AR 9-3 EMPLOYMENT DISCRIMINATION COMPLAINT SYSTEM

• Document Type: FOIA
• Collection: FOIA Collection
• Document Number (FOIA) /ESDN (CREST): 16227786
• Release Decision: RIPPUB
• Original Classification: U
• Document Page Count: 5
• Document Creation Date: September 12, 2023
• Document Release Date: July 31, 2023
• Case Number: F-2011-01301
• Publication Date: December 22, 1999

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Date: 12/22/99 (Regulations may contain various dates)
Category: 9 - Equal Opportunity
Title: AR 9-3 EMPLOYMENT DISCRIMINATION COMPLAINT
SYSTEM
SUMMARY: 22 December 1999 (0373)
OPR: ()EEO
AR 9-3 is added to the Agency regulatory system and incorporates portions of paragraph d, Complaint
Procedures, which was formerly contained in AR 9-1. It sets forth current Agency Policy, responsibilities, and
procedures for handling complaints of employment discrimination; and provides more complete guidance to
employees and supervisors on how to prevent and respond to allegations of employment discrimination. This
regulation also incorporates current guidance from the Equal Employment Opportunity Commission on the
processing of complaints of discrimination.
Because this regulation is new, boldfaced text has not been used.
The revision of this regulation was initiated by the Office of Equal Employment
Opportunity, (secure).
3. EMPLOYMENT DISCRIMINATION COMPLAINT SYSTEM
SYNOPSIS. This regulation sets forth Agency policy, responsibilities, and procedures
for handling complaints of employment discrimination on the basis of Federally-
protected categories--that is, race, color, religion, sex, national origin, disability, age
(40 and over), and reprisal for opposing employment discrimination and/or for
participating in the Equal Employment Opportunity (EEO) process--and against
other categories protected by written Agency policy.
a. AUTHORITY
(1) The Central Intelligence Agency Act of 1949, as amended; the National Security Act of
1947, as amended; the Civil Rights Act of 1964, as amended; the Equal Pay Act of
1963, as amended; the Age Discrimination in Employment Act of 1967, as amended; the
Rehabilitation Act of 1973, as amended; and other applicable law.
(2) This regulation implements applicable provisions of Equal Employment Opportunity
Commission (EEOC) regulations (29 C.F.R. Part 1614), directives, and advisories and
the statutes on which they are promulgated.
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(3) Executive Orders 11246, as amended, (Equal Employment Opportunity in Federal
Employment) and 11478, as amended, (Equal Employment Opportunity in the Federal
Government).
b. POLICY
(1)
Discrimination in employment is an unlawful employment practice in which an Agency
official:
(a) fails or refuses to hire any individual, or otherwise discriminates against any
individual with respect to his or her compensation, terms, conditions, or privileges of
employment, because of such individual's race, color, religion, sex, national origin,
disability, age (40 and over), or reprisal for opposing employment discrimination
and/or for participating in the equal employment opportunity (EEO) process; or
(b) limits, segregates, or classifies employees or applicants for employment in any way
that would deprive or tend to deprive any individual of employment opportunities or
otherwise adversely affect his or her status as an employee, because of such
individual's race, color, religion, sex, national origin, disability, age (40 and over),
or reprisal for opposing employment discrimination and/or for participating in the
EEO process.
It is not discrimination if an individual cannot perform a bona fide occupational qualification
reasonably necessary to the particular business or enterprise even if that qualification is
related to the individual's membership in one of the protected categories.
(2) The protections of this regulation apply to all Agency staff and contract employees, and
applicants for Agency employment. Independent contractors and employees of Agency
contractors may be protected under the circumstances outlined in the EEOC
enforcement guidance on contingent workers. Foreign nationals employed outside the
United States and bona fide employees of Agency proprietary companies are not
protected by this regulation.
All individuals have the right to seek EEO counseling regardless of when the allegedly
discriminatory act occurred. However, employees should report allegations of
discrimination to the Office of Equal Employment Opportunity (OEEO) within 45 days
of occurrence in order to preserve the right to pursue all remedies available under
Federal law.
(4) Agency policy prohibits discrimination based on sexual orientation even though it is not
a category protected by Federal statutes. Reports of discrimination based on sexual
orientation or other category protected by written Agency policy will be handled by
management exclusively. Management's decisions regarding complaints of sexual
orientation-based discrimination may not be appealed through the Federal EEO
complaint system.
(3)
c. RESPONSIBILITIES
(1) The target is responsible for notifying OEEO of an act of discrimination. Contacts with
Grievance Officers, supervisors, and component-appointed diversity advisors do not
relieve the target of the responsibility to notify a designated EEO counselor/investigator
from OEEO.
