Source: http://eeo.gsfc.nasa.gov/settlement/settlementagreement.html
Timestamp: 2014-10-23 10:05:48
Document Index: 232782179

Matched Legal Cases: ['§ 2000', '§ 2000', '§ 2000', '§\n552', 'art 468', 'arts 4', 'art 1', 'art 2']

EQUAL EMPLOYMENT OPPORTUNITY C
____________________________________ Walter Flournoy, on behalf of himself and all other persons similarly situated,
Class Agent, v.
National Aeronautics and Space Administration, Agency. ___________________________________
Agency No. NCN-92- GSFC-F064
EEOC No. 120-A2-1267X
Definitions B.
Jurisdiction and Venue C.
Effective Date and Term of Agreement D.
Persons Covered by Settlement Agreement 1.
Definition of Class 2.
Release/ Bar of Claims E.
Denial of Liability F.
Confidentiality and Return of Documents
Approval of Settlement Agreement as Written
No Modification of Title VII Requirements
Payment for Fees, Costs and Expenses
(a) Detailed Invoice Required
(b) No Entitlement
to Unspent Funds
Selection of Independent Expert and Independent Mediation Expert (e)
Goddard’s Performance Management System
Standards Governing Review and Granting of Promotions
i. Accretions
EEO ADR Process 6. Monitoring
Publication of Promotions
i. Information and Documentation
ii. Items to be Provided
(d) Periodic Meetings
(e) Reports to
the Presiding Administrative Judge
Creation and Administration of Settlement Fund
Fund Administrators’ Administrative Responsibilities
Exclusive Responsibility of Class Counsel 4.
Method of Identification of Class Members to Receive Monetary Relief
Distribution of Monetary Awards to Class Members
Tax Consequences of Monetary Relief
Relief to Qualified Retired and Retirement-eligible Class Members
(a) Method of Identification of Class Members
of Promotion Awards
Relief to Current Employee Class Members
(a) Method of Identification of Class Members and Implementation of Awards
Relief to Class Agent
Guaranteed Participation in Accelerated Leadership Program
IX. BINDING
On April 19, 1993, Walter Flournoy, an African American engineer employed
by the National Aeronautics and Space Administration (“NASA”) Goddard Space
Flight Center (“Goddard” or (“GSFC”), filed an administrative class complaint
of discrimination against NASA Goddard alleging violation of Title VII
of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000e et
In the administrative complaint, the Class Agent sought declaratory, injunctive, and monetary relief on behalf of himself and the putative class of all African American non-managerial, non-supervisory scientists and engineers at NASA’s Goddard Space Flight Center who were eligible for but did not receive promotions from the GS-13 and GS-14 to the GS-14 and GS-15 levels. NASA Goddard forwarded the administrative complaint to the Equal Employment
Opportunity Commission’s Office (“EEOC” or the “Commission”) for processing.
Between May 1993 and March 1998, the parties litigated
the issue of class certification. On March 3, 1998, the Commission Office of Federal Operations
(“OFO”) issued a decision provisionally certifying the class and directing
NASA’s continued processing of the complaint.
In April 1998, NASA requested reconsideration of the decision, which was upheld on October 19, 2000. On November 21, 2000, NASA Goddard sent out a Notice of Acceptance of the class complaint. In February 2001 the parties began voluntary mediation sessions before Linda Singer of ADR, Associates.
During this process, the parties voluntarily exchanged sufficient information to assess the relative merits
of the systemic claims of the Class Agent and the putative class, and of NASA’s defenses. Ultimately, the parties reached an agreement in principle on terms for the settlement, which terms are incorporated in and superseded by this Settlement Agreement.
This Agreement is reached after extensive arms-length negotiations between
the parties and in the spirit of compromise and desire for final resolution
of this matter. In the interests
of ensuring equality of employment opportunity and respect for civil rights,
and avoiding the expense, delay, and inconvenience of further litigation
of the issues raised in this action, and in the absence of any admission
of liability by NASA Goddard and in reliance on the representations, mutual
promises, covenants, and obligations set out in this Settlement Agreement,
and for good and valuable consideration also set out in this Agreement,
the Class and NASA Goddard, through their undersigned counsel of record,
hereby stipulate and agree as follows:
II. GENERAL PROVISIONS A.
Definitions The following terms, as they are used in this Settlement Agreement, shall
Administrative Class Complaint or Class Complaint
The formal administrative class complaint of discrimination filed against
NASA Goddard by Walter Flournoy on behalf of himself and all others similarly
situated on April 19, 1993, and pending before the EEOC’s Baltimore District
Office as No. 120-A2-1267X. 2.
As defined in Appendix 4 of the current Instruction Booklet for completion
of Standard Form 100, Employer Information Report EEO-1.
“African American” and “Black” are used interchangeably,
and for the purposes of this Agreement shall include Black aliens, lawfully
able to work for NASA Goddard but who are not of American citizenry or
The firm retained pursuant to Part III of this Agreement to assist Class
Counsel in the administration and distribution of awards to be made pursuant
to this Agreement. 4.
Any individual or class-wide actual or potential race discrimination
claim, administrative charge, demand, grievance, complaint, right and cause
of action of any kind, known or unknown, by a Class Member or the Class
Agent against NASA Goddard for monetary, injunctive or equitable relief
and/ or for attorney’s fees, arising from any events, acts, omissions, policies,
practices, procedures, conditions or occurrences concerning employment or
promotion in a position as a non-managerial, non-supervisory engineer or
scientist at the GS-13 or GS-14 levels at any time on or after April 19,
1991, but no later than February 25, 2002, under Title VII of the Civil
Rights Act of 1964, as amended, 42 U.S.C. § 2000 et seq.
, or any other federal, state, or local statute, regulation, rule, order,
ordinance or other authority of any nature prohibiting racial discrimination
in employment. Class Claim
refers to any claims or other cause of action described above brought in
an arbitral, judicial or other forum of whatsoever kind or nature.
Class Counsel Maia Caplan, Jessica Parks, Michael Kator, Irving Kator, and other attorneys
of the law firm of Kator Parks & Weiser, PLLC, 1020 19th
Street, NW, Suite 350, Washington, DC 20036.
Drogin, Kakigi & Associates, 3104 Shattuck Avenue, Berkeley, CA 94705.
Walter Flournoy.
Information of any type, kind or character and in any form that has been
or will be obtained by one party to his case or its counsel or agents from
the other party to this case its counsel or agents that is not generally
known to the public. The term
includes data that has been or will be provided by NASA Goddard; all statistical
analyses of such data; all internal memoranda, e-mails, personnel plans,
programs, policies and procedures, and computerized data; information regarding
NASA Goddard’s past, present or future employees, including, but not limited
to, home addresses and telephone numbers, social security numbers, wage or
earnings records, benefits, performance evaluations, or disciplinary records;
NASA Goddard’s confidential evaluations of business or personnel information;
statistical data evaluating NASA Goddard’s workforce; all information produced
pursuant to the Mediation Confidentiality Agreement; and all discussions,
communications, information, and negotiations regarding settlement and/or
mediation of this case. Confidential information does not include the disclosure by one party of
discussions, communications, information, correspondence or negotiations
regarding this case taking place between or among that party and its own
counsel or agents; provided, however, that confidential information received
by one party or its counsel or agents from the other party or its counsel
or agents shall not lose its status as confidential information regardless
of any action taken with respect to such confidential information by the
party receiving it. The prohibition
on disclosure of confidential information is not intended to bar Class Counsel
from making statements to the Class which discuss the settlement process
generally, or to bar either party from supporting and defending this Settlement
Agreement at the Preliminary and Final Approval hearings.
The date on which the presiding Administrative Judge has finally approved
the provisions of this Settlement Agreement, signed, and entered this Agreement
and the time for appeal
has run without an appeal being filed or, if an appeal is filed, the final
resolution of that appeal.
