49.6

45.7

58.9

Percentage of cases pending more than 180 days

Fiscal year

Source: GAO analysis of EEOC data.

Page 28 GAO/GGD-98-157BR EEO Complaint Caseloads
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Trends in the Size and Age of Cases in the

Complaint Inventory

Agencies’ Cases Pending

Dismissal/Acceptance and

Investigation

The average length of time cases have been in inventory is just one

measure of inventory age. Another measure is the proportion of cases that

have been in process longer than allowed by regulations.

Regulations require an agency to decide whether to dismiss or accept a

complaint, investigate an accepted complaint, and report the investigation

results to the complainant within 180 days from the filing of the complaint.

(In some cases, agencies are allowed an additional 90 days to complete an

investigation.11) Frequently, agencies have not met the 180-day time

standard. In fiscal year 1996, for example, 48.5 percent of the cases

pending the initial dismissal or acceptance decision had been in the

inventory more than 180 days. Although this figure has fluctuated, there

has been an overall upward trend since fiscal year 1991, when 13.1 percent

were not completed within the required time. In addition, the proportion

of complaints pending investigation that were in inventory more than 180

days fluctuated between 45.7 and 65.5 percent during fiscal years 1991 to

1996. However, the proportion of complaints pending investigation more

than 180 days was larger in fiscal year 1996 (about 59 percent) than in

fiscal year 1991 (about 51 percent). There were no data on the number of

cases pending investigation more than 180 days in which an extension had

been authorized.

The Postal Service, like other federal agencies, frequently has not met the

180-day requirement to dismiss or accept a complaint, investigate an

accepted complaint, and report the investigation results to the

complainant. (See app. I, table I.3.)

11Regulations allow this extension when the parties agree to it.

Page 29 GAO/GGD-98-157BR EEO Complaint Caseloads
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Trends in the Size and Age of Cases in the

Complaint Inventory

GAO

1991 1992 1993 1994 1995 1996 1997

0

50

100

150

200

250

300

128

171

105

125

162

205

243

87

99

127

179

241

285

Hearings Appeals

Number of days

Average Age of EEOC's Hearings and 

Appeals Inventories Has Increased

Fiscal year

a

aNot reported.

Source: GAO analysis of EEOC data.

Page 30 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section II 

Trends in the Size and Age of Cases in the

Complaint Inventory

Average Age of EEOC’s

Hearings and Appeals

Inventories Has Increased

Overall, EEOC has experienced increases in the average age of cases in both

its hearings and appeals inventories. After reaching a low of 105 days in

fiscal year 1993, the average age of a case in EEOC’s hearings inventory rose

to 243 days in fiscal year 1997. The upward trend has continued in the first

quarter of fiscal year 1998, with the average age further increasing to 261

days.

The average age of cases in the appeals inventory increased more rapidly.

From a low of 87 days in fiscal year 1992, the average age of a case in

EEOC’s appeals inventory increased to 285 days in fiscal year 1997.

Page 31 GAO/GGD-98-157BR EEO Complaint Caseloads
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Trends in the Size and Age of Cases in the

Complaint Inventory

GAO

1991 1992 1993 1994 1995 1996 1997

0

10

20

30

40

50

60

21.8

31.0

13.3

16.5

29.7

43.6

50.3

Percentage of hearings

Fiscal year EEOC has increasing difficulty meeting 180-day requirement

Proportion of EEOC's Hearings Inventory 

Older Than 180 Days Has Risen

Source: GAO analysis of EEOC data.

Page 32 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section II 

Trends in the Size and Age of Cases in the

Complaint Inventory

Proportion of EEOC’s

Hearings Inventory Older

Than 180 Days Has Risen

As discussed earlier, another indicator of inventory age is the proportion

of cases that have not been processed within the time limits established in

regulations. Regulations require that an administrative judge issue a

decision within 180 days of EEOC’s receipt of a request for a hearing, a

standard that EEOC has had increasing difficulty meeting since fiscal year

1993. In fiscal year 1993, about 13 percent of the cases in EEOC’s hearings

inventory exceeded the 180-day standard. By fiscal year 1997, however,

this figure had increased to about 50 percent. First quarter fiscal year 1998

data show that the percent of the cases in the hearings inventory

exceeding the 180-day standard had further increased to 54.2 percent.

Page 33 GAO/GGD-98-157BR EEO Complaint Caseloads
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Trends in the Size and Age of Cases in the

Complaint Inventory

GAO More Appeals Have Been in Inventory 

For Longer Periods of Time at EEOC

1991 1992 1993 1994 1995 1996 1997

0

2,000

4,000

6,000

8,000

10,000

12,000

1 - 100 days

101 - 200 days

201 - 365 days

Over 365 days

Number of cases

Fiscal year

Source: GAO analysis of EEOC data.

