Best Practices in

Avoiding Discrimination
in Employment

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Joyce Anne Grabel
Elaine Stattler

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2009 Institute of Management and Administration, a division of BNA Subsidiaries, LLC. All rights reserved. Notice: No part of this publication may be reproduced, stored in a retrieval system or transmitted by any means, electronic
or mechanical, without prior written permission of the Institute of Management
and Administration, Newark, NJ USA.

ISBN: 978-1-58673-363-6

Best Practices in

Avoiding Discrimination
in Employment
TABLE OF Contents

Introduction.............................................................................................................................7

The Problems of Employment Discrimination....................................................................... 7

Applicable Laws................................................................................................................. 7
Protected Classes of Employees.......................................................................................... 9
Discrimination Claims Increasing...................................................................................... 10
The Cost of Discrimination Claims.................................................................................... 11
Investment in Prevention.................................................................................................. 12
Chapter 1. Federal Discrimination Laws...........................................................................13

Types of Discrimination..................................................................................................... 13
Disparate Treatment................................................................................................... 13
Adverse Impact........................................................................................................... 13
Mixed-Motive Cases................................................................................................... 14
Hostile Environment Discrimination and Harassment................................................... 14
Exception: Bona Fide Occupational Qualification........................................................ 15
Title VII of the Civil Rights Act of 1964.............................................................................. 15
Race........................................................................................................................... 15
Color......................................................................................................................... 16
Religion...................................................................................................................... 16
Sex............................................................................................................................. 17
National Origin.......................................................................................................... 18
English Language Requirements................................................................................. 18
FAQs on Title VII......................................................................................................... 18
Enforcement............................................................................................................... 21
The Equal Pay Act............................................................................................................. 21
Definitions.................................................................................................................. 22
Enforcement............................................................................................................... 23
The Americans with Disabilities Act................................................................................... 23
Reasonable Accommodations..................................................................................... 25
The New ADA......................................................................................................... 26
FAQs on ADA............................................................................................................. 27
Enforcement............................................................................................................... 28
Age Discrimination in Employment Act............................................................................. 29
FAQs on ADEA........................................................................................................... 29
Lilly Ledbetter Fair Pay Act of 2009............................................................................. 30
Enforcement............................................................................................................... 30
Pregnancy Discrimination Act........................................................................................... 31
Enforcement............................................................................................................... 32
42 U.S.C. 1981................................................................................................................ 32
Immigration Reform and Control Act................................................................................ 32
FAQs on IRCAs........................................................................................................... 33
Enforcement............................................................................................................... 34

Best Practices in Avoiding Discrimination in Employment

Uniformed Services Employment and Reemployment Rights Act......................................... 34

FAQs on USERRA........................................................................................................ 35
Enforcement............................................................................................................... 36
Genetic Information Nondiscrimination Act....................................................................... 36
Enforcement............................................................................................................... 37
Mandatory Affirmative Action Plans.................................................................................. 38
Chapter 2. General Antidiscrimination Policies and Procedures............................39

EEOC Guidance Checklist................................................................................................ 39

General..................................................................................................................... 39
Recruitment, Hiring, and Promotion............................................................................ 40
Terms, Conditions, and Privileges of Employment........................................................ 40
Sample EEO Policies......................................................................................................... 41
Nondiscrimination Policy............................................................................................. 41
Equal Employment Opportunity.................................................................................. 42
The Hiring Process: Recruiting.......................................................................................... 43
Written Job Descriptions............................................................................................. 44
Job description questionnaire..................................................................................... 45
Job description interview............................................................................................ 45
Recruiting a Diverse Workforce................................................................................... 46

Figure 1. What Organizations Are Doing to Hire From the Broadest Possible
Pool, 2008.......................................................................................................... 46
Recruiting Policy......................................................................................................... 46
Sample Recruitment Policy.......................................................................................... 47
Recruitment Policy and Procedures.............................................................................. 47
Hiring Procedures Policy............................................................................................. 49
FAQs on Internal Job Posting...................................................................................... 50
Job Posting Policy....................................................................................................... 52
Job Posting and Bidding Procedure Policy.................................................................... 53
Application Forms....................................................................................................... 55
Sample Job Applications............................................................................................. 55
EEO Data Collection Form.......................................................................................... 56
Job Application Form.................................................................................................. 57
The Hiring Process: Interviewing....................................................................................... 59
Performance Evaluation and Salary Administration........................................................... 61
Sample Employee Performance Evaluation Policy......................................................... 63
Sample Employee Handbook Entry on Performance Appraisals.................................... 63
Sample Performance Appraisal Form.......................................................................... 64
Employee Discipline......................................................................................................... 67
Using Progressive Discipline........................................................................................ 68
Model Disciplinary Form............................................................................................. 70
Separation Agreements.................................................................................................... 70
Reductions in Force.......................................................................................................... 72
Establishing Criteria for a RIF...................................................................................... 72
Voluntary Affirmative Action Plans.................................................................................... 74
EEOC Guidelines for Voluntary Plans.......................................................................... 74
Sample Affirmative Action Plan and Diversity Policy..................................................... 75
Affirmative Action Plan............................................................................................... 75
Chapter 3. Specific Antidiscrimination Policies and Procedures.............................79

