*The U.S. Equal Employment Opportunity Commission*

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# Strategic Plan ForFiscal Years 2004 - 2009

### Effective - October 1, 2003

## TABLE OF CONTENTS

### OUR VISION - OUR MISSION

### THE EEOC

### INTRODUCTION: Charting the Course for theFuture

### EEOC'S FIVE-POINT PLAN

Proactive Prevention

Proficient Resolution

Promote and Expand Mediation/Alternative Dispute Resolution (ADR)

Strategic Enforcement andLitigation

EEOC as a Model Workplace

### KEY INITIATIVES

The President's Management Agenda

The President's New FreedomInitiative

EEOC's Freedom to Compete Initiative

Leading Inter-Agency Coordination

### SUMMARY OF STRATEGIC OBJECTIVES

### STRATEGIC OBJECTIVE 1: JUSTICE ANDOPPORTUNITY

Measures

Means and Strategies

Relationship Between Strategic Plan andAnnual Performance Plan Measures

Management Challenges

Cross-Cutting Programs

### STRATEGIC OBJECTIVE 2: INCLUSIVEWORKPLACE

Measures

Means and Strategies

Relationship Between Strategic Plan andAnnual Performance Plan Measures

Management Challenges

Cross-Cutting Programs

### STRATEGIC OBJECTIVE 3: ORGANIZATIONALEXCELLENCE

Our Management Vision

Our Core Values

Measures

Means and Strategies

Relationship Between Strategic Plan andAnnual Performance Plan Measures

Management Challenges

Cross-Cutting Programs

### EXTERNAL FACTORS AFFECTING THE STRATEGICOBJECTIVES

Social Factors

Economic Factors

Demographic Factors

Technology Factors

Political Factors

Legal Factors

### SCHEDULE OF FUTURE PROGRAMEVALUATIONS

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### OUR VISION - OUR MISSION

#### Our Vision

A Strong and Prosperous Nation Secured Through a Fair andInclusive Workplace.

#### Our Mission

We Promote Equality of Opportunity in the Workplace and EnforceFederal Laws Prohibiting Employment Discrimination.

### THE EEOC

The Equal Employment Opportunity Commission was established byTitle VII of the Civil Rights Act of 1964 and began operating onJuly 2, 1965. The EEOC enforces the following federal statutes:

- Title VII of the Civil Rights Act of 1964, as amended, (TitleVII) prohibiting employment discrimination on the basis of race,color, religion, sex, or national origin;
- Age Discrimination in Employment Act (ADEA) of 1967, asamended, prohibiting employment discrimination against individuals40 years of age and older;
- Equal Pay Act (EPA) of 1963, prohibiting discrimination on thebasis of gender in compensation for substantially equal workperformed under similar conditions;
- Title I and Title V of the Americans with Disabilities Act(ADA) of 1990, prohibiting employment discrimination on the basisof disability in the private sector and state and localgovernments;
- Sections 501 and 505 of the Rehabilitation Act of 1973, asamended, prohibiting employment discrimination against federalemployees with disabilities; and,
- Civil Rights Act of 1991, providing monetary damages in casesof intentional discrimination and clarifying provisions regardingdisparate impact actions.

Additionally, under Executive Order 12067, the EEOC coordinatesall federal equal employment opportunity regulations, practices,and policies. The Commission also interprets employmentdiscrimination laws, monitors the federal sector equal employmentopportunity program, provides funding and support to state andlocal Fair Employment Practices Agencies (FEPAs) and TribalEmployment Rights Organizations (TEROs), and sponsors outreach andtechnical assistance programs.

Any individual who believes he or she has experienceddiscrimination in employment may file a charge with the EEOC in anyof its field offices. After investigating the charge, the EEOCdetermines whether there is "reasonable cause" to believediscrimination has occurred. If "reasonable cause" is found, theEEOC attempts to conciliate the charge by reaching a voluntaryresolution between the charging party and the respondent. Ifconciliation is not successful, the Commission may bring suit infederal court to remedy the discrimination. As part of theadministrative process, the EEOC may also issue aRight-to-Sue-Notice to the charging party, allowing the chargingparty to file their own individual action in court.

The EEOC also offers mediation as an alternative means ofdispute resolution. Rather than initially going through thetraditional charge investigation process, the parties may firstelect to resolve the charge voluntarily with the help of a neutralmediator.

The statutory and regulatory context for EEOC's federal programdiffers from its private sector enforcement program in severalimportant ways most notably, the EEOC has adjudicatory authority to hold hearings, issue decisions, and review matters on appeal.  In the federal sector, individuals file complaintswith their own agencies first and the employing federal agencyinitially investigates the claims of employment discriminationraised in the complaint. The complainant can then request a hearingby the EEOC on those claims.  Administrative Judges from the EEOC complete the process of developing a full and appropriate record in the hearings process by adjudicating claims of discrimination and issuing decisions. Hearings are held only aspart of the federal sector process. Also, a complainant or afederal agency can file an appeal with the EEOC. Relief ordered in a final Commission decision is mandatory and binding on the agency, except in limited circumstances. If dissatisfiedwith the outcome of either a hearing or an appeal, a federal sectorcomplainant, like a private sector charging party, can file alawsuit in federal court to resolve the claims ofdiscrimination.

### INTRODUCTION: Charting the Course for theFuture

The promise of equal opportunity is a legal right afforded toall of our nation's workers and job applicants, and is woven intothe fabric of the American dream. Since its inception in 1965, theEqual Employment Opportunity Commission (EEOC) has helpedindividuals realize this dream. Equal opportunity in the Americanworkplace is a matter of social justice and a national economicimperative. America plays an important leading role in today'sglobal marketplace. To continue that role, we must make full use ofthe nation's human capital by promoting workplace practices thatallow all workers to achieve their highest potential.

Developing a strategic vision of the future has never been moreimportant for EEOC. Today's emerging workplace issues are vastlydifferent from those of a decade ago. Technological advancements,unprecedented economic growth, the globalization of world marketsand profound demographic shifts are reshaping the Americanworkplace.

Researchers forecast an increasingly diverse American workforce.Ethnic and racial minority groups will continue to grow at a rapidpace. More people with disabilities are joining the workforcebecause of recent technological advances, improvements broughtabout in the last decade by the Americans with Disabilities Act,and greater numbers of young people with disabilities who havesuccessfully participated in America's educational system since thepassage of the Individuals with Disabilities in Education Act. Ourworkforce is also aging as America's "Baby Boom" generationredefines attitudes and expectations toward work and retirement.For example, research shows that 80 percent of Baby Boomers plan towork at least part-time during their retirement years.1

The very nature of the traditional employer-employeerelationship is also undergoing dramatic change. Fiercelycompetitive global markets, an economy with many companiesundergoing restructuring and reengineering, and technologicaladvances are producing a more mobile and flexible workforce.Employers and employees may negotiate complex issues, includingindividualized compensation and benefits packages, telecommutingarrangements, and flexible work schedules. America's youngerworkers no longer look to a single, long-term employer for jobsecurity, but rather customize their own career paths by acquiringmarketable skills through a variety of employmentexperiences.2 These social, economicand demographic trends have important implications for the EEOC andthe work we do. Our Strategic Plan is designed to integrate all ofour efforts to keep pace with these dynamic changes.

The Strategic Plan has three broad StrategicObjectives–Justice and Opportunity, Inclusive Workplace, andOrganizational Excellence–based on the agency's vision,mission and Five-Point Plan. The Five-Point Plan builds upon whatthe agency has done to improve its operations and seeks to broadenthe agency's reach by increasing proactive measures to preventdiscrimination; resolving claims of discrimination moreproficiently; expanding alternative dispute resolution; developinga more strategic focus in our enforcement, litigation and federalprograms; and enhancing the agency's internal operations. OurStrategic Plan also incorporates other key initiatives, including:the President's Management Agenda, the President's New FreedomInitiative, the EEOC's Freedom to Compete Initiative, and theagency's responsibilities for Leading Inter-Agency Coordination. Weset out the Five-Point Plan and each of these key initiatives inthe following sections. We then describe each Strategic Objective,their relationship to the Five-Point Plan, and expected outcomesand performance measures for each.

