FISCAL YEAR 2020

 No FEAR Act

 ANNUAL REPORT TOCONGRESS

 Federal Deposit Insurance Corporation
Table of Contents

Introduction...........................................................................................................................................................1

Purpose of Report and Background.............................................................................................................2 

Legal Coverage..............................................................................................................................................2

No FEAR Act Data andAnalysis .....................................................................................................................3

EEOComplaintActivity inFederal Court andDisposition .......................................................4

Judgment FundReimbursements andBudgetAdjustment .........................................................4

Number ofEmployeesDisciplined andDiscipline Policy.............................................................4

Trends ofAdministrative EEOComplaint Activity..........................................................................5

Causal Analysis..............................................................................................................................................5

Practical Knowledge Gained through Experience......................................................................8

ActionsTaken/Planned Actions toImproveFDICEEOComplaintProgram.........................9

Actions Taken.....................................................................................................................................10

Actions Planned ......................................................................................................................... 12

FDIC No FEAR Act Training Plan.........................................................................................................14

AppendixA-FDIC Chairman EEO Policy Statement

Appendix B - FDIC Summary Complaint Data

B1 Federal Court Data

B2 EEOData Posted Pursuantto theNo FEAR Act

AppendixC- FDICPolicies relating to Non-Discrimination

C1 Circular 2710.1 - EqualOpportunity Policy

C2 Circular 2710.3 - Anti-Harassment Program

C3 Circular 2400.2 - Whistleblower Protection Rights

C4 Circular 2750.1- Disciplinary andAdverseActions
ANNUAL NO FEAR ACT REPORT TO CONGRESS FOR FY 2020 Page 1

INTRODUCTION

The Federal Deposit Insurance Corporation (FDIC) is pleased to present its Annual 

Notification and Federal Employee Antidiscrimination and Retaliation Act (No FEAR Act) 

Report to Congress, in accordance with Title II, Section 203 of the No FEAR Act, Public Law 

107-174. This No FEAR Act annual report summarizes the FDIC’s activities throughout

fiscal year 2020 to ensure the agency’s accountability for anti-discrimination and 

whistleblower laws related to employment.

The FDIC has longstanding, formal equal employment opportunity (EEO) standards in 

place, which demonstrate the agency’s commitment to the principles of EEO and to 

promoting diversity, equity, and inclusion (DEI) within the agency’s workforce and senior 

leadership.

The FDIC’s Office of Minority and Women Inclusion (OMWI) is delegated overall 

responsibility for DEI, civil rights, and minority and women outreach programs. In 

addition to OMWI, the FDIC’s Office of Inspector General (OIG), the Division of 

Administration (DOA), and the Legal Division all play a role in implementing the No FEAR 

Act at the FDIC. 

OMWI continually works to ensure that the U.S. Equal Employment Opportunity 

Commission’s (EEOC’s) “six essential elements of a model EEO program” are incorporated 

throughout the FDIC’s operational areas. Notably, in 2020, OMWI worked with senior 

leadership to establish DEI performance criteria that evaluates managers and supervisors 

on their commitment to EEO policies and principles and their participation in the EEO 

program. As a result, the FDIC has met the EEOC’s requirement that agencies “review, 

evaluate, and control managerial and supervisory performance in such a manner as to 

insure a continuing affirmative application and vigorous enforcement of the policy of equal 

opportunity.” (29 CFR § 1614.102(a)(5)).

The FDIC continues to assess our policies and processes for recruitment, development, 

training, and retention to ensure that we are building a skilled, multi-generational, and 

diverse workforce. For example, in 2020, the FDIC continued an ongoing barrier analysis 

to determine if any disparities in equal employment opportunities exist within the agency. 

This type of analysis helps us keep a finger on the pulse of our organization and supports 

our efforts to create, maintain, and improve policies and processes that benefit our current 

workforce. We intend to develop an action plan to address any noted triggers or 

disparities once the barrier analysis is completed.

More details about our specific efforts in 2020 are provided throughout this report.
ANNUAL NO FEAR ACT REPORT TO CONGRESS FOR FY 2020 Page 2

PURPOSE OF REPORT AND BACKGROUND

The No FEAR Act was signed into law in order to reduce workplace discrimination across

the federal government by holding federal agencies accountable for violations of antidiscrimination and whistleblower protection laws. Section 203 of the No FEAR Act 

requires that, no later than 180 days after the end of each fiscal year, the FDIC submit an 

annual report to the Speaker of the House of Representatives, the President pro tempore of 

the Senate, the Committee on Homeland Security and Governmental Affairs of the Senate, 

the Committee on Oversight and Reform of the House of Representatives, each committee 

of Congress with jurisdiction relating to the agency, the EEOC, and the Attorney General of 

the United States. Regulations from the Office of Personnel Management (OPM)

implementing the No FEAR Act, 5 CFR, Part 724, Subpart C, also require the submission of 

this annual report to the Director of OPM.

The Annual No FEAR Act Report must provide the following information:

 The number, status, and disposition of federal court cases, pending or resolved, 

arising under the laws covered by the No FEAR Act; 

 Judgment Fund reimbursements and adjustments to the FDIC budget 

tomeet reimbursement requirements;

 The number and type of disciplinary actions related to discrimination, 

retaliation, or harassment and the FDIC’s policy relating to 

appropriate disciplinaryaction;

 Final year-end summary data related to the FDIC’s EEO complaint

activity for the fiscal year;

 An analysis of trends, causation, and practical knowledge gained 

through experience;

 Actions planned or taken to improve the FDIC’s discrimination 

complaint program;and

 The agency’s No FEAR Act training plan.

The laws covered in the No FEAR Act include:

 Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000e-16 (race, 

color, religion, sex, national origin, and reprisal)

 The Age Discrimination in Employment Act of 1967, as amended, 29 U.S.C. § 633a 

(age (40 and over) and reprisal)
ANNUAL NO FEAR ACT REPORT TO CONGRESS FOR FY 2020 Page 3

 The Equal Pay Act of 1963, as amended, 29 U.S.C. § 206(d) (sex-based wage 

differentials and reprisal)

 Section 501 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 791 

(physical and mental disabilities and reprisal)

 The Genetic Information Nondiscrimination Act of 2008, 42 U.S.C. § 2000ff, etseq. 

(genetic information about an individual or individual’s family members and 

reprisal)

 The Civil Service Reform Act of 1978, 5 U.S.C. § 2302(b) and (d) (prohibited 

personnel practices, and race, color, religion, sex, national origin, age, disability, 

marital status, political affiliation, andwhistleblowing)

NO FEAR ACT DATA ANALYSIS

Complaint Activity in Federal Court and Disposition

In fiscal year 2020, five new cases were filed against the FDIC in various federal District 

Courts. This represents an increase from FY 2019 when two new cases were filed and FY 

2018 when no new cases were filed. Notably, four of the five new cases in 2020 were filed 

outside the headquarters area (three in Dallas and one in Kansas City), and only one of the 

new cases was brought by a current FDIC employee (with the remaining cases being filed 

by former employees). Despite the recent increase in new cases, the total number of 

pending cases is about only half of what it was in the peak year of 2016.

EEO Cases Filed Against the FDIC, by status 

Fiscal Year

2016 2017 2018 2019 2020

New Cases Filed in District Court 7 2 0 2 5

Pending District Court Cases 13 9 3 3 7

Pending Appellate Court Cases 2 4 2 1 0

Settlements 1 1 1 1 0

Withdrawals 1 1 0 0 0

Final Judgment for Complainant 0 0 0 0 0

Final Judgment for Agency 5 4 2 1 1
ANNUAL NO FEAR ACT REPORT TO CONGRESS FOR FY 2020 Page 4

Judgment Fund Reimbursements and Budget Adjustment

The FDIC is an independent agency, and with the exception of the FDIC’s OIG, is not 

appropriated by Congress. There were no judgments against the FDIC, including the OIG, 

from cases pending or resolved in federal district court in FY 2020. Therefore, no budget 

adjustments were necessary.

Number of Employees Disciplined 

Pursuant to 5 C.F.R. 724.102, discipline is defined to include any one, or a combination, of 

the following actions: reprimand, suspension without pay, reduction in grade or pay, or 

removal. The regulation also provides that, irrespective of discrimination cases in federal 

court, federal agencies are to report the total number of employees disciplined and the 

specific nature of the disciplinary action taken in accordance with agency policy that 

prescribes disciplinary action for discrimination, retaliation, or harassment conduct, and 

whistleblower protection law violations.

During FY 2020, there were no findings of discrimination issued by the Merit Systems 

Protection Board, the Office of Special Counsel, or federal courts; however, there was one 

finding of discrimination issued by the EEOC. FDIC management reviewed the EEOC’s 

decision and determined that no disciplinary action was warranted for the actions which 

resulted in the finding of discrimination.

The FDIC’s Anti-Harassment Program offers employees a venue to raise harassment claims. 

Harassment claims submitted through this process are reviewed and resolved in an 

accelerated process by OMWI, the Labor and Employee Relations (LERS) section of the 

FDIC’s Division of Administration, and the Legal Division. During FY 2020, six inquiries 

involving allegations of harassment were reported through the FDIC’s Anti-Harassment 

Program. Three inquiries were found to be unsubstantiated; two inquiries resulted in oral 

counseling; and one inquiry resulted in the issuance of a Letter of Reprimand.

Discipline Policy

To help prevent discrimination in our workforce and to inform managers, supervisors, and 

employees of the consequences for committing acts of discrimination, the FDIC has 

promulgated and enforces EEO and anti-discrimination and whistleblower policies and 

procedures that are applicable to all employees, and applicants for employment. These 

policies outline employee rights and responsibilities and are posted on the FDIC’s internal 

and external websites. Managers and supervisors share the responsibility for successfully

implementing these policies. The OMWI Director, in coordination with LERS and the Legal 

Division, regularly reviews these policies and procedures to ensure that they are up-todate, legally sufficient, well communicated, applied consistently, and implemented fairly.
ANNUAL NO FEAR ACT REPORT TO CONGRESS FOR FY 2020 Page 5

The FDIC has in place an Equal Opportunity Policy (Circular 2710.2), which explains the 

EEO process, including pertinent regulatory timeframes and the roles and responsibilities 

of various offices. This policy makes clear that discrimination, harassment, and retaliation 

will not be tolerated at the FDIC. As required by the EEOC, the FDIC’s EEO poster contains 

information about the EEO complaint process and contact information for the FDIC’s EEO 

counselors. This information is posted on OMWI’s internal website, as well as throughout 

the agency’s headquarters, regional, and field offices. 

The FDIC also has an Anti-Harassment Program (Circular 2710.3) in place that defines 

harassment and inappropriate conduct and, just like the Equal Opportunity Policy, makes 

clear that all forms of harassment or inappropriate conduct and retaliation will not be 

tolerated at the FDIC. To ensure an inclusive workplace, this program is purposefully 

broad. It identifies multiple avenues of redress for claims of harassment, and does not limit 

employees to the EEO process. 

A copy of the FDIC’s policies related to Equal Opportunity, the Anti-Harassment Program, 

Disciplinary and Adverse Actions, and Whistleblower Protection Rights are included in 

Appendix C of this report.

Trends and Causal Analysis of Administrative EEO Complaint Activity 

OMWI’s Equal Opportunity Compliance and Training Branch (EOCTB) is responsible for 

ensuring that the FDIC complies with all federal EEO laws and related civil rights 

protections. Additionally, the EOCTB provides a neutral forum for the discussion, 

investigation, and resolution of EEO matters; provides agency guidance and standards for 

establishing and maintaining effective equal opportunity programs; provides policy and 

technical assistance on EEO and civil rights to FDIC senior leadership and supervisors; and 

manages the FDIC’s EEO complaint process pursuant to 29 C.F.R. Part 1614. 

Complaint Activity 

Historically, the FDIC has not experienced a large number of complaints. This report 

primarily focuses on FY 2020, but also includes the five-year reporting period between FY 

2016 and FY 2020. 

There were 31 formal EEO complaints filed at the FDIC in FY 2020. This represents a 28

percent decline in complaint activity compared to the 43 EEO complaints filed in FY 2019. 

We believe that this decline is the result of the success of our EEO training and education 

efforts, as well as the shift to mandatory telework in response to the COVID-19 pandemic. 

Complaint activity has fluctuated throughout the past five fiscal years, ranging from 40 in 

2016 to 31 in 2020. In FY 2020, of the 31 complaints filed, reprisal (17), race (15), sex (12), 

and age (12) were the most frequently filed bases of discrimination. The most frequently 

raised issues were promotion/non-selection (nine), terms and conditions of employment 

(eight), non-sexual harassment (six), and performance/appraisal (six). Detailed 
ANNUAL NO FEAR ACT REPORT TO CONGRESS FOR FY 2020 Page 6

administrative EEO complaint data for all of the EEO bases and issues can be found in

Appendix B2.