Preventing Racial Discrimination....................................................................................... 79

Reviewing Your Job Requirements to Avoid Racial Discrimination................................. 80
FAQs on Racial Discrimination.................................................................................... 82
Recent Racial Discrimination Case: Disparate Treatment.............................................. 83
Recent Racial Discrimination Case: Retaliatory Discharge............................................ 84
Accommodating Employee Religions................................................................................. 85
Religious Accommodation Best Practice Checklist........................................................ 86
Religious Accommodation Procedure........................................................................... 88
Preventing Gender and Pregnancy Discrimination............................................................. 88

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Best Practices in Avoiding Discrimination in Employment

Sample Procedures and Policies.................................................................................. 89

Sex and Pregnancy Discrimination Best Practice Checklist............................................ 89
Sex Discrimination Policy............................................................................................ 91
Disability Benefits and Pregnancy Policy...................................................................... 92
FAQs on Sex and Pregnancy Discrimination................................................................. 92
Recent Sex Discrimination Case: Retaliatory Failure to Promote................................... 94
Preventing National Origin Discrimination........................................................................ 95
Foreign Accent........................................................................................................... 95
Fluency...................................................................................................................... 95
English-Only Rules..................................................................................................... 95
Citizenship Requirements............................................................................................ 96
Best Practice Checklist for Avoiding National Origin Discrimination.............................. 96
FAQs on National Origin Discrimination..................................................................... 97
Recent National Origin and Religious Discrimination Case.......................................... 98
National Origin and Sex Discrimination: Hostile Work Environment............................. 99
Preventing Pay Discrimination........................................................................................... 99
Sample Policy........................................................................................................... 100
Equal Pay Policy........................................................................................................ 100
FAQs on the EPA...................................................................................................... 101
Accommodating Employees With Disabilities................................................................... 102
Sample Policy........................................................................................................... 103
Accommodating Employees and Applicants With Disabilities...................................... 103
FAQs on ADA Issues................................................................................................. 104
Recent Disability Discrimination Case: Pretext............................................................ 105
Preventing Age Discrimination........................................................................................ 108
Age Discrimination and Benefits............................................................................... 108
Best Practice Checklist for Preventing Age Discrimination........................................... 109
Sample Policies........................................................................................................ 111
Age Discrimination: Standard Policy.......................................................................... 111
Age Discrimination: Expansive Policy......................................................................... 111
FAQs on ADEA Issues............................................................................................... 112
Recent Age Discrimination Case: Pretext................................................................... 113
Recent Age Discrimination Case: Arbitration Requirement......................................... 115
Avoiding Discrimination Against Military Veterans........................................................... 116
Sample Military Leave Policy..................................................................................... 117
Discrimination in Benefits Administration........................................................................ 119
Chapter 4. Preventing Workplace Harassment............................................................121
Harassment Behaviors to Beware.............................................................................. 122

The Importance of a Harassment Policy.......................................................................... 122

Policy Development.................................................................................................. 122
Sample Complaint Procedures.................................................................................. 123
Sample Antiharassment Policy................................................................................... 124
Take Harassment Seriously....................................................................................... 124
Sexual Harassment........................................................................................................ 124
Elements of Sexual Harassment................................................................................ 125
Employer Liability for Sexual Harassment.................................................................. 126
Sample Policy........................................................................................................... 128
Sexual Harassment Policy......................................................................................... 128
FAQs about Sexual Harassment................................................................................ 134
Recent Sexual Harassment Case............................................................................... 136
Racial Harassment......................................................................................................... 138
Recent Racial Harassment Case: Hostile Environment................................................ 138
Religious Harassment..................................................................................................... 141
Employer Best Practices............................................................................................. 141
National Origin Harassment.......................................................................................... 142
Chapter 5. Emerging Issues in Discrimination Law.....................................................143

