HUMAN RESOURCES ISSUANCE SYSTEM I Chapter: 900-002 

Transmittal Number: 04-02 

Date: 

Office: Office of Equal Opportunity and Diversity 

Subject: Processing Claims of Discrimination in Conflict of Interest or Position Situations in the 

Formal Complaint Process 

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PURPOSE. To establish policy and procedures for processing discrimination complaints in the 

formal complaint process when a conflict of position or interest has been determined ta exist. 

Each case will be examined on its awn merits 111 making decisions for the most appropriate way to 

process the complaint, based on the particular situation. 1 

SCOPE. The provisions of this Chapter apply to the Office of the Deputy Assistant Secretary for 

Human Resources and Chief Hum Capital Officer, the Office of the Chief, EEO and Diversity 

Field Services, AWSS, and the Treasury Cornplaint Center. 

CNCELLATION. NA. 

EFFECTIVE DATE. This policy is effective with the date of this chapter 

REFERENCES. 

A. 

(b)(4) and 605(c). 

Equal Employment Opportunity Commission (EEOC) regulations, 29 CFR 1614.102(a)(2), 

B. 

VI.c, and Section VII.C(3)(b) 

EEOC Management Directive (MD) 1 10, Chapter 1, Sections III and VI, Chapter 6, Section 

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1 Although an officiaI may be named as an alleged discriminating official it is appropriate to examine the actual actions taken 

(or not taken) to determine if a potential conflicts exists. 
6. BACKGROUND. OEOP-002-03, dated March 4, 2003, establishes Treasury’s conflict of interest 

policy in the EEO complaint program. In order to ensure and maintain the integrity of the Equal 

Employment Opportunity (EEO ) process, it is essential that conflicts of interest or position, as 

well as the appearance of such conflicts, be avoided in the processing of complaints of 

discrimination. Impartiality and fairness in the system are keys to the credibility of the EEO 

program. 

This additional policy is being issued to reflect recent organizational changes at the Department of 

the Treasury. Specific positions are mentioned because officials serving in those positions have 

unique responsibilities for the processing of EEO complaints and the Department believes advance 

guidance on these issues will help ensure the impartiality and fairness of the complaints process. 

7. POLICY. It is the policy of the Department of the Treasury to ensure an objective EEO 

complaint processing program by avoiding or eliminating conflicts of interest or position with 

respect to the formal EEO complaint program. 

8. RESPONSIBTLJTIES. 

A. Complaints Naming a Managment Official of the Treasury Complaint Center, the ChieJ EEO 

und Diversity Field Services, A WSS, or hisher Princiyal Deputy as Alleged Discriminating 

0fJ;ciuIs. 

1. Generally, if a complaint arises from an action taken by a management official of the 

Treasury Complaint Center or the Chief, EEO and Diversity Field Services, AWSS (IRS), or 

hisher principal Deputy, it would be inappropriate for the Treasury Complaint Center to 

process that complaint. In those instances, the complaint will be referred to the Department 

and the decision to accept/dismiss the complaint will be made by the Director, Office of 

Equal Opportunity and Diversity (OEOD), Department of the Treasury. 

2. If the complaint, or any portion of the complaint, is accepted, an investigation will be 

performed by a contract investigator, and the costs (including any travel costs required) will 

be borne by the Treasury Complaint Center. It is expected that a local investigator be 

retained whenever possible to minimize travel costs, or a telephone investigation be 

conducted if possible and effective. Alternatively, OEOD may use a trained investigator 

fi-om another bureau or agency, if available. The investigator will at no time be under the 

TCC’s authority. 

3. The Director of Operations will supply the Director, OEOD with appropriate information 

relating to accounting codes to ensure that the costs are appropriately charged to Center 

appropriations. 

4. The Director, OEOD, and hisher staff, will coordinate the contract and review the 
investigation file to ensure the contractor meets contract specifications. 

5. The Chief, EEO and Diversity Field Services, AWSS, will designate an appropriate official in 

IRS to review the tile for the Agency review. The Director, OEOD, will provide a copy of 

the file to the Complainant and the agency designee for review and comment prior to 

certification that the file is complete. 

6. If both the employee and management indicate an interest in pursuing alternative dispute 

resolution, a Treasury Shared Neutrals mediator(s) will be used. 1RS will be responsible for 

any travel costs incurred in a rnedation. 

0. Complaints Naming the Director, Office of Equal Opportunity and Diversity or the Deputyfor 

Humm Resources us Alleged Discriminating Qjjcials 

1. If a conflict of interest is determined to exist because the Director, OEOD or hidher 

immediate supervisor have been named as alleged discriminating officials, the Assistant 

Secretary (Management), as the Department’s EEO Oficer, will review and issue any final 

agency decision on the merits of the complaint which may include appropriate relief, or may 

delegate such authority to another Assistant Secretary in the Department, as appropriate. In 

such cases, the Director, OEOD will recuse himselrnerself from providing any advice or 

consultation with regard to the processing of the complaint. 

2. In most circumstances, the Treasury Complaint Center will be responsible for accepting and 

investigating these complaints. The Director, OEOD will delegate authority to approve a 

dismissal in these cases to the Director of Operations, TCC. 

9. OFFICE OF PRTMARY INTEREST. Office of Equal Opportunity and Diversity, Deputy 

Assistant Secretary for Hum Resources and Chief Human Capital Officer. 

Rebecca Contreras 

Deputy Assistant Secretary for Human Resources 

And Chief Human Capital Officer