Page 34 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section II 

Trends in the Size and Age of Cases in the

Complaint Inventory

More Appeals Have Been

in Inventory for Longer

Periods of Time at EEOC

Although there is a requirement that EEOC process hearing requests within

180 days, there is no time requirement for its processing of appeals. Still,

EEOC reports the age of cases in the appeals inventory along four time

strata. These data show, for example, that the proportion of cases in

inventory for more than 200 days increased from about 3 percent in fiscal

year 1991 to 58 percent in fiscal year 1997. Further, in fiscal year 1997,

39.5 percent of the appeals cases had been in inventory for more than a

year, an increase from sixth-tenths of 1 percent in fiscal year 1991.

Page 35 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section III 

Trends in the Number of Complaints Filed

and the Time Taken to Process Them

GAO

Complaints filed with agencies increased 

56 percent from FY 1991 to FY 1997

Requests for EEOC hearings increased 

94 percent from FY 1991 to FY 1997

Appeals to EEOC increased 61 percent 

from FY 1991 to FY 1997

Agencies are taking longer to process 

cases at the early stages

EEOC's processing times rose sharply

The Number of New Cases and the 

Time to Process Them Increased

Agencies and EEOC had an influx of new cases during the 1990s. Overall,

the number of complaints federal employees filed with their agencies

increased about 56 percent, from 17,696 in fiscal year 1991 to 27,587 in

fiscal year 1997. At EEOC, during this period, requests for hearings

increased 94 percent, from 5,773 to 11,198, while appeals rose

60.5 percent, from 5,266 to 8,453. Postal workers, when compared with

their representation in the federal workforce, accounted for a

Page 36 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section III 

Trends in the Number of Complaints Filed

and the Time Taken to Process Them

disproportionately high and increasing share of the complaints, hearings

requests, and appeals.

As agencies and EEOC experienced increased caseloads, average

processing times increased. In fiscal year 1996, for example, agencies took

an average of 228 days to dismiss a case, an increase from 155 days in

fiscal year 1995. Similarly, the average time to conduct investigations

increased to 240 days in fiscal year 1996 from 171 days in fiscal year 1993.

Both of the 1996 figures exceeded the 180-day time standard. EEOC also

took much longer to process cases. From 173 days in fiscal year 1991, the

average amount of time EEOC took to process hearing requests increased to

277 days in fiscal year 1997, far in excess of the 180-day limit specified in

regulations. The increase in the average amount of time EEOC took to

process appeals was greater, increasing from 109 days in fiscal year 1991

to 375 days in fiscal year 1997.

A variety of factors can affect inventory levels and case processing. One

factor is the relationship between the influx of cases and the capacity of

staff to process them. At EEOC, during fiscal years 1991 to 1996, the number

of hearing requests received per administrative judge and the number of

appeals received per attorney increased. The hearings inventory grew as

the average number of hearing requests processed and closed each year by

administrative judges was, except for one year, always less than the

average number of requests received. The appeals inventory grew as the

average number of cases processed and closed each year by attorneys

was, except for one year, always less than the average number of appeals

received. (See pp. 52 and 53 for details.) For agencies, the data EEOC

reported did not allow a precise comparison of the number of staff to

caseloads at the various stages of the complaint process.

Page 37 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section III 

Trends in the Number of Complaints Filed

and the Time Taken to Process Them

GAO

1991 1992 1993 1994 1995 1996 1997

0

5,000

10,000

15,000

20,000

25,000

30,000

17,696

19,106

22,327

24,592

27,472

26,410

27,587

The Number of Complaints Filed With 

Agencies Has Increased

Number of cases

Fiscal year

Source: GAO analysis of EEOC data.

Page 38 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section III 

Trends in the Number of Complaints Filed

and the Time Taken to Process Them

Number of Complaints

Filed With Agencies Has

Increased

Agencies, including the Postal Service, had to deal with an influx of new

cases during the 1990s. The number of complaints federal employees filed

with their agencies increased sharply from 17,696 in fiscal year 1991 to

27,472 in fiscal year 1995, declined to 26,410 in fiscal year 1996, then

increased again in fiscal year 1997 to 27,587. The number of new

complaints filed with agencies was about 56 percent greater in fiscal year

1997 than in fiscal year 1991. Data also show that increases in the total

number of complaints filed since fiscal year 1994 were largely driven by

postal workers’ complaints.

Complaints filed by postal workers increased from 7,772 in fiscal year 1991

to 13,322 in fiscal year 1995, decreased slightly to 13,252 in fiscal year

1996, then increased again to 14,326 in fiscal year 1997. (See app. I, table

I.5). A closer examination of the complaint statistics shows that, when the

number of postal worker complaints is subtracted from the total number

of complaints filed, the number of complaints filed by nonpostal workers

decreased, from 14,371 in fiscal year 1994 to 14,150 in fiscal year 1995 and

decreased further to 13,158 in fiscal year 1996, before increasing slightly to

13,261 in fiscal year 1997.