All of the measures in this Strategic Plan are intended todemonstrate in a concrete way the EEOC's impact on creating fairand inclusive workplaces across America. The measures areresults-oriented and expressed in directly quantifiable terms orcan be assessed through program evaluations. These measures ofsuccess are a major step forward in how we view, manage and carryout the important work of the Commission.

1*Patel, David. Society for HumanResource Management, Workplace Forecast: A Strategic Outlook2002-2003*, Society for Human Resource Management (July2002).

2*Ibid*

### EEOC'S FIVE-POINT PLAN

EEOC's Five-Point Plan provides the framework for accomplishingour agency's mission and is central to our three overarchingStrategic Objectives. The Five-Point Plan places a premium oncoordination, innovation and results. Under the Plan, all facets ofEEOC's work will be viewed with an eye toward being more proactiveand more effective. Each element of the Five-Point Plan is described below.

*Proactive Prevention*

The best way to combat discrimination is to prevent it fromhappening in the first place. We will work to proactively preventdiscrimination by providing information and solutions to members ofthe public that will help them identify and solve problems beforethey escalate. We will serve as a clearinghouse of reports and bestpractices to encourage learning and understanding among employersand employees. We will also introduce new and innovative outreachactivities, such as: teleconferences, technical assistance visits,flexible training opportunities, an enhanced Web site, informationdissemination through public radio and television, cyber forums,and partnerships and strategic alliances to strengthen efforts andbuild support. In essence, we will work to promote healthyworkplace practices and to instruct managers in an effort to findthe "cure" for discrimination.

*Proficient Resolution*

Providing quality services that are fair, prompt, and cost effective, is vital to the EEOC's mission. We will ensurethat our work is consistent, accurate and timely. The EEOC willevaluate and improve every stage of the private sector chargeprocess and will collaborate with other federal agencies in oureffort to make the federal complaint process more efficient. TheEEOC will also introduce new performance techniques to streamlineprocedures, while enhancing the integrity of our processes.

*Promote and Expand Mediation/AlternativeDispute Resolution (ADR)*

Promoting and expanding mediation and other types of ADR is the centerpiece of the EEOC'sFive-Point Plan. Our private sector mediation program hasdemonstrated that disputes can be settled quickly, amicably andcost-effectively through ADR techniques.

We will build on earlier successes through the continueddevelopment of a comprehensive agency-wide ADR program. We willreview the pool of private sector charges eligible for mediationand offer mediation at various stages of the private sector chargeprocess. We also will work to expand the number of privateemployers participating in Universal Agreements to Mediate, whichallow EEOC to attempt mediation in all cases involving an employerso long as the charging party consents.

EEOC will also expand the use of ADR in the federal sectorprogram by continuing to explore new and different ADR methods,identifying ADR methods that prove most efficient and costeffective at the hearings stage of the federal complaint process,and evaluating the results of an appellate-stage mediation programpiloted in 2002. We will continue to expand and improve our FederalSector ADR web page, which serves as a clearinghouse about ADR forfederal employees.

*Strategic Enforcement andLitigation*

We must use all research tools available to us, and deployagency resources strategically, if we want to have a meaningfulimpact on discrimination in today's workplace and the workplace ofthe future. We will examine emerging workplace trends and issues inboth the private and federal sectors and use this information tomake reasoned and calculated decisions about what issues merit ourattention and how we can better integrate our policy guidance,investigative, litigation and federal coordination functions. Indetermining where the agency needs to concentrate its enforcementand litigation efforts, the EEOC will establish baselineinformation on investigation, litigation and federal sectoractivities; examine recent court decisions; consult with agencystaff and stakeholders; evaluate the agency's outreach activities;and conduct annual reviews of economic indicators, demographictrends, employer practices, industry literature and legislativeinitiatives. Finally, we will continue to strengthen partnershipsbetween EEOC investigators and attorneys and between the EEOC andother federal agencies.

*EEOC as a Model Workplace*

The President's Management Agenda (PMA) provides the roadmap forthe final point of the agency's Five-Point Plan. The President'sagenda addresses important enhancements to internal agencyoperations and its interface with the public. The integration ofour Five-Point Plan and other Administration and agency initiativeswill help build a model workplace where we can effectively andefficiently accomplish our goals in an environment conducive togood employment practices.

The very principles and standards we promote to employers shouldbe readily apparent in our own operations. To achieve our aims, wewill build an organization committed to providing opportunities forEEOC employees to grow professionally. We will accomplish thisthrough occupational and leadership development, performancemanagement programs, the use of enabling technologies and aflexible, adaptable work environment that is conducive to teamwork.We will build a model workplace with programs and practices worthyof emulation.

### KEY INITIATIVES

As an adjunct to our Five-Point Plan, in recent years the EEOChas been focusing on four key initiatives. They are:

- The President's Management Agenda
- The President's New Freedom Initiative
- EEOC's Freedom to Compete Initiative
- Leading Inter-Agency Coordination

*The President's ManagementAgenda*

The President's Management Agenda envisions a citizen-centered,results oriented, and market-based federal government and containsfive government-wide areas to improve agency management and deliverresults to the American public. These initiatives are:

- Strategic management of human capital
- Competitive sourcing
- Improved financial performance
- Expanded electronic government
- Budget and performance integration

EEOC has incorporated each of these critical initiatives intoits Five-Point Plan.

*The President's New FreedomInitiative*

In 2001, President Bush launched the New Freedom Initiative(NFI) – a comprehensive strategy for achieving fullintegration of individuals with disabilities into all aspects ofthe nation's social and economic life. Access to employment is, ofcourse, one critical aspect of full integration. As the lawenforcement agency responsible for enforcing the employment titleof the Americans with Disabilities Act (ADA), the EEOC continues towork closely with other federal agencies and the White House toimplement the NFI in the workplace.

The President's New Freedom Initiative emphasizes the importanceof telework and technological innovation as vehicles for increasingemployment of people with disabilities. The EEOC has launchedinitiatives on both telework and technology as they relate to anemployer's obligation to provide reasonable accommodation under theADA, and will continue to undertake aggressive outreach effortsaimed at small businesses and people with disabilities.

*EEOC's Freedom to CompeteInitiative*

The agency launched the Freedom to Compete Initiative in 2001.Through the Freedom to Compete Initiative, the EEOC works to ensurethat all Americans have the opportunity to compete in the workplaceon a fair and level playing field, without regard to race, color,religion, national origin, sex, age, or disability. This initiativefocuses on building partnerships, liaisons, and strategic allianceswith our stakeholders to identify and eliminate organizational andattitudinal barriers that may still be obstructing open competitionin the workplace and to develop proactive and innovative solutionsto eliminate those barriers.

The initiative will be accomplished through a multi-phasedapproach that will culminate in its institutionalization at EEOC.In phase one of the initiative, we engaged a cross-section ofstakeholders in a dialogue about the EEOC and explored with themhow we could broaden our presence and more proactively address 21stCentury workplace issues. In the future, the EEOC will bepartnering, developing alliances and using other collaborativeefforts to engage stakeholders in efforts to influence the opinion leaders in the economic community and drive change in theworkplace. We will enhance our outreach and education efforts toinclude roundtable discussions, commission meetings, and publicservice announcements. Also, we will develop programs to honor andrecognize individuals and organizations that demonstrate exemplaryefforts to open doors to employment and level the playing field toensure free and fair competition in the workplace.