The entry by the presiding Administrative Judge of the Order granting
final approval of this Settlement Agreement as fair, reasonable, and adequate
to the Class as a whole.
Mandatory Joinder Claim
Any race and/or reprisal claim arising out of the same occurrence, event,
or nucleus of facts as any Class Claim.
Mediation Representatives Class Agent Walter Flournoy and Patrick McClain, William Weston, Leroy Brown and William Reaves.
The National Aeronautics and Space Administration Goddard Space Flight
Center, including the duty stations in Greenbelt, Maryland and Wallops
Flight Facility, Wallops Island, Virginia.
Performance Management System NASA Goddard’s processes governing accretion and career ladder promotions;
performance awards; training; and performance appraisals.
Performance or Special Act Awards
Monetary sums awarded to employees based on performance appraisals and
for specific accomplishments associated with the mission of Goddard.
Retirement Eligible Class Members
Class Members who are current employees and who are:
(1) eligible to retire (by qualifying age and years of
service); and (2) elect to retire pursuant to Part III.C of this Agreement.
The qualified settlement fund created by the required prospective deposit
of $3,715,278 in principal by NASA Goddard, the purpose and administration
of which are governed by Part III.B of this Agreement.
Settlement Fund Administrator or Trustee
The persons designated to effectuate settlement terms concerning satisfaction
and resolution of all claims pursuant to Part III.B of this Agreement;
receiving and processing information pertaining to Class Member’s claims;
investing, allocating and distributing the Fund; and in general supervising
the administration of the Settlement Fund in accordance with the Agreement.
The date on which all parties have signed the Agreement and in the event
of multiple dates, the latest date of a party’s signature.
A disparity measured by a least two standard deviations.
Refers to all proceedings relating to or arising from the Administrative
Class Complaint, including, without limitation, any related informal administrative
proceedings and mediation efforts that pre-dated the filing of the Administrative
Class Complaint. B.
The Parties agree that the Commission has jurisdiction over the Parties and the subject matter of this action. Pursuant to 29 C.F.R. Section 1614.504, the Commission shall retain
jurisdiction of this action for the duration of the Settlement Agreement
for the purpose of entering orders that may be necessary to implement and
enforce the relief provided herein. C.
This Settlement Agreement shall be effective and binding on the parties for a period of three (3) years from the Effective Date of this Agreement at which time it shall expire and be without force and effect, except as noted below with respect to releases/bars, confidentiality provisions, and unless extended pursuant to the terms of Part III.A.
The confidentiality provisions, releases and bars on claims
shall survive the Agreement. D.
Persons Covered by Settlement Agreement
Subject to the approval of the presiding Administrative Judge, the Parties
agree to the certification of the following Class for purposes of settlement
All African American persons employed by NASA Goddard as GS-13 or GS-14
non-managerial, non-supervisory scientists or engineers at any time from
April 19, 1991 to February 25, 2002, who were eligible for and did not receive
promotions to the GS-14 or GS-15 grades.
Release/Bar of Claims
In consideration of the promises contained herein, and the benefits provided
or to be provided hereunder, this Settlement Agreement shall fully resolve,
extinguish, and finally and forever bar, and the Class Agent and other
Class Members hereby release, any and all Class Claims and Mandatory Joinder
Claims (as defined in Parts II.A), in law or in equity, which any of them,
their representatives, agents, heirs, executors, administrators, successors,
or assigns, may have, may have had, or in the future may have against NASA
Goddard (including, without limitation, any continuing violation allegations
made after February 25, 2002that
rely on evidence of violations occurring before February 25, 2002 arising
from or relating to events that occurred prior to February 25, 2002).
The doctrines of Res Judicata
and collateral estoppel shall bind the Class Agent and all other Class
Members (except those who have effectively opted out under the provisions
of this Settlement Agreement) with respect to all Class Claims and Mandatory
Joinder Claims that are known or unknown, actual or potential.
This Settlement Agreement may be pled as a full and complete
defense to any subsequent action or other proceeding involving any person
or party that arises out of the claims released and discharged by this Agreement.
As a condition precedent to the receipt of any relief under the terms
of this Agreement, the Class Agent and Class Members shall, in consideration
thereof, execute NASA Goddard’s Release and the Administrator’s Release,
exactly as they appear in Exhibits 2 and 3 respectively.
The Class agrees that the Complaint in this action, and any individual complaints or grievances filed by Class Members constituting Class Claims or Mandatory Joinder Claims, against NASA Goddard shall be dismissed in their entirety, with prejudice, on the Effective Date.
The Class and the Class Agent also agree that the EEOC, its representatives,
agents, heirs, executors, administrators, successors, or assigns, shall
have no liability arising from any action relating to this Settlement.
E. Denial of Liability NASA Goddard expressly denies any wrongdoing or liability whatsoever.
This Settlement Agreement represents the compromise of
disputed claims. It reflects
the parties’ recognition that litigation of these claims would severely
burden all concerned and require a massive commitment of time, resources,
and money. The Agreement
does not constitute, and is not intended to constitute, and shall not under
any circumstances be deemed to constitute an admission by either party
as to the merits, validity, or accuracy, or lack thereof, of any of the
claims in this case. The
sole rulings in this case, which were made by the Commission in connection
with the Administrative Class Complaint, related to the procedural issue
of whether a class should be certified by the Commission; no ruling was
ever made on the merits of the claims or allegations of the Class.
Nothing in or related to this Settlement Agreement, including an action taken to implement it or any statements, discussions, communications, or any materials prepared, exchanged, issued or used during the course of the mediation or negotiations leading up to the Settlement Agreement may be introduced or used or admitted in any way, in any other judicial, arbitral, administrative,
investigative or other proceeding of any kind or nature whatsoever as evidence
of discrimination, retaliation, or any violation of Title VII, the common
law of any jurisdiction, or any other federal, state or local law, statute,
ordinance, regulation, rule or executive order, or any obligation or duty
at law or in equity. Documents, data, and information exchanged by the parties since the inception
of the lawsuit may be used in this case solely with respect to enforcement
of the Agreement, in the event necessary.
In the event that Final Approval of the Settlement Agreement is not obtained
or this Agreement does not become effective or is deemed null and void,
nothing herein shall be deemed to waive any of the Class’s claims or NASA
Goddard’s objections and defenses, including but not limited to objections
to provisional class certification, and neither this Agreement nor the presiding
Administrative Judge’s preliminary or final approval hereof shall be admissible
in any court regarding the propriety of class certification or regarding
any other issue or subject of this case.
Due to Class Counsel’s continuing representation of the Class, their
receipt of confidential information regarding NASA Goddard during this
case, and their continuing receipt of such confidential information during
the term of this Agreement, Class Counsel agree not to undertake any representation
(i) during the term of the Agreement that would create a conflict of interest;
or (ii) at any time that would involve the use of NASA Goddard’s confidential
information for purposes unrelated to the enforcement of this Agreement.
G. Confidentiality and Return of Documents
Class Counsel acknowledge that during the course of this case they have received, and may hereafter receive in connection with the monitoring of this Agreement, confidential information regarding NASA Goddard and its personnel, including, without limitation, internal memoranda, personnel plans, programs, policies and procedures, computerized data, and other information.
The parties, their retained experts, their consultants
and attorneys (and all other signatories), and the agents of each of them,
shall continue to be bound by the terms of the confidentiality agreement
throughout the term of this Agreement and thereafter.
