Fiscal Year 2020

Annual Report to Congress on the

Notification and Federal Employee

Antidiscrimination and

Retaliation Act of 2002

The United States Department of Transportation
	

Office of the Secretary
	

Departmental Office of Civil Rights
	

1200 New Jersey Avenue, SE
	

Washington, DC 20590
	

O: 202-366-4648
	
 

 

 

 

 

 

 

Table of Contents 
	

1. Purpose of Report ...................................................................................................................... 1
	

2. Background................................................................................................................................ 4
	

3. Results and Data ........................................................................................................................ 4
	

3.1 EEO Complaint Activity in Federal Court and Disposition.......................................................4
	

3.2 Reimbursements and Budget Adjustments...................................................................................5
	

3.3 Number of Employees Disciplined and Disciplinary Policy .....................................................5
	

3.4 Summary Federal Court Case Data ...............................................................................................6
	

Table 1: Summary of Federal Court Cases .........................................................................................6
	

3.5 Analysis of Complaints...................................................................................................................7
	

3.5.1. Trends and Analysis ...................................................................................................... 7
	

3.6 Findings of Discrimination.............................................................................................................7
	

4. Accomplishments, Training, and Awareness............................................................................. 8
	

5. No FEAR Act Training: Marked increase in training efforts .................................................. 12
	

6. Actions Planned, Taken, and Practical Knowledge Gained to Improve the Program .............. 12
	

6.1 Pursuant to Section 203(a)(7)(D), DOT Plans to Implement These Actions: .......................13
	

6.2 Practical Knowledge Gained ........................................................................................................13
	

Appendix A – Summary Data....................................................................................................... 14
	

Appendix B – EEO Data Posted Pursuant to the No FEAR Act .................................................. 17
	
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1. Background 

In 2002, Congress passed the Notification and Federal Employee Antidiscrimination and 

Retaliation Act of 2002 (No FEAR Act), Public Law 107-174, 5 U.S.C. § 2301, et seq., to hold 

Federal agencies financially accountable for violations of Federal antidiscrimination and 

whistleblower protection laws. Prior to the No FEAR Act, monetary judgments against Federal 

agencies were paid from the U.S. Department of Justice’s Judgment Fund. With the enactment 

of Section 201 of the No FEAR Act, Congress mandates that Federal agencies reimburse the 

Judgment Fund for all judgments, awards, and settlements paid to a complainant as the result of a 

violation of antidiscrimination or whistleblower protection laws. 

In addition, the No FEAR Act requires that agencies provide public notice of relevant statistics 

on agency websites, including the number of Federal court cases involving discrimination that 

were filed, pending, and resolved and other information on Equal Employment Opportunity 

(EEO) complaints. 

The No FEAR Act also requires each Federal agency to report annually to Congress on its 

complaints of discrimination, Federal court cases involving discrimination, and activities to 

prevent discrimination and retaliation. 

In doing so, Federal agencies report on: 

The number of Federal court cases, pending or resolved, arising under the 

antidiscrimination laws and authorities included in the No FEAR Act, and the status and 

disposition of the cases; 

Judgment Fund reimbursements, adjustments to agency budgets to meet reimbursement 

requirements, and the amount of reimbursement required for attorneys’ fees where such 

fees have been separately designated; 

The number and type of disciplinary actions related to discrimination, retaliation, or 

harassment; 

A detailed description of the agency’s policy for taking disciplinary actions against 

employees for conduct inconsistent with the antidiscrimination laws referenced by the 

No FEAR Act; 

Year-end summary data related to Federal sector EEO complaint activity; 

An analysis of the information provided in this report, including an examination of 

trends, causal analysis, practical knowledge gained, and actions planned or taken to 

improve compliance; and 

The agency’s plan to train employees on their rights under the No FEAR Act. 

Representatives from the Department of Transportation’s (DOT or the Department) Office of the 

Secretary, including the Departmental Office of Civil Rights (DOCR), the Departmental Office 

of Human Resource Management (DOHRM), and the Office of the Assistant Secretary for 

Administration assisted in the preparation of this report on anti-discrimination activities during 

FY 2020, in collaboration with DOT’s Operating Administrations (OAs): the Federal Aviation 

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Administration (FAA); the Federal Highway Administration (FHWA); the Federal Motor Carrier 

Safety Administration (FMCSA); the Federal Railroad Administration (FRA); the Federal 

Transit Administration (FTA); the Maritime Administration (MARAD); the National Highway 

Traffic Safety Administration (NHTSA); the Pipeline and Hazardous Materials Safety 

Administration (PHMSA); and the Great Lakes St. Lawrence Seaway Development Corporation 

(GLS). 

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Pursuant to statutory requirements, DOT provides the No FEAR Act annual report to the
	

following members of the 117th Congress: 

The Honorable Kamala Harris 

President of the Senate 

The Honorable Patrick Leahy 

President Pro Tempore of the Senate 

Chairman, Senate Committee on 

Appropriations 

The Honorable Richard Shelby 

Vice Chairman, Senate Committee on 

Appropriations 

The Honorable Sherrod Brown 

Chairman, Senate Committee on Banking, 

Housing, and Urban Affairs 

The Honorable Patrick J. Toomey 

Ranking Member, Senate Committee on 

Banking, Housing, and Urban Affairs 

The Honorable Maria Cantwell 

Chairman, Senate Committee on Commerce, 

Science, and Transportation 

The Honorable Roger Wicker 

Ranking Member, Senate Committee on 

Commerce, Science, and Transportation 

The Honorable Tom R. Carper 

Chairman, Senate Committee on Environment 

and Public Works 

The Honorable Shelley Moore Capito 

Ranking Member, Senate Committee on 

Environment and Public Works 

The Honorable Gary C. Peters 

Chairman, Senate Committee on Homeland 

Security and Governmental Affairs 

The Honorable Rob Portman 

Ranking Member, Senate Committee on 

Homeland Security and Governmental Affairs 

The Honorable Nancy Pelosi 

Speaker of the House of Representatives 

The Honorable Rosa L. DeLauro 

Chairwoman, House Committee on 

Appropriations 

The Honorable Kay Granger 

Ranking Member, House Committee on 

Appropriations 

The Honorable Frank J. Pallone, Jr. 