*Leading Inter-AgencyCoordination*

The EEOC serves as the lead agency in the coordination offederal agencies' enforcement of all federal statutes, ExecutiveOrders, regulations, and policies requiring equal employmentopportunity without regard to race, color, religion, sex, nationalorigin, age or disability. Since the issuance of Executive Order12067 in 1978, the EEOC has exercised this responsibility in manydifferent ways by coordinating and cooperating with key federalagencies responsible for areas of equal employment opportunity. TheEEOC will reinvigorate its leadership of equal employment policiesand programs.

### SUMMARY OF STRATEGIC OBJECTIVES

Our Strategic Plan identifies three Strategic Objectives:Justice and Opportunity, Inclusive Workplace and OrganizationalExcellence. Elements of the Five-Point Plan are incorporated undereach Strategic Objective, as described in the chart below. Withinthe overall framework of the Strategic Objectives, the Five-PointPlan serves as a guide for staff to explore ways to make the bestuse of EEOC data, information and experiences.

**Justice and Opportunity:** Serve the publicinterest by obtaining justice for individuals who experienceemployment discrimination and by removing discriminatory barriersto create a level playing field. This strategic objective isdesigned to position the agency to continue to have a meaningfulimpact on discrimination in today's workplace and the workplace ofthe future. Our strategies for achieving this objective are foundedon three points of the EEOC's Five-Point Plan:

- Proficient Resolution
- Promote and Expand Mediation/ADR
- Strategic Enforcement and Litigation

**Inclusive Workplace:** Strengthening America'sworkplace by preventing discrimination and promoting workplacepolicies and practices that foster an inclusive work culture. Thisstrategic objective is designed to fashion more proactiveapproaches to preventing discrimination from occurring in the firstplace. Our strategies for achieving this objective are founded onone point of the EEOC's Five-Point Plan:

- Proactive Prevention

**Organizational Excellence:** Establish anorganizational infrastructure that will set and implement thehighest quality standards for equal opportunity, customer service,internal efficiency and fiscal responsibility. This strategicobjective recognizes that the standards we promote to otheremployers should be readily apparent in our own operations. Ourstrategies for achieving this objective are founded on one point ofthe EEOC's Five-Point Plan:

- EEOC As A Model Workplace

### STRATEGIC OBJECTIVE 1: JUSTICE ANDOPPORTUNITY

**Serve the public interest by obtaining justice forindividuals who experience employment discrimination and byremoving discriminatory barriers to create a level playingfield.**

Since 1965, the EEOC has been charged with enforcing thenation's civil rights employment laws, which protect individualsfrom discrimination in the workplace. During this time, additionallegal protections have been created by Congress, interpreted by thecourts, and applied in the public and private business arenas.Also, the American workplace itself has undergone unprecedentedsocial, technological and demographic change. Notwithstanding thechanging times, we continue to hold true to our fundamentalresponsibility—seeking to correct the wrongs of employmentdiscrimination and bringing justice and equal opportunity to theworkplace.

As we continue to carry out our mission in the new millennium,we must enhance public confidence in our ability to timely,accurately, and consistently resolve charges of discriminationagainst private sector employers. We will conduct investigations asimpartial finders of fact. When discrimination is found, we willwork to correct the injustice and effect change in the workplacethrough all avenues available, including conciliation andlitigation. We will also introduce more workers and employers tothe benefits of ADR by expanding the use of our voluntary mediationprogram.

The EEOC also must ensure that the doors of justice andopportunity are open to America's federal workers and applicants for federal employment. Throughoversight of the federal equal employment opportunity (EEO)complaint process and the administration of our federal hearingsand appellate programs, we will ensure the fair, efficient, andequitable resolution of employment discrimination disputes.

To have a meaningful impact on discrimination in today'sworkplace and the workplace of the future, we must approach ourenforcement activities more strategically, with an eye towardemerging workplace trends, changing workforce dynamics, andshifting demographics. We must employ our resources in ways thatwill achieve maximum results, while still protecting the rights ofthe individual. Through focused and strategic enforcement efforts,we will seek to broadly influence policies and practices in theAmerican workplace and to bring justice and opportunity to all.

For our Justice and Opportunity Strategic Objective, we willstrive to remedy and deter unlawful discrimination, and increasepublic confidence in the fair and prompt resolution of employmentdiscrimination disputes. These broad outcomes focus our measuresand strategies on three points of the EEOC's Five-Point Plan:Proficient Resolution, Promoting and Expanding Mediation/ADR andStrategic Enforcement and Litigation. We will measure ourperformance in each of these areas to assess our progress towardsmeeting the expected outcomes.

**Outcomes Remedy and Deter Unlawful Employment Discrimination Increase Public Confidence in the Fair and Prompt Resolution ofEmployment Discrimination Disputes**

#### Measures

| Proficient Resolution | 1.1.1                                                                                                                                                                                                                                                                          | By FY 2009, ensure that at least 70% of private sector chargeswill be resolved within 180 days. |
|-----------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------|
| 1.1.2                 | By FY 2009, ensure that at least 50% of federal sector hearingswill be resolved within 180 days.                                                                                                                                                                               |
| 1.1.3                 | By FY 2009, ensure that at least 70% of federal sector appealswill be resolved within 180 days.                                                                                                                                                                                |
| 1.1.4                 | By FY 2009, reviews of investigative files indicate that thepercentage of files meeting established criteria for quality is at[TBD]%* or higher.                                                                                                                               |
| 1.1.5                 | By FY 2009, the general public rates their confidence in EEOC'senforcement of federal equal employment laws at [TBD]%* or higher.                                                                                                                                              |
| 1.2.1                 | Assess the contributions of EEOC's private sector mediation/ADRprogram towards improved workplaces.                                                                                                                                                                            |
| 1.2.2                 | By FY 2006, increase by 20% the number of private sectoremployers that agree to participate in mediation from the fiscalyear 2003 baseline.                                                                                                                                    |
| 1.2.3                 | The percentage of respondents and charging parties that reportconfidence in EEOC's private sector mediation program is 90% orhigher.                                                                                                                                           |
| 1.2.4                 | By FY 2009, increase the percentage of federal employees whoparticipate in ADR during the pre-complaint stage of the EEOCprocess to 50% or higher.                                                                                                                             |
| 1.3.1                 | By FY 2009, [TBD]%* of private sector resolutions, where EEOC is aparty, result in improvements to employment policies, practices orprocedures.                                                                                                                                |
| 1.3.2                 | EEOC's high impact litigation and publicity effortssubsequently change workforce status (for example, job opportunities, working conditions, pay, workforce composition) of affected groups and/orimproves employment policies, practices or procedures in affectedworkplaces. |
| 1.3.3                 | Of the lawsuits filed by EEOC,  90%  or higher are successfully resolved duringperiod ending in FY 2009.                                                                                                                                                                       |
| 1.3.4                 | EEOC's federal sector program evaluations and technicalassistance efforts result in federal agencies improving employmentpolicies, practices and procedures.                                                                                                                   |

*[TBD]=[To Be Determined]

For the Proficient Resolution element of the EEOC's Five-PointPlan, our three measures of success focus on timeliness, quality,and public confidence in our enforcement of the nation's federalequal employment laws. The goal of resolving 70% of the chargeswithin 180 days builds upon a steady stream of success in reducingthe average charge processing time from a high of 336 days in 1995to only 171 days in 2002. The target value reflects a balance ofour desire to continue the trend of providing prompt service whilepreserving our ability to devote the necessary time and attentionto charges that present meritorious or complex claims and to remedydiscrimination where it is found. The goal of resolving 50% offederal sector hearings and 70% of federal sector appeals within180 days is ambitious, given that only 24% of hearings and 40% ofappeals were completed within 180 days in 2002. These target valuesreflect our commitment to bring about dramatic change in thefederal sector process. Our quality review measure is intended toensure that we do not complete our work quickly at the expense ofperforming our work well.

