mission policy had been to investigate all charges broadly, encompassing nonalleged as well as alleged violations, issues, etc. This policy change was made because of our desire to help individuals who had filed charges in a more timely and efficient manner. Narrower investigations require less time, and also are easier to conciliate since relief for the charging party is the primary issue. During FY 1974 we implemented this program with some success, and in FY 1975 have programmed about 35% of our compliance resources in this area. (3) Deferral agencies.-The State and Community Affairs Program has been redirected from one of general development of State and local human rights agencies to one of concentration on charge processing. The operation of the program has been decentralized from the Headquarters to the District Offices. Operational plans and quantitative goals are currently being developed in each region to carry out this program in FY 1975. We project that state and local deferral agencies will be able to resolve 15,000 charges if the total $5 million requested for this program is appropriated. Any decreases in this level of funding may result in fewer charge resolutions by deferral agencies. (4) Pre-investigative process.-Charges are received, analyzed, and deferred in this process. The review of charges at intake is considered vital to proper categorization and consolidation of charges. It is felt that a high level review of charges at intake would definitely lead to faster processing of charges. The function is presently performed by clerical employees. This area is being upgraded and will be made an integral part of the investigate process. (5) Offices with high backlog.-Three Regional Offices and six District Offices are working closely with Headquarters personnel in an attempt to make an immediate short-term impact on their backlog of charges. The program calls for an intensive review of charges to verify jurisdictional aspects of the charge; identify those charges which may be consolidated; identify those charges which may be processed through a short form process; and, identify those charges which because of their peculiarity or age require or suggest recontact of charging parties. It is felt that 2,000-3,000 charges will be eliminated from the backlog in the next 60 days as a result of this project. Question 7. Specifically, what resources of the Commission, if any, have been reprogrammed to support these efforts by the regional offices? Answer. With regard to the decentralization of the operational aspects of the State and Community Affairs programs to District Offices it is planned that fifteen positions will be distributed to District Offices with the largest number of unresolved charges. An additional sixteen positions are slated for transfer into the Pre-Investigations Analysis area. Programs are currently being reviewed to determine which positions are available for reprogramming to the above areas. The Office of Compliance is providing three two-person teams to work over a six-month period with Regional Offices and six high backlog District Offices in order to achieve a short-term impact on the backlog of these offices. Question 8. Describe how the Commission's information system has been improved and developed in an effort to reduce the backlog of complaints filed with the Commission. Answer. The major information system providing specific information on charges is the Complaint Statistical Reporting System (CSRS). This system tracks a charge through the compliance process. When a charging party files a complaint with EEOC either by mail or in person, a charge number is assigned to that complaint. Basic information concerning that complaint is recorded on a document called a Charge Control Action memo which is mailed to Headquarters for entry into the computer. Basic information recorded includes: charge number assigned, charging party name and address, respondent name and address, date charge received, date filing date established, basis of the charge, and issues included in the charge. As the charge moves through the compliance process codes are mailed into Headquarters for entry into the computer for maintaining status on the charge. This system as currently designed is cumbersome and unwieldy. Substantial resources are required to operate it, especially from the Pre-Investigation Analysis (PIA) Unit for recording and transmitting data to Headquarters. Much error is in the present system. A past inventory has shown that the computer files had an average error of 25% per District Office. I believe that by redesigning the system less resources will be required to operate it and a better product will be received. Timely and accurate information will assist managers at all levels in rapidly identifying problems and initiat ing corrective actions. Resources gained in the PIA unit will be more usefully spent in analyzing new charges received and gathering information needed for investigation. Approximately 50% of PIA time will be freed up for these activities. The following improvements have been made in the design of the CSRS: (a) A headquarters controlled numbering system has been established to eliminate different charge numbers being assigned to the same complaint. (b) The case numbering system has been eliminated. Only one number will be assigned to a complaint and that will be the charge number. (c) The case codes have been eliminated. Previously, there were separate codes for charges with charge numbers and charges with case numbers (case numbers were assigned after the charge was investigated). Now one set of codes will be used to track the charge through the entire process. (d) A new set of codes have been developed with obsolete and redundant codes eliminated and additional codes established in light of new information requirements. (e) Recording and reporting forms have been simplified facilitating transmission of data. (f) Input control procedures have been designed for headquarters to assure quality of data input. (g) Computer files have been redesigned to speed up processing of data. A pilot study is currently being conducted in two district offices testing the above changes. If the pilot proves satisfactory, the new design will be implemented system-wide. Question 9. Describe in detail any changes in the organizational structure of the Commission which you plan or have implemented in an effort to reduce the Commission's backlog in the processing of complaints. What is the rationale for these changes? Answer. Over the past several years, a number of people, including OMB, CSC, and