Complaints by Basis

As stated above, for FY 2020, reprisal, race, sex, and age were the most frequently filed 

bases. In FY 2020, there were 17 complaints filed on the basis of reprisal, in comparison to 

22 complaints filed in FY 2019, representing a 23 percent decline. For the basis of race, 

there were 15 complaints filed in FY 2020, in comparison to 23 filed in FY 2019, 

representing a 34 percent decline. For the basis of age, there were 12 complaints filed in 

FY 2020, in comparison to 18 complaints filed in FY 2019, representing a 33 percent

decline. Of these most frequently filed bases, the most significant decrease this reporting 

period were complaints related to sex discrimination. In FY 2020, there were 12

complaints filed on the basis of sex, in comparison to 21 filed in FY 2019, representing a 43 

percent decline. 

Complaints by Issue

For FY 2020, denial of promotion/non-selection, terms and conditions of employment, nonsexual harassment, and evaluation/performance appraisal were the most frequently filed 

issues. In FY 2020, there were nine claims of denial of promotion/non-selection, in 

comparison to 12 claims in FY 2019, representing a 25 percent decline. For claims alleging 

terms and conditions of employment, there were eight claims filed in FY 2020, in 

comparison to 14 claims filed in FY 2019, representing a 43 percent decline. In FY 2020,

there were six claims of non-sexual harassment, in comparison to 14 in FY 2019, 

representing a 57 percent decline. For claims alleging evaluation/performance appraisal, 

there were six claims filed in FY 2020, in comparison to 10 in FY 2019, representing a 40 

percent decline. 

40

30

33

43

31

Fiscal Year 2016 2017 2018 2019 2020

Administrative Complaints Filed 

Fiscal Years 2016-2020
ANNUAL NO FEAR ACT REPORT TO CONGRESS FOR FY 2020 Page 7

Top Three Bases for Complaints Filed

% total complaints filed

FY 2020 FY 2019

Reprisal 54.8% 53.4%

Race 48.3% 51.1%

Sex 38.7% 48.8%

Top Three Issues for Complaints Filed

% total complaints filed 

FY 2020 FY 2019

Promotion 29.0% 32.5%

Terms and Conditions 25.8% 32.5%

Harassment (non-sexual) 19.3% 27.9%

Timeliness of Complaint Completions

During FY 2020, the FDIC completed 96.7 percent of all investigations of EEO complaints in 

a timely manner (100 percent of all non-conflict complaints), a slight decrease from the 

timely completion rate of 97.6 percent (100 percent of all non-conflict complaints) in FY 

2019. OMWI continued to use a contracting firm to provide EEO investigative services and

added secondary memorandums of understanding with two other governmental agencies 

to supplement investigative services on an as-needed basis for conflict complaints. OMWI 

is working with a Conflict Complaints Manager to address any program deficiencies that 

are affecting the timely processing of conflict complaints. This should result in OMWI 

resolving noted program deficiencies in the agency’s FY 2019 MD-715 report to the EEOC.

Timeliness of EEO Complaint Completions, FYs 2016–20 

Fiscal Year

Complaints 

Filed

Length of 

Investigations

(Average Days)

Percent 

Completed 

Timely

2020 31 200 96.7%

2019 43 201 97.6%

2018 33 187 96.9%

2017 30 197 100%

2016 40 179 100%
ANNUAL NO FEAR ACT REPORT TO CONGRESS FOR FY 2020 Page 8

Dispute Resolution Training Efforts

The FDIC provides information to managers and supervisors regarding Alternative Dispute 

Resolution (ADR) techniques and encourages employees to consider mediation when a 

complaint has been filed. Management is required to participate in mediation if the 

complainant elects mediation and the FDIC determines the matter is suitable for mediation. 

The ADR resources include:

 EEO and Diversity Workshop for Supervisors 

 No FEAR Act Training 

 Negotiation Skills 

 Resolving Conflict on Your Team: A Course for Non-Supervisory Team Leaders 

Participation in Resolution Training, FY 2020

No FEAR Act Training Only Number of 

Participants

Supervisors 15

Employees 619

Total No FEAR Act Training 634

Other ADR Training

Supervisors 165

Employees 32

Total ADR Training 197

The decline in the number of formal complaints filed in 2020 is a positive trend, and maybe 

the result of the FDIC’s shift to mandatory telework in response to the COVID-19 pandemic. 

The FDIC will continue to monitor patterns and trends in discrimination complaint filings,

and explore new and effective ways to mutually resolve complaints. Additionally, OMWI 

will monitor the agency’s complaint activity compared to government-wide activity and the 

activity at agencies most similar to the FDIC to ensure a continuous decline in EEO 

complaint activity.

Practical Knowledge Gained through Experience

Beyond the steps outlined in the No FEAR Act, the FDIC has taken, and continues to 

identify, measures to maximize the effectiveness of our EEO and Anti-Discrimination 

Programs.

At the highest level, FDIC Chairman McWilliams has repeatedly voiced her commitment to 

building a diverse and inclusive FDIC workforce that makes all employees feel included and 

welcomed and that values and respects individuals’ differences. To support agency-wide 
ANNUAL NO FEAR ACT REPORT TO CONGRESS FOR FY 2020 Page 9

initiatives and policies, the FDIC’s OMWI Director regularly advises the Chairman and other 

senior leadership on EEO, civil rights, and diversity issues. 

OMWI also briefs Division and Office managers and Employee Resource Groups (ERGs) on 

EEO matters, monitors reasonable accommodation requests, and generates reports to 

internal and external customers and stakeholders.

The FDIC has established Chairman’s Diversity Advisory Councils (CDACs) at headquarters 

and in each of the agency’s six regions to provide advice to the Chairman, through the 

OMWI Director and the Diversity and Inclusion Executive Advisory Council (D&I EAC), on 

diversity and inclusion issues and concerns. The CDACs identify and adopt best practices 

to promote a diverse and inclusive workforce and to identify and remove barriers to equal 

employment opportunities. 

The FDIC’s ERGs are another channel for generating ideas to build a more inclusive and 

supportive work environment. The FDIC currently recognizes nine ERGs; these groups

encourage networking and collaboration and provide employees with career management 

and personal development resources. 

In FY 2020, the CDACs, in conjunction with the ERGs, hosted 12 diversity and inclusion 

events at headquarters and regional, area, and field office locations that addressed

diversity and inclusion topics, including proper etiquette when interacting with deaf 

employees, breaking the concrete ceiling, and minority women in the workplace.

In FY 2020, the FDIC saw an increase in the number of individuals with disabilities and 

targeted disabilities in its workforce. The percentage of persons with disabilities in the 

FDIC workforce increased from 11.95 percent in FY 2019 to 12.31 percent in FY 2020

(representing a 3.01 percent increase), higher than the 12 percent federal goal. The 

percentage of persons with targeted disabilities in the FDIC workforce also grew: from 2.35 

percent in FY 2019 to 2.39 percent in FY 2020, higher than the 2 percent goal among 

federal agencies.

In FY 2020, OMWI offered training and other resources to support the agency’s employees 

with disabilities. For example, in May 2020, OMWI, in collaboration with the agency’s 

Corporate University (CU), launched online Reasonable Accommodation training, which 

had been updated to reflect the policy revisions approved by the EEOC. 

Actions Taken/Planned to Improve Complaint and Civil Rights Programs 

The FDIC is committed to providing all employees with a work environment that embodies 

excellence and acknowledges and respects the diversity of its employees. Providing an 

environment free of discrimination and harassment remains a high priority for the FDIC. 
ANNUAL NO FEAR ACT REPORT TO CONGRESS FOR FY 2020 Page 10

Actions Taken 

Pursuant to the requirements of EEOC Management Directive 715 (MD-715), the FDIC

evaluates its EEO program on an annual basis. These self-evaluations have highlighted 

areas that need more attention, and we have begun to address these areas by developing 

actions plans for improving our EEO program. 

In 2020, the FDIC Chairman issued new initiatives to improve DEI within the agency’s 

workforce. The initiatives included creating a culture of excellence that supports and 

sustains high performance, educates all employees on the importance of DEI, and identifies 

and eliminates barriers.

OMWI collaborated with the Legal Division to develop an Internal Conflict Complaint 

Process policy to ensure adherence with regulatory time requirements in accordance with 

EEOC Regulation 29 CFR 1614, and EEOC Management Directives 110 and 715. OWMI also 

worked with the Legal Division to review their internal standard operating procedures for 

processing conflict complaints in an effort to improve timeliness.

On June 24, 2020, the FDIC participated in the “Joint Agency Conversation about Diversity, 

Inclusion, and Unconscious Bias.” The webinar was co-sponsored with the Consumer 

Financial Protection Bureau, the Federal Housing Finance Agency, the Federal Reserve 

Board, the National Credit Union Association, the Office of the Comptroller of the Currency, 

the Securities and Exchange Commission, and the Department of the Treasury. The 

purpose of the webinar was to engage in a critical conversation about the effects of racism 

– systemic, overt, or implicit – on people of color, especially in the workplace environment; 

the practice of allyship (i.e., using privilege and power to achieve equity and inclusion); and 

practical steps and tools to address the all-important question: “What can we do?”

The FDIC also established a Minority Recruitment Task Force (MRTF) to assist in building a 

diverse and inclusive corporate talent pipeline that is reflective of the nation’s relevant 

civilian labor force and has the skills to meet evolving industry demands. The MRTF 

engaged in targeted outreach to colleges and universities, affinity groups, and professional 

organizations to elicit interest in and applications for FDIC entry-level career opportunities 

and internships among diverse and inclusive groups.

The EOCTB held weekly meetings with staff to identify and address organizational and 

programmatic issues or concerns that may create problems in the processing of EEO 

complaints. The EOCTB reviewed data contained in monthly management reports and 

quarterly and annual No FEAR Act reports to identify areas or subjects where the EOCTB 

needed to provide additional training to FDIC employees. This analysis resulted in OMWI 

conducting additional training on the topics of retaliation and reasonable accommodation.
ANNUAL NO FEAR ACT REPORT TO CONGRESS FOR FY 2020 Page 11

Statements and Policies 

Throughout 2020, the FDIC Chairman and other senior leaders issued three separate 

statements to employees reiterating the agency’s commitment to anti-discrimination and 

anti-harassment. In addition, the FDIC Chairman has repeatedly expressed her full support 

for the FDIC’s EEO Standards, her commitment to the principles of EEO, and her support for 

expanding DEI in the agency’s workforce and senior management.

Employee feedback and perspectives on DEI inform our strategies and initiatives to 

promote a more inclusive workplace and improve employee engagement and retention. 

During the summer and fall of 2020, we offered our employees the opportunity to 

participate in facilitated listening sessions, both FDIC-wide and at the division and office 

level. These sessions provided employees with a forum to discuss current events and

workplace DEI issues and understand differences. The FDIC’s Diversity and Inclusion 

Executive Advisory Council reviewed the themes that emerged from the sessions and 

developed DEI initiatives that were incorporated into our Strategic Plan and corporate 

goals.

OMWI continued to review, update and implement changes to various diversity, EEO, and 

civil rights-related policies and procedures. As a result of the review, OMWI revised the 

agency’s Anti-Harassment Program policy (Circular 2710.5) in 2020. OMWI is also working 

to revise Circular 2710.12, Non-Discrimination in FDIC Conducted Education and Training 

Programs and Outreach Activities, and Circular 2710.15, Accessibility to FDIC Programs 

and Activities. 

In addition, the EOCTB revised its standard operating procedures in accordance with the 

EEOC Memorandums issued during the coronavirus pandemic.

Training

In FY 2020, OMWI launched a reboot of its Forum Webinar Series. The following webinars 

were hosted in 2020:

 “EEO Discrimination Processes Refresher.” This webinar provided an overview of 

discrimination complaint processes, explained what to do if an employee believes

they have been subject to discrimination, discussed the laws and regulations that 

prohibit discrimination in the employment process, and discussed the FDIC’s 

discrimination complaint processing policies and procedures, including the handling 

of personally identifiable information and sensitive information (PII/SI) during the 

complaint process.

 “An Introduction to the Reasonable Accommodation Process.” This webinar 

discussed how reasonable accommodations help build and maintain an inclusive 

work environment, and provided an overview of the tools and resources available to 
ANNUAL NO FEAR ACT REPORT TO CONGRESS FOR FY 2020 Page 12

FDIC supervisors to effectively respond to reasonable accommodation requests 

from employees. 

 “Unconscious Bias.” This webinar provided insight and opportunities to discuss 

and explore unconscious bias; explained how to identify the ways unconscious bias 

manifests itself in the workplace; discussed the business impact of possible 

unconscious filters, preferences, and patterns on how individuals view and assess 

others; and explained how to recognize and combat unconscious bias that impacts 

interactions and decision-making.