Our public confidence goal is an entirely new measurement area for EEOC.  An important indicator for determining our success as an agency is built upon the public's view of how effective we are in enforcing the employment discrimination statutes, regulations and Executive Orders for which we areresponsible. If the public is familiar with our enforcement effortsand believes that we have responsibly and effectively addressedworkplace discrimination, members of the public will be more likelyto come to us for assistance when they believe they have beensubjected to discrimination and will trust that we will capablyhandle their complaint. Additionally, if the agency's reputation isone of a fair and neutral enforcer of the civil rights employmentlaws, employers, attorneys and members of the general public willhave confidence in our impartial role as a law enforcementagency.

For the Promote and Expand Mediation/ADR element of theFive-Point Plan, our four measures focus on assessing theadvantages of mediation to the workplace environment, increasingparticipation in mediation in both the private and federal sectors,and maintaining a high level of confidence in the EEOC's mediationprogram. The goal to assess the advantages of mediation to theworkplace environment is intended to demonstrate and document the benefits ofmediation, such as reducing unnecessary costs and conflicts,fostering amicable working relationships, and enhancing employeesatisfaction and productivity. This goal is a new way of measuringthe success of our mediation program.

A study of the EEOC's mediation program has shown that theparticipants in EEOC's private sector mediation program haveindicated a high level of satisfaction in the process, regardlessof the outcome of their disputes. Through a program evaluation toassess our achievement of this goal, we will build upon paststudies and document the many positive contributions that mediationbrings to the workplace. The goals of increasing participation inprivate sector mediation and maintaining a high level of confidencein the EEOC's mediation program are intended to bring about thetypes of positive changes to the workplace described above. Inaddition to contributing to a more positive and productive workingenvironment, all of these measures will demonstrate that privatesector mediation is a powerful tool for increasing the publicconfidence in the fair and prompt resolution of employmentdiscrimination disputes.

The federal sector ADR measure is expected to increase ADRparticipation in the pre-complaint stage of the EEO complaintprocess to 50% or higher to reduce the number of EEO matters thatresult in formal EEO complaints. For example, in fiscal year 2002,there were 55,441 EEO matters raised during the pre-complaint,informal process; either with an agency EEO Counselor or an ADRIntake Officer. In 12,800 or 23% of them, individuals agreed toparticipate in the ADR process during the pre-complaint stage. Byincreasing the ADR participation rate, it is expected that therewill be a decrease in the number of formal complaints filed. Thisshould result in reduced costs for the federal agencies and EEOC,as well as provide faster resolutions to the issues raised at thisstage.

Fiscal year 2001 and 2002 data reveals that the percentage offormal complaints has been decreasing. For example, in fiscal year2001, there were 47,658 EEO matters raised at the pre-complaintstage, and 23,301 (48.8%) formal EEO complaints were filed. Infiscal year 2002, however, there were 55,441 EEO matters raised inthe pre-complaint stage, but only 21,945 (39.6%) formal EEOcomplaints were filed. As successful ADR programs are adopted andcost savings achieved, agencies will be able to shift valuableresources to proactive prevention activities that are aimed atresolving conflict in the workplace at an earlier stage to createmore productive and efficient workplaces.

For the Strategic Enforcement and Litigation element of theEEOC's Five-Point Plan, our four measures focus on improvingworkplace policies, practices and procedures, improving workingconditions in a broad array of workplaces, and maximizing theimpact of our litigation program. Success in all four measures willlead to the outcome of remedying and deterring unlawful employmentdiscrimination. The goal of improving workplace policies, practicesand procedures both through private sector resolutions and throughthe federal sector program evaluations and technical assistance isanother new and important way by which we will measure programresults. We must therefore obtain baseline data to assess thecurrent impact of our activities in this area before we can set atarget for the results we expect to achieve.

The goal of improving the working conditions in affectedworkplaces through high impact litigation and publicity efforts isintended to assess the positive change not only at the workplacewhere discrimination has occurred, but also the ripple effect ofpositive change within a geographic community, an industry, or evenamong the employer community generally. The agency will identifyspecific cases, when filed or resolved, that are expected to have abroader impact because of the precedent-setting scope or issuesinvolved. These types of cases are noted by the legal community ofemployee and employer representatives and constituency groups,because they are expected to have a significant impact on theworkplace. The EEOC wants to find ways to measure the impact thatresults from these types of cases. This measure is entirely new forthe EEOC, and will require a program evaluation to assess.

The goal of maintaining a 90% rate for successfuly resolving ourlawsuits aids in deterring and remedying discrimination in theworkplace. A study of the litigation program from 1997 to 2001 demonstrated our ability to maintain this level of success.  As defined in the study and for this measure, successful resolutions include cases decided byfavorable court order and those concluded through a consent decreeor a settlement agreement in litigation. This target value ensures that we will continue toexercise our prosecutorial discretion responsibly, while allowingus to take on emerging issues and trends. The target value for thismeasure represents a nationwide average over the six-year period ofthe plan.

#### Means and Strategies

*Proficient Resolution*

- Ensure that the private sector charge process and the federalsector complaint process, including ADR, are fair, equitable andefficient; in particular, the quality, timeliness and impartialityof the work.
- Collaborate with stakeholders, academia, and the public toensure open communication and feedback; to identify trends andstrategies for improving private sector and federal sectorprocesses; and to have a meaningful impact on addressingdiscriminatory employment policies and procedures.
- Collaborate with other federal agencies and Fair EmploymentPractices Agencies (FEPAs) on cross-cutting civil rightsenforcement issues and to identify and address emerging workplaceissues and developing charge/complaint trends.
- Partner with FEPAs to explore innovative methods for assessingquality and timeliness performance measures for the future.
- Implement integrated information systems nationwide to trackand improve the full life-cycle of private and federal sectorenforcement activities, and expand to FEPAs and otherpartners.
- Provide EEOC employees with the appropriate tools and training,such as web-based and other technologies, to enhance thetimeliness, validity and reliability of our enforcement processesand data systems in the private and federal sectors.
- Conduct surveys to establish base-line information on publicconfidence in the agency's enforcement role.
- Enhance the quality of the agency's charge process.
- Make an early assessment of the federal sector appellateinventory and prioritize cases for expeditious processing.
- Expand the utilization of new technologies to issue hearingsand appellate decisions more efficiently and timely; including theelectronic transfer of federal agencies' files to EEOCadministrative judges and appellate attorneys, and the use ofcomputerized decision-templates to expedite processing.

*Promote and Expand Mediation/ADR*

- Promote the advantages of mediation/ADR programs and expandtheir use in the private and federal sector processes.
- Enhance public confidence in the fairness, neutrality andconfidentiality of the agency's mediation programs for resolvingprivate sector and federal sector employment discriminationdisputes.
- Gather information from participants in mediation/ADR onvarious aspects of improvements made in the workplace as a resultof the mediation effort.
- Partner with federal agencies to identify best practices anddevelop assessment tools to assist agencies to initiate or improvea meditation/ADR program.
- Provide training modules to improve the quality andeffectiveness of federal agencies' mediation/ADR programs.