GAO, have recommended improvements and changes in the Commission's organizational structure. To provide an objective assessment of these recommendations and to review our current situation, I have engaged the consulting firm of Booz, Allen and Hamilton, Inc. I anticipate that by September, after reviewing the consultant's report, we will be in a position to make the necessary changes. Question 10. Describe the training program and staffing pattern of the training academy which the Commission will be establishing in September 1974. What resources have been necessary for the implementation of this academy? What is the source of these resources? Answer. The training program which the Commission will implement in September, 1974 is a core curriculum of technical training for all Commission personnel. In FY 1976 and subsequent years we intend to expand this program to include all training needs of our own staff and the technical training needs of all Federal, state and local agencies with Title VII and similar responsibilities. The latter will aid in the development and implementation of standardized administrative practices in the employment discrimination field. During FY 1975 the training developed and delivered by the EEOC National Training Center will include: 1. Supervisory-Instructor Training (5 days) to equip all Commission supervisors and managers to serve as on-the-job counselors, coaches, and instructors to new employees. Twelve classes are scheduled to train approximately 240 supervisors and managers. 2. Introduction to Basic Equal Employment Opportunity Concepts (5 days) for all Commission professional and technical personnel not directly involved in the compliance process. This training will insure that Commission personnel, regardless of their function, have a firm grasp of our mission, are conversant with Title VII; and have an understanding of our general operating procedures and practices. Eleven courses are scheduled to train approximately 220 people. 3. Basic Compliance Training (8 weeks) for all new Equal Opportunity Specialists (Employment) including skills training in the entire compliance process. The course consists of two two-week segments in residence at the Training Center with a return to the field for a four-week period of structured on-thejob training between the two residential segments. Eighteen of these classes will be completed during FY 1975, allowing us to train approximately 360 Equal Opportunity Specialists (Employment). We expect the bulk of the trainees to be new employees who enter on duty during the year or who entered on duty late in FY 1974. As space becomes available training slots will be allocated to OFCC, other Federal agencies and state and local fair employment practice agencies. 4. Orientation. The Training Center will develop a standardized orientation package for use in Headquarters and field offices. The package will include a general orientation to the Federal civil service and a specific overview of Commission activities, practices and organization. All new Commission employees will go through the orientation. The implementation of the Training Center is being accomplished through existing personnel with training responsibilities and capabilities and the assistance of an outside contractor. The cost of the contract is $207,000. As we move toward the date for the first course offerings in September and heavy scheduling in the winter months additional resources such as facilities, materials, production, and audio-visual support will be required. Initially, major personnel resources are being supplied by the contractor. The contractor staff is supplemented and monitored during the current developmental period by two senior Commission employees. Additional Commission personnel resources will be required from September on to assist in the delivery of the training. The need for additional Commission personnel will become especially critical during the second half of FY 1975 as we begin to phase out the contractor's personnel and plan for full internal operation and staffing during FY 1976. During FY 1975 we will meet the Training Center's personnel needs by shifting about six positions, mostly from our Employee Development Branch, which already have training responsibility. This initial permanent cadre must be supplemented by Commission technical and professional personnel brought into the. Academy on short-term assignments. However, by the end of FY 1975 we will need to make personnel allocations to allow full-time staffing of the Training Center. If the Training Center is to effectively serve as a means toward standardized administration of Title VII, nation-wide and increased Commission productivity, a full-time staff is a necessity to insure that training activities do not place a continuing drain on field operations. The proposed staffing pattern calls for a cadre of education specialists, technical instructors, and normal educational administrative and management support personnel. Question 11. Provide a breakdown of the Commission's contracts (actual and projected) with State and local human rights agencies for Fiscal Year 1974, when the Commission received an appropriation of $2.5 million, and Fiscal Year 1975, when the Commission requested an appropriation of $5 million, for this purpose. Answer. Table 5 shows the contract amounts for State and local human rights agencies for FY 1974, when the Commission received an appropriation of $2.5 million. We have not yet entered into any contracts with State and local deferral agencies for FY 1975 since the amount to be appropriate to this activity has not yet been determined. If Congress grants our requests for $5 million, we anticipate that those agencies which have demonstrated unusual competence in terms of quality and quantity of their work product will receive substantial increases in their funding. These agencies will generally be located in areas where the backlog of charges is sufficient to warrant funding increases. TABLE 5.-EEOC's contracts with State and local human 60, 000 Wisconsin Equal Rights Division Department Industry, Labor and Human Relations____ 121, 500 1 Fiscal year 1974 money obligated in September 1973. TABLE 5.