The Class Agent, Mediation Representatives, Class Counsel,
their experts and consultants and others retained by them, as well as the
agents of each of them, hereby agree not to disclose any confidential information
that may have been or may hereafter be received from NASA Goddard in connection
with the litigation, mediation, or settlement of this case, including,
without limitation, all information provided pursuant to the terms of this
Agreement. Class Counsel
shall be responsible for advising their experts, outside consultants, and
any other individual acting for, on behalf of, or at the request or direction
of Class Counsel, including the Claims Administrator, of the confidentiality
provisions of this Agreement and shall require that each such individual
sign a confidentiality agreement substantially in the form of Exhibit 4,
and shall promptly provide a copy of such signed agreement to counsel for
Counsel of record for each party shall, not later than thirty (30) days after the expiration of the three-year term of this Settlement Agreement, make available to counsel for the other party or destroy all documents (and copies of documents) and computer discs or data (and copies thereof) that were produced by the other party in the course of the litigation, mediation, or settlement of this case or the implementation of this Agreement, including all copies thereof that have been provided to or are in the possession of the party’s expert(s) or consultant(s). Counsel for the parties are permitted to retain such information during the term of this Settlement Agreement solely for the purposes of claims administration, allocation of monetary relief to be paid from the Settlement Fund, and implementation and monitoring of compliance with this Agreement.
H. Approval of Settlement Agreement as Written
It is an express condition of this Settlement Agreement that the Class
described in Part II.D.1 of this Agreement be bound by the body of this
Agreement, and that it be approved by the presiding Administrative Judge
as written. The parties have
bargained for the terms in this Settlement Agreement.
If the presiding Administrative Judge does not approve this
Settlement Agreement as written, the party that is adversely affected by
the disapproval of any provision of the Agreement may elect to file for reconsideration
and/or to withdraw from the Agreement, which shall then be deemed null and
void. I.
This Settlement Agreement is a contract and shall, on approval by the presiding Administrative Judge, also constitute an order of the Commission, and all of its provisions shall be enforceable by the parties as an order of the Commission, (subject to the terms set forth in Part IV of this Agreement
regarding Enforcement).
2. No Displacement
While triggered by claims of race discrimination, the provisions of this
Settlement Agreement are intended as, and are properly interpreted as,
benefiting all NASA Goddard employees by promoting fairness, consistency
and objectivity in the administration of employment practices.
No employee will be displaced from his or her job, lose opportunities for a merit-based promotion, or receive diminished opportunities for advancement of any kind as a result of any provision of this Agreement.
Nothing in this Settlement Agreement may be taken as modifying either the statutory or regulatory procedures pertaining to initiating and maintaining
administrative and judicial proceedings under Title VII of the Civil Rights
Act of 1964, as amended, 42 U.S.C. §§ 2000e et seq
., or the federal civil service laws.
Whenever this Settlement Agreement provides for NASA Goddard payment
of any costs, fees or expenses (including, without limitation, attorneys’, experts’ and administrators’ fees, costs and expenses, but excluding the past attorneys’ fees and expenses to be paid from the Settlement Fund as provided in Part III.B of this Agreement), such payments shall be subject to the terms and conditions following, and any disputes regarding the same subject to the enforcement provisions of Part IV.
Prior to any such payment, NASA Goddard shall be provided with a signed statement for such work, which statement shall describe in reasonable detail the work performed, the date(s) on which the work was performed, the identity of the person(s) who performed such work, the time expended, and the expenses incurred; provided, however, that nothing contained herein shall require the disclosure of information subject to the attorney-client privilege or any other legally recognized privilege.
Entitlement to Unspent Funds
The purpose of NASA Goddard’s payment of fees, costs, and expenses is to compensate Class Counsel for work performed and to reimburse Class Counsel
for certain specific, actual out-of-pocket expenditures that Class Counsel
makes or would be required to make if NASA Goddard had not agreed to pay
such fees, costs, and expenses. The dollar amounts specified in provisions of this Agreement authorizing
such NASA Goddard payments are intended to establish
an outside limit on NASA Goddard’s obligation to pay fees, costs, and expenses, even if the actual amounts of such fees, costs, and expenses incurred are greater than the amount of the dollar cap specified.
In the event that the amounts of fees, costs, and expenses
actually incurred for a particular purpose are less than the maximum amount
specified for that purpose for a particular year or for the term of the
Agreement, any unspent funds for that purpose in one year shall carry forward
one year to the next year; however they may not be used to pay any other
fees, costs, or expenses, nor shall they carry forward beyond one year.
A. General Equitable Relief
Purpose and Scope The purpose of these equitable measures is to provide all NASA Goddard
non-managerial, non-supervisory scientists and engineers, including Class
Members, with advancement opportunities that are, to the greatest extent
possible, based solely on merit. To this end, the equitable relief described herein may encompass
every Directorate, Code and their subordinate echelons at NASA Goddard.
However, nothing in the following provisions, including
use of the word “employees,” is intended to require modification of NASA
Goddard’s procedures and/ or policies except with respect to those associated
with non-managerial, non-supervisory scientists and engineers eligible for
promotion to GS-14 and/or GS-15 positions .
In computing any period of time prescribed or allowed under this Settlement
Agreement, the period of time shall be computed in terms of calendar days
(c) Target Dates
The parties recognize the importance of timely implementation of the equitable
relief provided under this Settlement Agreement.
The schedule set forth in this Agreement is the schedule
for implementing the injunctive relief, and is based on the parties’ current best estimates of the time required for such implementation.
NASA Goddard will make good faith efforts to meet that
schedule. The parties recognize,
however, that notwithstanding NASA Goddard’s good faith efforts, it may
become necessary to extend the implementation schedule for some elements
of the injunctive relief. NASA Goddard agrees to provide reasonable advance notice, at least within
thirty (30) days of the deadline barring unforeseen circumstances beyond
Goddard’s control, to Class Counsel in the event that it is unable to meet
any aspect of the implementation schedule, and the parties agree to cooperate
in good faith in seeking to agree on necessary changes.
If the parties are unable to reach agreement and
the extension contemplated by NASA Goddard on any item exceeds thirty percent
(30%) of the total time permitted under this Settlement Agreement for that
item, Class Counsel may bring the matter to the Commission’s attention
for resolution pursuant to Part IV of the Agreement.
In the event that Goddard does not meet its implementation
target dates under this Settlement Agreement, for any such item, the expiration
of the Agreement for the provisions corresponding to the implementation
of such injunctive relief shall be delayed by the identical length of time.
The parties shall notify the Commission of any agreed modification of
the schedule set forth herein that exceeds thirty percent (30%) of the
total time permitted for any item, and of the corresponding extension of
the term for the relevant Settlement Agreement part.
The Parties shall not be required to notify the Commission
of any modification that is less than thirty percent (30%) of the total
time permitted under the Agreement for implementation of any item.
(d) Selection of Independent
Expert and Independent Mediation Expert
Goddard has retained
Dr. Elaine Pulakos of PDRI, Inc. as an Independent Expert to assist it
in the implementation of the Settlement Agreement.
This Independent Expert shall assist in:
(1) evaluating the existing performance management system;
and (2) developing and implementing a revised performance management system,
pursuant to Part III.A.2 & 3 of this Agreement.
Goddard has also
retained Edna Povitch of the Center for Dispute Settlement as an Independent
Mediation Expert to assist it in the implementation of the Settlement Agreement.
This Independent Mediation Expert shall assist in:
(1) evaluating the existing alternative dispute resolution
system for informal equal employment opportunity (“EEO”) complaints at
Goddard; and (2) revising, and implementing such revisions pursuant to
Part III.A.5 of this Agreement. If Goddard with reasonable justification decides to use another consultant
to perform the requirements of this part of the Agreement, the selection(s)
shall be governed by subpart “e” below.
Goddard shall be responsible for all fees and expenses relating
to the Independent Expert and the Independent Mediation Expert.