*Strategic Enforcement and Litigation*

- Promote the coordination of the agency's policy, enforcementand litigation functions to identify emerging issues, developinvestigative strategies, and obtain remedies to protect the publicinterest.
- Coordinate between enforcement and legal staff in all phases ofthe investigative process to ensure the appropriate identificationof issues, investigation strategy and remedies.
- Ensure the full exchange of information and resources amongoffices to enhance the conduct of litigation.
- Expand the use of litigation software in field offices.
- Contribute to the development of the law through litigation,amicus briefs, regulations and policy guidance.
- Publicize significant, high impact case settlements, courtdecisions and other enforcement activities to business and employercommunities and employee stakeholder groups, particularly insimilar or related industries; and develop methodologies to measureany resulting changes in workplace status of affected groups and/orimprovements in workplace policies or procedures in affectedemployers.
- Secure resolutions that avoid future instances ofdiscrimination, where instances of discrimination areidentified.
- Develop strategies for obtaining baseline information on thenumber of policies and procedures employers improve as a result ofEEOC enforcement and litigation actions.
- Conduct targeted evaluations of federal agency programs tofocus on equal employment opportunity (EEO) program deficiencies.EEOC's evaluations and recommendations of particular federalagencies' EEO programs may include its counseling and complaintsprocessing programs, reasonable accommodation procedures, andaffirmative employment programs mandated by Section 717 of TitleVII and Section 501 of the Rehabilitation Act, among others. Also,EEOC will assist and monitor federal agencies' efforts to implementrecommendations.
- Determine, using EEO program studies, whether federal agenciesimplement the programs in a manner consistent with relevantstatutes and regulatory EEO guidelines, and provide recommendationsbased on the studies to improve federal agencies' ability toimplement and maintain efficient and effective EEO practices andprograms.
- Survey federal agency leadership to assess how EEOC'sevaluations enable agencies to improve their EEO programs.

#### Relationship Between Strategic Plan andAnnual Performance Plan Measures

The EEOC's Annual Performance Plans for FY 2004 - 2009 willcontain performance indicators for measuring progress in meetingtargets set in the Strategic Plan and will schedule programevaluations for those measures which are not directly quantifiable.Some of these measures will require the EEOC to develop surveytools that will allow the agency to collect data from externalgroups, and others will depend on analyzing internal data in newways. We will establish targets in the Annual Performance Plans onthe preferred rate of change each year over the six-year period ofthe agency's Strategic Plan.

#### Management Challenges

- The EEOC is developing and deploying a new Integrated MissionSystem (IMS) designed to collect and maintain data in support ofour charge/complaint enforcement programs. This system will replacethe legacy Charge Data System currently used by both the EEOC andour state and local government FEPA partners. Because we mustmaintain data integration and consistency between the new and oldsystems during the transition period, it will be a challenge tooperate two systems simultaneously. The true value and relatedbenefits of the IMS will not be fully achieved until the legacy CDSsystem is retired.
- A significant number of EEOC employees will be eligible forretirement over the next several years. Our agency mustaggressively position itself to recruit, develop, and retain a high-qualityworkforce that possesses all the skills and abilities needed toenforce the law in an increasingly complex and global employmentsetting. Our agency's management structure will also requirechanges and adjustments to ensure effective management andoversight of this new workforce, while streamlining decision-makingto serve citizens more cost-effectively.
- The General Accounting Office (GAO) in its report entitled"Equal Employment Opportunity: Data Shortcomings Hinder Assessmentof Conflicts in the Federal Workplace, May 4, 1999," raisedconcerns that the EEOC did not collect relevant data from federalagencies in a manner that would permit an examination of workplaceconflict alleged in discrimination complaints. The EEOC tookimmediate steps to address the GAO's concerns by modifying thefiscal year 2000 form used to collect better data. In fiscal year2001, the Commission designed, developed and tested a web-baseddata collection system that incorporated edit checks to increasedata validation by agencies prior to and after submission. Infiscal year 2002, the EEOC successfully completed the first year ofinternet/web-based data collection for the federal sector's fiscalyear 2001data. In the future, the EEOC will coordinate with allappropriate agencies and examine the feasibility of developing adata collection system that would receive extracts of data fromindividual EEO complaint records at agencies.

#### Cross-Cutting Programs

- The EEOC will strengthen its partnership with the Office ofSpecial Counsel (OSC). In particular, we will refer federal sectorcases involving non-compliance with our appellate orders and/oracts of egregious discrimination to OSC for the Special Counsel'sreview and possible action pursuant to a Memorandum ofUnderstanding between EEOC and OSC.
- Through collaborative efforts with other federal agencies, theEEOC provides federal sector mediation services to federalagencies, which allows them to comply with EEOC regulationsrequiring all agencies to establish or make available analternative dispute resolution program.
- The EEOC is working in partnership with the U.S. Department ofJustice, Civil Rights Division, the U.S. Department of Labor andother federal agencies on The Worker Exploitation Task Force. Thisinteragency partnership is designed to promote the sharing ofinformation and resources for the enforcement of laws againstemployers who are involved in the trafficking, abuse andexploitation of workers who are typically very vulnerable becausethey are of foreign national origin and unfamiliar with U.S. lawswhich afford them protections in the workplace.

### STRATEGIC OBJECTIVE 2: INCLUSIVEWORKPLACE

**Strengthen America's workplace by preventingdiscrimination and promoting workplace policies and practices thatfoster an inclusive work culture.**

At EEOC, we believe that the best way to combat workplacediscrimination is to prevent it from happening in the first place.Educating employers and workers about their rights andresponsibilities under the law is the first step toward aninclusive work culture – where all workers are judged ontheir talents and abilities, without regard to race, ethnicity,color, religion, sex, age or disability.

Americans spend a great deal of time at work and our attitudescan be significantly shaped by what goes on there. Employmentdiscrimination often stems from attitudinal barriers such asprejudice, stereotyping, and misunderstanding, as well as lack ofknowledge of the law. By fostering a work culture that embracesequality of opportunity, we can set the right framework forchanging attitudes and creating better workplaces.

A strong prevention program helps employers comply with the law,and breaks down barriers to employment opportunities. Throughoutreach and education, the EEOC seeks to prevent unlawfulexclusionary practices from taking root at all. Through new andinnovative proactive approaches, we will direct the nation towardsound workplace practices that foster a level playing field andallow the best talent to emerge. In addition, through clear andfair interpretation of the law and responsiveness to emergingissues and trends, we will forge a strong national civil rightspolicy and contribute to better workplace policies and practicesand a greater understanding of rights and responsibilities.Encouraging inclusive, equal opportunity workplaces is a powerfulprevention strategy.

The EEOC recognizes that many employers and employees today arecommitted to equal employment principles. Prevention strategiesshould seek to strengthen our shared responsibility forimplementing these principles and to extend this commitment to newgenerations. This is increasingly important as American societybecomes more diverse and new challenges to equal opportunityprinciples arise.

For our Inclusive Workplace Strategic Objective, we will striveto achieve increased voluntary compliance with the federal equalemployment laws, and increased individual awareness andunderstanding of rights and responsibilities. Our measures andstrategies are focused with these broad goals on one point of theEEOC's Five-Point Plan: Proactive Prevention.

**Outcomes Increase Voluntary Compliance with the Federal Equal EmploymentLaws Increase Individual Awareness and Understanding of Rights andResponsibilities**

#### Measures

| Proactive Prevention | 2.1.1                                                                                                                                                  | By FY 2009, [TBD]%* of private and federal sector employer representatives who participate in a major outreach initiative or training and technical assistance program, indicate an improvement in an employment policy, practice or procedure as a result of participation. |
|----------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| 2.1.2                | By FY 2009, increase to 50% the percentage of federal agenciesthat successfully implement the model EEO program attributesdescribed in EEOC guidance.  |
| 2.1.3                | By FY 2009, increase the percent of individuals demonstratingan awareness of their equal employment opportunity rights andresponsibilities by [TBD]%*. |

*[TBD]=[To Be Determined]

For the Proactive Prevention element of the EEOC's Five-PointPlan, our three measures focus on improving workplace policies, practices, andprocedures; increasing successful implementation of the model EEO program infederal agencies; and increasing individual awareness of rights andresponsibilities. Our goal to improve workplace policies, practices orprocedures as a result of major outreach initiatives, training and technical assistance is intended tomeasure the real world impact of our prevention efforts, andsignals a renewed emphasis on using prevention strategies to combatemployment discrimination. This goal is a new way for the EEOC tomeasure results of its outreach and technical assistance programs.Measuring these results will rely largely on conducting surveys ofindividuals and employers and tracking the efficacy of our effortsover the long run in the working environment. Because we lackbaseline data on the current impact of our activities in this area,we cannot set target values for these measures at this time. Oncethey are established we will publish them in our annual performanceplan. We believe that success in these measures will lead to theoutcomes–increasing voluntary compliance with the federalequal employment laws and increasing individual awareness andunderstanding of rights and responsibilities.