Sex Discrimination and Caregivers................................................................................. 143

Appearance Standards and Dress Codes........................................................................ 144

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Best Practices in Avoiding Discrimination in Employment

Recent Cases............................................................................................................ 145

Best Practices Checklist for Appearance Policies......................................................... 147
FAQs on Appearance and Dress............................................................................... 148
Genetic Discrimination................................................................................................... 149
Avoiding Genetic Discrimination Claims.................................................................... 150
Pension Plans and Age Discrimination............................................................................ 151
Chapter 6. Communication and Training......................................................................153

Getting the Message Out............................................................................................... 153

Employee Handbooks............................................................................................... 153
Informational Meetings............................................................................................. 154
Employee Orientation............................................................................................... 154
Model Communication Policy.................................................................................... 154
Communication and Morale Policy............................................................................ 154
Training......................................................................................................................... 155
Training Development Tips........................................................................................ 156
Sample Training Objectives: Sexual Harassment........................................................ 156
Sample Training Agenda: Sexual Harassment............................................................ 157
Chapter 7. Responding to Discrimination Complaints..............................................159

EEOCs Investigation Process.......................................................................................... 159

Types of Employer Internal Investigations........................................................................ 160
Guidelines for Effective Internal Investigation Procedures................................................ 161
Designating Investigative Responsibility..................................................................... 161
Defining Investigator Authority.................................................................................. 161
Determining the Scope of the Investigation............................................................... 162
Fact Finding............................................................................................................. 162
Fact-Finding Example............................................................................................... 163
The Investigation File................................................................................................ 163
Confidentiality Issues................................................................................................ 164
Collecting Policies and Documents............................................................................ 165
Interviewing the Complainant................................................................................... 165
Interviewing the Accused.......................................................................................... 166
Interviewing Witnesses............................................................................................. 167
Assessing Credibility................................................................................................. 167
Investigation Time Limits........................................................................................... 169
Documenting Findings.............................................................................................. 169
Drawing Conclusions and Taking Action.................................................................... 169
Communicating the Outcome................................................................................... 169
Appropriate Remedies.............................................................................................. 170
Appendix Resources..............................................................................................................171

EEOC Investigations: What an Employer Should Know.................................................... 171

U.S. Circuit Courts of Appeals Jurisdictions..................................................................... 176
Federal Equal Employment Opportunity Agencies........................................................... 179
U.S. Equal Employment Opportunity Commission........................................................... 179
District Offices............................................................................................................... 179
Field Offices................................................................................................................... 181
Area Offices................................................................................................................... 182
Local Offices.................................................................................................................. 183
Other Applicable Federal Agencies................................................................................. 184
State Fair Employment Practices Agency Contact Information.......................................... 184

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Introduction
The Problems of Employment Discrimination
Employment discrimination has been a hot topic since the passage of the Civil
Rights Act of 1964 (Title VII) nearly 50 years ago. Most Americans know that it is
unlawful to discriminate in employment decisions and that workers are entitled
to an equal opportunity employer. However, both employees and managers
are not always clear about what this means. And because the law continues to
evolve and define the rules, it can be hard to keep up. In fact, what it means is
constantly changing.
This guide is designed to provide you with the information and tools necessary to
prevent and to resolve discrimination issues in the workplace before they get out
of hand and lead to expensive legal proceedings. Our focus is on the practical
information you need. Discrimination in the workplace leads to problems that
hurt productivity, morale, and retention. By having consistent and comprehensive
policies and procedures, you make it clear what type of behavior you expect from
managers and employees in your organization.
This guide also provides the information you need to set procedures for processing claims and dealing with those who violate the rules. Finally, the policies and
procedures presented here help to prepare and protect your organization in the
event of a claim.

Applicable Laws
Some antidiscrimination laws, such as Title VII of the Civil Rights Act of 1964,
outlaw discrimination on the basis of certain identified characteristics such as
race and gender. Other laws prohibit employer discrimination on the basis of
employee activity, such as union support, filing a claim for workers compensation,
or whistle-blowing. The following laws are the basis for employers discrimination
prevention programs and compliance with them should be periodically monitored
and reviewed.