(e) Outside Consultants
Wherever this Settlement Agreement results in the hiring of an outside
consultant, the following procedures shall govern:
(1) Goddard shall provide Class Counsel with the names and
curricula vitae of individuals responding to its request for proposal or
otherwise under consideration by it; (2) Goddard shall identify its consultant
of choice, taking into account suggestions, if any, by Class Counsel, and
shall provide Class Counsel with the identity of the selectee and documentation
or other information concerning the consultant’s qualifications, credentials,
and experience; (3) Class Counsel shall review Goddard’s selection and provide
any comments concerning the selection to Goddard within ten (10) days of
receiving such information; (4) Goddard shall consider the comments of Class
Counsel in moving forward with the retention of the outside consultant; and
(5) if Class Counsel raises concerns about Goddard’s consultant of choice,
and Goddard, having considered such concerns, decides to proceed with the
retention of such consultant, Goddard shall so notify Class Counsel and shall
provide Class Counsel with a good faith written justification for its decision.
A principal aim of NASA Goddard’s performance management system is non-discrimination
and fairness to all employees. A process to reform NASA Goddard’s performance management system to ensure compliance with this goal, subject to applicable federal law and regulations and collective bargaining agreements, is currently underway, and all parties agree that it should continue.
To expedite the reform process, NASA Goddard agrees to use it best efforts,
and commit sufficient time and resources, to produce and implement a revised
and objective, non-discriminatory performance management system within
one year from the Effective Date; unless, following consultation with and
approval by Class Counsel, and on recommendation of the Independent Expert,
Goddard determines that this time period is inadequate.
In such circumstances, Class Counsel shall not withhold
its approval unreasonably. Goddard’s reliance on this provision shall be subject to the same
principles for extending the duration of the Settlement Agreement as are
set forth in Part III.A.1.c. For purposes of the Settlement Agreement, the performance management system
encompasses all processes governing: (1) accretion and career ladder promotions; (2) awards; (3) training;
and (4) performance appraisals. The revised process shall provide for, but is not limited to, objective measures of performance, application of standards consistent with those promulgated
by the Office of Personnel Management, standardized evaluations and assessment
forms, feedback to employees including in the form of annual reviews, performance
goals, an appeals process, supervisory accountability, and training for
NASA Goddard employees. Additionally,
a component of reviews, including for supervisors of Class Members, shall
include an assessment of performance with respect to equal employment opportunity
issues (“EEO component”) as a critical element in the performance appraisal
process. No manager
or supervisor of Class Members shall be eligible for promotion for a period
of one-year following the appraisal if he or she receives an unsatisfactory
score on such component. (b)
An Independent Expert has been selected to provide consultation services
in accordance with the principles of Part III.A.1-3 of the Agreement.
During the redesign process, the Independent Expert shall provide continuing advice and guidance to the team concerning standards and
procedures for the purpose of ensuring fairness and non-discrimination in
NASA Goddard’s performance management system.
Goddard shall work cooperatively and continually with the Independent Expert throughout the redesign process.
When the NASA Goddard team, working with the Independent Expert, reaches
an agreement regarding the performance management system redesign, and
within six (6) months from the Effective Date, it shall forward the final
redesign proposal to Class Counsel; unless, following consultation with
and approval by Class Counsel, and on recommendation of the Independent
Expert, NASA Goddard determines that this time period is inadequate.
its approval unreasonably. NASA Goddard’s reliance on this provision shall be subject to the same
principles for extending the duration of the Agreement as are set forth
in Section III.A.1.c. above.
On receipt of the redesign proposal, Class Counsel shall in turn evaluate
the proposed revisions and provide comments and recommendations concerning
them within 45 days. If the
Independent Expert believes that the NASA Goddard team is failing to adopt
a significant recommendation or is seeking to adopt an inadequate measure
or measures, she shall provide written comments and recommendations to NASA
Goddard and Class Counsel. Thereafter, the NASA Goddard team shall consider the comments and recommendations,
and may only reject implementation of such recommendations if it can establish
good faith reasons for believing that they will not result in greater fairness
and non-discrimination in the NASA Goddard performance management system,
or, if the cost to NASA Goddard of any particular recommendation is unreasonable
in view of the benefits. If
Goddard does reject any recommendation by the Independent Expert, it shall
promptly provide a comprehensive written explanation of its reasons to the
Independent Expert and Class Counsel. In the event, if any, Class Counsel disagrees with the bases for NASA
Goddard’s rejection of recommendations, if any, then the Enforcement Provisions
of this Settlement Agreement shall apply.
(c) Standards Governing
Review and Granting of Promotions
Beginning with the Effective Date and continuing under the revised performance
management system, the factors to be considered in determining accretion
of duty promotions shall
include the following. i.
Accretion of duties promotions are warranted only when an employee has assumed new duties or the nature of the employee’s work has changed, resulting in the need to reclassify that employee’s position to reflect the fact that
the employee is functioning at a higher level.
Specifically, accretion of duties promotions are warranted
and may be approved only in the following limited circumstances:
1) the employee’s position is to be reclassified because
of enhanced duties and/ or responsibilities; 2) there is no recognized
promotion potential beyond the higher grade to which the accretion of duties
promotion is proposed; 3) the employee’s old position is absorbed into
the new position; and 4) the employee continues to perform the same basic
functions and the new duties and/or responsibilities represent an enhancement
of the old duties that has occurred for a significant time, i.e., the time
it would generally take for any qualified individual to become competent
at the higher level of responsibility. In addition to the above, NASA Goddard adopts the following as guiding principles for accretion of duties promotions, and shall with the assistance of the Independent Expert, implement systems for effectuating each in its revised performance management process with a goal of ensuring equal opportunity
for obtaining grade-enhancing work:
Supervisors and managers are expected to communicate regularly and openly
with all employees within their area of responsibility about what job assignments
are, or may become, available within their area of responsibility; ·
Supervisors and managers are expected regularly to solicit interest from
all employees within their area of responsibility regarding taking on the
duties of their work unit;
Supervisors and managers should assign duties so as to balance work among
all similarly situated employees and accurately record such work as performed;
Supervisors and managers are expected to communicate regularly with all employees in their area of responsibility about new hires, departures, promotions,
details, temporary assignments, changes in staffing and workload allocations;
The performance evaluations of supervisors and managers shall include compliance with their obligations under these principles.
Within sixty (60) days after the Effective Date, NASA Goddard shall disseminate
a global e-mail message regarding the availability of Individual Development
Plans (“IDP”s), and shall encourage the use of these career enhancement
tools by both employees and supervisors.
Supervisors shall be required to offer employees a meeting
at least once per year, to discuss and/or establish an IDP.
IDPs shall be signed by both the employee and supervisor, identify the career objectives of the employee, consistent with NASA Goddard’s mission, relevant assignments and training (on-the-job and NASA-sponsored), and any other grade-enhancing duties or responsibilities that are available.
NASA Goddard shall explore and implement ongoing methods
of communicating with employees about IDPs, such as workshops, presentations
at NASA Goddard seminars and meetings. Within one year after the Effective Date, and in consultation with Class
Counsel, NASA Goddard shall develop and administer an employee survey designed
to obtain candid views from employees on the IDP process, including whether
the supervisor offered and provided a full and fair opportunity to establish
a IDP, and if established, whether (1) the process was interactive and the
supervisor provided information and guidance about opportunities available
and appropriate to serve the employee’s career objectives; and (2) to what
extent opportunities and job assignments were available that were consistent
with the provisions of the IDP. The surveys shall be confidential and employees will be informed that
their individual responses will not be shared with their first-line supervisors.
Goddard shall administer the survey within sixty (60) days of each annual anniversary of the Effective Date, and shall provide the aggregate
results of the survey to NASA Goddard division and directorate heads and
Class Counsel, without employee name identification, not later than thirty
(30) days after such results are tabulated.
Goddard shall:
in consultation with the Independent Expert, train its supervisors and
managers in all aspects of the redesigned performance management system
prior to its implementation, and shall train new managers and supervisors
within three (3) months of their assignment of responsibilities as supervisors
or managers;
in consultation with the Independent Expert, provide web-based or face-to-face
training within three (3) months of implementation to its employees in
all aspects of the redesigned performance management system and offer face-to-face
training annually thereafter; iii.
train its supervisors and managers regarding the purpose and process
of Individual Development Plans;
provide career enhancement training to employees, to include training on the effective preparation of IDPs and career development;
in conjunction with an outside consultant, provide all supervisors and
managers with EEO and diversity training, which shall incorporate training
on bias awareness, perception, and job assignments.