The goal to successfully implement the attributes of the ModelEEO Program in 50% of federal agencies is a new initiative for theEEOC. The Model provides a critical avenue for agencies to improvetheir workplaces and afford equal employment opportunity. We willissue guidance to assist agencies in achieving equality ofopportunity in the federal workplace and assist agencies to designand implement strategic programs that identify and eliminatebarriers to equal employment opportunity. By adopting theattributes of the Model EEO Program, agencies will be able toattract, develop, and retain top-quality employees and preventworkplace conflicts from rising in the first instance. Where theyarise, however, agencies with effective EEO and ADR programs willbe able to resolve matters at an early stage, particularly at thepre-complaint informal stage, and reduce the number of formal EEOcomplaints requiring investigation and adjudication. As a result,agencies will be able to shift resources from costlier EEOcomplaint adjudication activities to proactive prevention. As partof the Model, we will develop a scorecard covering selectedindicators that will help agencies measure their progress inestablishing the Model EEO Program.

#### Means and Strategies

- Expand and enhance the effectivenessof outreach, education and technical assistance programs andmaterials that meet the needs of diverse audiences by incorporatingnew and innovative programs and approaches, particularly theInternet or other technologies; by addressing rapidly changingdemographics; by reaching wider audiences; and by increasing accessto materials, especially in alternate languages and formats and byexpanding the use of EEOC's website.
- Expand and enhance outreach and education programs to reachstudents and educators to inform them about employmentdiscrimination issues and individual rights and responsibilitiesunder the law.
- Expand and enhance programs to recognize employers whoimplement new and innovative best workplace practices to eliminatediscriminatory barriers to employment opportunities.
- Partner/collaborate with the employer community, stakeholdersand academia to focus on the root causes of employmentdiscrimination. Conduct joint outreach programs designed to furtherdiscussion/ dialogue and foster prevention strategies that have animpact on the workplace.
- Explore the use of pilots and other techniques to assess impactof outreach programs.
- Develop partnerships with federal agencies, state and localFEPAs, and national and local organizations that represent bothworkers and employers to conduct outreach, education and technicalassistance activities; promote voluntary compliance; and increaseawareness and understanding of rights and responsibilities underthe law.
- Evaluate federal government EEO programs and provide clear andaccurate information to assist in compliance with the federalnon-discrimination laws.
- Provide information to our stakeholders that will help themidentify and solve problems before they escalate
- Promote clarity and consistency in rights and obligations underthe law, including areas of novel or emerging issues, throughamicus briefs, regulations, policy guidance, and otherinformational materials.
- Advance policy positions that address increasingly complexworkplace trends.
- Issue guidance for federal agencies describing essentialattributes of the Model EEO Program. Also, develop a "scorecard"process to promote, monitor and track improvements in managing anagency's EEO program. Develop an accountability index ofperformance indicators to monitor and assess agencies'effectiveness in implementing the attributes of a model EEOprogram. Utilize the index as a standard frame of reference fortracking and supporting efforts to improve agencies' EEO programmanagement. Also, utilize the index as both an oversight and agencyself-assessment tool; and work closely with agencies' leadership todevise customer-specific tools to assist agencies in makingimprovements.
- Collaborate with federal agencies' leadership to assess EEOprograms and tailor strategies and solutions to correct identifiedproblem areas, including providing customer-specific training toenhance EEO skills and competencies in an agency's workforce.

#### Relationship Between Strategic Plan andAnnual Performance Plan Measures

Because our measures for Proactive Prevention mark a majordeparture from past ways of measuring success in ths area, thefirst step in devising new annual performance measures will be toestablish baseline data to assess our current efforts in theseareas. We will use customer surveys as a primary tool to collectdata improvements in the workplace as a result of participation in EEOC's outreach, training and/or technicalassistance programs. In the federalsector, we will establish a baseline depicting the total number ofagencies with EEO programs that already meet established criteriafor a model program, and we will include performance indicators inAnnual Performance Plans which measure EEOC's progress inincreasing the number of agencies who implement the model programcriteria from one year to the next.

#### Management Challenges

America faces extraordinary human capital challenges in thedecades ahead. Identified means and strategies foster workplacepolicies and practices that make the most effective and efficientuse of human capital through open and free workplace competition.While these proactive approaches fall within our statutory chargeand mission, increased emphasis on them will present new managementchallenges for the agency.

- Historically, the EEOC's resources primarily have been devotedto reactive, charge-driven approaches to combating discrimination.Because many of our strategies to support this objective differsignificantly from earlier iterations of agency goals andobjectives, aligning our human capital and other agency resourcesto support this strategic objective will be critical to itsachievement and will present challenges to the various adjustmentsneeded in the agency's workforce.
- Many of the strategies discussed in this section require theEEOC to develop effective partnerships and alliances with privatesector organizations and institutions. The success of suchinitiatives will depend on how well the EEOC addresses thechallenge of being able to foster an atmosphere of collaborationand trust with these organizations. This endeavor will requireefforts to redefine private sector perceptions of our agency, whichtraditionally has been better known for enforcement and litigationactivities than for proactive partnerships.
- Some stakeholders may view some of our proactive strategies asa departure from our enforcement role. Although these effortscomplement our enforcement activities through the development ofnew and innovative strategies designed to level the playing fieldfor all workers, our challenge will be to openly and effectivelyaddress any such concerns and to build widespread support for suchinitiatives among all of our stakeholders.
- With the American workplace undergoing tremendous social,demographic, economic and technological change, the EEOC's abilityto keep pace with emerging workplace trends and issues will requirea sustained, unprecedented level of coordination among the EEOC andprivate and public sector stakeholders.

#### Cross-Cutting Programs

The EEOC seeks opportunities to partner with a wide variety offederal agencies to achieve our objective. Below we present aselection of partnerships targeted to achieve our aims.

- Coordination with the U.S. Department of Justice and theNational Council on Disability (NCD) to promote the employment ofindividuals with disabilities through the New FreedomInitiative.
- Memorandum of Understanding with Department of Justice, Officeof Special Counsel for Immigration Related Unfair EmploymentPractices, provides for referral of certain charges and supportscoordinated outreach and education.
- Local coordination with the Department of Labor, Wage and HourDivision and the Occupational Safety and Health Administration, andthe Office of Federal Contract Compliance Programs, and theDepartment of Justice Civil Rights Division, to deliver outreachand education.
- Under the EEOC's "Justice and Equality" project, selected EEOCfield offices work in partnership with the Office of SpecialCounsel (OSC); Department of Labor, the Wage and Hour Division;Department of Homeland Security (formerly with the Immigration andNaturalization Service); and Mexican and Latin American Consulatesto protect the employment rights of immigrants. The programeducates both employers and immigrant workers on their rights andobligations under the equal employment laws. With EEOC as afounding partner of the project, the consortium also includes localgovernment officials and community groups.

### STRATEGIC OBJECTIVE 3: ORGANIZATIONALEXCELLENCE

**Establish an organizational infrastructure that will setand implement the highest quality standards for equal opportunity,customer service, internal efficiency and fiscalresponsibility.**

#### Our Management Vision

Become the world's preeminent civil rights employment law agencyand serve as the standard bearer for excellence in outreach,enforcement and professionalism.