Page 39 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section III 

Trends in the Number of Complaints Filed

and the Time Taken to Process Them

GAO Postal Workers Have Accounted for an 

Increasing Share of Complaints Filed

The number of postal workers' 

complaints has represented a 

disproportionate and increasing share of 

complaint filings

The percentage of the federal 

workforce made up by postal workers 

has increased

Postal workers are more likely to file 

complaints than nonpostal workers

The number of postal workers’ complaints has represented a

disproportionate and increasing share of federal employee complaint

filings. In fiscal year 1991, postal workers represented 23.9 percent of the

federal workforce but accounted for 43.9 percent of the complaints filed.

By fiscal year 1996, postal workers represented 31.2 percent of the federal

workforce while accounting for 50.2 percent of the complaints filed. (See

app. I, tables I.4 and I.5.)

Page 40 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section III 

Trends in the Number of Complaints Filed

and the Time Taken to Process Them

We identified two factors that may help explain these trends. One factor is

that from fiscal year 1991 to fiscal year 1996, the number of nonpostal

federal workers decreased about 18 percent, from 2,378,934 to 1,948,009,

while the number of postal workers increased about 18 percent, from

748,121 to 883,370. The increase in the proportion of complaints

represented by postal workers closely matched the increase in postal

workers’ representation in the federal workforce. The other factor is that

postal workers have been more likely to file complaints. For example, in

fiscal year 1996, there were 15 complaints filed for every thousand postal

workers compared with 6.8 complaints filed for every thousand nonpostal

workers. Comparable figures in fiscal year 1991 were 10.4 complaints for

every thousand postal workers and 4.2 complaints for every thousand

nonpostal workers.

The Postal Service Manager, EEO Compliance and Appeals, identified two

reasons for postal workers’ higher propensity to file complaints. First,

postal workers can simultaneously file an EEO complaint under the

administrative process for federal employees and an EEO grievance under

their collective bargaining agreement. About 40 percent of postal workers

who have filed a complaint under the federal employee EEO complaint

process have filed a grievance about the same matter. Second, about

85 percent of postal workers are blue-collar workers covered under

collective bargaining agreements. This group of employees, according to

the Postal Service official, tends to file complaints more often than

white-collar workers.

Page 41 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section III 

Trends in the Number of Complaints Filed

and the Time Taken to Process Them

GAO Increases in Complaints Filed With 

Agencies Attributed to Several Factors

Downsizing

Availability of compensatory damages 

under the 1991 Civil Rights Act

Increased awareness of protections 

against disability-based discrimination

New regulations improving access to 

complaint process

Page 42 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section III 

Trends in the Number of Complaints Filed

and the Time Taken to Process Them

Increases in Complaints

Filed With Agencies

Attributed to Several

Factors

In our August 1997 report about employers’ experiences with alternative

dispute resolution (ADR) processes in the workplace,12 we reported that the

increase in discrimination complaints can be attributed to several factors,

according to EEOC, dispute resolution experts, and officials of federal and

private-sector organizations that we studied.

One factor that experts and officials cited for the increase in complaints

was downsizing, which resulted in appeals of job losses and

reassignments.

A second factor was the Civil Rights Act of 1991, which allows

compensatory damages of up to $300,000 to be awarded to employees in

cases where the employer has engaged in unlawful, intentional

discrimination. The availability of compensatory damages motivated some

employees to file complaints.

A third factor was the Americans With Disability Act of 1990, which

expanded discrimination protection. While federal workers were

protected under the Rehabilitation Act of 1973, the publicity surrounding

the Americans With Disabilities Act made federal workers more aware of

their protections under the Rehabilitation Act, according to EEOC and

Postal Service officials.

EEOC and Postal Service officials also told us that the implementation in

October 1992 of revised regulations governing the EEO complaint process

for federal employees (29 C.F.R. part 1614) was a factor because it

provided improved access to the complaint process.

12Alternative Dispute Resolution: Employers’ Experiences With ADR in the Workplace

(GAO/GGD-97-157, Aug. 12, 1997).

Page 43 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section III 

Trends in the Number of Complaints Filed

and the Time Taken to Process Them

GAO Hearings Requested and Appeals 

Filed Have Increased at EEOC

1991 1992 1993 1994 1995 1996 1997

0

2,000

4,000

6,000

8,000

10,000

12,000

Number of cases

Fiscal year

Hearings requests Appeals

5,773

5,266

6,907

5,997

8,882

6,361

10,712

7,141

10,515

8,152

10,677

8,001

8,453

11,198

Source: GAO analysis of EEOC data.

Page 44 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section III 

Trends in the Number of Complaints Filed

and the Time Taken to Process Them

Hearings Requested and

Appeals Filed Have

Increased at EEOC

Accompanying the increase in complaint filings were increases in EEOC’s

caseloads of requests for hearings before EEOC administrative judges and

appeals to EEOC of final agency decisions. During fiscal years 1991 to 1997,

requests by complainants for hearings before an EEOC administrative judge

increased 94 percent, from 5,773 to 11,198,13 while complainants’ appeals

to EEOC of final agency decisions rose 60.5 percent, from 5,266 to 8,453.14

As with complaints, postal workers’ hearing requests and appeals have

represented a disproportionately large and increasing share of EEOC’s

workload. The numbers of hearing requests and appeals by postal

workers, after increasing in fiscal year 1992, decreased in fiscal year 1993.