 “Micro Triggers – Little Things, Big Impact.” This webinar explored the impact of 

Micro Triggers on individuals, team dynamics, and productivity; identified the skills 

to help minimize the impact of micro-inequities in the workplace; and provided an 

opportunity for participants to share, via chat, some of their personal experiences.

In collaboration with Corporate University, OMWI continued to revise the EEO training for 

managers and supervisors. The training provides participants information regarding EEO 

policies and procedures, their role and responsibilities in the EEO process, and what 

constitutes sexual harassment. 

OMWI continued to participate in the FDIC’s new employee orientation to ensure all 

employees are aware of their EEO rights and responsibilities, are familiar with the OMWI 

staff, and are knowledgeable about the agency’s resources for Equal Opportunity.

In addition, OMWI personnel responsible for administering the EEO complaint process 

received EEOC mandatory training (EEO Counseling and Investigations), and relevant legal 

updates and guidance. 

Actions Planned 

All of the actions described above have enhanced the FDIC’s ability to create a more 

inclusive environment and promote a workplace that is free of discrimination. We will 

continue to invest in these initiatives in 2021. In addition, the FDIC plans to also focus on 

the following in 2021:

EEO Program 

OMWI will collaborate with the Legal Division to finalize OMWI’s Internal Conflict 

Complaint Process policy. We will revise and implement the Legal Division’s internal 

standard operating procedures for processing conflict complaints, and we will update the 

procedures and contract requirements to improve the timeliness of investigations 

performed by outside contractors and other governmental agencies.
ANNUAL NO FEAR ACT REPORT TO CONGRESS FOR FY 2020 Page 13

OMWI will enhance the accuracy and efficiency of EEO complaint data monitoring, tracking,

and reporting by continuing our implementation of the iComplaints database and 

maintaining robust internal controls related to data tracking and monitoring.

OMWI will continue to meet with the FDIC Chief Human Capital Officer to ensure that 

personnel programs, policies, and procedures conform to EEO laws, guidance, and 

management directives.

Barrier Analysis

The FDIC will continue to focus on collecting and analyzing various workforce data to 

comply with the EEOC’s guidelines for a model Equal Opportunity program, particularly by 

incorporating mechanisms for identifying triggers, analyzing barriers, and developing 

actions plans to eliminate barriers. The FDIC will evaluate possible barriers for groups that 

show low participation rates in the workforce, particularly identifying barriers to the 

advancement of minorities and women to senior management, Hispanic representation 

throughout the agency, and effective hiring of persons with disabilities.

OMWI will review feedback from employee surveys, exit interviews, listening sessions, and 

training to identify opportunities for improvement of the EEO program.

Policies 

OMWI will continue its efforts to update and implement FDIC policies and procedures with 

respect to equal opportunity, including the following circulars and directives:

 2710.1 - Equal Opportunity Policy

 2710.2 - EEOC Discrimination Complaint Process 

 2710.3 - Anti-Harassment Program

 2710.4 - FDIC Discrimination Complaint Process 

 2710.5 – Reasonable Accommodation Program

 2710.7 – Collection and Maintenance of EEO Statistics

 2710.8 – Chairman’s Diversity Advisory Council (CDAC)

 2710.10 – Employee Resource Group (ERG) Program

 2710.12 - Non-Discrimination in FDIC Conducted Education and Training Programs 

and Outreach Activities 

 2710.15 - Accessibility to FDIC Programs and Activities 

Training 

OWMI will conduct training to increase awareness among employees, managers, and 

supervisors regarding how to prevent sexual harassment in the workplace. In 

collaboration with Corporate University, OMWI will also update the EEO and Diversity 

training for managers and supervisors.
ANNUAL NO FEAR ACT REPORT TO CONGRESS FOR FY 2020 Page 14

Based on the most-filed EEO bases and issues, OMWI will provide anti-harassment training

for all employees, and collaborate with Corporate University to provide training to 

supervisors and managers that offers proactive approaches to resolving issues stemming 

from alleged violations of personnel policies and practices, including performance 

management and hiring/promotion.

OMWI will also revise the No FEAR Act online training to include any No FEAR Act updates, 

and include additional EEO information focusing on noted complaint trends for the next 

training cycle.

FDIC No FEAR Act Training Plan 

The FDIC has included the “No FEAR Act” training course in its Learning Management 

System, pursuant to the requirements of the No FEAR Act training plan. The online training 

course provides instruction on all topics required by the No FEAR Act, and satisfies the 

initial and biennial training requirements of the No FEAR Act. 

New FDIC employees are advised during the new employee orientation program of the 

requirement to complete the No FEAR Act training within 90 days of hire. OMWI continues 

to work with Human Resources and Corporate University to ensure that all new employees 

receive the mandatory No FEAR Act training.
APPENDIX A

CHAIRMAN EEO POLICY STATEMENT
EQUAL EMPLOYMENT OPPORTUNITY POLICY STATEMENT

October 22, 2020 

When I joined the FDIC two years ago, I affirmed my commitment to a workforce that is diverse and inclusive,

reflecting the communities we serve, and respecting the value and contributions of all employees. Since then, 

we have steadily increased diversity across the organization, but the journey to truly eliminate inequality

continues. 

I welcome this opportunity to reaffirm my commitment to the principles of equal opportunity, nondiscrimination, diversity and inclusion (D&I), and equal access for all individuals across all our activities.

The FDIC will continue its work to uphold equal opportunity for all employees and applicants for employment 

regardless of race, religion, color, sex (including pregnancy, gender identity, and sexual orientation), national 

origin, disability, age, and genetic information.

This commitment will be reflected in all of the FDIC’s personnel and employment programs, management 

practices, and decisions, including our recruitment and hiring; promotions, transfers, and reassignments; 

training and career development; benefits; and more. We will provide reasonable accommodations to 

employees and applicants with disabilities, and for religious observances and practices, to ensure a fair and 

level playing field for all.

The FDIC does not tolerate discrimination, harassment (including sexual harassment), or retaliation, and 

every allegation of these unlawful behaviors is taken seriously. FDIC managers and supervisors must address 

harassment allegations immediately and appropriately.

Employees should avail themselves of the resources available, including the EEO complaint process, if they 

are being treated unfairly. Retaliation against individuals for their participation in the EEO complaint process 

or opposition to discriminatory practices is prohibited. 

Earlier this year, I announced a number of specific initiatives we have undertaken to increase diversity in our 

workforce and our leadership, to create a culture of excellence that supports and sustains high performance, 

to educate all employees on the importance of D&I, and to identify and eliminate barriers to successfully 

meeting our strategic D&I objectives. This work will continue and as we cultivate an FDIC that is accessible, 

inclusive, and diverse—that treats everyone with dignity and respect and embraces our differences.

For more information on the FDIC’s Equal Opportunity Policy and the Anti-Harassment Program, I encourage 

you to read Circular 2710.1 and Circular 2710.3. Bargaining unit employees may wish to review the grievance 

procedures included in the FDIC-NTEU Collective Bargaining Agreement related to equal employment 

opportunity.

__________________________________

Jelena McWilliams

Chairman
APPENDIX B

SUMMARY OF FDIC COMPLAINT DATA
APPENDIX B1

Federal Court Data
Appendix B-1: Summary Complaint Data-Federal Court Data

FEDERAL CASES PENDING in FY 2020 

Cases pending at any time during the year, including those filed 

during the year, and those disposed of during the year. the year, and those disposed of during the year 

Pending District Court Cases 7

Pending Appellate Court Cases 0

New Cases Filed in District Court 5

ALLEGING A VIOLATION OF

Antidiscrimination Laws Whistleblower Protection Laws

5 USC 29 USC 42 USC 5 USC 

§ 2302(b)(1) § 2302(b)(9) § 206(d) § 631 §633a § 791 § 2000e-16

§ 2302(b)

(8)

§ 2302(b)

(9)

0 0 1 0 0 0 1 0 0

1 1 0 0 2 3 5 1 1

0 0 0 0 0 0 1 0 0

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0

0 0 1 0 0 0 1 0 0

0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0

1. Pending Cases

Disposed of during FY020

Still pending at end of FY2020

2. Disposition of Cases (including dismissals)

Settlements

Withdrawals

Final Judgment for Complainant

Final Judgment for Agency

Reimbursement to Judgment Fund

Remand of appellate cases to District Court

Reimbursement toJudgment Fund For Attorney’s

Fees (where separately designated) 0 0 0 0 0 0 0 0 0

3. Number of Employees Disciplined In Connection With Federal Court Litigation For Violating Antidiscrimination and Whistleblower Protection Laws

Reprimand 0 0 0 0 0 0 0 0 0

Suspension without pay 0 0 0 0 0 0 0 0 0

Reduction in grade or pay 0 0 0 0 0 0 0 0 0

Removal 0 0 0 0 0 0 0 0 0

4. Aggregate Number of Employees Disciplined In Accordance With FDIC Policies for Conduct That Is Inconsistent With Federal Anti-discrimination Laws And

Whistleblower Protection Laws Whether Or Not In Connection With Federal Court Litigation