#### Our Core Values

**E**xcellence in our service to the public throughprofessionalism, diligence, and dedication.

**E**mpowerment of our employees throughdevelopment, recognition, respect, access, and inclusion.

**O**wnershipof our performance through results,accountability, and quality work.

**C**ommitment to our mission through integrity,leadership and team work.

Our goal for the Organizational Excellence Strategic Objectiveis to ensure that the principles and standards we promote arereadily apparent in our own operations. We will achieve this goaland implement the final element of the Five-Point Plan, EEOC as aModel Workplace, through occupational and leadership development,performance management programs, the use of enabling technologies,and a flexible and adaptable work environment that is conducive toteamwork. To achieve our aims, we must build an organizationcommitted to providing opportunities for EEOC employees to growprofessionally. To be a model workplace, we will build programs andpractices worthy of emulation.

The President's Management Agenda (PMA) provides the roadmap forthis final element of the Five-Point Plan. The PMA addressesimportant enhancements to internal agency operations and itsinterface with the public. The integration of our Five-Point Planand other Administration and agency initiatives will help build amodel workplace where we can effectively and efficiently accomplishtwo broad outcomes in an environment conducive to good employmentpractices: improve organizational performance and efficiency, andinstill a climate of respect, service and responsiveness.

**Outcomes Improve Organizational Performance and Efficiency Instill a Climate of Respect, Service andResponsiveness**

#### Measures

| EEOC as a Model Workplace | 3.1.1                                                                                                                                                                                                                                       | By FY 2009, customers rate their confidence in EEOC's servicesat [TBD]%*  or higher. |
|---------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------|
| 3.1.2                     | By FY 2009, EEOC will meet or exceed OPM's standards for demonstratingprogress towards success in managing and developing humancapital.                                                                                                     |
| 3.1.3                     | By FY 2009, EEOC employees will rate their satisfaction in thearea of human capital management at or above the overall averagerating of all federal employees collected by the Office ofPersonnel Management in its Government-wide Survey. |
| 3.1.4                     | EEOC will receive an "unqualified" financial audit opinion eachyear from FY 2004 – FY 2009.                                                                                                                                           |
| 3.1.5                     | By 2006, successfully implement the federal sector Model EEOprogram.                                                                                                                                                                        |
| 3.1.6                     | By 2009, reduce the average time to process internal EEOcomplaints by at least 40%.                                                                                                                                                         |
| 3.1.7                     | The percentage of EEOC employees reporting a willingness toparticipate again in EEOC's internal EEO/conflict resolutionmediation program, RESOLVE, will be 80% by FY 2009.                                                                  |
| 3.1.8                     | By FY 2009, EEOC will maintain in electronic format 95% of thekey documents necessary in active charge/case-related enforcement/litigation files.                                                                                           |

*[TBD]=[To Be Determined]

For the EEOC as a Model Workplace element of the EEOC'sFive-Point Plan, our measures reflect a wide variety of tools toimprove the organizational efficiency of the agency and instill aclimate of respect, service and responsiveness. Many of thesemeasures–assessing customer confidence in the EEOC'sservices, achieving high standards in human capital management,demonstrating sound financial practices, and using technology tomaintain important documents–are intended to carry out thePresident's Management Agenda, and further the agency's goal ofbecoming a model workplace.

Our customer confidence measure allows us to assess our staffprofessionalism, operations, and service delivery with thoseindividuals and employers who interact with our agency. Based oninformation secured through this measure, the agency is committedto identifying ways to streamline and continuously improve toachieve excellence in customer service.

Managing human capital is one of the key initiatives of thePresident' Management Agenda. This initiative recognizes thatagency success depends on the effective management of people. Beingfully successful at this involves having a people strategy alignedwith the EEOC's mission; maintaining a diverse, citizen-centered,and results-oriented workforce; and ensuring that employees acquireand maintain mission-critical skills. The Office of PersonnelManagement (OPM) has developed a scorecard by which agencies canevaluate their progress towards implementing a successful approachfor managing and developing human capital. Some of those measuresinvolve asking employees directly about their understanding of howthe agency's human capital strategies are intended to work,knowledge of the agency's work and competency in mission criticaloccupations, effectiveness of supervisory and reward practices,motivation and morale concerns, and commitment to the agency'smission. This information, collected in government-wide surveysconducted by OPM, provides a benchmark for how well the federalworkforce is being managed. EEOC aims to meet and then exceed thatbenchmark.

Another important component of the President's Management Agendais financial management. Under the Taxpayer Accountability Act, theEEOC is required to produce annual financial statements. Thesestatements are audited by an independent accounting firm for theOffice of the Inspector General. An unqualified report from theauditor provides assurance that the EEOC is meeting applicableaccounting standards.

The Government Paperwork Elimination Act (GPEA) and thePresident's Management Agenda, e-Government Initiative, require theconversion of paper-based documents to electronic format so thatthe management of the documents, such as their storage, retrieval,and archival, can be achieved electronically on an enterprisebasis. Electronic management and maintenance of our charge andcase-related documents will improve our service to customers andinternal work efficiency. Specifically, the conversion of paper toelectronic files will enable on-line transactions with the publicand employers, reduce paperwork processing and burden, improveinternal information sharing and dissemination, streamline workprocesses, and provide disaster recovery for our vital missionrecords.

Other measures – ensuring that our own EEO program servesas a model for other federal agencies and ensuring a high level ofconfidence in our internal conflict resolution program, RESOLVE– demonstrate the EEOC's commitment to be at the vanguard ofestablishing fair and inclusive work environments. These measuresgo beyond the PMA and demonstrate our commitment to ensuring a fairand inclusive workplace for our own employees. To measure employeeconfidence level in our internal conflict resolution program,RESOLVE, the EEOC first must establish baseline data to assesswhere we are and to set targets for where we would like to be.

#### Means and Strategies

- Align EEOC's human capital strategy with the agency's mission,goals, and organizational objectives and integrate the strategyinto its Strategic Plan, performance plans and budgets.
- Ensure that EEOC leaders and management effectively managepeople, maintain a continuity of leadership, and sustain a learningenvironment that drives continuous improvement in performance.
- Ensure a diverse, results-oriented, high performance workforce,and have a performance management system that effectivelydifferentiates between high and low performance, and linksindividual/team/unit performance to organizational goals anddesired results.
- Guide EEOC's human capital decisions using a data-driven,results-oriented planning and accountability system.
- Implement a survey of EEOC employees to identify their level ofsatisfaction with human capital management in the agency.
- Determine the most effective and efficient manner to conductbusiness by using the agency's competitive sourcing plan toidentify areas for potential public-private competition and comparecompetitive sourcing alternatives with normal operationalcosts.
- Implement plans to streamline decision-making layers so thatthe agency can better serve the public; take maximum advantage oftechnology; continue to improve the strategic use of human capital;and respond readily to 21st century workplace issues.
- Demonstrate financial integrity and accountability by achievingand maintaining an unqualified clean audit opinion.
- Establish EEOC's internal ADR Program , RESOLVE, as a model forother federal agencies.
- Implement essential elements of a model EEO program.
- Create a paperless office environment that promotes electronicaccess, document search capability, and enhanced collaboration;streamlines work processes; reduces paperwork burden; and providesfor electronic document storage and recovery.
- Expand electronic access to services and improve efficiency andcustomer service by providing the public and EEOC partners with themeans to submit or access information on-line.
- Safeguard the EEOC's information resources and ensure thereliability, availability, confidentiality, and integrity of theagency's data.

#### Relationship Between Strategic Plan andAnnual Performance Plan Measures

The EEOC's Office of Inspector General (OIG) has developed aninternal score card to assess the agency's progress in successfullyimplementing the President's Management Agenda items. We willinclude the results of the OIG's annual evaluation of agencyprogress toward fully implementing the PMAs in the agency's AnnualPerformance Report.

Performance indicators will be included in the agency's AnnualPerformance Plans to target annual progress expected for themeasures included in this Strategic Objective; for example,customer satisfaction, human capital, e-government and the agency'sRESOLVE program.