Chairman, House Committee on Energy and 

Commerce 

The Honorable Cathy McMorris Rodgers 

Ranking Member, House Committee on 

Energy and Commerce 

The Honorable Carolyn B. Maloney 

Chairwoman, House Committee on Oversight 

and Reform 

The Honorable James Comer 

Ranking Member, House Committee on 

Oversight and Reform 

The Honorable Eddie Bernice Johnson 

Chairwoman, House Committee on Science, 

Space, and Technology 

The Honorable Frank Lucas 

Ranking Member, House Committee on 

Science, Space, and Technology 

The Honorable Peter A. DeFazio 

Chairman, House Committee on 

Transportation and Infrastructure 

The Honorable Sam Graves 

Ranking Member, House Committee on 

Transportation and Infrastructure 

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Pursuant to statutory and regulatory requirements, DOT also provides this report to the following 

members of the Executive Branch: 

The Honorable Charlotte A. Burrows, Chair, U.S. Equal Employment Opportunity 

Commission 

The Honorable Merrick B. Garland, Attorney General, U.S. Department of Justice 

The Honorable Kathleen McGettigan, Acting Director, U.S. Office of Personnel 

Management 

2. DOT’s Mission 

DOT’s mission is to ensure our Nation has the safest, most efficient and modern 

transportation system in the world, which improves the quality of life for all American 

people and communities, from rural to urban, and increases the productivity and 

competitiveness of American workers and businesses. The U.S. Department of 

Transportation Strategic Plan for FY 2018-2022 emphasized DOT’s commitment to recruit, 

hire, and retain employees from all segments of American society, and to provide the training 

and professional development opportunities that they need to support DOT’s mission.1 As a 

part of that commitment, the Department has established policies and programs to lead as a 

model agency by proactively addressing and attempting to prevent discrimination, 

harassment, or retaliation in the workplace. 

3. Results and Data 

3.1 EEO Complaint Activity in Federal Court and Disposition 

FY 2020 Federal Court Case Volume Increased Slightly 

The total number of Federal court cases in FY 2020 (36) increased slightly from last year 

(32), but is generally consistent with the number of court cases from previous years. Since 

FY 2013, the number of court cases has been in the low-to mid-30s range, with only one year 

where the number of cases decreased. The number of pending cases also increased slightly, 

from 22 at the close of FY 2019 to 25 at the close of FY 2020. 

In FY 2020, the most frequently raised bases in Federal court cases were race (20) and sex 

(15). Almost half of the cases involved allegations of retaliation; there were 11 cases 

involving allegations of harassment, and 7 cases involving reasonable accommodation. 

The breakdown of allegations in the 25 cases pending in Federal court is: 2 

21 cases contained claims under Title VII (42 U.S.C. § 2000e-16); 

4 cases contained claims under the Age Discrimination in Employment Act (ADEA) 

of 1967 (29 U. S. C. §§ 631, 633 (a)); 

1 The Strategic Plan is available online at: https://www.transportation.gov/dot-strategic-plan. 2 More than one type of allegation can be made in a single case. 

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4 cases contained claims under the Rehabilitation Act of 1973 (Rehabilitation Act) 

(29 U.S.C. § 791); and, 

13 cases contained claims of retaliation. 

The breakdown of the Federal court cases that were resolved: 

8 cases concerned Title VII; 

2 cases concerned the ADEA; 

3 cases concerned the Rehabilitation Act; and, 

3 cases involved allegations of retaliation. 

In FY 2020, eleven cases were closed. Of those, the courts granted summary judgment in 

four cases, three of which were in favor of the Department, and one that was in favor of the 

plaintiff. The parties settled two cases. 

3.2 Reimbursements and Budget Adjustments in FY 2020 

DOT reimbursed a total of $282,000 for three Federal court cases. (See Table 1). This 

amount was based on two cases settled (one for $200,000, including attorney’s fees, and the 

other for $2,000) and on the court’s entry of summary judgment in favor of plaintiff ($80,000 

in attorney’s fees). 

3.3 Number of Employees Disciplined and Disciplinary Policy 

While several of DOT’s OAs have tables of penalties, Department-wide disciplinary policy is 

contained in the Secretarial Policy Statements, which state the Secretary’s commitment to 

establishing and maintaining a workplace free from discrimination, harassment, and/or 

retaliation. The Secretary advises employees regarding their rights and responsibilities. The 

Secretary also informs all DOT employees that they will be held accountable for any actions 

that are in violation of DOT policy on discrimination, harassment, and retaliation. The 

Secretary states specifically that employees will be subject to disciplinary action, up to and 

including dismissal, for engaging in discriminatory conduct. In addition, the Secretary 

expects everyone to comply with the requirements of the No FEAR Act, including protection 

of whistleblowers and prevention of retaliation. The Secretary, in the strongest terms 

possible, states that harassment will not be tolerated. 

DOT’s Secretarial Policy Statements are issued annually and are distributed to DOT 

employees via email, posted in common areas throughout DOT offices, and posted 

electronically on DOT’s public-facing website. In addition, due to the coronavirus disease 

2019 (COVID-19) pandemic, many OAs have established new policies to distribute the 

statements electronically through their specific intranet sites to allow wide dissemination to 

all employees, including those working exclusively from home. 

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In FY 2020, in enforcing the above policies, DOT disciplined a total of 10 employees, all 

based on harassment. Three employees were removed, three employees received a 

suspension, and four employees received a reprimand. 

3.4 Summary Federal Court Case Data 

Table 1: Summary of Federal Court Cases 

DOT FY 2020 No FEAR Act Annual Report required by Section 203 of the No FEAR 

Act and 5 C.F.R. Part 724) 

Total number of pending or resolved Federal court cases, 

arising under each of the respective provisions of law 

covered by 724.302 (a) (1) 

A. Cases Pending 25 

B. Cases Resolved 11 

The status or disposition of resolved cases 

Dismissed 5 

Settled 2 

Summary Judgment for the Agency 3 

Summary Judgment for the Complainant 1 

Withdrawn 0 

Award 0 

Total Resolved Cases 11 

Funds required to be reimbursed by DOT under Section 201 in connection with each 

case 

Title VII, Rehabilitation Act $100,000 

Title VII $2,000 

Attorney’s Fees $180,000 

Total Reimbursement $282,000 

Number of employees disciplined for discrimination, 

retaliation, harassment, or any other provision of the law 

referred: 

10 

The number of employees disciplined because of violating 

Departmental policy: 10 

Disciplinary Actions Taken: Four employees 

received reprimands, 

three employees 

received suspensions, 

and three employees 

were removed. 