In fiscal year 1993, postal workers represented 23.5 percent of the federal

workforce but accounted for 33 percent of hearing requests and 35 percent

of appeals. By fiscal year 1996, postal workers represented 31.2 percent of

the federal workforce while accounting for 42.9 percent of hearing

requests and 44.2 percent of appeals. (See app. I, tables I.4 and I.5.) In

fiscal year 1997, postal workers’ cases accounted for 47.1 percent of

hearing requests and 44.2 percent of appeals. (See app. I, table I.5.)

13At the hearing stage, a case can be settled by the parties, withdrawn by the complainant, remanded to

the agency by the administrative judge for further action, or result in a decision by an administrative

judge. In fiscal year 1997, administrative judges rendered decisions in 3,294 (35 percent) of the 9,424

requests for hearings processed by EEOC. Of these decisions, 9.9 percent contained findings of

discrimination. We addressed trends in these areas in Equal Employment Opportunity: Administrative

Judges’ Recommended Decisions and Agencies’ Actions (GAO/GGD-98-122R, June 10, 1998).

14Appeals statistics consist mainly of appeals of final agency decisions and dismissals (about

85 percent of total appeals in fiscal year 1997) but also include reconsideration requests, appeals of

MSPB and grievance decisions, and petitions for enforcement and clarification.

Page 45 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section III 

Trends in the Number of Complaints Filed

and the Time Taken to Process Them

GAO Complaint Processing Time at 

Agencies FYs 1991 - 1996

Number of days from date complaint filed to date closed

Type of closure 1991 1992 1993 1994 1995 1996

Dismissals 207 215 217 174 155 228

Withdrawals 304 270 280 217 237 318

Settlements 310 328 367 312 300 370

Decisions 

without hearings 312 546 453 558

Decisions with 

hearings 791 640 572 613

Overall average 

processing time 341 349 366 356 305 379

a a

a a

aSeparate data not reported for closures with and without hearings.

Source: GAO analysis of EEOC data.

EEOC reports the average time taken by agencies to process a complaint

from its date of filing by type of closure rather than by each stage of the

complaint process. The reported data show that the average time to

process a complaint, after declining in fiscal years 1994 and 1995, went

back up in fiscal year 1996 to 379 days. This was the lengthiest processing

time for the 6 fiscal years 1991 to 1996. Compared with nonpostal

Page 46 GAO/GGD-98-157BR EEO Complaint Caseloads
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Trends in the Number of Complaints Filed

and the Time Taken to Process Them

agencies, the Postal Service has processed cases more quickly. In fiscal

year 1996, the Postal Service’s average time to close a case was 330 days

while nonpostal agencies took an average of 427 days. This represented a

slippage, however, in the Postal Service’s processing time compared with

fiscal year 1991 when it took an average of 230 days to close a case. (See

app. I, table I.6.) On the other hand, nonpostal agencies average closure

time in fiscal year 1991—434 days—was about the same when compared

with fiscal year 1996.

Using the average processing time for case closure does not measure the

steps in the process against the time standards associated with those

steps. For example, agencies are to make a decision to dismiss a complaint

within 180 days of its filing. In fiscal year 1996, agencies, on average, did

not meet this standard because the average time to make the dismissal

decision was 228 days. In addition, an average masks the time taken from

the filing of a complaint to closing a case by issuing a final agency

decision. Closing a case with a final decision—with or without an EEOC

hearing—takes longer than cases that are dismissed, withdrawn, or

settled. In fiscal year 1996, agencies closed cases in an average of 379 days.

However, in cases closed with the issuance of a final agency decision

without a hearing, agencies took an average of 558 days, which exceeded

the amount of time allowed under regulations—270 days (see pp. 16 and

17). In cases in which an administrative judge issued a decision, average

closure time was higher—613 days, which also exceeded the amount of

time allowed under regulations—450 days. It is also important to note that

the processing times agencies report for the issuance of final agency

decisions does not include any time involved in appeals of final agency

decisions to EEOC.

Page 47 GAO/GGD-98-157BR EEO Complaint Caseloads
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Trends in the Number of Complaints Filed

and the Time Taken to Process Them

GAO

1993 1994 1995 1996

0

50

100

150

200

250

300

171

181

208

240

Average Time for Agencies' Complaint 

Investigations Has Increased

Elapsed time (days) to do investigations

Fiscal year

Source: GAO analysis of EEOC data.

One factor affecting case processing times is the time required to conduct

complaint investigations, which has steadily increased. In fiscal year 1993

(the earliest year for which data were reported), investigations took an

average of 171 days from the time a case was assigned to an investigator to

when the investigation was completed. By fiscal year 1996, this figure had

increased to 240 days. The average time to conduct investigations does not

Page 48 GAO/GGD-98-157BR EEO Complaint Caseloads
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Trends in the Number of Complaints Filed

and the Time Taken to Process Them

include the time it took the agency to decide to accept a case and assign it

to an investigator.