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(2) A target has the right to remain anonymous during the informal counseling phase of the
complaint process; however, by choosing anonymity, a target may limit the counselor's
ability to resolve a complaint.
All Agency employees who have authority to affect the terms, conditions, or privileges
of another's Agency employment must carry out those responsibilities in a lawful,
nondiscriminatory manner.
(4) Upon receiving an allegation of discrimination prohibited by this regulation, the
supervisor and/or the appropriate Operating Official will refer the employee to OEEO.
OEEO is responsible for educating employees and supervisors about diversity and how
to build a work environment free of discrimination, and for advising them how to
respond to allegations of employment discrimination. OEEO will also be responsible
for reviewing corrective actions taken by management in response to allegations of
employment discrimination.
(6) All persons covered under this regulation have an obligation to cooperate with the EEO
counselor/investigators and to maintain the confidentiality of the investigative process.
(3)
(5)
d. PROCEDURES
(1) INFORMAL COUNSELING PHASE
(a) At the initial counseling session, the EEO counselor will work with the target to
identify the specific discrimination claim or claims. The counselor shall advise the
target in writing of his or her rights and responsibilities under Federal EEO laws and
regulations.
(b) In appropriate cases, the counselor will offer the target the opportunity to request, in
writing, mediation through the Agency's Alternative Dispute Resolution (ADR)
program as an alternative to the informal process when both parties consent to ADR.
(c) The counselor will try to resolve the dispute at the lowest possible level. Within 30
calendar days after the date of the discrimination allegation, the counselor will issue
a Notice of Final Interview to the target unless the target has agreed in writing to an
extension of the counseling period, not to exceed 60 additional days. If the target
files a formal complaint, the counselor will prepare a counseling report which will be
made available to the target.
(d) All allegations based on sexual orientation or other category that is not protected by
Federal statute will be handled by management exclusively.
(2) FILING A FORMAL COMPLAINT OF DISCRIMINATION
(a) Upon receipt of the Notice of Final Interview, the target may choose to file a formal
complaint of discrimination if he or she is dissatisfied with the outcome of the
informal process.
(b) The Agency will assign an impartial EEO investigator who will complete an
investigation and issue a report of investigation within 180 days unless the target has
agreed in writing to an extension of the investigative period, not to exceed 90
additional days. Amendments to the complaint or the filing of multiple complaints
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may result in an automatic extension of the investigative period in accordance with
Federal regulations.
(c) ADR will remain available to the target in appropriate cases, but any ADR sessions
will be held in addition to the ongoing EEO investigation.
(d) The investigator will conclude the formal process by advising the target of the right
to continue the administrative process, including the right to request a hearing before
an EEOC Administrative Judge, or a Final Agency Decision from the Agency. The
investigator will also notify the target of the right to appeal a dismissal, final Agency
action, or Agency decision to the EEOC.
(3) CORRECTIVE ACTION
(a) Based on the results of the investigation, management will take whatever corrective
action is warranted. If management takes disciplinary measures as a corrective
action, the requirements of HR 20-6, Conduct and Discipline, will apply, including
all recordkeeping requirements. Employees who are found to have engaged in
employment discrimination will be subject to disciplinary action up to and including
termination according to the requirements of HR 20-6.
(b) If a person's employment situation is not solely under Agency control, the Agency
will coordinate any disciplinary measures with the person's employer.
e. RECORDICEEPING
(1)
The results of discrimination investigations will be recorded in investigative files to be
maintained by the Director, EEO (D/EEO). After resolution of the complaint, no record
of the complaint will be retained by supervisors, Operating Officials, or their
components except those documents that would normally be included in non-EEO
systems of records such as personnel, security, or disciplinary files. An EEO
investigative file will include the following:
(a) All statements from the alleged discriminating official, target, and witnesses about
the alleged behavior.
(b) Any investigative documents.
(c) Copies of all relevant administrative correspondence and forms.
(d) Copies of all management deliberative records.
(e) Copies of all records of corrective and disciplinary actions.
(2) The D/EEO will release investigative/complaint information concerning an employee
only on a strict need-to-know basis and pursuant to a written request. Persons who may
be allowed access to this information include:
(a) The target.
(b) Operating Officials who are deciding and/or enforcing appropriate disciplinary and
remedial actions.
(c) The Inspector General or designee.
(d) The General Counsel or designee.
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(e) The Director, Center for CIA Security or designee.
(f) Other appropriate Agency officials as determined by the D/EEO.
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