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Best Practices in Avoiding Discrimination in Employment

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Title VII of the Civil Rights Act of 1964 (42 U.S.C. 2000e) prohibits
employment discrimination on the basis of race, color, religion, sex,
or national origin. Claims that can arise under this law include sexual
harassment and harassment related to any protected category, retaliation, discriminatory hiring and firing, adverse treatment because of a
protected category, or that a neutral policy has a disparate impact on
a protected group.
Equal Pay Act (EPA; 29 U.S.C. 201) prohibits discrimination on the
basis of gender in the salary paid to workers who perform substantially
similar work under similar conditions. Claims that can arise under this
law assert that women are paid less than men who perform the same
or substantially similar jobs.
Americans with Disabilities Act (ADA; 42 U.S.C. 12101 et seq.) prohibits employment discrimination on the basis of disability and requires
employers to make reasonable accommodations to enable disabled
workers to perform the essential functions of their jobs. Claims arising
under this law include discriminatory hiring and firing, adverse treatment because of disability, retaliation, and failure to accommodate.
Age Discrimination in Employment Act (ADEA; 29 U.S.C. 621 et seq.)
prohibits discrimination against individuals 40 years of age and older.
Claims that can arise under this law include discriminatory hiring and
firing, adverse treatment because of age, or that a neutral policy has
a disparate impact on employees over age 40.
Pregnancy Discrimination Act (PDA; 42 U.S.C. 2000e(k)) prohibits
employers and prospective employers from discriminating on the basis
of pregnancy or childbirth-related medical conditions. Claims that can
arise under this law assert that female workers were not hired or were
terminated because they were pregnant.
42 U.S.C. Sec. 1981 prohibits discrimination in the making and enforcing
of contracts. Employment, including hiring and termination, is generally
considered to be a contract, even when theres no written document.
The law applies to both public and private employers (except the federal
government) and there is not a limit on the size of the employer. Thus,
when Title VII doesnt cover an employer, an employee may choose to
sue that employer under Section 1981 and/or state law.
Immigration Reform and Control Act (IRCA; 8 U.S.C. 1324b) prohibits
employers from hiring aliens who do not have legal authorization to
work in the United States. But to prevent employers from discriminating against all aliens or all individuals who look or sound foreign, the
act prohibits covered employers from discriminating based on national
origin and citizenship status.

Best Practices
inProblems
Avoiding of
Discrimination
in Employment
introduction:
The
Employment Discrimination

Uniformed Services Employment and Reemployment Rights Act (USERRA;

38 U.S.C. 4301 to 4334) prohibits employers from discriminating
and retaliating against applicants or employees based on service or
membership in the uniformed services.
Genetic Information Nondiscrimination Act (GINA) of 2008 (Pub. L. No.
110-233, 201 to 213 (2008), effective November 2009) prohibits
employers from discriminating against applicants or employees based
on genetic information.

In addition to these federal laws, a variety of laws affect federal contractors or

fund recipients, including Executive Order No. 11246; the Rehabilitation Act of
1973 (29 U.S.C. 701 et seq.); the Vietnam Era Veterans Readjustment Assistance
Act (38 U.S.C. 101; and some of the new economic stimulus acts.
Antiretaliation provisions found in other statutes generally provide that an employee may not be discriminated against (or retaliated against) for having exercised rights provided by statute, or for participating in an investigation related
to the exercise of such rights. For example
l

The National Labor Relations Act (NLRA; 29 U.S.C. 151 et seq.) protects
employees rights to form unions. To base an employment decision on
an employees union activity is an unfair labor practice under the law.
The Fair Labor Standards Act (FLSA; 29 U.S.C. 201 et seq.) prohibits
retaliation for filing a claim for unpaid wages.
State statutes prohibit discrimination against an employee because he
or she has filed a claim for workers compensation.

Many employees are also covered by whistle-blower protection when they report
apparent wrongdoing to the authorities.
In addition to federal laws, many state and local governments have laws barring
discrimination. Some of these state and local laws have provisions that are similar
to federal regulations; however, many also have different requirements or rules
that may conflict with federal laws. For example, one legal area where this is
great disparity is that of sexual orientation. No federal law protects individuals
who are homosexual, transsexual, or bisexual from discrimination in employment,
housing, or public accommodation. However, a number of states and localities
have promulgated laws specifically to fill this gap.
It is the employers responsibility to know their state and local laws and to comply
with them. Employers should consult with a local attorney well-versed in state
and local law to ensure full compliance with all antidiscrimination provisions.