As the number of complaints increased, EEOC reports show that the

number of complaint investigations performed by agency personnel and

contractors increased overall during fiscal years 1993 to 1996. The number

of complaint investigations performed by agency personnel increased

from 8,555 in fiscal year 199315 to 10,470 in fiscal year 1996. In addition, the

number of investigations completed by contractor investigators increased

from 3,091 in fiscal year 199316 to 3,493 in fiscal year 1996.

Although the average time to close a case is less at the Postal Service than

at nonpostal agencies, the Postal Service takes longer to complete

complaint investigations. In fiscal year 1993, investigations at the Postal

Service took an average of 196 days from the time a case was assigned to

an investigator to when the investigation was completed; nonpostal

agencies took an average of 162 days. By fiscal year 1996, these figures had

increased to 271 and 214 days respectively. In fiscal year 1997, the length

of time to complete a complaint investigation at the Postal Service further

increased to an average of 431 days.

The Postal Service said that increases in the amount of time required to

conduct investigations has been affected by claims for compensatory

damages, which, it said, accompany virtually every formal complaint. The

Postal Service also said that, in some cases, the investigation into

compensatory damages can require more time than the investigation into

the underlying claim of discrimination.

15Data for fiscal years 1991 and 1992 were not reported.

16In fiscal year 1992, 2,381 investigations were performed by contract investigators; data for

investigations performed by agency personnel were not reported. Data for fiscal year 1991 were not

reported.

Page 49 GAO/GGD-98-157BR EEO Complaint Caseloads
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Trends in the Number of Complaints Filed

and the Time Taken to Process Them

GAO

1991 1992 1993 1994 1995 1996 1997

0

100

200

300

400

Number of days

173

109

375

277

Fiscal year

EEOC Processing Times for Hearings 

and Appeals Have Increased

Hearings

Appeals

Source: GAO analysis of EEOC data.

Page 50 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section III 

Trends in the Number of Complaints Filed

and the Time Taken to Process Them

EEOC Processing Times

for Hearings and Appeals

Have Increased

EEOC has been taking longer to process hearing requests and adjudicate

appeals.

From a low of 154 days in fiscal year 1994, the average amount of time

EEOC took to process hearing requests increased to 277 days in fiscal year

1997. By the first quarter of fiscal year 1998, this average had increased to

289 days. As we discussed earlier, the longer EEOC takes to process a

hearing request, the longer the total time will be before a final decision in

the case can be made by an agency.

There was an even greater increase in the average amount of time EEOC

took to process appeals. This figure increased from 109 days in fiscal year

1991 to 375 days in fiscal year 1997.

Page 51 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section III 

Trends in the Number of Complaints Filed

and the Time Taken to Process Them

GAO Relationship Between New Cases and 

Capacity of Staff to Process Them 

Capacity of staff to process new cases 

a factor in inventory levels and 

processing time

At EEOC, the influx of new cases 

exceeded the capacity of staff to 

process them

A variety of factors can affect inventory levels and how long it takes to

process cases. One factor is the relationship between the influx of cases

and the capacity of staff to process them. At EEOC, the influx of cases

during fiscal years 1991 to 1996 exceeded the capacity of its staff to

process them, despite overall increases in staffing levels and productivity.

At EEOC, the number of administrative judges available for hearings

increased overall, from 53 in fiscal year 1991 to 75 in fiscal year 1996. Still,

Page 52 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section III 

Trends in the Number of Complaints Filed

and the Time Taken to Process Them

the number of new hearing requests each year per administrative judge

increased about 31 percent, from 109 in fiscal year 1991 to 143 in fiscal

year 1996, because of the influx of cases. The hearings inventory grew

because the average number of cases processed and closed each year per

administrative judge, despite increasing about 23 percent overall during

this period, from 95 to 117, was, except for fiscal year 1993, always less

than the average number of requests received. The number of attorneys

processing appeals declined from 40 in fiscal year 1991 to 39 during fiscal

years 1992 through 1996. This reduction, combined with the influx of new

cases, resulted in the number of appeals received each year per attorney

increasing about 54 percent, from 133 in fiscal year 1991 to 205 in fiscal

year 1996. The appeals inventory grew because the average number of

cases closed each year per attorney, despite increasing 18 percent during

this period, from 133 to 157, was, except for fiscal year 1991, always less

than the average number of appeals received.

While EEOC reported agency staffing levels and caseloads, the data

reported did not allow a precise comparison of the number of staff to

caseloads at the various stages of the complaint process. The staffing data

reported by EEOC showed that the number of EEO counselors,

counselor/investigators, and investigators at agencies declined overall

from 16,169 full-time, part-time, and collateral-duty staff in fiscal year

199217 to 12,317 in fiscal year 1996. The reductions were mainly among

part-time and collateral-duty staff whose levels decreased from 15,418 to

10,910. All but 17 of the reductions occurred at nonpostal agencies.

