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Fiscal Year 2009 3rd Quarter ADR/Investigation Findings (Data Source: I-trak Complaint Management System as of 7/14/2009)

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Fiscal Year 2009 3rd Quarter ADR/Investigation Findings (Data Source: I-trak Complaint Management System as of 7/14/2009). Completed EEO Investigations. The measure for FY 2009: 50% of investigations will be completed within the regulatory time frames. - PowerPoint PPT Presentation

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Page 1: Completed EEO Investigations

Fiscal Year 20093rd Quarter

ADR/Investigation Findings(Data Source: I-trak Complaint Management System

as of 7/14/2009)

Page 2: Completed EEO Investigations

Completed EEO Investigations

• The measure for FY 2009:– 50% of investigations will be completed within the

regulatory time frames.

• Regulatory time frames are under 180 days, unless extended by amendment (360 days) or extension (270 days).

Definition: A completed Investigation is an investigation where the notice of election is sent to the complainant.

• Measure is being met with 65% of investigations completed within the regulatory time frames.

Page 3: Completed EEO Investigations

Treasury Complaint Center FY 2009 3rd Quarter Investigation Closure Statistics

STATUS OF COMPLETED INVESTIGATIONS MEETING REGULATORY TIMEFRAMES 

TIMELY COMPLETED

INVESTIGATIONS

UNTIMELY COMPLETED

INVESTIGATIONS

TOTAL NUMBER OF COMPLETED

INVESTIGATIONS75 41 116

TIMELY INVESTIGATIONS

65%

UNTIMELY INVESTIGATIONS

35%

Page 4: Completed EEO Investigations

Informal ADR Measures

• The measure for FY 2009:– 30% of complainants who initiate an EEO contact and are offered

ADR will elect to participate in the ADR process.

• EEO contact refers to when an EEO Counselor or an ADR Intake Officer performs the counseling duties described in Chapter 2 of MD 110. This information is reported in Part One, Section D, of Form 462.

• All completed counseling closures are included in the calculations of participation and offer rates. Effective June 2009, Treasury will no longer exclude informal EEO contacts that are eligible to participate in ADR from our total completed counseling counts.

• Measure is being met: 35.2% of EEO contacts offered ADR elected to participate in the ADR process. (Had management not declined, 47% of EEO contacts offered ADR may have elected to participate in the ADR process.)

Page 5: Completed EEO Investigations

Completed/Ended Counselings For 3rd Quarter FY 2009

BUREAUEEO

CONTACTSADR

OFFEREDADR

PARTICIPATIONBEP 16 16 6

BPD 4 4 3DO 7 6 1

FMS 4 4 0IRS COUNSEL 6 6 0

IRS 135 132 51MINT 13 13 3OIG 0 0 0OCC 5 4 0OTS 1 1 0TTB 2 1 0

TIGTA 1 1 1FINCEN 2 2 2

Treasury Total 196 190 67

Page 6: Completed EEO Investigations

TOTAL INFORMAL COMPLETED COUNSELINGS IN 3rd QUARTER FY 2009TOTAL COMPLETED

COUNSELINGS ADR OFFERED ADR ACCEPTED

196 190 67

ADR Offer Rate of Completed Counselings In The Informal Complaint Process

During 3rd Quarter FY 2009ADR NOT OFFERED

3%

ADR OFFERED

97%

Note: Calculation of offer rate includes completed counselings that did not meet ADR participation criteria. This change in offer rate calculation is effective June 2009 and was done to mirror EEOC’s offer rate calculations.

Page 7: Completed EEO Investigations

TOTAL INFORMAL COMPLETED COUNSELINGS IN 3rd QUARTER FY 2009TOTAL COMPLETED

COUNSELINGS ADR OFFERED ADR ACCEPTED

196 190 67

ADR Participation Rate of Completed Counselings In The Informal Complaint Process

During 3rd Quarter FY 2009

DECLINE PARTICIPATION

65.8%

ADR PARTICIPATION

34.2%

Note: Calculation of participation rate includes completed counselings that did not meet ADR participation criteria. This change in participation rate calculation is effective June 2009 and was done to mirror EEOC’s participation rate calculations.