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3.5 Analysis of Complaints 

From FY 2019 to FY 2020, DOT experienced a 9 percent increase in EEO complaints, and 

an 8 percent increase in the number of complainants. During FY 2020, 265 complainants 

filed a total of 273 EEO complaints with DOT. The ratio of complainants (265) to the total 

DOT permanent workforce (53,551) is 0.49 percent, which is lower than the most recently 

published government-wide average of 0.52 percent (per the Equal Employment Opportunity 

Commission (EEOC) Annual Report on the Federal Work Force Fiscal Year 2018, Table B1, https://www.eeoc.gov/federal/reports/tables.cfm). 

3.5.1. Trends and Analysis 

FY 2019-2020 EEO Complaint Numbers Increased; Complaints based on Reprisal, 

Age, and Disability Increased 

In FY 2020, the 9 percent increase in cases was based on reprisal, disability, and sex, the 

most frequently raised protected class. During that same period, there was an increase in 

complaints based on reprisal, age, national origin, and disability. The number of complaints 

based on race and sex, in contrast, stayed consistent from FY 2019 to FY 2020. In contrast, 

over that same period, complaints based on color decreased significantly (by 46 percent). 

The most frequently raised issue in FY 2020 complaints was harassment, which has been the 

case at the Department for the last five years. While the number of complaints based on 

disciplinary action and training decreased, DOT saw an increase in the number of complaints 

based on promotion/non-selection, evaluation/appraisal, reasonable accommodation, and pay. 

Some of these changes may be due to the change in work environment. From March 2020 

through the end of FY 2020, the Department was in either Phase 1 or Phase 2 of the 

Framework for DOT’s Return to Normal Operations, allowing many employees to remain on 

maximum telework status. 

3.6 Findings of Discrimination 

There were four findings of discrimination in FY 2020. The bases for discrimination in the 

findings were age, race, national origin, color, sex, disability, and reprisal. EEOC issued a 

finding of discrimination involving the denial of a reasonable accommodation. Three Final 

Agency Decisions were made on complaints containing allegations of harassment, two were 

also based on reassignment, and one was based on sexual harassment. 

This is consistent with the number of findings in previous years. There were five findings of 

discrimination rendered in FY 2018 and FY 2019. In FY 2019, the bases for discrimination 

in the findings were age, race, color, sex, disability, genetic information, and reprisal. The 

findings were issued for discrimination in non-selection, hostile work environment, and 

disclosure of medical information. 

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In FY 2018, the bases for discrimination in the findings were retaliation, sex, age, national 

origin, and race. The findings of discrimination were issued for disciplinary action, 

demotion, non-selection, training, terms and conditions of employment, and sexual 

harassment. 

4. Accomplishments, Training, and Awareness 

Accomplishments: Agency Efforts Focused on Proactive Prevention and Prompt Action 

to Address Discrimination and Harassment 

DOT focused on improving Departmental policies to promote safe and productive work 

environments. 

DOT efforts to engage employees and management on maintaining safe, productive, and 

inclusive work environments have contributed to the Department being recognized as the 

fifth best place to work among large government agencies, per the Partnership for Public 

Service’s 2019 Report. DOT’s Strategic Plan for 2018-2022, published in February 2018, 

prioritizes recruiting talent from all segments of American society, enhancing workforce 

development and training, and improving employee engagement overall. 

In FY 2020, the Department established its anti-harassment program. The program is 

designed to create a more positive, productive and safe work environment by addressing 

harassing behavior immediately. DOCR and DOHRM collaborated to oversee the 

development and implementation of this important program. Each OA developed and 

established anti-harassment program procedures, and designated an anti-harassment 

coordinator responsible for accepting, investigating, and completing a report on complaints 

of harassment, and ensuring implementation of appropriate and corrective action where there 

is a finding of harassing behavior. DOCR sponsored harassment investigations training for 

all anti-harassment program staff, and many OAs provided their anti-harassment teams with 

additional training as well. In addition, the OAs developed training on the program and are 

in the process of ensuring that all employees and managers are trained on their rights and 

responsibilities regarding the prevention and reporting of workplace harassment. 

DOT has fostered partnerships between civil rights offices and other offices throughout DOT 

to improve organizational culture and increase understanding of EEO principles. 

Throughout FY 2020, DOCR reviewed Departmental policies from a variety of OAs and 

OST offices to ensure that they included EEO, diversity, and accessibility. DOCR worked 

closely with a number of offices to provide additional information about EEO principles and 

the importance of ensuring that civil rights and transportation equity is embedded in all of the 

Department’s work. DOCR also partnered closely with DOHRM and OST’s HR office, and 

participated in HR working groups to share knowledge and ensure that EEO principles are 

integrated into the Department’s recruitment, hiring, and advancement efforts. This included 

collaboration on recruitment strategies, the anti-harassment program, and the development of 

new reasonable accommodation procedures. 

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DOCR also worked with DOHRM and the OAs to support a partnership between the Special 

Emphasis Program Managers and Employee Resource Groups. As a part of that 

collaboration, DOCR and DOHRM hosted meetings bi-monthly to identify goals and 

priorities for recruitment, hiring, and professional development efforts, to identify ways to 

support DOT’s Employee Resource Groups, and to discuss steps that the Department could 

take to improve the work environment and prevent discriminatory or harassing conduct. 

DOT established programs to proactively address EEO issues. 

DOT’s Center for Alternative Dispute Resolution (Center) provides mediation, facilitation, 

and conflict-coaching services designed to resolve disputes early and at the lowest level. The 

Center offers orientations on how to utilize the alternative dispute resolution (ADR) process, 

as well as ADR-related informational and skill-based training workshops, to provide 

employees, including managers and supervisors, with opportunities to learn in a diverse 

environment and to recognize ways to work productively and interactively to address 

challenging situations. The Center also offers mediation skills trainings to DOT employees, 

which both prepare DOT employees to participate in mediations as a collateral duty and 

teach critical communication skills that can improve their ability to address conflict in the 

workplace. 