Although part-time and collateral duty staffing levels decreased, the

number of full-time staff, while fluctuating, was, in fact, higher in fiscal

year 1996 than in fiscal 1992—1,407 versus 751.18

17Data for fiscal year 1991 were not reported.

18The number of full-time staff at nonpostal agencies increased 118 percent, from 496 to 1,081, mostly

in the counselor ranks. At the Postal Service, the number of full-time staff, made up almost exclusively

of counselor/investigators, increased about 28 percent, from 255 to 326.

Page 53 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section IV 

Implications of the Trends in Inventories,

New Cases, and Processing Time

GAO

EEOC projects that hearings and 

appeals inventories will grow larger and 

cases will take longer to process

Final agency decisions likely will be 

further delayed because of slower EEOC 

processing of hearing requests

A large proportion of the hearings and 

appeals caseloads will consist of postal 

workers' complaints

Implications of Trends for EEOC

The implications of these trends are that inventories of cases pending will

grow even larger in the future, particularly at EEOC, and that cases will take

even longer to process than they do today.

EEOC projects that incoming hearing requests and appeals will continue to

increase. To deal with these increases, EEOC’s fiscal year 1999 budget

request proposes funding for 19 additional administrative judges to

process hearing requests (an increase of about 25 percent) and 14

Page 54 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section IV 

Implications of the Trends in Inventories,

New Cases, and Processing Time

additional attorneys to process appeals (an increase of about 36 percent).

However, EEOC projects that, even if the budget request is approved, its

hearings and appeals inventories will grow.

With the additional administrative judges, EEOC projects that by the end of

fiscal year 2002, the hearings inventory will be 15,950, an increase from

10,016 at the end of fiscal year 1997. Meanwhile, the average length of time

to process hearing requests is projected to increase from 390 to 510 days.

Without additional administrative judges, the hearings inventory is

projected to grow even more, to 24,500 by 2002, with cases taking an

average of 990 days to process. As hearings requests remain in EEOC’s

inventory for longer periods, agencies will be delayed in issuing final

decisions for cases in which a hearing was requested.

Similarly, with the additional attorneys, EEOC projects that by the end of

fiscal year 2002, the appeals inventory will be 18,953, an increase from

9,980 at the end of fiscal year 1997. The average length of time to process

appeals is projected to increase from 510 to 900 days. Without the

additional attorneys, the inventory is projected to rise to 26,583, with

appeals taking 1,680 days to process.

In addition, considering recent trends, it appears likely that a large

proportion of EEOC’s hearings and appeals caseload will consist of postal

worker’s complaints.

Page 55 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section IV 

Implications of the Trends in Inventories,

New Cases, and Processing Time

GAO

At agencies, it is unclear whether the 

number of complaints filed will continue 

its generally upward trend

Postal workers' complaints have driven 

the overall increase in complaints filed 

since FY 1994 and will likely continue to 

be a significant factor in the volume of 

complaints

Implications of Trends for Agencies

Page 56 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section IV 

Implications of the Trends in Inventories,

New Cases, and Processing Time

Implications of Trends for

Agencies

At agencies, it is unclear if, and to what extent, complaint filings will

continue their generally upward trend. Except for fiscal year 1996, the

number of complaints filed with agencies increased each year during fiscal

years 1991 to 1997. A closer analysis of trends shows that complaints filed

by postal workers have driven the overall increase in the number of

complaints filed since fiscal year 1994. While the overall number of postal

worker complaints increased from 10,221 in fiscal 1994 to 14,326 in fiscal

year 1997, the number of complaints filed by nonpostal workers decreased

from 14,371 in fiscal year 1994 to 14,150 in fiscal year 1995 and decreased

further to 13,158 in fiscal year 1996, before increasing to 13,261 in fiscal

year 1997. EEOC has not studied the reasons for these trends. It is unclear

whether the overall reduction in the number of complaints filed by

nonpostal employees signals a moderation in the future flow of nonpostal

cases through the process. It is also unclear whether the number of

complaints filed by postal workers will continue to grow. Considering

recent trends, however, the Postal Service seems likely to continue to be a

significant factor in the volume of complaints.

Page 57 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section IV 

Implications of the Trends in Inventories,

New Cases, and Processing Time

GAO Possible Reasons for Decrease in 

Non-Postal Complaints Since FY 1994

Federal government shutdown

Downsizing initiatives drawing to close

Smaller federal workforce

Use of alternative dispute resolution 

(ADR) processes

Page 58 GAO/GGD-98-157BR EEO Complaint Caseloads
Briefing Section IV 

Implications of the Trends in Inventories,

New Cases, and Processing Time

Possible Reasons for

Decrease in Non-Postal

Complaints Since FY 1994

While EEOC did not study the reason for the overall decline in the number

of new complaints by nonpostal workers from fiscal year 1994 to fiscal

year 1997, EEOC officials offered several possible explanations for this

decrease.