Such training shall be completed within twelve (12) months
of the Effective Date, and a refresher training provided to each manager
or supervisor every two years after initial training.
New supervisors and managers shall receive such training
within three (3) months of commencing supervisory or managerial duties
and shall also receive refreshment training
In conjunction with the Independent Expert, and following consultation
with Class Counsel, Goddard shall within six months of the Effective Date
adopt and implement measures to make accessible to Class Members on a fair
and non-discriminatory basis, participation in its “management-track” training
programs, including but not limited to, the following Goddard Programs:
Council for Excellence in Government; Project Management
Development Emprise; Systems Engineering Education and Development (“SEED”)
Program; Executive Leadership Program for Mid-Level Employees (formerly
Women’s Executive Leadership Program); and the following Agency Sponsored
Programs: Senior Executive Service Candidate Development Program (“SESCDP”);
Project Management Development Process (“PMDP”); PMDP/
Accelerated Leadership Option (PMDP/ALO); and Professional Development
Program; and the following NASA Goddard development foundation courses:
Goddard Leadership Education Series (GLES); Technical Managers
Training (TMT); and Management Education Program (MEP).
4. Reductions in Force
In the event of a Reduction in Force (“RIF”), NASA Goddard shall provide
an informational session to all affected employee(s) advising such employee(s)
of their rights under federal laws and regulations and relevant collective
bargaining agreements. Such
session shall be provided sufficiently in advance of such RIF as to provide
the employee(s) with meaningful opportunity to exercise such rights if
5. EEO ADR Process
NASA Goddard agrees to evaluate and redesign its alternative dispute resolution
(“ADR”) process for informal equal employment opportunity (“EEO”) disputes.
An Independent Mediation Expert has been selected in accordance
with Part III.A.2 of this Agreement to provide consultation services during
this process at NASA Goddard’s expense.
NASA Goddard shall work cooperatively and continually
with the expert throughout the evaluation and redesign process.
The redesigned process shall continue to offer alternative dispute resolution services to EEO complainants at the informal EEO complaint stage – either through the EEO Office, or an Office of Dispute Resolution.
Selection of the mediation service provider for the redesigned process is subject to Part III.A.1.d of this Agreement.
When the NASA Goddard team, working with the Independent Mediation Expert,
reaches an agreement on the ADR redesign process, and within six (6) months
from the Effective Date, it shall forward the final redesign proposal, including
plans for its implementation, to Class Counsel, who shall within forty-five
(45) days evaluate the Independent Mediation Expert’s findings and recommendations for the redesigned system and provide comments and recommendations concerning them. Class Counsel may consult with the Independent Mediation Expert during the evaluation process.
Thereafter, the Goddard team shall consider the comments
and recommendations. In the
event, if any, Goddard decides to proceed notwithstanding Class Counsel’s
comments and recommendations, Goddard shall so notify Class Counsel and
provide Counsel with a good faith written justification for its decision.
Goddard shall implement the redesigned ADR process within twelve (12) months from the Effective Date.
NASA Goddard’s internal monitor of compliance with the terms of this
Settlement Agreement shall be the Associate Center Director, Goddard Space
Flight Center. The Associate
Director may delegate tasks consistent with the provisions of this Agreement,
including to an outside consultant; except that the Associate Director
shall be familiar with all issues presented at, and attend, all meetings
convened under subpart “d” below. (b)
At least on a semi-annual basis, NASA Goddard shall publish announcements
on all promotions. Such announcements,
posted on NASA Goddard’s Office of Human Resources (“OHR”) website for
employees – with a clearly designated link on the OHR homepage -- shall
include statistical data on the demographics of promotions, as well as the
identities and branch locations of scientists and engineers promoted to
the GS-14 and GS-15 levels, and the type of promotion received.
During the term of the Settlement Agreement, NASA Goddard and Class Counsel
shall statistically monitor the revised performance management system to
determine if there is a legally statistically significant disparity between
the promotion rates of African American and Caucasian scientists and engineers
to the GS-14 and GS-15 levels. Class Counsel shall also monitor the development and efficacy of Goddard’s
compliance efforts under the injunctive provisions of this Settlement Agreement.
In order to do so, NASA Goddard shall provide to Class
Counsel during the three-year period of the Settlement Agreement, the documents
and information outlined in subsections “i” and “ii” below.
On receipt, the Class’s statistical expert will review the computerized
data to determine if there is a statistical disparity and report to Class
Counsel. Based on a review
of the information by Class Counsel, Class Counsel may make recommendations
to NASA Goddard for further remedial action.
If NASA Goddard and Class Counsel do not reach agreement
on resolution of such recommendations, the Enforcement Procedures set forth
in Part IV shall apply.
In addition to the information and recommendations specified elsewhere in this Settlement Agreement, NASA Goddard shall provide to Class Counsel during the three-year period of the Agreement, the following documents and information:
For each scientist or engineer in the GS-13 through GS-15 levels, semi-annual
personnel and promotion statistics in computer-readable format on the sixth
(6th), twelfth (12th), eighteenth (18th
), twenty-fourth (24th), thirtieth (30th), and thirty-fourth
(34th)month anniversaries of the Effective Date, encompassing
At least one unique identifier, such as social security number or an
employee identification number (if the requested data is in more than one
database, the identifier for each individual must be the same in each database
so the records for various databases can be linked);
NASA hire date;
Job history (includes each: job title held by the employee throughout his/her tenure and the dates
of any changes in title; GS-level; salary; type of position (whether slash
or not); award; detail; promotion; type of promotion (whether accretion
or career ladder); and Code; o
Performance evaluation ratings; and
A list of the names and grades of each scientist or engineer reviewed under the current employee promotion eligibility review undertaken pursuant to Part III.C.2 of this Agreement, containing the same unique identifier as
above, and the results of the review, on the ninety (90) day, five (5) month,
and twelve (12) month anniversaries of the signing of the Agreement;
Semi-annual data (as scheduled above) on the number of EEO complaints.
This information provided shall be statistically aggregated information concerning complaints; nothing in this provision requires NASA Goddard to reveal the identities of persons involved in the EEO complaint
Annual data in computerized format on the number and ethnicity of participants
in each of NASA Goddard’s “management track” training programs, as defined
in Part III.C.4 of the Agreement. Such data shall use at least one identifier common to the personnel
and promotions statistics data, e.g., social security number, such that
the databases can be linked (on the twelfth (12th), twenty-fourth (24th ), thirty-fourth (34th) month anniversaries of
All training materials used pursuant to Part III.A.3 of this Agreement, semi-annually;
Summaries of any EEO complaint processing and/or mediation surveys conducted
pursuant to the ADR process, semi-annually, redacted if necessary for compliance
with the Privacy Act; and
The results of the IDP surveys administered to employees (within thirty (30) days after the aggregate survey results are tabulated).
Class Counsel may request additional existing documents and information
not listed above during the three-year period of this Settlement Agreement
for consideration in making its recommendations.
If NASA Goddard approves such request, Class Counsel shall
be provided with access and sufficient time to inspect the above records
within thirty (30) days of its written notice to NASA Goddard.
If NASA Goddard denies such a request, it shall provide Class Counsel with a good faith written statement of its reasons for denying the request as unnecessary for monitoring and recommendation purposes.
iii. Privacy Act Nothing in this Settlement Agreement shall be construed to impose an obligation
on Goddard to make disclosures of information, absent an order from the
presiding Administrative Judge, that violate the Privacy Act, 5 U.S.C. §
552a et. seq.
