National Guard Bureau EEO

1. National Guard Bureau  EEO/EO ConferenceBoston, Massachusetts2-6 June 2003 

2. Document Retrieval for EEO Investigation Presented By: Donald G. Ballard EEO Specialist NGB Complaints Management Section

3. Topic�s for Discussion Regulations that govern documentation for an investigation Sanitation of Documentary Evidence Why having proper documentation is important What documentation should be included in the file according to the complainant�s claim/issue Recurring Documentation

4. Regulation!!! NGR (AR) 690-600/NGR (AF) 40-1614 Section 5-8 (d.) states, �The SEEM is responsible for making available all personnel and other records, statistical data, and other documents required by the investigator and assuring that necessary copies are provided to the investigator prior to the investigator�s departure�.

5. Regulation!!! NGR 600-22/NGR 36-3 Section 3-6 (g.2.) states, �The investigator will include copies of all documentation relevant to the complaint. The evidence gathered will be clearly marked and placed as exhibits in the ROI.�

6. Regulation!!! MD-110, Chapter 6 (Part I)29 CFR, Sec 1614.108(b) Section I, specifies, �that quality evidence shall be gathered from the complainant, witnesses, and all other available sources, provided that it is material, to the complaint, relevant to the issue raised in the complaint, and as reliable as possible.�

7. Regulation!!! Sanitation of Exhibits & Documentary Evidence NGB Investigator Procedure Manuel, Chapter 6-1 states that the following info should be deleted: Home address SSN DOB Arrest records Name of relatives employed by the federal government

8. Why is Retrieving Documentation for the EEO Investigation important??? MD-110, Chapter 6 (Part I) states, �should an agency fail to develop a thorough, impartial, or appropriate investigative file, the EEOC Administrative Judge and Office of Federal Operations have the authority to issue sanctions.�

9. Non-Selection Non-promotion Demotion/Change to Lower Grade Harassment Sexual Harassment Performance Rating Disciplinary Actions Time & Attendance Denial of Request for Training Performance Based Adverse Action Termination of Employment Disability, Failure to Accommodate, (Civ Only) Claims/Issues

10. Non-SelectionNon-Promotion Merit promotion /vacancy announcement for the position at issue Applications & other documents submitted for the position at issue by the complainant and selectee Documentation designating interview, selection, recommending panel members instructions, etc. Evaluation criteria/interview questions used by panel, selecting/approval officials (notes, score sheets, etc.) Documentation of complainant�s notification of non-selection Referral/selection instrument(s) (certificate) for the position at issue

11. Demotion/Change to Lower Grade (CLG) Notice of proposed & decision implementing CLG and appeal correspondence (if verbal any memo documenting verbal reply) Regulatory guidelines concerning merit promotion (time of non-selection) If CLG is based on performance, performance plan & documentation relative to Performance Improvement Plan (PIP) period Position Description for positions held before/after CLG If complainant�s position was subsequently filled, name and protected group of selectee & date of appointment

12. Harassment Appropriate data & documentation (memos, letters, proposed actions, e-mail messages etc.) for the action(s) at issue Name, position (title, series & grade) and protective group(s) of all employees/supervisors, relative to the basis(es) of the complaint (i.e., race, age, etc.) Applicable regulatory guidelines that existed concerning the issue at the time of the action/complaint

13. Sexual Harassment Policy on sexual harassment in effect at the time of alleged incident Data on sexual harassment prevention training provided to employees, supervisors and managers in unit/section for two period prior to incident Any publications (i.e., newsletter articles, bulletin board items) published for two year period prior to incident Documentation showing whether the supervisor or any mgmt official was made aware of the alleged incident Documentation of any corrective action(s) taken subsequent to alleged incident of sexual harassment Documentation of any management inquiry or investigation conducted based on the allegation

14. Performance Rating Performance rating at issue & performance plan(s) on which it is based Complainant�s two previous ratings of record & performance plan(s) on which they are based Documentation of performance discussions held with complainant during the rating period Regulatory guidelines concerning any performance management programs in effect at the time of the rating

15. Disciplinary Actions Notice of proposed disciplinary action & supporting documentation (i.e., witness statements, report of any mgmt inquiry or investigation) Complainant�s written reply to the proposed action (or memo documenting verbal reply) Decision effecting disciplinary action & rationale used to determine penalty Documentation of grievance or appeal (if any). Regulatory guidelines concerning disciplinary actions in effect at the time of the action

16. Time & Attendance Complainant�s time & attendance/leave records (for two year period, if possible) Complainant�s leave request(s) Listing of similar actions taken regarding other employees in the complainant�s organization Documentation of any counseling provided concerning complainant�s leave Regulatory guidelines concerning leave administration in effect at the time of the action

17. Denial of Request for Training Data on training request made within the org unit which the complainant was assigned at the time the request (for a two year period) Complainant�s request concerning the action (if submitted in writing) Management denial of request with any supporting documents Written description of course or training denied, if available

18. Performance Based Adverse Action Complainant�s performance rating and related performance plan Notice of Opportunity to Improvement Performance/Perf Improvement Plan (PIP) Notice of proposed action & supporting documentation Complainant�s written reply to the proposed action Decision effecting the action

19. Termination of Employment Vacancy announcement and any other documentation citing conditions of employment Written notice of termination of employment If termination is performance related, complainant�s performance standards/ratings & documents of any counseling sessions Regulatory guidelines concerning termination (at the time of issue) If complainant�s position was filled, name & protected group of the selectee & date of appointment

20. Disability/Failure to Accommodate, (Civilians Only) Medical documentation concerning physical or mental impairment Medical documentation concerning accommodation requested Documentation concerning non-duty/light duty status Documentation concerning offer(s) of reassignment (temp or permanent)

21. Recurring Documentation Organizational Chart for Unit/Section Job/Position Description for Complainant Request for personnel action (SF-52) & Notification of personnel action (SF-50), pertaining to complainants issue Name, position (title, series & grade) and protective group(s) of all employees/supervisors, relative to the basis(es) of the complaint (i.e., race, age, etc.) Applicable regulatory guidelines that existed concerning the issue at the time of the action/complaint

22. ~~~~The End~~~~ Question/Comments E-Mail: donald.ballard@ngb.ang.af.mil