One possible reason was the federal government shutdowns in October

and December 1995 and January 1996, which reduced the opportunity both

for discriminatory acts to occur and for the filing of complaints in fiscal

year 1996.

Another possible reason was that agency downsizing initiatives were

drawing to a close; thus, workers would be less likely to resort to the

complaint process to preserve their jobs.

Yet another reason could have been the smaller numbers of federal

workers resulting from downsizing. Excluding the Postal Service, which

increased its workforce, the federal workforce of agencies within EEOC’s

jurisdiction decreased about 8 percent, from 2,122,193 in fiscal year 1994

to 1,948,009 in fiscal year 1996.

A further possible reason for the decrease in complaints in fiscal year 1996

could have been agencies’ use of alternative dispute resolution (ADR)

processes in the precomplaint counseling stage, which may have resolved

issues that otherwise would have led to complaints.19

Because of the high number of EEO complaints, in 1994, the Postal Service

began a pilot ADR program that used mediation. The Postal Service found

that more than 70 percent of the cases mediated were resolved and, in

March 1998, announced the nationwide rollout of the ADR program called

REDRESS (Resolve Employee Disputes, Reach Equitable Solutions

Swiftly). The Postal Service believes that REDRESS will have a substantial

impact on reducing its future caseloads, with a resulting affect on EEOC’s

caseloads. The Postal Service said that the program will be fully

implemented by 2000.

19Mediation was the most widely practiced ADR technique used by federal agencies, as reported in

Alternative Dispute Resolution: Employers’ Experiences With ADR in the Workplace,

(GAO/GGD-97-157, Aug. 12, 1997).

Page 59 GAO/GGD-98-157BR EEO Complaint Caseloads
Appendix I 

Selected Complaint Data on the U.S. Postal

Service

Table I.1: Total and Postal Service Inventories of Complaints, Hearing Requests, and Appeals and Postal Service as a

Percentage of the Totals for Fiscal Years 1991-1997

1991 1992 1993 1994 1995 1996 1997

Complaints

Total 16,964 18,668 22,258 27,044 30,605 31,195 34,267

Postal workers 3,963 4,626 5,026 6,893 10,105 11,357 13,549

Percent 23.4% 24.8% 22.6% 25.5% 33.0% 36.4% 39.5%

Hearing requests

Total 3,147 3,977 3,991 5,177 6,367 8,275 10,016

Postal workers 1,440 1,837 1,094 1,827 2,567 3,327 4,594

Percent 45.8% 46.2% 27.4% 35.3% 40.3% 40.2% 45.9%

Appeals

Total 1,466 2,029 2,900 4,363 6,498 8,376 9,980

Postal workers a 837 940 1,470 2,563 3,558 4,317

Percent a 41.3% 32.4% 33.7% 39.4% 42.5% 43.3%

aNot available.

Source: GAO analysis of EEOC and Postal Service data.

Table I.2: Average Age (Days) of Complaints in the Postal Service’s Inventory Since Complaint Filed, by Stage of the

Complaint Process for Fiscal Years 1991-1997

Stage of process 1991 1992 1993 1994 1995 1996 1997

Dismiss/accept a 27 146 182 540 582 320

Investigation 207 217 183 212 145 163 405

Proposed dispositionb 267 237 c c c c c

Hearing 494 502 180 284 307 322 887

Agency decision a a 179 210 239 251 302

Overall 399 356 176 212 287 315 494

aNo cases reported.

bWhen the agency notified the complainant in writing of its proposed disposition of the complaint

and of the right to a final decision with or without an EEOC hearing.

cDiscontinued as a reporting category.

Source: GAO analysis of EEOC and Postal Service data.

Page 60 GAO/GGD-98-157BR EEO Complaint Caseloads
Appendix I 

Selected Complaint Data on the U.S. Postal

Service

Table I.3: Percentage of Postal Workers’ Complaints Pending Dismissal/Acceptance and Investigation More Than 180 Days

for Fiscal Years 1991-1997

Stage of process 1991 1992 1993 1994 1995 1996 1997

Dismissal/

acceptance a 0 62.2 40.0 53.7 61.9 26.2

Investigation 50.4 48.2 71.8 55.8 40.4 58.6 48.6

aNo cases reported.

Source: GAO analysis of EEOC and Postal Service data.

Table I.4: Postal Workers as a Percentage of the Federal Workforce for Fiscal Years 1991-1996

Fiscal year 1991 1992 1993 1994 1995 1996

Percent of workforce 23.9 23.2 23.5 27.2 28.6 31.2

Source: GAO analysis of EEOC data.