Class Counsel and the Associate Center Director shall meet every three
months during the first year following the Effective Date of the Agreement,
and every six months thereafter, to discuss and resolve any outstanding
issues with respect to implementation and compliance with this Settlement
Agreement. Any issues that
may arise during the term of the Agreement with respect to individual Class
Members shall be handled according to the applicable procedures and processes
identified in Exhibit 1 and the Enforcement Part of this Agreement; however
nothing in the foregoing shall prohibit Class Counsel and the Associate
Director or her designee from resolving such matters informally if they
are willing and so able. Two representatives of the Class are entitled to attend such meetings,
but may be recused for employee-specific discussions.
Two additional representatives from NASA Goddard are entitled
to attend such meetings, including representatives from the Office of Human
Resources and the Office of Chief Counsel.
Any information obtained by Class Counsel or participating
Class Members during these sessions shall be treated as confidential information
pursuant to Part II.G herein and shall not be used for any purpose except
for enforcement of this Settlement Agreement.
Reports to the Presiding Administrative Judge
Class Counsel shall file a written report with the presiding Administrative
Judge every twelve (12) months concerning the implementation of the provisions
of the Settlement Agreement, and shall serve a copy of such report on the
Associate Center Director and Goddard’s Counsel.
In turn, NASA Goddard’s Counsel may file a written reply
with the presiding Administrative Judge, if deemed necessary by NASA Goddard.
If requested by the presiding Administrative Judge, Class Counsel and Goddard’s Counsel shall appear before the presiding Administrative Judge to provide any additional information requested by the presiding Administrative
Judge. B.
Monetary Relief 1. Creation and Administration of Settlement Fund
For the purpose of satisfying and settling all of the eligible claims of the Mediation Representatives, Class Agent, Class Members and Class Counsel,
and if fully approved by the presiding Administrative Judge, NASA Goddard
shall deliver to Class Counsel via electronic transfer into the Settlement
Fund (the “Fund”) the sum of three million seven hundred fifteen thousand
two hundred seventy-eight dollars ($3,715,278.00) within thirty (30) days
after Final Approval. The
Fund shall be established as a qualified Settlement Fund under Part 468B
of the Internal Revenue Code and shall be administered by Maia Caplan and
Jessica Parks, who shall be the Settlement Fund Administrators and Trustees
(“Administrators”) in accordance with Administrative Order No. 1, attached
The above deposit shall settle all Class Member claims for monetary relief,
including compensation for lost wages and emotional distress, and is the
sole payment that NASA Goddard shall be required to make to settle this
case and the foregoing claims except for:
(1) payment to the Claims Administrator in an amount not to exceed fifteen thousand dollars ($15,000) for distribution of monetary awards and other services as set forth in Part III.B by the Claims Administrator;
(2) payment to the class expert in an amount not to exceed fifteen thousand
dollars ($15,000) for computation of monetary and promotional awards by
the Class Expert; (3) unless the parties agree otherwise after negotiation
or mediation, or unless the presiding Administrative Judge orders in enforcing
this Agreement, payment of consulting fees required to implement the Agreement
including for the Independent Expert and Independent Mediation Expert in
a total amount not to exceed five hundred thousand dollars ($500,000); (4)
fees for mediators relating to enforcement matters; (5) payment of the employer
portion of Federal Insurance Contribution Act (“FICA”) and taxes as provided
herein and in Administrative Order No. 1; (6) required employer contributions
to OPM for retirement annuity benefits; (7) Class Counsel fees and expenses
for administration of the Fund and for monitoring of the Agreement post-Final
Approval, in an amount not to exceed sixty-five thousand ($65,000) for the
first year of the Agreement and fifty thousand dollars ($50,000) per year
thereafter; (8) Class Counsel fees and expenses for enforcement of the Agreement
as provided for under Title VII and determined reasonable by the presiding
Administrative Judge on presentation of a fee petition; (9) Class Counsel
fees and expenses for appeals of or challenges to the Agreement, if any,
in an amount not to exceed fifty thousand ($50,000) in total; and (10) pay
raises and prospective and retroactive annuity benefits pursuant to promotions
received under Part III.C of this Agreement.
Nothing in the foregoing shall release NASA Goddard, however,
from expending the necessary resources to implement internally the equitable
measures mandated by Part III of the Agreement.
From the deposits and any income earned thereon, the Class Agent and
Class Members may receive payments, and Class Counsel and all other non-Class
Member payees to which Class Counsel is liable shall be paid all fees and
reimbursed for expenses incurred, except as set forth immediately above.
Tax reserves and an appeal fund may be created and set
aside before allocating the Fund among eligible Class Members, claimants
or payees, all in accordance with Administrative Order No. 1, the terms
of which are incorporated herein and made a part of this Settlement Agreement.
The portion of the Fund designated to pay the claims of Class Members for back pay, emotional distress and prejudgment interest shall consist of
two million two hundred eighty-six thousand, four hundred fifty-nine dollars
($2,286,459.00) and any income derived thereon and shall be known as the
“Claims Fund,” less any amount specified for the Tax Reserves and Appeal
Fund. Thirty-three percent
(33%) of the Claims Fund shall be allocated to pay claims for back pay,
forty percent (40%) shall be allocated to pay claims for emotional distress,
and twenty-seven percent (27%) shall be allocated to pay prejudgment interest
with respect to the back pay awards.
of the Fund designated to pay the special service awards of the Class Agent
and Mediation Representatives shall consist of five hundred thousand dollars
($500,000.00) and any income derived thereon and shall be known as the “Contribution
Fund.” The portion of the
Fund designated to pay and/or reimburse Class Counsel and other non-Class
Member payees to which Class Counsel is liable their reasonable fees, expenses
and costs, shall be known as the “Litigation Fund.”
The Litigation Fund shall consist of nine hundred twenty-eight
thousand eight hundred nineteen dollars ($928,819.00).
Income as to all portions shall include income earned
by the Fund pending distribution from it.
The Administrators shall invest all portions of the Fund
in interest-bearing United States Treasury securities, securities of agencies
of the United States backed by the full faith and credit of the United States,
Repurchase Agreements, and/or other interest-bearing instruments or accounts,
pending distribution from the Fund. All portions shall be governed by Administrative Order No. 1.
The Litigation Fund shall cover fees, costs and expenses, incurred in connection with this litigation by Class Counsel through the date of Final Approval of this Settlement Agreement. Notwithstanding the above, attorneys’ fees, costs and expenses incurred
by any person objecting to, or making a collateral or direct attack on the
Agreement or on the actions of the Administrators of the Fund, shall be
borne by that person and shall not be chargeable to either NASA Goddard
or the Fund.
The Fund, including all of its portions, shall be deposited by NASA and administered by the Administrators as outlined in Administrative Order No. 1 within thirty (30) days of Final Approval.
If, by whatever means, the Order finally approving the
Settlement Agreement does not become a final order of the Commission, the
Fund and any interest thereon shall revert to NASA Goddard.
2. Administrators’ Administrative Responsibilities
In administering the Fund, the Administrators shall comply with the terms
of the Administrative Judge’s Administrative Order No. 1, as that order
may in the future be supplemented or amended by the presiding Administrative
Judge to administer and carry out the purposes of the Agreement, provided
that no such supplementation or amendment shall alter the terms of the Settlement
Agreement, including Goddard’s payment obligations.