#### Management Challenges

- The EEOC must take advantage of technology advances to improvecustomer service, make efficient use of agency resources, andmeasure program performance. Inherent in this approach is the needto conduct business differently as we move toward greaterinteraction with our customers and the transformation of ourbusiness processes though increased automation. EEOC is currently apaper-intensive organization. Moving toward a paperless environmentwill require a major change in the agency's culture, employees'comfort level, and management's decision making process.
- As part of an overall human capital plan, the agency will bechallenged by the ability to provide the incentives required toattract and retain a cadre of employees with the financial andanalytical skills needed to work in a changed organization.

#### Cross-Cutting Programs

- The EEOC is an active participant in several cross-agencyE-Government initiatives, including the GoLearn E-Traininginitiative, E-Authentication, E-Rulemaking and E-Records. The EEOCwill continue to work with the managing partner of this initiative,the General Services Administration (GSA), and other partners inthe initiative in an effort to share government resources, ensurecompatibility, benefit from others' experiences, provide one-stopservice offerings, and increase customer satisfaction.

### EXTERNAL FACTORS AFFECTING THE STRATEGICOBJECTIVES

Below is a list of key factors, external to the agency, thatcould significantly affect the achievement of EEOC's strategicobjectives, strategies and outcomes. These factors provide insighton presumptions used when defining agency goals.

*Social Factors*

The changing and increasingly complex nature of theemployee/employer relationship - including the growing use ofindependent contractors, contingent work relationships, flexiblework schedules and telecommuting arrangements - will havesignificant implications for EEOC with respect to our enforcementactivities and may pose new challenges to the successfulimplementation of the proactive strategies discussed in thisStrategic Plan.

The ability of the EEOC to increase access to job opportunitiesfor workers with disabilities is in part dependent upon the successof federal, state and local initiatives – including thePresident's New Freedom Initiative – designed to increaseaccess to public accommodations, transportation,telecommunications, education and housing.

Access to technology and educational opportunities plays asignificant role in the representation of certain protected groupsin the available labor pool for specific industries.

*Economic Factors*

Most of the EEOC's enforcement activities have been based on complaints of employment discrimination.While the EEOC can use trend analyses and other predictors to tryto anticipate trends, broad economic changes (as well as otherforces, such as social and demographic changes) will determine inlarge part the types and volume of complaints to which the agency willneed to direct resources.

The success of EEOC's proactive prevention efforts will rest inpart with industry leaders who exercise full control over workplacepolicies and practices and how they are implemented. In times ofrecession or economic downturn there may be less willingness toimplement policy changes or to invest in human resource relatedfunctions.

The globalization of markets and the emergence of transnationalcorporations – with the inevitable infusion of differingcultural norms and practices – may alter the challenges thatEEOC faces in proactively influencing workplace practices.

*Demographic Factors*

It is projected that profound changes in the characteristics ofthe U.S. population will occur in the coming decade because thepopulation is growing older and more diverse. As the babyboom-generation ages, that share of the labor force aged 55 orolder, who made up 13 percent of the labor force in 2000, isprojected to increase to 20 percent by 2020. At the same time, thegrowth of the labor force is expected to slow considerably by 2050only increasing at a rate of 0.6 percent annually between 2000 and2050.3

The changing ethnic mix in the population will introduce newchallenges, such as language barriers and different cultural norms,to achieving our objectives.

*Technology Factors*

The growth of the Internet has been remarkable. According to onesurvey conducted by the Council for Excellence in Government, thedigital revolution has already begun to significantly change theway that government does business. Americans believe thate-government will mean better government. Related to this is theexpectation of 24/7 service availability, electronic transmissionof information, a more informed and empowered citizenry, and a moreaccountable government.4

**Political Factors**

The agency has had a long-standing relationship with state andlocal government Fair Employment Practices Agencies (FEPAs) whichis promoted and encouraged through the annual appropriation offunds to EEOC to support FEPA charge processing activities.Additionally, coordination issues will continue to drive theFEPA/EEOC relationship with respect to enforcement, technologyenhancements, and other partnership or collaborative efforts thatcan influence the overall enforcement of civil rights inAmerica.

Changes in EEO programs at federal agencies may change thenumber of EEO complaints filed, thereby affecting the number ofhearings and appeals requested at the Commission.

*Legal Factors*

As history has demonstrated, there is the possibility that theEEOC may be required to assume additional responsibilities underemployment discrimination laws, regulations or executiveorders.

Court decisions may affect how we enforce civil rights laws.

3Toossi, Mitra, Office ofOccupational Statistics and Employment Projections (Bureau of LaborStatistics). (2002, May). "A Century of Change: the U.S. Laborforce 1950 - 2050." Retrieved July 17, 2003 from the BLS Website:http://www.bls.gov

4The Council for Excellence inGovernment. (2000, September). "e-Government: The Next AmericanRevolution." 20. Retrieved July 16, 2003 from Council forExcellence in Government Website: http://excelgov.org

### SCHEDULE OF FUTURE PROGRAMEVALUATIONS

Program evaluation is an important component of an agency'seffort to assure that a program is operating as intended; isachieving results; and the policies, procedures and processes areoperating effectively and efficiently. A program evaluation is athorough examination of the identified area; using a rigorousmethodology and statistical and analytical tools. It also usesexpertise within and outside the program under review to enhancethe analytical perspectives and add credence to the evaluation andrecommendations.

At this time, we have scheduled three program evaluations thatfocus on key aspects of our Strategic Objectives included in thisStrategic Plan: our private sector mediation programs; theadministrative processing of our private sector charges; and ourfederal sector mediation programs. During FY 2004, we willestablish procedures for conducting program evaluations and preparefor the assessment of our private sector mediation program. Insubsequent years, we will evaluate the procedures we use toprioritize private sector charges and assess our federal sectormediation programs.

These evaluations will inform our efforts in these areas andenable us to make critical adjustments to enhance the effectivenessand efficiency of these programs. Also, we will be able to reviewour measures and refine them, if necessary. We will also review theneed for other program evaluations, particularly for areas in whichwe are developing baseline information before identifyingperformance targets to achieve in the future.

| Program Evaluation Title                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  | Statement of Parameters of the ProgramEvaluation | Expected FY Initiate and Complete |
|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------|-----------------------------------|
| The evaluation will assess EEOC's private sector mediationprogram by examining how the overall program and differentimplementation strategies have achieved resolutions, economicsavings, enhanced customer service, and work place improvements inareas such as morale, productivity and motivation. The evaluationwill explore the quantification of the economic benefits attainedby using EEOC's mediation/ADR program and the benefits of usingalternative implementation approaches in the program. | FY2005                                           |
| The evaluation will examine and evaluate the quality,timeliness and other relevant characteristics of the private sectorcharge process to identify key methods for maintaining high qualityinvestigations, areas to enhance the process, and the efficacy ofprocedures used.                                                                                                                                                                                                                              | FY2006                                           |
| The evaluation will assess the range of mediation/ADR programsused to resolve federal sector complaints. It will reviewhistorical results achieved, techniques employed, customer serviceattained, and other important criteria to measure the variousmediation approaches and compare advantages.                                                                                                                                                                                                        | FY2007                                           |
| The evaluation will identify specific high impact litigationthat occurred and discern how employers reacted. The expectation isthat a number of changed policies or procedures can be identifiedthat correlate to EEOC's litigation activity and monetary and otherbenefits can be estimated.                                                                                                                                                                                                             | FY2008                                           |
| The evaluation will identify specific activities conducted bythe EEOC with federal agencies that result in changed policies orprocedures. It will develop a methodology to estimate the resultsachieved from those changes.                                                                                                                                                                                                                                                                               | FY2009                                           |

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*This page was last modified on September 30, 2003.*

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