-EEOC's contracts with State and local human Fort Worth/Dallas regional office: Oklahoma Human Rights Commission___ Arkansas (Governor's Commission on Human Resources). Corpus Christi__. Kansas City regional office: Kansas Commission on Civil Rights_ Iowa Civil Rights Commission___ Hutchinson City of St. Louis Council on Human Relations.. Waterloo Human Rights Commission___ New York regional office: Contract amount 41, 000 30, 400 27, 200 56, 000 30,000 18,000 33,000 18,000 18, 000 132, 000 18, 000 102, 000 15, 500 28,000 Massachusetts Commission Against Discrimination____ Rhode Island Commission for Human Rights----- Connecticut Commission on Human Rights and Opportunities__ New Hampshire Commission for Human Rights--- Maine Human Relations Commission_ New York City Commission on Human Rights. State of New York Division on Human Rights.. Philadelphia regional office: Pennsylvania Human Relations Commission_ Maryland Commission on Human Relations---. District of Columbia Commission on Human Relations_. West Virginia Human Rights Commission__ 190,000 153, 660 70,000 30,000 210,000 161, 840 28,000 61, 000 33,000 60,000 San Francisco regional office: Human Relations Commission of the County and City of Sacra Los Angeles County Commission on Human Relations_. Total 48,000 22, 000 21, 000 12,000 19,500 35,000 30, 000 2,500,000 Question 12. In your testimony before the House Committee on Appropriations on April 30, 1974, you indicated that the Commission would expand its efforts to seek voluntary compliance through its Office of Voluntary Programs, yet no increase in staff of this office was requested. Please indicate how you intend to accomplish this goal. Answer. The reference in my testimony to the "Office of Voluntary Programs" was intended to encompass both Headquarters and Regional voluntary programs activities. In addition to 30 positions located at Headquarters, each of the seven Regional Office now has three professional voluntary programs positions. The Commission's FY 1975 Budget Request includes an increase of fourteen Regional Office positions (two per Region). No additional resources were requested for the Headquarters Office because we plan to further decentralize operational activities and progressively limit Headquarters to staff and support activities. As this decentralization occurs it will be possible to reprogram resources to expand field capability even more than is indicated by the FY 1975 request. In addition to expanding field capability, a major change in program emphasis is contemplated during FY 1975. Until FY 1974, voluntary programs activity was limited essentially to responses to requests for educational and technical assist ance. During FY 1974 a limited experiment was begun in which attempts were made, without reference to pending charges, to obtain voluntary agreements with employers. These agreements are to contain all that might be included in conciliations agreements growing out of charge investigations. The basic difference is that voluntary agreements would not directly resolve charges but would, rather, deal with systems change and affirmative action and, as was the case in the AT&T Agreement, provide a procedure for resolving pending and future charges. An agreement has been reached with one major firm. Several other attempts with utility companies are in process. This limited success has encouraged us to expand the experiment in FY 1975 to seek seven such agreements. However, we propose to enter into such agreements only if the employer is willing to make them fully enforceable in the courts as contracts. If this investment proves effective, the Commission will reprogram and seek additional resources as appropriate to take full advantage of the "voluntary agreements" approach. Finally, we also propose to concentrate and structure our educational and technical assistance to employers in a manner aimed at explicitly documented affirmative action commitments which can be monitored and by which actual progress on commitments can be measured. By this means we hope to obtain maximum and measurable pay-off to our statutory technical assistance authority. Question 13. Submit a summary of the findings and recommendations of the recent study of the Commission's investigative systems. To what extent have you, or do you intend to implement these recommendations? Answer. The following briefly describe the findings and recommendations of a recent study of the Commission's investigative systems and the extent to which they have been implemented. (a) Use of Written Requests for Information Finding.-Insufficient use is made during investigations of written requests for information, and where they are used they are not sufficiently standardized. Recommendation.—Minimize to the extent possible on-site investigations where investigations either wholly or partially by mail would suffice, and minimize the amount of time expended by District Office personnel in drafting requests for information. Implementation.-Recommendation has been approved and development begun on a complete standardized "request for information" package to be distributed for field use by the end of the second quarter. (b) Settlement of Charges During Investigation Finding. There is an unrealized potential for settling many charges prior to completion of a full investigation. The primary reason for this is uncertainty as to (1) which charges are appropriate for settlement, (2) what the minimum settlement standards are, and (3) the appropriateness of permitting an "investigator" (rather than a "conciliator") to negotiate a settlement. Recommendation.-Because settlement of charges during investigation normally results in substantial efficiencies, it should be strongly encouraged whenever the following conditions exist: (1) the charge does not have important class implications (it is estimated that only about 20% of pending charges have important class implications); (2) a settlement satisfactory to charging party is available; and (3) the settlement can be accomplished efficiently. Wherever possible, the settlement should be handled by the "investigator". Implementation.-Currently, under review. (c) Investigation by Conciliation Units Finding.-Very little investigative input is provided by District Office conciliation units, despite the potential for substantial efficiencies if conciliations units are given investigative responsibility in selected situations. Recommendation.-Direct conciliations units of District Offices that whenever possible they are to either settle or investigate and settle charges pending against respondents with whom they are negotiating or reviewing for compliance. In addition, to the extent permitted by the conciliations unit's workload, they should be given responsibility for the handling of expedited charge-processing mechanisms, including the completion of the investigation of any charges that cannot be settled through the mechanism. Implementation.-Currently under review.. |