Reprimand 0

Suspension without pay 0

Reduction in grade or pay 0

Removal 0
APPENDIX B2

EEO DATA POSTED PURSUANT to the No FEAR Act
No FEAR Act EEO Data

Data as of 10/30/2020

Complaint Activity

Complaint Activity 2015 2016 2017 2018 2019

FY2020

YTD

Number of Complaints Filed 33 40 30 33 43 31

Number of Complainants 29 34 28 30 39 30

Repeat Filers 4 4 2 3 3 1

Complaints by Basis

Note: Complaints can be filed

alleging multiple bases. The sum of

the bases may not equal total

complaints filed. 2015 2016 2017 2018 2019

FY2020

YTD

Race 17 23 17 14 23 15

Color 6 11 3 2 5 4

Religion 1 3 0 0 3 3

Reprisal 18 18 14 21 22 17

Sex 15 20 17 12 21 12

PDA 0 1 1 0 0 0

National Origin 7 9 3 2 7 3

Equal Pay Act 0 0 3 0 1 0

Age 12 24 10 12 18 12

Disability 10 10 12 15 13 7

Genetic Information 1 0 0 0 0 0

Non-EEO 5 4 3 2 3 2

Number of Complaints Alleging Each Type of Claim

Note: Complaints can be filed

alleging multiple issues. The sum of

the issues may not equal total

complaints filed. 2015 2016 2017 2018 2019

FY2020

YTD

Appointment/Hire 4 8 3 3 3 3

Assignment of Duties 6 6 5 4 7 3

Awards 2 1 0 2 1 1

Conversion to Full-time 0 0 0 0 0 0

Disciplinary Action

 Demotion 0 0 0 2 1 1

 Warning 0 0 4 7 2 1

 Reprimand 0 0 1 1 0 2

 Removal 0 0 0 1 4 3

 Suspension 3 0 1 1 1 0
 Other 4 8 2 0 0 0

Duty Hours 0 0 0 0 1 0

Evaluation Appraisal 9 8 10 12 10 6

Examination Test 1 1 0 0 0 0

Harassment

 Non-Sexual 8 13 15 12 14 6

 Sexual 0 0 1 3 1 4

Medical Examination 0 0 0 0 0 0

Pay (Including Overtime) 3 2 3 0 3 0

Promotion Non-Selection 7 11 7 10 12 9

Reassignment

 Denied 4 1 0 2 2 1

 Directed 1 1 2 1 0 0

Reasonable Accommodation 2 2 4 5 3 2

Reinstatement 0 0 0 0 0 0

Religious Accommodation 0 0 0 0 0

Retirement 0 0 0 1 0 0

Sex Stereotyping 0 0 0 0 0

Telework 0 4 5 4 1

Termination 4 2 3 2 4 3

Terms/Conditions of Employment 4 2 8 8 14 8

Time and Attendance 2 6 9 8 7 2

Training 1 2 4 5 3 2

Other 9 8 2 0 0 0

Processing Time

2015 2016 2017 2018 2019

FY2020

YTD

Complaints pending during fiscal year

 Average number of days

 in investigation 178 179 197 187 201 200

 Average number of days

 in final action 45 40 38 32 36 41

Complaints pending during fiscal year where hearing was requested

 Average number of days

 in investigation 190 193 213 195 202 201

 Average number of days

 in final action 33 34 11 27 22 39

Complaints pending during fiscal year where hearing was not requested

 Average number of days

 in investigation 148 172 173 165 197 199

 Average number of days

 in final action 48 45 48 39 67 38

Complaints Dismissed by Agency

FY2020
2015 2016 2017 2018 2019 YTD

Total Complaints Dismissed by

Agency 6 3 8 2 3 2

Average Days pending prior to

dismissal 96 517 360 128 103 109

Complaints Withdrawn by Complainants

2015 2016 2017 2018 2019

FY2020

YTD

Total Withdrawn by Complainants 2 3 0 8 0 1

Total Final Actions Finding Discrimination

2015 2016 2017 2018 2019

FY2020

YTD

Total Number of Findings 1 0 0 0 1 0

Without Hearing 0 0 0 0 1 0

With Hearing 1 (100%) 0 0 0 0 0

Findings of Discrimination Rendered by Basis

Note: Complaints can be filed

alleging multiple Bases. The sum of

the bases may not equal total

complaints filed. 2015 2016 2017 2018 2019

FY2020

YTD

Total Number of Findings 1 0 0 0 1 0

 Race 0 0 0 0 0 0

 Color 0 0 0 0 0 0

 Religion 0 0 0 0 0 0

 Reprisal 1 (100%) 0 0 0 0 0

 Sex 0 0 0 0 0 0

 National Origin 0 0 0 0 0 0

 Equal Pay Act 0 0 0 0 0 0

 Age 0 0 0 0 0 0

 Disability 0 0 0 0 1 0

 Genetic Information 0 0 0 0 0 0

 Non-EEO 0 0 0 0 0 0

Findings After Hearing 1 0 0 0 0 0

 Race 0 0 0 0 0 0

 Color 0 0 0 0 0 0

 Religion 0 0 0 0 0 0

 Reprisal 1 (100%) 0 0 0 0 0

 Sex 0 0 0 0 0 0

 National Origin 0 0 0 0 0 0

 Equal Pay Act 0 0 0 0 0 0

 Age 0 0 0 0 0 0

 Disability 0 0 0 0 0 0
 Genetic Information 0 0 0 0 0 0

 Non-EEO 0 0 0 0 0 0

Findings Without Hearing 0 0 0 0 1 0

 Race 0 0 0 0 0 0

 Color 0 0 0 0 0 0

 Religion 0 0 0 0 0 0

 Reprisal 0 0 0 0 0 0

 Sex 0 0 0 0 0 0

 National Origin 0 0 0 0 0 0

 Equal Pay Act 0 0 0 0 0 0

 Age 0 0 0 0 0 0

 Disability 0 0 0 0 1 0

 Genetic Information 0 0 0 0 0 0

 Non-EEO 0 0 0 0 0 0

Findings of Discrimination Rendered by Issue

2015 2016 2017 2018 2019

FY2020

YTD

Total Number of Findings 1 (100%) 0 0 0 1 0

Appointment/Hire 0 0 0 0 0 0

Assignment of Duties 0 0 0 0 0 0

Awards 0 0 0 0 0 0

Conversion to Full-time 0 0 0 0 0 0

Disciplinary Action

 Demotion 0 0 0 0 0 0

 Reprimand 0 0 0 0 0 0

 Suspension 0 0 0 0 0 0

 Removal 0 0 0 0 0 0

 Other 1 (100%) 0 0 0 0 0

Duty Hours 0 0 0 0 0 0

Evaluation Appraisal 0 0 0 0 0 0

Examination Test 0 0 0 0 0 0

Harassment

 Non-Sexual 0 0 0 0 0 0

 Sexual 0 0 0 0 0 0

Medical Examination 0 0 0 0 0 0

Pay Including Overtime 0 0 0 0 0 0

Promotion Non-Selection 0 0 0 0 0 0

Reassignment

 Denied 0 0 0 0 0 0

 Directed 0 0 0 0 0 0

Reasonable Accommodation 0 0 0 0 0 0

Reinstatement 0 0 0 0 0 0
Retirement 0 0 0 0 0 0

Termination 0 0 0 0 0 0

Terms/Conditions of Employment 0 0 0 0 1 0

Time and Attendance 0 0 0 0 0 0

Training 0 0 0 0 0 0

Other - User Defined 0 0 0 0 0 0

Findings After Hearing 1 0 0 0 0 0

Appointment/Hire 0 0 0 0 0 0

Assignment of Duties 0 0 0 0 0 0

Awards 0 0 0 0 0 0

Conversion to Full-time 0 0 0 0 0 0

Disciplinary Action

 Demotion 0 0 0 0 0 0

 Reprimand 0 0 0 0 0 0

 Suspension 0 0 0 0 0 0

 Removal 0 0 0 0 0 0

 Other 1 (100%) 0 0 0 0 0

Duty Hours 0 0 0 0 0 0

Evaluation Appraisal 0 0 0 0 0 0

Examination Test 0 0 0 0 0 0

Harassment

 Non-Sexual 0 0 0 0 0 0

 Sexual 0 0 0 0 0 0

Medical Examination 0 0 0 0 0 0

Pay Including Overtime 0 0 0 0 0 0

Promotion Non-Selection 0 0 0 0 0 0

Reassignment

 Denied 0 0 0 0 0 0

 Directed 0 0 0 0 0 0

Reasonable Accommodation 0 0 0 0 0 0

Reinstatement 0 0 0 0 0 0

Retirement 0 0 0 0 0 0

Termination 0 0 0 0 0 0

Terms/Conditions of Employment 0 0 0 0 0 0

Time and Attendance 0 0 0 0 0 0

Training 0 0 0 0 0 0

Other - User Defined 0 0 0 0 0 0

Findings Without Hearing 0 0 0 0 1 0

Appointment/Hire 0 0 0 0 0 0

Assignment of Duties 0 0 0 0 0 0

Awards 0 0 0 0 0 0

Conversion to Full-time 0 0 0 0 0 0
Disciplinary Action

 Demotion 0 0 0 0 0 0

 Reprimand 0 0 0 0 0 0

 Suspension 0 0 0 0 0 0

 Removal 0 0 0 0 0 0

 Other 0 0 0 0 0 0

Duty Hours 0 0 0 0 0 0

Evaluation Appraisal 0 0 0 0 0 0

Examination Test 0 0 0 0 0 0

Harassment

 Non-Sexual 0 0 0 0 0 0

 Sexual 0 0 0 0 0 0

Medical Examination 0 0 0 0 0 0

Pay Including Overtime 0 0 0 0 0 0

Promotion Non-Selection 0 0 0 0 0 0

Reassignment

 Denied 0 0 0 0 0 0

 Directed 0 0 0 0 0 0

Reasonable Accommodation 0 0 0 0 0 0

Reinstatement 0 0 0 0 0 0

Retirement 0 0 0 0 0 0

Termination 0 0 0 0 0 0

Terms/Conditions of Employment 0 0 0 0 1 0

Time and Attendance 0 0 0 0 0 0

Training 0 0 0 0 0 0

Other - User Defined 0 0 0 0 0 0

Pending Complaints Filed in Previous Fiscal Years by Status

2015 2016 2017 2018 2019

FY2020

YTD

Total Complaints from previous

Fiscal Years 41 34 49 41 32 25

Total Complainants 35 28 37 34 27 22

Number of Complaints Pending

 Investigation 0 0 0 0 0 0

 ROI issued, pending

Complainant's action 0 1 0 1 0 0

 Hearing 41 31 46 36 28 25

 Final Action 0 3 0 4 4 0

 Appeal 14 24 11 4 11 15

Complaint Investigations

2015 2016 2017 2018 2019

FY2020

YTD

Pending Complaints Where
Investigations Exceed Required

Time Frames

0 0 0 0 1 0
APPENDIX C

FDIC POLICIES RELATING TO ANTI-DISCRIMINATION
APPENDIX C-1

CIRCULAR 2710.1 – Equal Opportunity Policy
~n~r ~~~ TYPE AND NUMBER

Circular 2710.1

CONTACT TELEPHONE NUMBER

FEDERAL DEPOSIT INSURANCE CORPORATION 

Melodee Brooks (703) 562-6225

DATE

DATE OF CANCELLATION (Bulletins Only)

TO: All Employees and Contr c s

FROM: Segundo Pereira

Director, Office of ion and Women Inclusion

SUBJECT: EqualOpportunit Policy

1. Purpose To state the Federal Deposit Insurance Corporation's (FDIC)

commitment to equal opportunity, afFirmative employment, and

diversity and inclusion principles. Also, to affirm the policy

prohibiting discriminatory practices in the FDIC workplace and in

any of its programs or activities and to promote the fair inclusion

of minority and women-owned businesses (MWOBs) and small

disadvantaged businesses (SDBs) in procurement opportunities

and business activities at all levels.

:~s~s.'~a~~~ 

,

~#tta~satt~»ae.. ~ ~e ~~ ~ .s1~~.. ' .~:~., ~r«~~.i~~~~ ~ .~:, ~~~~;3;~~.' a a ~~dia~i~,~~ r ~a~.~~~iit.~~at~~M~a~~~'~Yd'~.~ ~~~'a ~' a.... ~~t~l~~i'; 1~.: a .~.... is fi

2. Revision FDIC Circular 2710.1, Corparation's Policy on Equal Opportunity,

dated October 19, 2010, is hereby revised and superseded.

3. Scope This Circular applies to all employees, applicants for employment,

and persons doing business, with or for the FDIC.

4. Background The FDIC is committed to the principles of equal opportur~ity in all

of its programs, policies, and practices and promotes diversity

and inclusion in its workforce as well as in its programs and

activities. The Director, Office of Minority and Women Inclusion

(OMWI), has the delegated responsibility for the FDIC diversity

and inclusion, civil rights, and minority and women outreach

programs° These programs ensure that the FDIC workplace is

inclusive, free from unlawful discrimination and harassment, and

provides equal opportunity and access to all employment and

business activities.

5. Policy It is the policy of the FDIC to prohibit discrimination and

harassment in its workplace and in all of its programs and

activities based on race, color, religion, sex (including pregnancy,

FDIC 1212/03 (6-99)
Circular 2710.1 2 November 20, 2015

Policy (cont.) equal pay, gender identity, and sexual orientation), national 

origin, disability (physical and/or mental), age (40 years or older), 

genetic information (information about an individual’s genetic 

tests; or information about the genetic tests, or the manifestation 

of a disease or disorder in the individual’s family members),

status as a parent, and retaliation (for participating in the EEO 

complaint process or opposing discriminatory practices).

All employees have a responsibility to implement this policy by 

their conduct, decisions, and actions. Further, every effort shall

be made to resolve complaints at the lowest level possible. 

The FDIC is fully committed to removing any unlawful, or 

otherwise prohibited discrimination from its employment and 

personnel policies, procedures, programs, practices, and 

operations. All aspects of personnel operations, (including 

recruitment, hiring, promotions, training, awards, reorganizations, 

and retention of employees) shall be conducted consistent with 

equal employment opportunity principles, FDIC policies, 

applicable Federal laws, regulations, and executive orders. 

Any unlawful or improper conduct that undermines the FDIC’s 

efforts to prohibit discrimination will not be tolerated. Employees 

who commit such acts of prohibited discrimination may be subject 

to disciplinary action up to and including termination from 

employment. Moreover, supervisors or managers who fail to take 

appropriate disciplinary action against subordinates who commit 

acts of prohibited discrimination, including retaliation against or 

harassment of employees who engage in activity protected by 

this policy statement, are also subject to disciplinary action.

It is the policy of the FDIC to promote diversity in its workforce 

and inclusion in all of its programs and activities and provide 

employees with a work environment that embodies excellence 

and that acknowledges and honors the diversity of its employees. 

The FDIC is fully committed to utilizing consistent standards and 

procedures to ensure the fair inclusion and utilization of MWOBs 

and SDBs in FDIC procurement opportunities and business

activities, to the maximum extent possible.

6. Authorities The sources of authority for the FDIC’s equal opportunity policy 

may be found in the following Federal statutes, regulations, and 

executive orders:

a. Federal Statutes

(1) Title VII of the Civil Rights Act of 1964, as amended,

makes it unlawful for a Federal employer to discriminate

against an employee (or applicants for employment) based on
Circular 2710.1 3 November 20, 2015

Authorities (cont.) race, color, religion, sex (including pregnancy), national origin, 

or retaliation, 42 U.S.C. §2000e-16;

(2) Equal Pay Act of 1963, as amended, protects men and

women who perform substantially equal work within the same

organization from sex-based wage discrimination, 29 U.S.C.