Protected Classes of Employees

Individuals who are protected by federal and state nondiscrimination laws are referred
to as a protected class. Under the laws listed above, protected classes include:

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Best Practices in Avoiding Discrimination in Employment

Race

Color

Sex

Religion

National origin

Age (over 40)

Pregnancy

Disability

Veteran status

Genetic history or conditions

Most states have nondiscrimination statutes similar to federal laws, but often
extend the scope of these laws to cover smaller employers or broader forms of
discrimination, such as any type of age discrimination and not just age discrimination against individuals age 40 or older. Many states also prohibit employment
discrimination based on factors not specified under federal laws, such as:
l

Sexual orientation, transsexualism, or gender identity

Marital or familial status

Status as a victim of domestic violence or other violent crimes

Off-duty consumption of legal products or after-work engagement in

legal behaviors, such as smoking

Appearance

Certain conviction records

Federal discrimination laws and how they affect protected classes of employees
are discussed in detail in Chapter 1.

Discrimination Claims Increasing

The U.S. Equal Employment Opportunity Commission (EEOC) reports that employee claims of discrimination last year jumped to 95,402, the most since the
agency was created in 1965. This follows a record increase in 2007 as well. Its
likely that claims this year will approach or exceed 100,000. Retaliation claims
were second in number only to those alleging race discrimination. Charges filed
break down as follows:
10

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Best Practices
inProblems
Avoiding of
Discrimination
in Employment
introduction:
The
Employment Discrimination

Race: 33,937 (35.6%)

Retaliation: all statutes: 32,690 (34.3%)

Retaliation: Title VII only: 28,698 (30.1%)

Sex: 28,372 (29.7%)

Age: 24,582 (25.8%)

Disability: 19,453 (20.4%)

National origin: 10,601 (11.1%)

Religion: 3,273 (3.4%)

Equal Pay Act: 954 (1.0%)

EEOC theorizes that the surge in charge filings may be due to multiple factors,
including economic conditions, increased diversity and demographic shifts in the
labor force, and employees greater awareness of the law.
During fiscal year 2008, the EEOC filed 290 lawsuits, resolved 339 lawsuits,
and resolved 81,081 private sector charges. As these statistics show, relatively
few cases end up in a court decision. Most are resolved before they get to that
point. However, it can be helpful to look at what cases are making it to court
and how they are decided. Throughout this book we describe some of the most
recent decisions involving discrimination complaints. While some involve state
law and other statutes, the basic theories upon which the cases are decided are
essentially the same, and the guidance obtained is applicable to all employers. Examining verdicts and settlements can be useful in that one is able to see
the kinds of fact situations that result in a charge, and how they were resolved
through the EEOCs processes.

The Cost of Discrimination Claims

Discrimination claims costs add up quickly, with employers attorneys fees, court
expenses, and settlement payments. Settlement payments can be large. In 2008,
the EEOC recovered approximately $376 million in monetary relief for thousands
of discrimination victims. As you will see in later chapters, verdicts do not always
result in payment of the amount awarded. There are a number of post-trial legal
proceedings that can affect the ultimate payout.
In addition to the monetary cost of a discrimination claim, discrimination or
harassment cases often have a negative impact on employee morale and the
employers reputation.

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11

Best Practices in Avoiding Discrimination in Employment

Investment in Prevention
Employers that take steps to prevent discrimination by establishingand consistently followingantidiscrimination policies have an affirmative defense to claims
of discrimination. Employers that set and communicate fair in-house procedures
can mitigate their liability for discrimination by showing that the complainant did
not notify them of the problem and give them a chance to correct it.
In a tight economy, it is often hard for human resources professionals to convince
operational, bottom line-oriented management to invest in prevention. Training costs
money. You have to pay the trainer and pay the employees while they are not producing. It is often difficult to schedule and disrupts normal business operations.
Employers that adopt in-house procedures for receiving and resolving discrimination complaints can save time and money. Estimates of savings vary, but some
experts say that a comprehensive dispute resolution program can reduce an
employers legal costs by as much as 50%.
Cost savings result partly because in-house procedures tend to have a less adversarial atmosphere, which allow more opportunities for settlement. In addition,
internal methods typically resolve complaints in months, while lawsuits usually
take years. Faster resolution means lower legal expenditures, fewer hours of lost
productivity, and less impact on employee morale.
In-house procedures also protect the privacy interests of the employer and the
employee. In contrast, court filings and papers generally become public records
available to the media. The resulting publicity can create added stress for the
complaining employee and harm the employers reputation with customers and
the general public.
In the chapters that follow, we share the best practices for preventing discrimination in your workplace, and how to respond if discrimination charges are ever
leveled against your organization. Youll find model policies and procedures that
you can adapt for your companys use, answers to frequently asked questions,
practical pointers on applying the law in your workplace, and cases that illustrate
how the law is evolving and the courts are ruling.
Note: In the event you have questions about applying the law to a specific situation, you should consult with qualified legal counsel.

12

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