FHWA has an active Diversity Management Committee in place to foster an inclusive 

organizational environment that provides equitable access to work experiences and 

developmental opportunities. This affords all FHWA employees the opportunity to realize 

their full potential, pursue their career goals, and maximize their contributions to the 

Agency’s mission and their service to the American people. In February 2020, the FHWA 

Committee partnered with their Offices of Civil Rights, Chief Counsel, and Human 

Resources to provide training on the anti-harassment program, EEO complaint process, and 

employee relations program. 

FMCSA focused on using mediation as a tool to resolve conflict in early stages of the EEO 

complaint process. As a part of this effort, FMCSA’s Office of Civil Rights collaborated 

with FMCSA’s Office of Chief Counsel, DOT’s Office of the General Counsel, DOCR, and 

the FMCSA Administrator to encourage the use of mediation and other resources, where 

appropriate, to resolve conflicts. 

FAA’s Office of Civil Rights continued its Conflict Coaching Program with the goal of 

providing a proactive alternative to the agency’s suite of ADR options. Conflict Coaching is 

a one-on-one process where a client works with a trained coach to explore options for 

handling a potential or current conflict. The program is open to managers, employees, or 

individuals involved in the informal EEO complaint process. Clients are encouraged by their 

coach to develop their conflict competencies in a proactive manner that will help them 

increase their confidence and effectiveness managing conflict for the instant issue and 

beyond. The sessions are voluntary and confidential. According to FAA’s surveys, 100 

percent of participants would recommend Conflict Coaching and use it again. 

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This proactive approach to conflict resolution offers a viable alternative to employees 

contemplating filing informal EEO complaints. The goal is to develop a program that will 

have a significant impact on reducing or eliminating discrimination in the future. 

Training: Agency-wide Focus on Harassing Behavior and on Leadership and 

Management Practices 

In FY 2020, DOT’s engagement with employees focused on basic communication skills and 

tools to prevent harassment and promote awareness of EEO programs. 

Throughout DOT, communications, harassment, and EEO training is delivered in-person, via 

instructor-led video teleconference, and through the employee learning management system, 

DOTLearns, Adobe Connect, and Aviation Training Network Broadcasts. 

DOCR and DOHRM, as well as individual OAs, offer resources and training sessions on 

appropriate workplace behavior and management skills. DOCR provided communication 

trainings to give DOT employees the skills to navigate challenging conversations and 

workplace conflicts. 

FHWA’s Office of Civil Rights developed and delivered a series of virtual EEO and 

reasonable accommodation training sessions to four state FHWA division offices, as well as 

the Office of Corporate Research, Technology, and Innovation Management, to ensure that 

employees were familiar with the EEO complaint and reasonable accommodation processes. 

FHWA plans to expand these sessions to cover all FHWA offices in FY 2021 and FY 2022. 

FMCSA’s Office of Civil Rights collaborated with the Director of the Department’s Center 

for ADR to conduct a 2-day training session for a FMCSA field office on improving 

communication between managers and staff. FMCSA is scheduled to present this training to 

additional offices in FY 2021. 

FAA offered a wide variety of training programs on EEO topics. 

FAA’s EEO Training Institute launched several new virtual trainings in FY 2020. FAA 

launched three new online micro-learning opportunities to prevent harassment in FAA: 

Harassment Prevention Made Simple, Managers – Sexual Harassment Prevention Made 

Simple, and Managers – Harassment Prevention Made Simple. In response to the COVID-19 

pandemic, the Institute launched a new instructor-led course on managing EEO 

responsibilities for returning to normal operations. The course discussed EEO 

responsibilities, including reasonable accommodations, communication techniques, and 

preventing workplace conflicts. 

FAA’s Office of Civil Rights also partnered with the Office of Aviation Safety (AVS) to 

provide EEO Diversity and Inclusion training to AVS managers and employees during the 

annual AVS EEO Training Week, which was held virtually in July 2020. Civil rights trainers 

provided courses on a variety of topics throughout the week, including harassment 

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prevention, reasonable accommodations, diversity and inclusion, preventing retaliation, 

social media and harassment, and management responsibilities. 

DOT created targeted trainings for managers and supervisors to proactively prevent EEO 

issues before they arise. 

DOCR hosted several training sessions for OST managers and leaders. After a review of 

DOT’s EEO complaint data, DOCR recognized that poor communication skills played a role 

in many EEO complaints, even those that did not rise to the level of unlawful discrimination 

or harassment. As a result, DOCR led trainings on general leadership skills, as well as 

executive communication. 

DOHRM offered dynamic executive coaching to General Schedule-15 managers and 

members of the Senior Executive Service to improve leadership performance and employee 

engagement. Civil rights compliance continues to be an essential component in manager and 

Senior Executive Service performance planning. 

FHWA’s Office of Human Resources Employee Relations team delivered a 2-day Employee 

Relations Bootcamp training course to managers, supervisors, and team leaders that 

highlighted areas such as prohibited personnel practices, EEO rights and responsibilities, the 

anti-harassment program, and reasonable accommodation procedures. During this course, 

the Office of Special Counsel also provided a presentation on prohibited personnel practices 

and whistleblower protections. 

In June 2020, FHWA’s Office of Civil Rights delivered a training series on both external and 

internal civil rights programs, including the anti-harassment program, EEO complaint 

process, and reasonable accommodation process, to FHWA Division and Deputy Division 

Administrators. 

Throughout FY 2020, GLS offered training programs to managers and supervisors on several 

topics, including the EEO complaint process, reasonable accommodation, civility and 

prevention of workplace harassment, negotiating workplace conflicts, and diversity and 

inclusion. In addition, over a 10-week period, GLS supervisors received tips on active 

listening skills, motivating employees, workplace productivity, employee retention strategies, 

and change management techniques. 

During FY 2020, MARAD sponsored three required management training sessions on 

inclusive leadership and effective communication. 

Awareness: Inclusion and Diversity Emphasized in Departmental Awareness Programs 

DOT increased employee awareness of EEO rights and responsibilities. 