§206(d);

(3) The Rehabilitation Act of 1973, as amended, makes it

unlawful to discriminate or retaliate against qualified

individuals with disabilities including Federal employees,

applicants for employment or the public and requires Federal

agencies to provide reasonable accommodations and

accessibility to all FDIC programs and activities including

employment and facilities, 29 U.S.C. §791;

(4) The Age Discrimination in Employment Act of 1967, as

amended, makes it unlawful to discriminate or retaliate against

an employee (or applicant for employment) who is 40 years of

age or older, 29 U.S.C. §621;

(5) Section 1216(a) and (c) of the Financial Institutions

Reform, Recovery, and Enforcement Act of 1989, as

amended, applies Executive Order 11478, as amended, to the

FDIC, 12 U.S.C. §1833e(a) and provides for a Minority and

Women Outreach Program to ensure inclusion, to the

maximum extent possible, of minorities and women, and

entities owned by minorities and women in all contracts

entered into by the FDIC;

(6) Titles I and V of the Americans with Disabilities Act of

1990, as amended, define “a qualified individual with a

disability” for purposes of the Rehabilitation Act of 1973, as

amended, and excludes individuals engaged in the illegal use

of drugs, 42 U.S.C. §§12102, 12114;

(7) Civil Rights Act of 1991, as amended, provides monetary

damages for employees (and applicants for employment) in

cases of intentional employment discrimination based on race,

color, religion, sex, sexual harassment, national origin, or

disability, 42 U.S.C. §1981a;

(8) Notification and Federal Employee Antidiscrimination and

Retaliation Act of 2002, (the No FEAR Act) requires each

Federal agency to post summary statistical data pertaining to

complaints of employment discrimination filed against it by

employees and applicants for employment, 5 U.S.C. §2301;

(9) Americans with Disabilities Act Amendments Act of 2008,

expands the definition of a disability by reinstating a broad

scope of protection to be available under the Americans with
Circular 2710.1 4 November 20, 2015

Authorities (cont.) Disabilities Act, 42 U.S.C. §12101; 

(10) Title II of the Genetic Information Nondiscrimination Act 

of 2008, makes it unlawful for an employer to discriminate 

against an employee (or applicants for employment) based on 

genetic information (information about an individual’s genetic 

tests; or information about the genetic tests, or the 

manifestation of a disease or disorder in the individual’s family 

members, 42 U.S.C. §2000ff;

(11) Section 342 of the Dodd-Frank Wall Street Reform and 

Consumer Protection Act of 2010, provides for the 

development of standards for equal employment opportunity 

in the FDIC workforce, increased participation of MWOBs in 

FDIC programs and activities, and assessing the diversity 

policies and practices of entities regulated by the FDIC.

b. Federal Regulations

(1) 5 C.F.R. Part 724, U.S. Office of Personnel 

Management’s No FEAR Act notice posting and training 

requirements;

(2) 12 C.F.R. Part 361, FDIC’s minority and women outreach 

program contracting guidelines;

(3) 12 C.F.R. Part 352, FDIC’s nondiscrimination on the basis 

of disability guidelines;

(4) 29 C.F.R. Part 1604, Equal Employment Opportunity 

Commission’s (EEOC) sex discrimination guidelines;

(5) 29 C.F.R. Part 1605, EEOC’s religious discrimination 

guidelines; 

(6) 29 C.F.R. Part 1606, EEOC’s national origin

discrimination guidelines; and 

(7) 29 C.F.R. Part 1614, EEOC’s federal sector EEO 

guidelines including No FEAR Act public website postings.

c. Executive Orders. These are orders issued by the President 

pursuant to the Constitution and other Federal statutes which 

may be applicable to the FDIC. 

(1) Executive Order 11478 (1969), as amended, prohibits 

discrimination against Federal employees (and applicants for 

employment) based on race, color, religion, sex, age , national 

origin, disability, sexual orientation, gender identity, or status 

as a parent;

(2) Executive Order 13087 (1998), prohibits discrimination 
Circular 2710.1 5 November 20, 2015

Authorities (cont.) against Federal employees (and applicants for employment) 

based on sexual orientation;

(3) Executive Order 13145 (2000), prohibits discrimination

against Federal employees (and applicants for employment)

based on genetic information;

(4) Executive Order 13152 (2000), prohibits discrimination

against Federal employees (and applicants for employment)

based on the individual’s status as a parent;

(5) Executive Order 13160 (2000), prohibits discrimination

based on race, color, religion, sex, national origin, disability,

age, sexual orientation, or status as a parent in federally

conducted education and training programs;

(6) Executive Order 13163 (2000), increases employment

opportunities in the Federal Government for 100,000

individuals with disabilities;

(7) Executive Order 13164 (2000), requires Federal agencies

to establish procedures to facilitate the provision of

reasonable accommodation for individuals with disabilities;

(8) Executive Order 13166 (2000), improves access to

Federal programs and activities for persons with limited

English proficiency;

(9) Executive Order 13171 (2000), improves the

representation of Hispanics in Federal employment;

(10) Executive Order 13548 (2010), increases Federal

employment of individuals with disabilities; and

(11) Executive Order 13583 (2011), requires Federal

agencies to develop and implement a more comprehensive,

integrated, and strategic focus on diversity and inclusion.

7. Accountability and

Monitoring

Each Division and Office has a continuing responsibility to identify 

and implement strategies for achieving and maintaining a diverse 

workforce at all levels. These strategies shall be developed in 

concert with OMWI and the Division of Administration (DOA), 

Human Resources Branch, consistent with the FDIC’s Affirmative 

Employment Program, whenever it has been determined that a 

statistically significant imbalance exists in a Division or Office 

work force. Each division and office must review its workforce 

statistics at least annually and adjust its strategies as appropriate.

Managers and supervisors must work toward developing and 

implementing positive initiatives that achieve measurable results
Circular 2710.1 6 November 20, 2015

Accountability and 

Monitoring (cont.)

with regard to workforce diversity and contracting. Managers and

supervisors are assessed regarding their performance in these 

areas.

An assessment of the workforce profile will be prepared and 

disseminated annually by OMWI to Division and Office Directors 

and to the Office of the Chairman. Upon availability of contract 

management data, the Acquisition Services Branch, DOA, will

prepare quarterly statistical charts on the use of MWOBs and 

SDBs for contracting and disseminate this information to the 

Office of the Chairman and to Division and Office Directors. 

8. Guidelines and

Procedures

a. The procedures for initiating and processing EEOC complaints

of alleged employment discrimination are contained in FDIC

Circular 2710.2, EEOC Discrimination Complaint Process.

b. The procedures for initiating and processing FDIC complaints

of alleged employment discrimination are contained in FDIC

Circular 2710.4, FDIC Discrimination Complaint Process.

c. The procedures for initiating a complaint of harassment

discrimination are contained in FDIC Circular 2710.3, AntiHarassment Program.

d. The FDIC’s Equal Employment Opportunity Program ensures

equal access to employment for all qualified individuals through

the implementation of the EEOC’s Management Directive 715,

and the U.S. Office of Personnel Management’s Disabled

Veterans Affirmative Action Program. These programs assist in

the identification and elimination of barriers to recruitment, hiring,

retention, and promotion of women, minorities, individuals with

disabilities, and disabled veterans.

e. The procedures for providing reasonable accommodation to

individuals with disabilities are contained in FDIC Circular 2710.5,

Procedures for Providing Reasonable Accommodation to

Individuals with Disabilities.

f. Information on the FDIC’s Contracting Outreach Program is

available in FDIC Circular 3700.16, FDIC Acquisition Policy

Manual (APM) and the FDIC’s Guide for Outside Counsel.

g. The FDIC’s Minority and Women Outreach Program may be

amended from time to time to establish rules and strategies for

achieving diversity in the awarding of contracts to MWOBs and

SDBs. See 12 C.F.R. Part 361, § 342 Dodd-Frank Act, and FDIC

Circular 2710.14, Corporate Outreach Program.
Circular 2710.1 7 November 20, 2015

9. Principal OMWI

Officials

Questions relating to complaint processing, Affirmative 

Employment, Diversity and Inclusion, and/or the Minority and 

Women Outreach Program:

a. Chief, Complaints Processing Branch

(703) 562-6073 or for TTY (703) 562-2473

b. Chief, Diversity and Affirmative Employment Section

(703) 562-6062

c. Chief, Minority and Women Business and Diversity and

Inclusion Branch (703) 562-2623

10. Effective Date The provisions of this Circular are effective immediately.
APPENDIX C-2

CIRCULAR 2710.3 – Anti-Harassment Program
 

 

 

FDl8 

I 

Pedestrian Changes effective 07/02/2020 

FEDERAL DEPOSIT INSURANCE CORPORATION 

DIRECTIVE SYSTEM 

TYPE AND NUMBER 

Circular 2710.3 

CONTACT TELEPHONE NUMBER 

Tony Pagano (703) 562-6062

DATE 

December 8, 2015 

DATE OF CANCELLATION (Bulletins Only) 

TO: All Employees and Contractors 

FROM: Segundo Pereira 

Director, Office of Minority and Women Inclusion 

SUBJECT: Anti-Harassment Program 

1. Purpose To document the Federal Deposit Insurance Corporation’s (FDIC) 

Anti-Harassment Program and outline the requirements for FDIC 

employees to report allegations of harassment. To describe 

managers' and supervisors' responsibilities to maintain a 

harassment-free workplace and to take prompt and effective 

action when allegations of harassment arise. Also, to identify roles 

and responsibilities for the coordination of anti-harassment efforts 

at FDIC, and provide guidance and instruction to FDIC supervisors 

and managers on receiving, coordinating, reviewing, processing, 

and resolving allegations of unlawful harassment. 

It is important that all employees understand FDIC’s policy 

prohibiting harassment and take all steps within their power to 

ensure that this form of discrimination does not exist in the FDIC. 

2. Revision FDIC Circular 2710.3, FDIC’s Anti-Harassment Program, dated 

February 4, 2015, is hereby revised and superseded. 

3. Scope The Anti-Harassment Program applies to all employees and 

covers harassment between supervisors and subordinates, 

between employees, by employees conducting business for the 

FDIC outside the workplace, and non-employees while 

conducting business in the FDIC’s workplace. 

The Anti-Harassment Program is implemented in accordance 

with the legal requirements of the applicable laws, regulations, 

and guidance promulgated by the U.S. Equal Employment 

Opportunity Commission (EEOC). 

FDIC 1212/03 (6-99) 
 

 

 

 

 

 

 

 

4. Background The FDIC is committed to providing its employees with a 

workplace that is free of harassment. The Director, Office of 

Minority and Women Inclusion (OMWI), has the delegated 

responsibility for the FDIC diversity and inclusion, civil rights, and 

minority and women outreach programs. These programs seek 

to ensure that the FDIC workplace is inclusive, free from unlawful 

discrimination and harassment, and provides equal opportunity 

and access to all employment and business activities. 

5. Definitions Terms used in this Circular are defined below: 

a. Anti-Harassment Program Coordinator. The designated

OMWI employee who is responsible for overseeing the

implementation of the Anti-Harassment Program.

b. Fact-Finder. An individual who may be assigned by the

Division of Administration (DOA), Human Resources Branch

(HRB), Labor and Employee Relations Section (LERS), to

conduct a prompt, independent, thorough, and impartial

investigation into an alleged harassment.

c. Harassment/Harassing Conduct. Whether in violation of

federal law or regulation, is defined as unwelcome verbal or

physical misconduct. Examples of harassing conduct prohibited

by the Anti-Harassment Program may include, but are not limited

to, the following:

(1) Threatening that rejection of sexual overtures will affect

assignments, appointments, promotions, transfers, or

evaluations;

(2) Belittling caricatures or objects depicting persons of a

particular race, national origin, religion, or other protected

class;

(3) Telling derogatory religious, racial, or ethnic jokes or

stories;

(4) Teasing, mimicking, or repeatedly commenting on an

individual’s disability, accent, or other protected class;

(5) Making offensive comments, jokes, or suggestions about

an employee’s gender;

(6) Making obscene or lewd comments, slurs, jokes, epithets,

suggestions, or gestures;

Circular 2710.3 2 December 8, 2015 
 

 

 

 

 

 

 

 

 

 

Definitions (cont.) (7) Commenting repeatedly on an employee’s body or sexual 

characteristics; 

(8) Displaying nude or sexually suggestive objects, pictures, 

images, or cartoons; 

(9) Continuing prohibited behavior after a co-worker has 

objected; 

(10) Laughing at, ignoring, or retaliating against an employee 

who raises a harassment allegation; or 

(11) Engaging in bullying, intimidating, or threatening 

behavior with respect to an individual’s protected class. 

d. Protected Class. An individual’s membership in a group 

characterized by race, color, religion, sex (including pregnancy, 

equal pay, gender identity and sexual orientation), national origin, 

disability, age, genetic information, status as a parent, or 

participation in protected activity under anti-discrimination 

statutes or Executive Orders. 

e. Unlawful Harassment/Hostile Work Environment. Involves 

discriminatory conduct on the basis of an individual’s membership 

in a protected class, where such conduct is so objectively 

offensive as to alter the conditions of the victim’s employment 

(i.e., the harassment culminates in a tangible employment action 

or was sufficiently severe or pervasive to create a hostile work 

environment). 