Page 8: Completed EEO Investigations

TOTAL INFORMAL COMPLETED COUNSELINGS IN 3rd QUARTER FY 2009TOTAL COMPLETED

COUNSELINGS ADR OFFERED ADR ACCEPTED

196 190 67

Election Rate of ADR Offers In The Informal Complaint Process

During 3rd Quarter FY 2009

NO ADR ELECTION

64.8%

ADR ELECTION35.2%

Note: In QTR 1 and QTR 2 ADR Stats. Reports, ADR Election Rate was referred to as ADR participation rate.

Page 9: Completed EEO Investigations

Declination by Management and Contact Where ADR Was Offered in the Pre-Complaint

Process During 3rd Quarter FY 2009

TOTAL ADR DECLINATIONS IN 3rd QUARTER FY 2009

TOTAL ADR DECLINATIONSDECLINED BY

CONTACTDECLINED BY MANAGEMENT

123 101 22

DECLINED BY MANAGEMENT

18%

DECLINED BY CONTACT

82%

Page 10: Completed EEO Investigations

Formal ADR Measures

• The measure for FY 2009:– ADR is offered to 80% of eligible complainants who file

complaints, and of those offered, achieve a 30% election rate.

– Election rate refers to when both the complainant and management officials agree to enter an ADR process.

• The measure is not being met. ADR was offered to 56% of eligible complainants who filed complaints, and of those offered, achieved a 20.3% election rate.

• Of the 74 complainants offered ADR, 35 (47%) declined participation and management declined participation in 24 instances (33%). Only 15 complainants elected ADR (20%). Had management not declined, a total of 39 complainants offered ADR (53%) may have elected ADR.

Page 11: Completed EEO Investigations

TOTAL FORMAL COMPLAINT CLOSURES IN 3rd QUARTER FY 2009TOTAL CLOSURES ADR OFFERED ADR ACCEPTED

132 74 15

Complaint Closures In The Formal Complaint Process Where ADR Was Offered

During 3rd Quarter FY 2009

Note: Calculation of offer rate includes completed counselings that did not meet ADR participation criteria. This change in offer rate calculation is effective June 2009 and was done to mirror EEOC’s offer rate calculations.

ADR NOT OFFERED

44%

ADR OFFERED

56%

Page 12: Completed EEO Investigations

ADR Participation Rate of Complaint Closuresin Formal Complaint Process

During 3rd Quarter FY 2009

TOTAL FORMAL COMPLAINT CLOSURES IN 3rd QUARTER FY 2009TOTAL CLOSURES ADR OFFERED ADR ACCEPTED

132 74 15

DECLINED PARTICIPATION

88.6%

ADR PARTICIPATION

11.4%

Note: Calculation of participation rate includes completed counselings that did not meet ADR participation criteria. This change in participation rate calculation is effective June 2009 and was done to mirror EEOC’s participation rate calculations.

Page 13: Completed EEO Investigations

Election Rate of ADR Offersin Formal Complaint Process

During 3rd Quarter FY 2009

TOTAL FORMAL COMPLAINT CLOSURES IN 3rd QUARTER FY 2009TOTAL CLOSURES ADR OFFERED ADR ACCEPTED

132 74 15

NO ADR ELECTION

79.7%

ADR ELECTION

20.3%

Note: In QTR 1 and QTR 2 ADR Stats. Reports, ADR Election Rate was referred to as ADR participation rate.

Page 14: Completed EEO Investigations

Declination by Management and Complainant Where ADR Was Offered in the Formal Complaint Process

During 3rd Quarter FY 2009

TOTAL ADR DECLINATIONS IN 3rd QUARTER FY 2009TOTAL ADR

DECLINATIONSDECLINED BY

COMPLAINANTDECLINED BY MANAGEMENT

59 35 24

DECLINED BY COMPLAINANT

60%

DECLINED BY MANAGEMENT

40%