The identification of Class Members to receive monetary relief and distribution
of such relief is the exclusive province of Class Counsel, acting on behalf
of the Class, and shall be carried out pursuant to the procedures set forth
in subparts 4 and 5 below following approval by the presiding Administrative
Judge. NASA Goddard
shall have no role in, nor shall it be held liable for, determining the
distribution methodology, the determination of relief to be accorded each
individual, or other aspects of the monetary awards process, with the exception
that NASA Goddard shall as set forth in other parts of this Agreement:
(1) provide data relating to each Class Member’s employment
with it, for use in the distribution formula; (2) provide notice of the
Agreement, the Fairness Hearing, and a copy of the Agreement, to Class Members;
(3) provide notice of the Agreement to all current non-Class Member NASA
Goddard non-managerial, non-supervisory scientists and engineers at the GS-13
and GS-14 levels; (4) calculate and pay all employer’s portion of
OPM-ordered back annuities; (5) pay to the Fund the employer portion
of FICA and of any other taxes required by law within forty-five (45) days of receiving from the Administrators and/or Class Expert the portion of monetary
relief allocated to wages for each Class Member; (6) pay the Claims Administrator
and Class Expert consulting fees and expenses as previously limited; and
(7) pay Class Counsel administrative, monitoring, and appeals fees and expenses,
as previously limited. Nothing
in this subpart is intended to relieve NASA Goddard of obligations under
this Agreement that are specifically enumerated elsewhere in the Agreement.
Method of Identification of Class Members to Receive Monetary Relief Class Counsel shall arrange for allocation of the Claims Fund and the Contribution Fund in accordance with the distribution methodologies set forth in Exhibit 5 and the provisions of this Agreement. Each Class Member shall receive the amounts calculated according to
the distribution formula and additionally, the Mediation Representatives shall receive a pro rata share of the Contribution Fund.
The Claims Administrator shall be responsible for distributing
the monetary relief in accordance with the distribution formula and the
provisions of this Agreement following approval by the presiding Administrative
Judge and the Administrators. Calculation of
amounts due each Class Member according to the formula set forth in Exhibit
5 shall be performed by the Class Expert.
In accordance with Exhibit 5, NASA Goddard shall provide
Class Counsel and the Class Expert with personnel information as may be
necessary to perform the requisite calculations to the extent NASA Goddard
has not previously provided such information; all such information shall
be treated as confidential information pursuant to the provisions of this
5. Distribution of Monetary Awards to Class Members
Except with respect to calculation of the amounts due each Class Member (to be calculated by the Class Expert), the administration and
distribution of monetary awards shall be handled by the Claims Administrator, which Class Counsel has retained at NASA’s expense, to inter alia
: (i) locate Class Members who are no longer employed by NASA Goddard and who NASA Goddard, after reasonable efforts, has been unable to locate; (ii) answer procedural questions from Class Members about the claims process
under this Agreement through the use of a toll-free telephone number; (iii)
provide notice to each Class Member of the proposed monetary award to be
paid to that Class Member as determined by the Class Expert, and the amounts
to be withheld from that payment, as well as release forms;
(iv) address purely arithmetic challenges to award amounts;
(v) procure executed releases and W-9s from each Class Member; and (vi)
withhold and deposit all required income and employment taxes, including
the employer portion of FICA and other taxes; (vii) prepare, file and pay
the taxes associated with any required tax returns of the Fund; and (viii)
prepare and distribute funds and W-2 and 1099-MISC tax forms to Class Members.
NASA Goddard shall (1) provide notice of the Agreement, the Fairness Hearing, and a copy of the Agreement, to Class Members; and (2) provide of notice of the Agreement to all current non-Class Member NASA Goddard non-managerial, non-supervisory scientists and engineers at the GS-13 and GS-14 levels.
If a Class Member
who is entitled to monetary relief under this Settlement Agreement is deceased
at the time of such distribution, the amount payable to such deceased Class
Member shall be paid to his or her estate.
If the Claims Administrator determines that there is insufficient
information or proof regarding the deceased person’s estate to permit such
payment, the deceased person’s share shall be distributed to the remaining
Class Members on a pro rata basis.
6. Tax Consequences Of Monetary Relief
shall retain responsibility to pay the employer share of FICA and any other
taxes as required by law on monies paid from the Fund.
At least forty-five (45) days prior to making a distribution
to a Class Member, the Administrator and/ or Class Expert shall provide
NASA Goddard with the amount of the distribution allocable to wages, and
the amount of the employer portion of FICA and other taxes on such wages.
Within forty-five (45) days of the receipt of such information,
NASA Goddard shall deposit the amount into the Fund.
The Claims Administrator shall deduct federal, state, and local taxes, employee retirement account contributions, Medicare taxes, and
any other routine payroll deduction required by law from any amounts paid
to Class Members, and shall deposit any withheld taxes along with the employer
portion of FICA and any other taxes as required by law.
For purposes of determining withholding requirements and
the employer portion of FICA and other taxes, awards made to the Class
Agent and other Class Members from the Claims Fund shall be deemed 40% compensation
for emotional distress, 33% backpay, and 27% pre-judgment interest; however,
Class Members should consult their tax advisors in connection with this
settlement concerning any estimated or additional tax payments that may
be required or advisable. Attorneys’
fees shall be deemed not taxable to the class.
Neither NASA Goddard, Class Counsel, nor the Fund or Claims
Administrators make any representation nor express any opinion as to the
final taxability of the payments made to the Class Agent, any other Class
Members, or any other recipient. Each recipient of an award shall be solely responsible for making payment
to the appropriate taxing authorities, federal, state, and local, if any,
for any additional employee tax liability on distributions, including liability
resulting from any underpayment of taxes from the calculations performed
by the Claims Administrator, or for seeking refund of any overpayment of
taxes, provided, however, that NASA Goddard shall pay to the Fund any additional
employer portion of taxes, interest or penalties determined to be owed on
account of reclassification by the Internal Revenue Service or a court of
any portion of a distribution as wages. C.
A minimum of twenty-two (22) promotion awards, and ten (10) participations
in the Accelerated Leadership Program, shall be allocated amongst current,
retired or retirement eligible (who have spent five (5) years or more at
NASA Goddard immediately prior to retirement and are willing to retire)
members of the Class according to the processes described below.
No individual Class Member shall receive under any circumstance
more than two promotion awards up to a GS-15.
The identification of retired or retirement-eligible Class Members to
receive promotion awards is the exclusive province of Class Counsel, acting
on behalf of the Class, and shall be carried out pursuant to the procedures
set forth below following approval by the presiding Administrative Judge.
NASA Goddard shall have no role in determining the
distribution methodology, or the proportion of relief to be accorded each
individual. The determination
of the methodology for distributing and distribution of promotion awards
to current employees shall, however, be the exclusive responsibility of NASA
Goddard, to be carried out consistent with the provisions herein.
1. Relief to Qualified Retired and Retirement-eligible Class Members
The parties have agreed that there shall be twelve (12) retroactive promotion
awards to Class Members who are retired, or who are retirement eligible
and have spent five (5) years or more at NASA Goddard immediately prior
to retirement and are willing to retire within thirty (30) days of receiving
promotion awards. The following
procedures shall be used for identifying Class Members to receive promotion
awards and for distributing and implementing such awards.
Method of Identification of Class Members
Class Counsel shall determine retired and retirement-eligible Class Member
eligibility for promotion awards as described in Exhibit 1, and in accordance
with the methodologies set forth therein.
Calculations concerning eligibility shall be performed
by the Class Expert. NASA
Goddard shall provide the Class Expert with the information specified in
Exhibit 1, as may be necessary to perform the requisite calculations, within
fifteen (15) days of Final Approval. All such information made available to Class Counsel and their Expert shall be considered Confidential Information.
Class Counsel shall thereafter identify the Class Members
to receive promotion awards in accordance with the procedures set forth in
Implementation of Promotion Awards
Promotion awards under this subpart shall be implemented within sixty
(60) days of the Effective Date of this Settlement Agreement or within sixty
(60) days of the conclusion of the procedures described in Exhibit 1, whichever
comes later. Such awards shall
be retroactive to five years from date of retirement, and shall consist
of an initial award such that the Class Member’s pay at the higher grade
rate shall be the equivalent of a two-step increase in the grade from which
he or she was promoted, plus the automatic steps that would have accrued
within the five years. Class Members receiving a promotion award under this subpart shall, prior
to implementation of such award, execute a release waiving any additional
direct payments for back pay from Goddard.
Such release is set forth in Exhibit 2.