6. Authorities Unlawful Harassment is a form of discrimination that is prohibited 

under Title VII of the Civil Rights Act of 1964, as amended; the 

Rehabilitation Act, as amended; the Age Discrimination in 

Employment Act, as amended; and the Genetic Information 

Nondiscrimination Act of 2008. FDIC policy prohibits harassment 

pursuant to Executive Order 13087 (May 28, 1998), prohibiting 

discrimination in employment based on sexual orientation and 

Executive Order 13152 (May 2, 2000), prohibiting discrimination 

in employment based on status as a parent. 

7. Policy It is FDIC’s policy to strictly prohibit harassment in the workplace, 

including unlawful harassment in the workplace based on a 

prohibited basis: race, color, religion, gender (including sexual or 

nonsexual, pregnancy, gender identity or sexual orientation), 

national origin, disability (physical and/or mental), age (40 years 

or older), genetic information (information about an individual’s 

genetic tests, or the manifestation of a disease or disorder in the 

individual’s family members), status as a parent, and retaliation 

Circular 2710.3 3 December 8, 2015 
 

 

 

 

 

 

 

 

 

 

 

Policy (cont.) (for participating in the EEO complaint process or opposing 

discriminatory practices). 

The FDIC will not condone harassment in any form. Any 

employee who is found to have harassed anyone while 

conducting FDIC business shall be subject to disciplinary action, 

up to and including removal from FDIC employment. Managers 

and supervisors who participate in or fail to take immediate and 

appropriate action on reported incidents of harassment, or who 

retaliate against employees who report such incidents or who file 

harassment complaints, are also subject to appropriate (including 

disciplinary) action for failure to perform their managerial or 

supervisory duties. 

The FDIC will not tolerate retaliation against any employee for 

reporting harassment under this or any other non-discrimination 

policy or process. Neither will FDIC tolerate retaliation against 

any employee for assisting or participating in a fact-finding inquiry 

or investigation about a reported harassment. 

8. Roles and

Responsibilities

Specific roles and responsibilities pertaining to the AntiHarassment Program are as follows: 

a. Employees. It is the responsibility of every employee,

regardless of position, grade, or occupation to refrain from

engaging in harassing conduct. An employee can prevent or

eliminate harassment by:

(1) Examining his/her behavior on the job, or when

conducting FDIC business, by eliminating inappropriate

conduct;

(2) Supporting and meeting the requirements of the AntiHarassment Program; and

(3) Identifying and taking individual action to stop

inappropriate behavior by communicating directly and

immediately with the person(s) whose behavior is offensive, or

immediately bringing the matter to the attention of supervisory

or managerial officials, or in the case of unlawful harassment,

the Anti-Harassment Program Coordinator, OMWI.

Note: Employees must cooperate in any fact-finding inquiry or 

investigation regarding an allegation of harassment. 

b. Supervisors and Managers. It is the responsibility of all

supervisors and managers to maintain a work environment free of

harassment and to take all allegations of harassment seriously.

To this end, supervisors and managers are required to take

Circular 2710.3 4 December 8, 2015 
 

 

 

 

 

 

 

 

 

 

Roles and 

Responsibilities

(cont.) 

immediate action to assess whether or not the alleged 

harassment occurred. Supervisors and managers must: 

(1) Prevent and take appropriate action with respect to any

alleged prohibited conduct that can be construed as

harassment;

(2) Take prompt, appropriate, and effective action when

presented with an allegation of harassment; and

(3) Seek assistance in conducting an inquiry or investigation,

if necessary, and how best to correct the problem, by

consulting with:

(a) The Anti-Harassment Program Coordinator, OMWI;

and/or

(b) A Human Resources Specialist in LERS, HRB, DOA

(Note: Office of Inspector General (OIG) supervisors and 

managers should consult with the OIG Human Resources 

in the OIG); and/or 

(c) The Assistant General Counsel, any Senior or Field

Counsel, in the Labor, Employment & Administration

Section (LEAS), Legal Division.

c. Anti-Harassment Program Coordinator. The AntiHarassment Program Coordinator is responsible for:

(1) Coordinating program implementation with LERS, DOA;

LEAS, Legal Division, and other Divisions and Offices as

appropriate;

(2) Advising and providing technical assistance to managers

and supervisors in preventing and addressing allegations of

unlawful harassment;

(3) Monitoring the effectiveness of the Anti-Harassment

Program by maintaining information on the number of

allegations of unlawful harassment, bases for the allegations,

actions taken, and assessing trends and patterns to develop

prevention strategies;

(4) Recommending program changes to enhance the AntiHarassment Program;

(5) Working with other FDIC program officials to effectively

prevent and eliminate unlawful harassment in the workplace

through a continuing education program; and

Circular 2710.3 5 December 8, 2015 
 

 

 

 

 

 

 

 

 

Roles and 

Responsibilities

(cont.) 

(6) Ensuring that the Anti-Harassment Program policies and

procedures are posted on the OMWI website and publicized

throughout FDIC, including dissemination of the policy and

procedures to employees through written informational

materials.

d. Fact-Finder. The Fact-Finder is responsible for:

(1) Conducting an expedited investigation into the alleged

harassment;

(2) Preparing a report of factual findings, as necessary, and

submitting the report to the appropriate management official;

and

(3) Maintaining all documents collected relevant to the factfinding inquiry in accordance with FDIC Circular 1210.1, FDIC

Records and Information Management (RIM) Policy Manual.

9. Anti-Harassment

Complaint

Procedures

The procedures outlined in this Section will assist FDIC in 

fulfilling its obligations to: (a) prevent harassment before it 

becomes severe or pervasive; (b) conduct a prompt, thorough, 

and impartial inquiry or investigation into allegations of 

harassment; and (c) take prompt and appropriate corrective 

action when FDIC determines that harassing conduct has 

occurred. 

a. Initiator Action. Any employee who believes that he/she has

been subjected to harassment prohibited by this policy is

expected to report the matter immediately to:

(1) A supervisor or manager in his/her chain of supervision;

or

(2) The Anti-Harassment Program Coordinator, OMWI.

To the maximum extent possible, FDIC will protect the 

confidentiality of employees who allege harassment. Since FDIC 

cannot conduct an effective fact-finding inquiry or investigation 

without revealing certain information to the alleged harasser and 

potential witnesses, FDIC cannot guarantee complete 

confidentiality. However, FDIC will share information and records 

about the allegation only with those who have a need to know. 

b. Management Action. Upon receiving an allegation of

harassment or witnessing conduct that may be perceived as

harassment, the supervisor and/or manager (or other official to

whom the harassment was reported) must immediately assess

the situation to determine the severity of the alleged misconduct

Circular 2710.3 6 December 8, 2015 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

Anti-Harassment 

Complaint

Procedures (cont.) 

and whether any immediate interim corrective action is required 

to ensure that further prohibited harassment does not occur. 

Examples of such interim measures may include, but are not 

limited to: 

(1) Making schedule changes to avoid contact between the

parties;

(2) Transferring the alleged harasser; or

(3) Placing the alleged harasser on non-disciplinary leave

with pay pending the conclusion of the inquiry or

investigation.

It is important that the supervisor and manager (or other official to 

whom the harassment was reported) promptly consult with a 

Human Resources Specialist, LERS, DOA; the Anti-Harassment 

Program Coordinator, OMWI, and/or LEAS Assistant General 

Counsel or Senior or Field Counsel, Legal Division and request 

assistance in conducting a fact-finding inquiry, investigation, or 

other action (including interim measures), as appropriate. 

Management should ensure that the individual who conducts an 

inquiry will objectively gather the relevant facts. The alleged 

harasser should not have supervisory authority over the 

individual who conducts the inquiry and should not have any 

direct or indirect control over the inquiry. 

Where it is appropriate, an independent Fact-Finder will be 

assigned to conduct a prompt, thorough, and impartial 

investigation into the alleged harassment. The Fact-Finder will 

commence the investigation within five (5) business days of 

assignment. 

The Chief, LERS, DOA, will advise the Anti-Harassment Program 

Coordinator, OMWI that an investigation is being conducted for 

coordination purposes. 

Upon completion of the investigation, a report of findings may be 

prepared (as appropriate) and provided to the office requesting 

the investigation and/or to the person responsible for taking 

corrective action. 

c. Agency Action. The management official receiving the report

will review the results and determine, in consultation with the

Human Resources Specialist, LERS, DOA, the appropriate action

(including disciplinary) to be taken.

The responsible management official will take prompt and 

appropriate remedial measures, including disciplinary action; 

whenever it is determined that harassment has occurred in 

violation of this policy. Remedial measures should be designed 

Circular 2710.3 7 December 8, 2015 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Anti-Harassment 

Complaint

Procedures (cont.) 

to stop the harassment, correct its effects on the affected 

employee, and ensure that the harassment does not recur. The 

remedial measures need not be those that the affected employee 

requests or prefers, as long as they are effective. 

After the fact-finding inquiry or investigation is completed, the 

management official and/or Human Resources Specialist, LERS, 

DOA, will notify the employee raising the alleged harassment and 

the individual involved in the alleged harassing conduct, in 

writing, of the completion of the investigation, consistent with the 

Privacy Act. 

10. Relationship to

Other

Complaint

Procedures

The Anti-Harassment Program complaint procedures contained in 

this policy are separate and apart from the Federal EEOC 

Discrimination Complaint Procedures (FDIC Circular 2710.2) and 

the FDIC Discrimination Complaint Procedures (FDIC Circular 

2710.4). Allegations of harassment will be addressed as 

described in this policy with the intent of taking prompt and 

appropriate corrective action to eliminate harassing conduct. An 

inquiry or investigation conducted pursuant to the AntiHarassment Program may occur or continue, regardless of 

whether the employee has initiated the EEO complaint process. 

11. Training The OMWI conducts or provides training for managers, 

supervisors, and employees on the Anti-Harassment Program. 

The training includes information on the legal definition of 

unlawful harassment, conduct that constitutes harassment, the 

anti-harassment complaint process, and the responsibilities of 

employees, supervisors, and managers when an allegation of 

prohibited harassment has been reported. The training also 

reinforces FDIC’s policy against retaliation as a result of reporting 

or participating in a fact-finding inquiry or investigation regarding 

a reported allegation of prohibited harassment. 

12. Reporting

Requirements

The Anti-Harassment Program Coordinator, OMWI, will obtain 

information from LERS, DOA and/or LEAS, Legal Division on a 

quarterly basis on the number of unlawful harassment 

complaints, the bases and issues, and the actions taken. He/she 

will use the information to assess patterns and trends for 

identifying prevention methodologies and training needs for 

reporting purposes. 

Circular 2710.3 8 December 8, 2015 
 

13. Contacts Questions concerning the Anti-Harassment Program may be 

directed to the Anti-Harassment Program Coordinator at (703) 

562-6062, or the FDIC’s Complaints Processing Branch, OMWI

at (703) 562-6073 or for TTY (703) 562-2473, or by email at

AntiHarassment@fdic.gov.

14. Effective Date The provisions outlined in this Circular are effective immediately. 

Circular 2710.3 9 December 8, 2015 
APPENDIX C-3

CIRCULAR 2400.2 – Whistleblower Protection Rights
FDIC DIRECTIVE 2400.2

Arleas Upton Kea

Deputy to the Chairman and Chief Operating Officer

See approval(s) on Action Log

Whistleblower Protection Rights

PURPOSE

To inform employees of their rights and remedies under federal whistleblower protection 

laws.

SCOPE

This Directive applies to all current and former FDIC employees and applicants for 

employment at the FDIC. 

AUTHORITIES

 Civil Service Reform Act, Pub. L. No. 95-454, 92 Stat. 1111;

 Depository Institution Employee Protection Remedy (12 U.S.C. 1831j);

 Inspector General Act, as amended (5 U.S.C. Appendix 3, §§ 3(d), 7); and

 The Whistleblower Protection Act and the Whistleblower Protection Enhancement Act (5

U.S.C. 2302(b)(8)-(9)).

FORM(S)

None

REVISION(S) 

This Directive supersedes FDIC Circular 2400.1, Whistleblower Protection Rights, dated 

June 6, 2001.
Directive 2400.2 2 

Action Log

Submission Type

(New, Pedestrian Change, 

Revision)

Date Approved through Directives Management Center

Revision 07/16/2019 Arleas Upton Kea

Summary of Changes (if applicable)

This Directive has been updated to conform to the standard template and reflect 

updates by federal law. 
Directive 2400.2 3 

Table of Contents

Action Log.................................................................................................................................. 2

Summary of Changes (if applicable) .......................................................................................... 2

Table of Contents....................................................................................................................... 3

Background................................................................................................................................ 4

Policy ......................................................................................................................................... 5

A. Whistleblower Protection Act and Whistleblower Protection Enhancement Act (5

U.S.C. §§ 2302(b)(8)-(9))................................................................................................ 5

B. Depository Institution Employee Protection Remedy (12 U.S.C. § 1831j) ................. 5

C. Inspector General Act, as amended (5 U.S.C. Appendix 3, §§ 3, 7).......................... 6

Responsibilities .......................................................................................................................... 7

A. LERS Assistant Director ........................................................................................... 7

B. Whistleblower Protection Coordinator....................................................................... 7

C. Employees/Applicants .............................................................................................. 7

Appendix – Additional Information.............................................................................................. 9

Glossary of Terms.....................................................................................................................10

Glossary of Acronyms...............................................................................................................11
Directive 2400.2 4 

Background 

The Whistleblower Protection Act and the Whistleblower Protection Enhancement Act (5 U.S.C. 