DOT requires all new employees to receive a basic introduction to their rights and 

responsibilities under applicable civil rights laws. In FY 2020, DOCR updated the new 

employee training module on EEO rights and responsibilities, and included information 

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about the Department’s new anti-harassment Program. Many OAs, including FTA, NHTSA, 

PHMSA, FMCSA, FRA, and MARAD, participate in the DOT’s New Employee Orientation 

program, where No FEAR Act and EEO rights and responsibilities are discussed in detail. 

Several OAs also host their own new employee orientation sessions that include EEO 

information. 

DOT and OAs hosted special observance events to increase cultural awareness. 

Throughout FY 2020, DOT and the OAs led and participated in many special observance 

month events, commemorating National Disability Employment Awareness Month, African 

American History Month, Women’s History Month, Asian/Pacific American Heritage 

Month, and Hispanic Heritage Month. This included both Department-level events and OAlevel events, such as documentary film screenings, guest speakers, educational discussions, 

and professional development seminars. 

5. No FEAR Act Training 

Section 202 of the No FEAR Act requires Federal agencies to provide training for their 

employees on the rights and remedies under Federal antidiscrimination, retaliation, and 

whistleblower protection laws. Title 5 of CFR. § 724.203 requires agencies to develop a 

written training plan and to have trained their employees by December 17, 2006, and every 

two years thereafter. Under these regulations, new employees are to receive No FEAR Act 

training within 90 days of appointment. 

DOT requires the inclusion of electronic No FEAR Act training in each employee’s eLearning development plan. Including this training in the development plan with set 

deadlines helps ensure that new employees complete the training within 90 days of hire and 

that employees continue to take their No FEAR Act training within the required two-year 

cycle. 

In FY 2020, 74.4 percent of the 3,549 new DOT employees completed No FEAR Act 

training within 90 days of appointment. This is a slight decrease from the FY 2019 

completion rate of 75.5 percent. During FY 2020, there was a technical problem with DOT’s 

training platform, DOTLearns, and the No FEAR training was inadvertently removed from 

many new employees’ training plans; in the meantime, DOT is relaunching a new, up-to-date 

training that includes information on DOT’s new anti-harassment program. 

Some OAs implement additional measures to help ensure No FEAR Act training 

requirements are met. For example, NHTSA’s Office of Civil Rights conducts regular 

check-ins with staff to ensure that No FEAR Act training is completed. Completion rates and 

updates are provided to NHTSA leadership and management teams during meetings 

throughout the year to emphasize the importance of the training and to ensure all employees 

meet the training requirement. 

6. Actions Planned, Taken, and Practical Knowledge Gained to Improve the Program 

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6.1 Pursuant to Section 203(a)(7)(D), DOT Plans to Implement These Actions: 

Continue to conduct analyses on recruitment, on board, and/or outreach efforts, and 

identify triggers to understand the root causes of low participation of diverse groups in 

certain areas of the workforce. 

Strive to achieve a biennial goal of educating all employees of their rights and protections 

under antidiscrimination, retaliation, and whistleblower protection laws. 

Ensure that new employees receive No FEAR Act training within 90 days of their 

appointment through DOTLearns. Further, through the employee orientation program, 

continue providing new hires information regarding their rights and protections under 

anti-discrimination, retaliation, and whistleblower protection laws. 

Finalize an updated No FEAR Act training module to ensure that the training is timely, 

effective, informative, and accessible for all employees. 

Continue to innovate on adult-learning that expands the interdependency of leadership 

success with equity and access. 

Provide oversight to ensure that all OAs are implementing effective anti-harassment 

programs. 

Ensure that complainants and respondents are apprised of the opportunity for mediation 

and ADR throughout the informal and formal complaint process. This promotes early 

resolution of complaints, and saves resources and staff time. 

Improve partnerships across the Department to strategically address some of the frequent 

bases of EEO complaints. 

Collaborate with HR offices across the Department to ensure that recruitment, 

professional development, and accountability measures all incorporate the principles of 

equity and inclusion. 

Ensure that the anti-harassment program is utilized effectively to address workplace 

issues before they rise to the level of unlawful discrimination or harassment. 

Collaborate with veterans’ programs to increase hiring of veterans, including those with 

targeted disabilities. 

6.2 Practical Knowledge Gained 

DOT’s Office of the Secretary and the OAs play a vital role in meeting the reporting 

requirements of the No FEAR Act. As a result, to the extent resources allow, DOT will 

continue to work on the development of information systems that facilitate and automate 

the process of gathering and analyzing data so that it is accessible to everyone. 

The trend analyses inherent in No FEAR Act reporting is shared with all DOT offices to 

spur relevant action planning to address a range of issues, including potential barriers to 

employment and advancement of individuals from diverse backgrounds. 