The Release permits NASA Goddard and the Class to allocate
funds for back pay liability to the Claims Fund, which amount has been negotiated
and will be distributed amongst the entire Class according to the formula
set forth in Part III.B.4-5 above, and not directly to the individual recipients of Promotion Awards. 2.
Relief to Current Employee Class Members The parties have agreed that there shall be a minimum of ten (10) promotions
accorded to current employee Class Members who are not eligible for retirement
or elect not to retire. The
following procedures shall be used for identifying Class Members to receive
promotion awards and for distributing and implementing such awards.
Method of Identification of Class Members and Implementation of Awards
shall determine current Class Member eligibility for promotion awards in
accordance with the methodologies set forth herein.
Within seventy-five
(75) days of Final Approval of this Agreement, the Director of NASA Goddard’s
Applied Engineering and Technology Directorate (“AETD”) shall complete
a review of the promotion potential of each current employee Class Member
who has one year or more time-in-grade and notify each Class Member of the
review results. Within thirty
(30) days of Final Approval, Branch Heads shall prepare promotion packages
for all Class Members and provide them to the Director of AETD, who may
consult with other Directors of regarding the promotion candidates, if needed.
Any Class Member
determined to be immediately ready for promotion as a result of the review
shall be promoted within five (5) months of Final Approval of the Agreement,
or sixty (60) days after the Effective Date, whichever comes later.
For Class Members who are determined to be ready for promotion
within twelve (12) months of Final Approval, NASA Goddard shall provide
them with near-term concentrated training and work assignments that, if
successfully completed, shall result in those Class Members being promoted
within the twelve-month period, or sixty (60) days after the Effective Date,
whichever comes later. Within twelve (12) months of Final Approval, or sixty (60) days after the Effective Date, whichever comes later, NASA Goddard, through its Directors of, shall review the promotion potential of all scientists and engineers at the GS-13 & 14 levels who are not Class Members and who have eight (8) years or more time-in-grade and promote those who merit promotion. NASA Goddard
shall provide Class Counsel with data on the promotions of Class Members
and non-Class Members under this procedure as set forth in Part III.A.6
of this Agreement. 3.
Class Agent Walter Flournoy shall receive one of the minimum of ten promotions
accorded current employee Class Members if he elects to remain as a current
employee at NASA Goddard and not to participate in the awards procedures
set forth in subpart 1 above for retired and retirement eligible Class
Members. In this case, the
award shall be defined identically to those under subpart 2 above for current
employees, except that Mr. Flournoy’s award shall not be subject to the
review process and is automatic and is given in recognition of his service
as Class Agent. The Class Agent shall notify NASA counsel in writing of his election decision
within forty-five (45) days of Final Approval of this Agreement.
If the Class Agent fails to so notify NASA of his election, he shall be deemed to have elected to remain a current employee for purposes
of distributing the promotion awards under this Agreement.
In addition to the above, NASA Goddard shall identify at least ten (10)
additional Class Members for guaranteed participation in its Accelerated
Leadership Program (ALP). Under this program, the designated Class Members shall receive training
and be teamed with NASA Goddard senior leaders for up to two-years, which
training shall commence when the ALP commences operation in the Fall of
2002. If the Class Members
successfully complete the Accelerated Leadership Program, they shall be
reassigned to a full performance level of GS-14. IV.
In the event of a material
breach of this Settlement Agreement, encompassing the breach of any part
herein whether expressly designated as subject to Enforcement or not, the
following principles and procedures shall apply; except that the parties
shall be entitled to seek administrative enforcement of this Agreement with
respect to Target Dates immediately after pursuing the process set forth
Part III.A.1 on Target Dates and, with respect to the final six (6) months
of the Agreement, immediately. A.
Prior to instituting any proceedings to enforce the provisions of this
Settlement Agreement, Class Counsel shall provide written notice to the
Associate Director and NASA Goddard Counsel, that specifically sets forth
the ways in which Class Counsel believes that NASA Goddard is in violation
of the Agreement and citing evidence in support thereof.
If such notice is provided between three and thirty days prior to a meeting scheduled pursuant to Part III.A.6.d above, the issues shall be placed on the agenda for such meeting.
If such notice is provided thirty (30) or more days prior
to a scheduled meeting, then at either party’s election, the issues that
are set forth in the notice may be discussed at a meeting specially to be
held within twenty (20) days of such notice.
The parties will attempt in good faith to resolve all enforcement issues
through discussion and negotiation. If the parties are unable to resolve an issue raised in a written
notice through discussion and negotiation, then NASA Goddard will provide
a formal written response to Class Counsel within fifteen (15) days of
the meeting at which the issue is discussed.
The parties will participate regarding any unresolved enforcement
issues in mediation with ADR, Associates L.L.C. within thirty (30) days
of the date that a discussion is held on the issue.
Mediation will be discontinued if the issue is not resolved
within thirty (30) days of initiation of meditation, unless the parties
mutually agree to extend this period. If the parties are unable to resolve an issue through mediation,
or the dispute exists in the final six months of the Agreement, then either
party may pursue enforcement pursuant to 29 C.F.R. Section 1614.504.
the promises of confidentiality expressly set forth in Part II.G, the parties
have negotiated and will issue Joint Press Releases that shall be made
available to the news media following the presiding Administrative Judge’s
preliminary and final approval of this Settlement Agreement, subject to
any necessary revision agreed on after final approval to reflect final
approval dates, proceedings, and provisions.
No counsel shall make any written or oral statements at
any time that are inaccurate and/or inconsistent with the Joint Press Release
(and any revisions thereto on final approval), nor shall Class Counsel advise
or in any manner promote a Class Member to make an inconsistent statement.
Except as set forth below, if after Final Approval any term or provision
of this Agreement, or the application thereof to any person or circumstances,
is held to any extent to be invalid or unenforceable, the remainder of
this Agreement, or the application of such term or provision to persons
or circumstances other than those as to which it is held to be invalid
or unenforceable, shall not be affected thereby, and each term and provision
by law. Notwithstanding
the above, if (1) all of the monetary relief provisions in Part III.B;
or (2) all of the equitable
relief provisions in Part III.A & C; or (3) the release/bar provisions
in Part II.D.3 of this Agreement are held to be invalid or unenforceable,
the entire Settlement Agreement shall be null and void.
COLLECTIVE BARGAINING Consistent with the Federal Service Labor-Management Relations Act, 5 U.S.C. Chapter 71, the parties acknowledge that NASA Goddard’s collective bargaining partners, the Goddard Engineers, Scientists and Technicians Association
(“GESTA”) and the American Federation of Government Employees (“AFGE”)
must be notified of any proposed changes to agency personnel or EEO policies
covered by GESTA’s or AFGE’s collective bargaining agreements and that prior
to implementation, any changes in policy impacting on provisions of the
collective bargaining agreements may be negotiable.
As such, GESTA and AFGE were notified of the negotiation
sessions leading to this Agreement, and participated in several such sessions.
VIII.GOVERNING LAW
The parties agree that the validity, construction, and enforcement of this Agreement shall be governed by federal law.
IX. BINDING AGREEMENT
This Settlement Agreement is binding on all parties and their successors,
assigns, representatives, and trustees.
Walter Flournoy Date
________________________ Maia Caplan Date
Kator Parks & Weiser, P.L.L.C.
Jessica Parks Date
1020 19th Street, NW, Ste. 350
For NASA Goddard:
A. V. Diaz Date
Greenbelt, MD 20071
Dillard Menchan Date
Chief Equal Opportunity Program Office
Dorothy Kerr Date
Although not formally named as class agents in the administrative complaint,
Class Members Patrick McClain, William Weston and Leroy Brown, all retired
during the liability period, participated in the mediation sessions as
they had worked with Mr. Flournoy in prosecuting the complaint from its
inception. An additional
Class Member, William Reaves, a current NASA Goddard employee, was brought
into the mediation to broaden the representation of the interests of Class