§§ 2302(b)(8)-(9)) protect federal employees and applicants for employment from retaliatory

action or reprisal for whistleblowing and for engaging in certain protected activities.

The Depository Institution Employee Protection Remedy (12 U.S.C. § 1831j) addresses reprisal 

for whistleblowing activities and is subject to the procedures of the Civil Service Reform Act, 

Pub. L. No. 95-454, 92 Stat. 1111. 

The Inspector General Act, as amended (5 U.S.C. Appendix 3, §§ 3(d), 7) prohibits reprisal 

against any employee for making a complaint or disclosing information to an Inspector General

(IG) and requires each federal agency to designate a Whistleblower Protection Coordinator, 

located in the agency’s Office of Inspector General (OIG). 
Directive 2400.2 5 

Policy

A. Whistleblower Protection Act and Whistleblower Protection Enhancement Act (5 U.S.C.

§§ 2302(b)(8)-(9))

1. Whistleblower Protection Act

Under the Whistleblower Protection Act, a federal official or employee with authority to

take, direct others to take, recommend, or approve any personnel action must not use

that authority to take or fail to take, or threaten to take or fail to take, a personnel action

against an employee or applicant because of protected whistleblowing activities.

Whistleblowing is protected unless the disclosure is prohibited by law or required by

Executive Order to be kept secret for national security or foreign affairs reasons.

Disclosures prohibited by law or required to be kept secret under Executive Order may

lawfully be made to Congress, the Office of Special Counsel (OSC), the FDIC IG, or a

person designated by the Agency Head to receive such a disclosure. The designee for

the FDIC is the Division of Administration (DOA)/Labor and Employee Relations Section

(LERS) Assistant Director.

2. Whistleblower Protection Enhancement Act

Under the Whistleblower Protection Enhancement Act, a federal official or employee with

authority to take, direct others to take, recommend, or approve any personnel action

must not use that authority to take or fail to take, or threaten to take or fail to take, a

personnel action against an employee or applicant because that employee or applicant

filed a complaint, grievance, or appeal alleging retaliation for whistleblowing; for

testifying or lawfully assisting any individual with a complaint, appeal, or grievance right;

for cooperating with or disclosing information to the IG or the OSC in accordance with

the law; or for refusing to obey an order that would require the individual to violate law,

rule, or regulation.

B. Depository Institution Employee Protection Remedy (12 U.S.C. § 1831j)

Subject to the Civil Service Reform Act, 12 U.S.C. § 1831j states an employee of a federal

banking agency (including the FDIC) may not be discharged or discriminated against with

respect to compensation, terms, conditions or privileges of employment because the

employee (or an individual acting at the request of the employee) provided information to

any federal banking agency, Federal Home Loan Bank, Federal Reserve Bank, or to the

Attorney General regarding any possible violation of law or regulation, gross
Directive 2400.2 6 

mismanagement, a gross waste of funds, an abuse of authority, or a substantial and specific 

danger to public health or safety by a depository institution or any federal agency or Federal 

Home Loan Bank, Federal Reserve Bank, any director, officer, or employee of any 

depository institution or any Federal Home Loan Bank or Federal Reserve Bank, or any 

officer or employee of the FDIC.

C. Inspector General Act, as amended (5 U.S.C. Appendix 3, §§ 3, 7)

Under the Inspector General Act, any employee who has authority to take, direct others to

take, recommend, or approve any personnel action, shall not, with respect to such authority,

take or threaten to take any action against any employee as a reprisal for making a

complaint or disclosing information to an IG, unless the complaint was made or the

information was disclosed with the knowledge it was false or with willful disregard for its truth

or falsity.
Directive 2400.2 7 

Responsibilities

A. LERS Assistant Director

The LERS Assistant Director is designated as the FDIC official to receive disclosures

otherwise prohibited by law or required to be kept secret under Executive Order.

B. Whistleblower Protection Coordinator

The Whistleblower Protection Coordinator is designated by the IG to perform the following

functions:

1. Educates employees about prohibitions on retaliation for protected disclosures;

2. Educates employees who have made or are contemplating making a protected

disclosure about the rights and remedies against retaliation for protected disclosures;

3. Informs employees about the means by which they may seek review of any allegation of

reprisal for whistleblowing, as well as general information about the timeliness of such

cases, the availability of any alternative dispute mechanisms, and avenues for potential

relief;

4. Assists the IG in promoting the timely and appropriate handling and consideration of

protected disclosures and allegations of reprisal, to the extent practicable, by the IG; and

5. Does not act as a legal representative, agent, or advocate of the employee or former

employee.

C. Employees/Applicants

It is the responsibility of each employee of the FDIC to be familiar with the content of this

Directive and to understand his/her Whistleblower Protection Rights, and encourage an

environment that allows protected disclosures to be made and received without retaliation or

the threat of retaliation.

An individual who believes he or she was subjected to a covered personnel action in

retaliation for whistleblowing or other protected activity may elect one of three remedies

listed below:
Directive 2400.2 8 

1. An appeal to the Merit Systems Protection Board (MSPB) if the covered personnel

action is appealable to the Board;

2. A negotiated grievance if the individual is in the bargaining unit; or

3. A complaint filed with the OSC for investigation, if the covered personnel action is not

appealable to the Board. An employee may file an individual appeal with the MSPB after

the OSC completes the investigation.

An individual’s election is made when an individual files one of the three actions listed 

above.
Directive 2400.2 9 

Appendix – Additional Information

Questions regarding Whistleblower Protection Rights or filing procedures should be directed to

the:

1. Whistleblower Protection Coordinator in the OIG, at OIG Hotline

attn.: Whistleblower Protection Coordinator

1-800-964-FDIC

ighotline@fdicoig.gov;

2. Applicable Headquarters or Regional Labor and Employee Relations representative

(DOA Home > Human Resources > Labor & Employee Relations > Contacts); or

3. FDICnet at DOA Home > Human Resources > Whistleblowers.

Individuals also may contact the OSC at (800) 872-9855 or visit https://osc.gov for information 

regarding whistleblower disclosures and/or procedures for filing a complaint with the OSC.
Directive 2400.2 10

Glossary of Terms

Term Definition

Office of Special Counsel (OSC)

An independent investigative and prosecutorial agency 

within the Executive Branch that receives and 

investigates complaints alleging prohibited personnel 

practices, including those involving reprisal for 

whistleblowing. 

Whistleblowing

When a Federal employee or applicant for employment

discloses information which the individual reasonably 

believes evidences: 

 A violation of law, rule, or regulation;

 Gross mismanagement;

 A gross waste of funds;

 An abuse of authority; or

 A substantial and specific danger to public

health or safety.
Directive 2400.2 11

Glossary of Acronyms

Acronym Definition

DOA Division of Administration

IG Inspector General

LERS Labor and Employee Relations Section

MSPB Merit Systems Protection Board

OIG Office of Inspector General

OSC Office of Special Counsel
APPENDIX C-4

CIRCULAR 2750.1 – Disciplinary and Adverse Actions
FEDERAL DEPOSIT INSURANCE CORPORATION

DIRECTIVE SYSTEM

TYPE AND NUMBER

Circular 2750.1

CONTACT TELEPHONE NUMBER

Mary Laverty (703) 562-2171

DATE

January 22, 1999

DATE OF CANCELLATION (Bulletins Only)

TO: All Employees

FROM: John W. Lynn, Acting Director

Division of Administration (DOA)

SUBJECT: Disciplinary and Adverse Actions

1. Purpose. To establish policy and issue information and guidance 

on disciplinary and adverse actions, to include performance based 

actions, and their use at the FDIC.

2. Scope. This circular applies to all FDIC employees, including

both competitive service as well as excepted service employees, with

the exception of presidential appointees and re-employed annuitants.

The applicability of the provisions of this circular to bargaining

unit employees has been negotiated with the National Treasury

Employees Union (NTEU). Where the provisions of this circular differ

from the terms of other negotiated agreements with NTEU, the terms of

the NTEU negotiated agreements shall take precedence, provided they

conform to Federal law. Therefore, any other negotiated agreements

should be read in conjunction with this circular.

Note: The Office of Inspector General (OIG) is in the process of 

establishing a Personnel Services Office that will handle disciplinary 

and adverse actions involving OIG employees. Upon transfer of 

operational personnel authority to the OIG, actions involving OIG 

employees will be carried out in accordance with policies established 

by the OIG Human Resources Branch and OIG Counsel’s office.

3. Authority. Primary sources providing the authority for, and

guidance on disciplinary and adverse actions are contained in 5 U.S.C.

Chapter 75 and 5 C.F.R. 752.

4. Action. All employees are encouraged to review this directive 

carefully and retain it for future reference.

5. Policy. It is the policy of the FDIC to foster a positive and

effective relationship between management and employees through

communication, and when necessary, administer disciplinary and adverse

actions in a fair and consistent manner.
2

6. Definitions

a. Adverse Action. Suspensions from duty and pay for more 

than 14 calendar days, indefinite suspensions, reductions in grade, 

reductions in pay, removals, and furloughs of 30 days or less 

constitute adverse actions. An adverse action can be imposed for 

conduct or performance problems.

b. Appeal Rights. Employees generally have the right to 

appeal a personnel action taken against them to a third-party. 

Examples of such third parties include the Merit Systems Protection 

Board (MSPB) or the Equal Employment Opportunity Commission (EEOC). 

Further, NTEU may elect to make an appeal to a grievance arbitrator 

on behalf of a bargaining unit employee. However, employees serving 

in their probationary period or trial period have limited appeal 

rights, as discussed in paragraph 10., below. Additionally, excepted 

service employees, as defined in 5 C.F.R. 213, who are non-preference 

eligibles, do not obtain full rights of appeal until they have 

completed two years of service. Excepted service preference eligible 

employees must complete one year of service before obtaining full 

appeal rights. (For further information refer to 5 U.S.C. 7511.)

c. Day. The reference to a day for purposes of disciplinary 

and adverse actions means a calendar day. For computing periods of 

time, days are full calendar days and include weekends unless 

otherwise specified.

d. Deciding Official. The management official with delegated 

authority to render the decision on a proposed disciplinary or 

adverse action. The deciding official must not have been involved in 

any aspect of the penalty determination at the proposal stage, in 

order to be considered impartial, but may have general knowledge of 

the action taken by the proposing official.

e. Disciplinary Action. Letters of admonishment, letters of 

reprimand, and suspensions from duty and pay of 14 calendar days or 

less constitute disciplinary actions. Disciplinary action may only 

be taken as a result of conduct problems.

f. Douglas Factors. The twelve factors which the MSPB has 

determined are relevant in the deciding official’s determination 

regarding the appropriateness of a penalty imposed against an 

employee. (See paragraph 9., below.)

g. Indefinite Suspension. Usually invoked against an employee 

who is the subject of a criminal investigation for which a period of 

incarceration may result. The criminal investigation may be related 

to on or off duty conduct. Additionally, indefinite suspension may

also be invoked pending other agency investigation, inquiry, or 

agency action. This suspension is used to place the employee in a 

non-duty, non-pay status pending further investigation and/or 

resolution of the criminal charges against the employee.
3

h. Oral Reply. A verbal response by an employee, or his/her 

representative, to a notice of proposed disciplinary or adverse 

action. Oral replies are typically made to the deciding official in 

the action. The purpose of the oral reply is to give the employee an 

opportunity to make an oral plea in an attempt to sway the decision 

in his/her favor. The oral reply is not a hearing and the testimony 

of witnesses is not permitted.

i. Performance Improvement Plan (PIP). A written notice to an 

employee outlining performance deficiencies. The PIP is issued when 

counseling has not resulted in an improvement in performance, and can 

be issued at any point during the year. The PIP provides a formal 

plan of expectations for improvement of performance. In addition, a 

PIP is required to be issued when an employee has received an overall 

summary rating of Unacceptable, or has received two consecutive 

Marginal ratings.

j. Proposing Official. The management official with delegated 

authority to issue the notice to an employee that a disciplinary or 

adverse action is proposed against him/her. The proposing official 

is generally the management official with some degree of direct 

knowledge regarding the misconduct or performance deficiencies.

k. Written Reply. A written response by an employee or 

his/her representative to a notice of proposed disciplinary or 

adverse action. The written reply may include affidavits and other 

documentary evidence in support of the employee’s argument.