13 
Appendix A – Summary Data

Table 2: Total Complaints Filed and Complainants Filing, FY 2015 to FY 2020 

2015 2016 2017 2018 2019 2020 

Number of Complaints Filed 348 294 266 271 250 273 

Number of Complainants 323 284 259 262 245 265 

Repeat Filers 8 10 7 9 6 6 

Table 3: Complaints by Basis, FY 2015 to FY 2020 

Basis 2015 2016 2017 2018 2019 2020 

Reprisal 199 161 158 161 138 153 

Disability 111 109 95 86 102 108 

Sex 130 120 115 138 106 105 

Race 158 102 100 107 100 98 

Age 128 109 96 102 86 98 

Table 4: Top Complaints Filed by Issue, FY 2015 to FY 2020 

Issue 2015 2016 2017 2018 2019 2020 

Harassment (Non-Sexual) 160 146 134 173 150 164 

Promotion/Non-Selection 87 71 61 79 70 84 

Assignment of Duties 23 14 29 47 52 52 

Evaluation/Appraisal 19 19 39 45 33 46 

Reasonable Accommodation 23 31 32 33 37 41 

Terms and Conditions of 

Employment 

10 6 31 37 32 34 

Pay (including Overtime) 10 13 14 26 18 33 

Termination 27 26 25 27 24 32 

Disciplinary Action 32 20 34 63 49 29 

14 
Table 5: Findings of Discrimination by Basis, FY 2015 to FY 2020 

Basis 2015 2016 2017 2018 2019 2020 

Age 1 0 0 1 2 1 

Color 1 0 0 0 2 1 

Disability 1 3 2 0 3 1 

Equal Pay 0 0 0 0 0 0 

National 

Origin 

0 0 0 1 0 1 

Race 1 1 0 1 2 1 

Religion 0 0 0 0 0 0 

Reprisal 2 3 2 4 3 2 

Sex 0 3 0 1 1 2 

Table 6: Findings of Discrimination by Issue, FY 2015 to FY 2020 

Issue 2015 2016 2017 2018 2019 2020 

Assignment of Duties 0 0 0 1 0 1 

Harassment 1 2 0 1 3 4 

Medical Examination 1 1 0 0 0 0 

Promotion/Non-Selection 0 0 1 2 2 1 

Reasonable Accommodation 0 1 1 0 0 1 

Terms/Conditions of Employment 1 0 2 0 0 0 

Training 0 2 0 1 0 0 

Disclosure of Medical Information 0 0 1 0 2 0 

15 
Table 7: Federal Court Cases with Alleged Violation of Law, FY 2015 to FY 2020 

2015 2016 2017 2018 2019 2020 

Total Court Cases 33 25 35 33 32 36 

Alleged Title VII Violation 29 19 30 26 25 29 

Alleged Age Discrimination in Employment Act Violation 7 5 4 7 9 6 

Alleged Rehabilitation Act Violation 3 2 10 13 7 7 

Alleged Whistleblower Protection Act Violation 2 1 0 0 0 0 

Alleged Equal Pay Act Violation 0 0 0 0 0 0 

Alleged Retaliation 6 14 17 13 9 16 

Table 8: Formal Complaint Processing Time in Days, FY 2015 to FY 2020 

2015 2016 2017 2018 2019 2020 

Investigation Stage 138 141 166 185 218 298 

Final Action Stage 42 62 85 57 67 64 

Table 9: Annual Total Reimbursements for No FEAR Act cases by Amount, FY 2015 to FY 2020 

2015 2016 2017 2018 2019 2020 

Total Reimbursements $1,009,500 $307,000 $568,113 $458,000 $29,500 $282,000 

Table 10: Pre-Complaint Processing Timelines, FY 2015 to FY 2020 

Rate of Individuals Counseled 

within Mandatory Timeframe 

2015 2016 2017 2018 2019 2020 

96.10% 98.10% 98.48% 95.65% 98.13% 98.15% 

Table 11: Reimbursements for No FEAR Act cases by Number of Cases, FY 2015 to FY 

2020 

Cases Resulting in Reimbursements 2015 2016 2017 2018 2019 2020 3 3 5 2 2 3 

16 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Appendix B – EEO Data Posted Pursuant to the No FEAR Act 
	

Comparative Data 

Previous Fiscal Year Data 

2015 2016 2017 2018 2019 2020

Number of Complaints Filed 348 294 266 271 250 273 

Number of Complainants 323 284 259 262 245 265 

Repeat Filers 8 10 7 9 6 6 

Complaints by Basis 

Note: Complaints can be 

filed alleging multiple bases 

of discrimination. The sum 

of the bases may not equal 

total complaints filed. 

Comparative Data 

Previous Fiscal Year Data 

2015 2016 2017 2018 2019 2020

Race 158 102 100 107 100 98 

Color 74 42 46 47 56 30 

Religion 20 14 20 15 14 13 

Reprisal 199 161 152 161 138 153 

Sex (including complaints 

filed under Equal Pay Act 

[EPA]) 

133 120 115 138 106 105 

National Origin 40 29 40 31 31 47 

Age 128 109 96 102 86 98 

Disability 111 109 95 86 102 108 

Non-EEO basis 15 10 8 15 12 16 

Genetics 4 3 3 4 0 3 

Pregnancy Discrimination 

Act (PDA) 3 1 0 5 4 1 

17 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Complaints by Issue 

Note: Complaints can be 

filed alleging multiple 

issues. The sum of the bases 

may not equal total 

complaints filed. 

Comparative Data 

Previous Fiscal Year Data 

2015 2016 2017 2018 2019 2020

Appointment/Hire 34 13 13 10 9 9 

Assignment of Duties 23 14 29 47 52 52 

Awards 7 5 6 9 6 10 

Conversion to Full Time 0 0 0 1 0 1 

Disciplinary Action 

Demotion 2 1 2 3 3 2 

Reprimand 9 3 7 17 18 14 

Removal 4 3 5 6 10 5 

Suspension 12 11 12 20 17 8 

Other 8 4 6 15 1 0 

Duty Hours 3 5 8 10 11 3 

Evaluation/Appraisal 19 19 39 45 33 46 

Examination/Test 6 1 2 4 1 0 

Harassment 

Non-Sexual 160 146 151 173 150 164 

Sexual 8 10 16 16 13 16 

Medical Examination 3 2 4 4 1 0 

Pay (including overtime) 10 13 14 26 18 33 

Reassignment 

Promotion/Non-Selection 87 71 63 79 70 84 

Denied 5 4 5 13 11 11 

Directed 8 8 11 17 9 11 

Reasonable Accommodation 25 31 32 33 37 41 

Reinstatement 0 0 2 0 0 0 

Retirement 4 11 5 5 6 11 

Termination 27 26 25 27 24 32 

Terms/Conditions 

Employment 

of 10 6 31 37 32 34 

Time and Attendance 14 4 16 34 27 23 

Training 26 15 22 34 30 22 

18 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Processing Time Comparative Data 