Table I.5: Total and Postal Workers’ Complaints, Hearing Requests, and Appeals and Postal Workers as a Percentage of

Total Complaints, Hearing Requests, and Appeals for Fiscal Years 1991-1997

1991 1992 1993 1994 1995 1996 1997

Complaints

Total 17,696 19,106 22,237 24,592 27,472 26,410 27,587

Postal workers 7,772 8,469 8,858 10,221 13,322 13,252 14,326

Percent 43.9% 44.3% 39.8% 41.6% 48.5% 50.2% 51.9%

Hearing requests

Total 5,773 6,907 8,882 10,712 10,515 10,677 11,198

Postal workers 2,605 3,337 2,933 3,934 4,451 4,583 5,275

Percent 45.1% 48.3% 33.0% 36.7% 42.3% 42.9% 47.1%

Appeals

Total 5,266 5,997 6,361 7,141 8,152 8,001 8,453

Postal workers 2,250 2,649 2,227 2,450 3,436 3,534 3,734

Percent 42.7% 44.2% 35.0% 34.3% 42.1% 44.2% 44.2%

Source: GAO analysis of EEOC and Postal Service data.

Page 61 GAO/GGD-98-157BR EEO Complaint Caseloads
Appendix I 

Selected Complaint Data on the U.S. Postal

Service

Table I.6: Postal Service Complaint Processing Time in Days by Closure Category for Fiscal Years 1991-1997

Closure category 1991 1992 1993 1994 1995 1996 1997

Dismissals 134 150 154 135 116 208 197

Withdrawals 256 256 266 213 218 296 300

Settlements 217 211 307 279 280 341 401

Decision without hearing a a 227 520 393 512 439

Decision with hearing a a 734 721 510 527 689

Overall 230 233 296 315 247 330 353

aSeparate data not reported for closures with and without hearings.

Source: GAO analysis of EEOC and Postal Service data.

Page 62 GAO/GGD-98-157BR EEO Complaint Caseloads
Appendix II 

Selected Complaint Data on the

Departments of Agriculture and the Interior

and Other Reporting Federal Agencies

Agriculture Interior

All reporting

federal agencies

Size of inventory-FY 1996 1,405 774 31,195

Size of inventory-FY 1991 410 529 16,964

Percent increase (rounded) 243% 46% 84%

Average age of inventory-FY 1996 (days) 649 570 397

Average age of inventory-FY 1991 (days) 420 471 379

Percent increase (rounded) 55% 21% 5%

Average age of inventory pending dismissal/

acceptance-FY 1996 (days) 408 675 425

Average age of inventory pending dismissal/acceptance-FY 1991 (days) 16 115 120

Percent increase (rounded) 2,450% 487% 254%

Average age of inventory pending investigation-FY 1996 (days) 619 322 281

Average age of inventory pending investigation-FY 1991 (days) 194 283 260

Percent increase (rounded) 219% 14% 8%

Number of complaints filed-FY 1996 566 369 26,410

Number of complaints filed-FY 1991 288 340 17,696

Percent increase (rounded) 97% 9% 49%

Average overall processing time-FY 1996 (days) 942 574 379

Average overall processing time-FY 1991 (days) 675 525 341

Percent increase (rounded) 40% 9% 11%

Average time to dismiss a complaint- FY 1996 (days) 715 448 228

Average time to dismiss a complaint-FY 1991 (days) 408 388 207

Percent increase (rounded) 75% 15% 10%

Average time to complete investigation-FY 1996 (days) 563 296 240

Average time to complete investigation-FY 1993a (days) 263b 214 171

Percent increase (rounded) 114% 38% 40%

aNot reported in fiscal years 1991 and 1992.

bFigure is for fiscal year 1994; “0” reported for fiscal year 1993.

Source: GAO analysis of EEOC data.

Page 63 GAO/GGD-98-157BR EEO Complaint Caseloads
Appendix III 

Antidiscrimination Statutes Applicable to

Federal Employees

Title VII of the Civil Rights Act of 1964, as amended, makes it illegal to

discriminate in employment based on race, color, religion, sex, or national

origin.

Section 501 of the Rehabilitation Act of 1973, as amended, makes it illegal

to discriminate against federal employees and applicants for employment

based on disability. Federal agencies are required to make reasonable

accommodations to the known physical and mental limitations of qualified

employees or applicants with disabilities. Section 501 also requires

affirmative action for hiring, placement, and promotion of qualified

individuals with disabilities.

The Equal Pay Act, as amended, prohibits employers from discriminating

on the basis of sex in the payment of wages where substantially equal

work is performed under similar working conditions.

The Age Discrimination in Employment Act, as amended, protects people

40 years of age and older by prohibiting age discrimination in hiring,

discharge, pay, promotions, and other terms and conditions of

employment.

Page 64 GAO/GGD-98-157BR EEO Complaint Caseloads
Appendix IV 

Major Contributors to This Report

General Government

Division

Stephen E. Altman, Assistant Director, Federal Management

 and Workforce Issues

Anthony P. Lofaro, Evaluator-in-Charge

Other

Acknowledgements

In addition to the above individuals, the contributions of the following

individuals are acknowledged: Katherine M. Wheeler and Jena Y. Sinkfield,

General Government Division, for their assistance in developing graphs

and charts, and Lessie M. Burke, General Government Division, for editing

assistance.

(410267) Page 65 GAO/GGD-98-157BR EEO Complaint Caseloads
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