7. Responsibilities

a. The Personnel Services Branch (PSB) is responsible for

interpreting and providing guidance to managers and supervisors on 

discipline and adverse actions and the policies and procedures 

contained in this directive. Additionally, PSB is responsible for 

informing affected employees of their rights and entitlements. In 

accordance with the delegations of authority, PSB will provide 

concurrence on behalf of DOA for all disciplinary and adverse 

actions. PSB will obtain concurrence from the General Counsel and, 

when appropriate, the Ethics Counselor.

b. Managers and supervisors are responsible for documenting

the facts and circumstances warranting consideration of a 

disciplinary or adverse action, and for consulting their servicing 

PSB to obtain advice and assistance before initiating a disciplinary 

or adverse action. After obtaining guidance and advice, it is the 

managers’ and supervisors’ responsibility to follow through in a 

timely manner with corrective steps if improvement in the employee’s 

conduct or performance does not occur. As circumstances warrant, 

managers and supervisors are responsible for referring employees to 

the Employee Assistance Progam (EAP).

8. Procedures
4

a. Informal Actions. Once the supervisor has identified 

a problem relating to the employee’s conduct or performance, the 

supervisor must inform the employee of the existence of the 

problem and state his/her expectations for improvement. This 

can be achieved by oral counseling, written counseling, a letter 

of warning, or a combination of oral and written communications. 

The distinction between a letter of counseling and a letter of 

warning is that the warning includes a notice that disciplinary 

action will be taken if the employee fails to correct the noted 

deficiencies. 

b. Disciplinary Actions. Disciplinary actions imposed are 

expected to be corrective in nature and consistent with penalties 

imposed for similar infractions. All disciplinary actions require 

concurrence by the Director, Division of Administration and the 

General Counsel, or their designees, prior to issuance to an 

employee. Additionally, concurrence by the Ethics Counselor, or 

his/her designee, shall be obtained, as appropriate. The employee 

will be asked to sign a statement, acknowledging receipt of any 

written notice and the date of receipt. The following describes the 

various types of disciplinary actions:

(1) Letter of Admonishment: A letter of admonishment is 

issued by the management official with delegated authority, as a 

result of employee misconduct. This is the least severe formal 

disciplinary action. A letter of admonishment is usually issued when 

prior informal efforts have not corrected the misconduct, or when the 

misconduct is considered sufficiently serious to warrant issuance 

without prior warning. The letter of admonishment shall be placed in 

the employee’s Official Personnel Folder (OPF) for a period of one 

year, or as dictated by the applicable NTEU agreement. The employee 

has a right to make a written reply to the letter of admonishment, 

subsequent to its issuance. The employee’s written reply will be 

attached to the letter of admonishment when it is filed in the OPF. 

The letter of admonishment is grievable.

(2) Letter of Reprimand: A letter of reprimand is issued 

by the management official with delegated authority, as a result of 

employee misconduct. A letter of reprimand is usually issued when 

prior informal efforts have not corrected the misconduct, or when the 

misconduct is considered sufficiently serious to warrant issuance 

without prior warning. The letter of reprimand is placed into the 

employee’s OPF for a period of two years, or as dictated by the 

applicable NTEU agreement. The employee has a right to make a 

written reply to the letter of reprimand, subsequent to its issuance. 

The employee’s written reply will be attached to the letter of 

reprimand when it is filed in the OPF. The letter of reprimand is 

grievable.

(3) Suspension of 14 Calendar Days or Less: A suspension 

is proposed by the management official with delegated authority, as a 
5

result of employee misconduct, and decided by a management official 

at a higher level than the proposing official. The employee is 

entitled to an advance notice period before a suspension can be 

effected against him/her. The employee will be provided with a 

written proposal and has a right to review the material relied upon 

by management in proposing the suspension. The employee also has a 

right to reply orally and/or in writing to the proposal before a 

decision is made regarding the suspension, and a right to 

representation. 

Upon request to and approval from their immediate supervisor, 

employees will be granted a reasonable amount of official time to 

prepare and present their replies. An oral reply is generally made 

to the deciding official. The deciding official may request 

clarification from the proposing official regarding the notice of 

proposal or the material relied upon. However, the proposing 

official may not provide the deciding official with any new adverse 

information. A suspension will result in a loss of pay for scheduled 

workdays, and become a permanent documented part of the employee’s 

OPF. A suspension of 14 calendar days or less is grievable.

c. Adverse Actions. Adverse actions imposed are expected to 

be reasonable with regard to penalty and consistent with penalties 

imposed for similar infractions. All adverse actions require 

concurrence by the Director, Division of Administration and the 

General Counsel, or their designees, prior to issuance to an 

employee. Additionally, concurrence by the Ethics Counselor, or 
6

his/her designee, shall be obtained, as appropriate. The employee 

will be asked to sign a statement acknowledging receipt of any 

written notice and the date of receipt.

All adverse actions (suspension for more than 14 calendar days, 

indefinite suspension, reduction in grade or pay, and removal) 

utilize the following procedures:

(1) The adverse action is proposed by the management

official with delegated authority, and normally decided by a 

management official at a higher level than the official who issued 

the proposal. The employee is entitled to thirty (30) days advance 

written notice of the proposed adverse action. Note, however, that 

the 30-day advance notice period may be shortened when there is 

reasonable cause to believe that an employee has committed a crime 

where imprisonment may be imposed.

(2) The advance written notice shall inform the employee

of the specific reasons for the proposal, their right to representation, and their right to reply to the proposal orally and/or in 

writing. The employee has a right to review the material relied upon 

in proposing the adverse action. Upon request to and approval from 

their immediate supervisor, employees will be granted a reasonable 

amount of official time to prepare and present their replies. An 

oral reply is typically made to the deciding official. A written 

reply will be submitted to the individual specified in the proposal.

(3) The deciding official may request clarification from

the proposing official regarding the notice of proposal or the 

material relied upon. However, the proposing official may not 

provide the deciding official with any new information. The decision 

must be based upon a preponderance of the evidence provided to the 

deciding official and must be for such cause as will promote the 

efficiency of the Federal service. If any of the charges cited in 

the proposal notice are not sustained by the preponderance of the 

evidence, those charges may not be relied upon in effecting the 

action. The deciding official must then determine which charges are 

sustained, and whether the sustained charges warrant the action 

proposed. The deciding official must consider the Douglas Factors in 

rendering the decision on the penalty proposed. The deciding 

official has the authority to reduce any proposed penalty, but may 

not impose a more severe action than that proposed. 

(4) The written decision must contain the employee’s right

to appeal the decision to the MSPB or to file a complaint of 

discrimination, along with the appeal time frames, the MSPB address, 

appeal form, and regulations. If the employee is in a bargaining 

unit position covered by a negotiated grievance procedure covering 

adverse actions, the decision notice will also advise of his/her 

option to file a grievance.

d. Performance Based Actions
7

When an employee’s performance is less than satisfactory, management 

will initiate action to assist the employee with improving his/her 

performance. This may include counseling orally and/or in writing. 

Continued deficient performance may necessitate more formal actions. 

However, prior to initiating an adverse action based on 

unsatisfactory performance, the employee will be provided with a 

performance improvement plan (PIP) and a reasonable opportunity to 

raise his/her performance to a satisfactory level before any action 

to remove him/her from his/her current position is proposed. The PIP 

will clearly state the specific performance deficiencies and the 

supervisor’s expectations for improvement. The plan establishes a 

period for improvement, generally 90 days. The supervisor must also 

offer meaningful assistance to the employee during the improvement 

period, which may include closer supervision and/or providing 

appropriate training. The supervisor should closely monitor the 

employee’s work and must provide written feedback regarding the 

employee’s performance at specified intervals during the performance 

improvement period.

At the end of the performance improvement period, the supervisor will 

prepare a written summary of the employee’s performance in the 

identified areas. If the performance has improved, the employee will 

be advised that should his/her performance fall below the 

satisfactory level within one year from the start of the PIP, action 

will be taken to remove the employee from his/her current position 

without providing another performance improvement opportunity. If 

the performance has not improved, the supervisor should take 

appropriate action, such as reassignment, demotion, or removal from 

Federal service, to remove the employee from his/her current 

position.

The procedures described in subparagraph 8.c., above, shall be 

followed for performance based actions once a determination has been 

made that an adverse action is warranted.

9. Penalty Determination. The MSPB has established mitigating and

aggravating factors, referred to as Douglas Factors, that must be

considered in reaching a decision on a penalty in an adverse action.

Not all of the following factors will apply in every case, but all of

the relevant factors in any given situation should be considered. The

deciding official’s analysis of these factors will be incorporated

into the adverse action decision letter. The 12 Douglas Factors are

as follows:

a. The nature and seriousness of the offense, and its relation

to the employee's duties, position, and responsibilities, including 

whether the offense was intentional or technical or inadvertent, or 

was committed maliciously or for gain, or was frequently repeated.

b. The employee's job level and type of employment, including

supervisory or fiduciary role, contacts with the public, and 
8

prominence of the position.

c. The employee's past disciplinary record.

d. The employee's past work record, including length of 

service, performance on the job, ability to get along with fellow 

workers, and dependability.

e. The effect of the offense upon the employee's ability to 

perform at a satisfactory level and its effect upon the supervisor's 

confidence in the employee's ability to perform assigned duties.

f. Consistency of the penalty with those imposed upon other 

employees for the same or similar offenses.

g. Consistency of penalties with applicable table of 

penalties.

Note: There is no FDIC table of penalties.

h. The notoriety of the offense or its impact upon the 

reputation of the agency.

i. The clarity with which the employee was on notice of any 

rules that were violated in committing the offense, or had been 

warned about the conduct in question.

j. Potential for the employee's rehabilitation.

k. Mitigating circumstances surrounding the offense such as 

unusual job tensions, personality problems, mental impairment, 

harassment, or bad faith, malice or provocation on the part of others 

involved in the matter.
9

l. The adequacy and effectiveness of alternative sanctions to deter 

such conduct in the future by the employee or others.

10. Probationary/Trial Period Employees. The one-year probationary 

or trial period imposed upon new employees serves as a means to 

review the employees’ conduct and performance so that an informed 

decision can be made regarding their ability to meet expectations. 

When an employee does not demonstrate acceptable conduct or 

performance during this period, action should be taken to discharge 

the employee from the Federal service. In cases where problems have 

been identified, it is incumbent upon the supervisor to take 

corrective action well in advance of the expiration of the 

probationary or trial period. This action will afford the employee 

sufficient time to correct the problem before management is required 

to make the decision regarding completion of the period. In most 

cases, the supervisor should start by orally counseling the employee 

when problems are discovered. If the counseling fails to bring the 

necessary improvement, a letter of warning should be issued, 

notifying the employee that failure to meet expectations will result 

in discharge from the Federal service. 

Failure to improve will necessitate the issuance of a written notice 

of discharge, outlining the basis for the termination, the effective 

date, and the employee’s rights of appeal. It is key to note that 

discharge from a probationary or trial period must be effected before 

expiration of the one year period, (i.e., before the end of the 

employee’s scheduled tour of duty the day before the anniversary date 

of the employee’s appointment). If the discharge has not been 

effected against the employee prior to the probationary or trial 

period expiration date, disciplinary and adverse action procedures 

must be followed. Thus, early identification and correction of 

problems are crucial.

Probationary or trial period employees in the competitive service 

have limited appeal rights. An appeal regarding their discharge from 

Federal service may be filed with the MSPB only if that action was 

taken on the basis of the employee’s marital status or partisan 

political affiliation. However, if the basis for the termination, in 

whole or in part, relates to conditions arising prior to employment, 

the employee may file an MSPB appeal on the grounds that the 

termination was not effected in accordance with the proper procedural 

requirements. Further, allegations of discriminatory termination may 

be filed only if the employee first has the basis to file an appeal 

due to his/her marital status or partisan political affiliation.

Excepted service, non-preference eligible, employees who are 

discharged during their trial period do not have the right to appeal 

to the MSPB.

11. Employee Assistance Program. FDIC Circular 2821.1, FDIC’s 

Employee Assistance Program, was established to assist employees with 

personal problems that may affect conduct or performance on the job. 
10

The program includes the availability of counseling services. 

Regardless of the nature of the employee’s conduct or performance 

problem, managers have the obligation to refer the employee to the 

Employee Assistance Program. The referral should be included in 

written counseling memoranda, letters of warning, or other 

appropriate written notices regarding conduct or performance 

deficiencies.

12. Questions. Any questions concerning the disciplinary and 

adverse actions process should be directed to the Division of 

Administration, Personnel Services Branch.

13. Effective Date. This circular is effective immediately.