Previous Fiscal Year Data 

2015 2016 2017 2018 2019 2020

Complaints pending (for any length of time) during fiscal year 

Average number 

investigation 

of days 

stage 

in 137.87 140.86 166.08 185.1 218.9 298.35 

Average number 

action 

of days 

stage 

in final 41.91 62.45 85.05 56.83 67.37 64.07 

Complaints pending (for any length of time) during fiscal year where hearing was requested 

during fiscal year 

Average number 

investigation 

of days 

stage 

in 141.31 141.64 158.81 191.18 257.42 305.94 

Average number 

action 

of days 

stage 

in final 35.39 47.95 72.03 51.8 69.86 47.44 

Complaints pending (for any length of time) during fiscal year where hearing was not 

requested 

Average number 

investigation 

of days 

stage 

in 129.16 13.927 177.62 167.41 211.29 303.39 

Average number 

action 

of days 

stage 

in final 51.04 79.38 98.07 64.69 62.11 82.27 

Complaints Dismissed by Agency Comparative Data 

Previous Fiscal Year Data 

2015 2016 2017 2018 2019 2020

Total Complaints Dismissed by Agency 92 75 23 36 43 22 

Average days pending prior to dismissal 812 15 35 71 76 49 

Total Complaints Withdrawn 

Complainants 

by 20 16 15 12 13 20 

Total Final Actions Finding 

Discrimination 

Comparative Data 

Previous Fiscal Year Data 

2015 2016 2017 2018 2019 2020 

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

Total Number Findings 3 4 4 5 5 4 

Without Hearing 0 0 0 0 0 0 1 20 0 0 3 75 

With Hearing 3 100 4 100 4 100 4 80 5 100 1 25 

19 
Findings of 

Discrimination Rendered 

by Basis 

Note: Complaints can be 

filed alleging multiple 

bases of discrimination. 

The sum of the bases may 

not equal total complaints 

and findings. 

Comparative Data 

Previous Fiscal Year Data 

2015 2016 2017 2018 2019 2020 

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

Total Number Findings 3 4 4 5 5 4 

Race 1 33.3 1 25.0 0 0 1 20 2 40 1 25 

Color 1 33.3 0 0.0 0 0 0 0 2 40 1 25 

Religion 0 0 0 0.0 0 0 0 0 0 0 0 0 

Reprisal 2 66.7 3 75.0 1 25.0 3 60 3 60 2 50

Sex (including complaints 

filed under EPA) 0 0 3 75.0 0 0 2 40 1 20 2 50

National Origin 0 0 0 0.0 0 0 1 20 0 0 1 25

Age 2 66.7 0 0.0 0 0 1 20 2 40 1 25

Disability 1 33.3 3 75.0 3 75.0 0 0 3 60 1 25

Non-EEO basis 0 0 0 0.0 0 0 0 0 0 0 0 0 

Genetics 0 0 0 0.0 0 0 0 0 1 20 0 0 

PDA 0 0 0 0.0 0 0 0 0 0 0 0 0 

Findings After Hearing 3 4 4 4 5 1 

Race 1 33.3 1 25.0 0 0 0 0 2 40 1 100 

Color 1 33.3 0 0.0 0 0 0 0 2 40 1 100 

Religion 0 0 0 0.0 0 0 0 0 0 0 0 0 

Reprisal 2 66.7 3 75.0 1 25.0 3 75 3 60 1 100 

Sex (including complaints 

filed under EPA) 0 0 3 75.0 0 0 2 50 1 20 1 100

National Origin 0 0 0 0.0 0 0 1 25 0 0 0 0 

Age 2 66.7 0 0.0 0 0 1 25 2 40 0 0 

Disability 1 33.3 3 75.0 3 75.0 0 0 3 60 1 100 

Non-EEO basis 0 0 0 0.0 0 0 0 0 0 0 0 0 

Genetics 0 0 0 0.0 0 0 0 0 1 20 0 0 

PDA 0 0 0 0.0 0 0 0 0 0 0 0 0 

Findings Without

Hearing 0 0 0 1 0 3

Race 0 0 0 0 0 0 1 100 0 0 0 0 

Color 0 0 0 0 0 0 0 0 0 0 0 0 

Religion 0 0 0 0 0 0 0 0 0 0 0 0 

Reprisal 0 0 0 0 0 0 0 0 0 0 1 33.3 

20
	
Sex (including complaints 

filed under EPA) 0 0 0 0 0 0 0 0 0 0 1 33.3

National Origin 0 0 0 0 0 0 0 0 0 0 1 33.3

Age 0 0 0 0 0 0 0 0 0 0 1 33.3

Disability 0 0 0 0 0 0 0 0 0 0 0 0 

Non-EEO basis 0 0 0 0 0 0 0 0 0 0 0 0 

Genetics 0 0 0 0 0 0 0 0 0 0 0 0 

PDA 0 0 0 0 0 0 0 0 0 0 0 0 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Findings of 

Discrimination Rendered 

by Issue 

(Part 1) 

Comparative Data 

Previous Fiscal Year Data 

2015 2016 2017 2018 2019 2020

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

Total Number of Findings 3 4 4 5 5 4 

Appointment/Hire 0 0 0 0 0 0 0 0 0 0 0 0 

Assignment of Duties 0 0 0 0 0 0 1 20 0 0 0 0 

Awards 0 0 0 0 0 0 0 0 0 0 0 0 

Conversion to Full Time 0 0 0 0 0 0 0 0 0 0 0 0 

Disciplinary Action 

Demotion 0 0 0 0 0 0 0 0 0 0 0 0 

Reprimand 1 33. 

3 0 0 0 0 0 0 0 0 0 0 

Removal 0 0 0 0 0 0 0 0 0 0 0 0 

Suspension 0 0 0 0 0 0 0 0 0 0 0 0 

Other 0 0 1 25 1 25 1 20 0 0 0 0 

Duty Hours 0 0 0 0 0 0 0 0 0 0 0 0 

Evaluation/Appraisal 0 0 0 0 0 0 1 20 0 0 0 0 

Examination/Test 0 0 0 0 0 0 0 0 0 0 0 0 

Harassment 

Non-Sexual 2 66. 

7 2 50 0 0 0 0 3 60 3 75 

Sexual 0 0 0 0 0 0 1 20 0 0 1 25 

Medical Examination 0 0 1 25 0 0 0 0 0 0 0 0 

Pay (including overtime) 0 0 0 0 0 0 0 0 0 0 0 0 

Promotion/Non-Selection 3 100 0 0 1 25 2 40 2 40 0 0 

Reassignment 

Denied 0 0 0 0 0 0 0 0 0 0 0 0 

Directed 0 0 0 0 0 0 0 0 0 0 2 50 

Reasonable 

Accommodation 2 66. 7 0 0 1 25 0 0 0 0 1 25 

Reinstatement 0 0 0 0 0 0 0 0 0 0 0 0 

Retirement 0 0 0 0 0 0 0 0 0 0 0 0 

21
	
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Termination 1 33. 

3 0 0 0 0 0 0 0 0 0 0 

Terms/Conditions of 

Employment 0 0 0 0 0 0 0 0 0 0 0 0 

Time and Attendance 0 0 0 0 0 0 0 0 0 0 0 0 

Training 0 0 0 0 0 0 0 0 0 0 0 0 

Other 0 0 0 0 1 25.0 0 0 2 40 0 0 

Findings of 

Discrimination Rendered 

by Issue 

(Part 2) 

Comparative Data 

Previous Fiscal Year Data 

2015 2016 2017 2018 2019 2020

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

Findings After Hearing 3 4 4 4 5 1 

Appointment/Hire 0 0 0 0 0 0 0 0 0 0 0 0 

Assignment of Duties 0 0 0 0 0 0 1 25 0 0 0 0 

Awards 0 0 0 0 0 0 0 0 0 0 0 0 

Conversion to Full Time 0 0 0 0 0 0 0 0 0 0 0 0 

Disciplinary Action 

Demotion 0 0 0 0 0 0 0 0 0 0 0 0 

Reprimand 0 0 0 0 0 0 0 0 0 0 0 0 

Removal 0 0 0 0 0 0 0 0 0 0 0 0 

Suspension 0 0 0 0 0 0 0 0 0 0 0 0 

Other 0 0 1 25 1 25 1 25 0 0 0 0 

Duty Hours 0 0 0 0 0 0 0 0 0 0 0 0 

Evaluation/Appraisal 0 0 0 0 0 0 1 25 0 0 0 0 

Examination/Test 0 0 0 0 0 0 0 0 0 0 0 0 

Harassment 

Non-Sexual 1 33. 

3 2 50 0 0 0 0 3 60 0 0 

Sexual 0 0 0 0 0 0 1 25 0 0 0 0 

Medical Examination 0 0 1 25 0 0 0 0 0 0 0 0 

Pay (including overtime) 0 0 0 0 0 0 0 0 0 0 0 0 

Promotion/Non-Selection 3 100 0 0 1 25 1 25 2 40 0 0 

Reassignment 

Denied 0 0 0 0 0 0 0 0 0 0 0 0 

Directed 0 0 0 0 0 0 0 0 0 0 0 0 

Reasonable 

Accommodation 2 66. 7 0 0 1 25 0 0 0 0 1 100 

Reinstatement 0 0 0 0 0 0 0 0 0 0 0 0 

Retirement 0 0 0 0 0 0 0 0 0 0 0 0 

Termination 1 33. 

3 0 0 0 0 0 0 0 0 0 0 

Terms/Conditions 

Employment 

of 0 0 0 0 0 0 0 0 0 0 0 0 

22 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Time and Attendance 0 0 0 0 0 0 0 0 0 0 0 0 

Training 0 0 0 0 0 0 0 0 0 0 0 0 

Other 0 0 0 0 1 25 0 0 2 40 0 0 

Findings of 

Discrimination Rendered 

by Issue 

(Part 3) 

Comparative Data 

Previous Fiscal Year Data 

2015 2016 2017 2018 2019 2020

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

Findings Without Hearing 0 0 0 1 0 3 

Appointment/Hire 0 0 0 0 0 0 0 0 0 0 0 0 

Assignment of Duties 0 0 0 0 0 0 0 0 0 0 0 0 

Awards 0 0 0 0 0 0 0 0 0 0 0 0 

Conversion to Full Time 0 0 0 0 0 0 0 0 0 0 0 0 

Disciplinary Action 

Demotion 0 0 0 0 0 0 0 0 0 0 0 0 

Reprimand 0 0 0 0 0 0 0 0 0 0 0 0 

Removal 0 0 0 0 0 0 0 0 0 0 0 0 

Suspension 0 0 0 0 0 0 0 0 0 0 0 0 

Other 0 0 0 0 0 0 0 0 0 0 0 0 

Duty Hours 0 0 0 0 0 0 0 0 0 0 0 0 

Evaluation/Appraisal 0 0 0 0 0 0 0 0 0 0 0 0 

Examination/Test 0 0 0 0 0 0 0 0 0 0 0 0 

Harassment 

Non-Sexual 0 0 0 0 0 0 0 0 0 0 3 100 

Sexual 0 0 0 0 0 0 0 0 0 0 1 33.3 

Medical Examination 0 0 0 0 0 0 0 0 0 0 0 0 

Pay (including overtime) 0 0 0 0 0 0 0 0 0 0 0 0 

Promotion/Non-Selection 0 0 0 0 0 0 1 100 0 0 0 0 

Reassignment 

Denied 0 0 0 0 0 0 0 0 0 0 0 0 

Directed 0 0 0 0 0 0 0 0 0 0 2 66.6 

Reasonable 

Accommodation 0 0 0 0 0 0 0 0 0 0 0 0 

Reinstatement 0 0 0 0 0 0 0 0 0 0 0 0 

Retirement 0 0 0 0 0 0 0 0 0 0 0 0 

Termination 0 0 0 0 0 0 0 0 0 0 0 0 

23 

Terms/Conditions of 

Employment 0 0 0 0 0 0 0 0 0 0 0 0 

Time and Attendance 0 0 0 0 0 0 0 0 0 0 0 0 

Training 0 0 0 0 0 0 0 0 0 0 0 0 

Other 0 0 0 0 0 0 0 0 0 0 0 0 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Pending Complaints Filed 

in Previous Fiscal Years 

by Status 

Comparative Data 

Previous Fiscal Year Data 

2015 2016 2017 2018 2019 2020

Total Complaints from 

Previous Fiscal Years 

530 591 605 621 685 744 

Total Complainants 426 471 491 509 571 617 

Number Complaints Pending 

Investigation 97 91 91 96 105 113 

Hearing 292 333 382 402 447 474 

Final Agency Action 26 31 48 61 66 117 

Appeal with 

of Federal 

EEOC Office 

Operations 

115 136 84 62 67 40 

Complaint Investigations 

Comparative Data 

Previous Fiscal Year Data 

2015 2016 2017 2018 2019 2020

Pending Completion Where 

Investigation Exceeds 

Required Time Frames 

7 3 15 44 52 46 

24