Yaner Xu, et al., Complainants,v.John E. Potter, Postmaster General, United States Postal Service, Agency.

Equal Employment Opportunity CommissionSep 23, 2004
01A44133_et_al (E.E.O.C. Sep. 23, 2004)

01A44133_et_al

09-23-2004

Yaner Xu, et al., Complainants, v. John E. Potter, Postmaster General, United States Postal Service, Agency.


Yaner Xu, et al. v. United States Postal Service

01A44133

09-23-04

.

Yaner Xu, et al.,

Complainants,

v.

John E. Potter,

Postmaster General,

United States Postal Service,

Agency.

Appeal Nos. 01A44133, et al.

Agency Nos. 1F-941-1016-96A, et al.

Hearing Nos. 370-03-02554X, et al.

DECISION

INTRODUCTION

Sixty-one (61) individual postal employees<1> (complainants) timely

initiated appeals from the agency's final orders, concerning their

complaints of unlawful employment discrimination in violation of Title VII

of the Civil Rights Act of 1964 (Title VII), as amended, 42 U.S.C. � 2000e

et seq.<2> The appeals are accepted pursuant to 29 C.F.R. � 1614.405.

For the following reasons, the Commission affirms the agency's final order

(FAD).

ISSUE PRESENTED

The issue presented herein is whether the EEOC Administrative Judge (AJ)

properly determined that complainants failed to prove by a preponderance

of the evidence that, between 1988 and 1990 and thereafter, complainants

were not timely appointed to entry level career Distribution Clerk Machine

Operator positions because of their race (Asian) and/or national origin

(mostly Chinese).<3> BACKGROUND

The record reflects that, from 1988 through 1990, approximately 25,000

individuals, including complainants, applied for entry level positions

as Distribution Clerk Machine Operators (DCM) on either Letter Sorting

Machines (LSM) or Flat Sorting Machines (FSM) in the Agency's San

Francisco District.<4> The agency gave 10,000 of these individuals

written examinations and forwarded the completed examinations to a

national test center for scoring. Approximately 9,000 individuals passed

the examination. The agency placed the names of the applicants, along

with their scores, on a register maintained in a computer data base.

The applicants were placed on the hiring register according to score

order. The agency further required applicants to successfully complete

either LSM or FSM dexterity training.

The agency retrieved names and scores from the computer data base

as positions became vacant, and it scheduled applicants for pre-hire

dexterity training. The higher an applicant's test score, the sooner

he or she would be called for training. Where applicants had identical

test scores, the agency used a �tie-breaker� system in which it favored

applicants with the lowest last three digits in their social security

number. When an applicant remained unselected under this system,

he or she was returned to the register to await a subsequent training

opportunity.

Since candidates often became unavailable, lost interest, or failed to

respond after they passed the entry test, the agency's practice was

to retrieve applicant names from the register in excess of available

positions. If an applicant failed to respond to the agency's contact,

declined the offer at the time of contact, or could not attend training at

the time it was offered, the agency considered that applicant unavailable

and identified that applicant as �not available� or �NA� on the pre-hire

training list. The agency provided these applicants the opportunity to

make themselves available for training at a later date.

Once an applicant accepted a training call, the applicant could choose

to be trained on either the LSM or FSM equipment, but not on both

machines.<5> Most applicants chose to be trained on LSM equipment because

the LSM machine required more operators and had a higher wage rate.

When an applicant successfully passed the dexterity test and became

either LSM or FSM qualified, the agency ranked the applicant on hiring

worksheets in score order, utilizing the same social security number

tie-breaker system discussed above. The agency selected applicants

from two hiring pools. One hiring pool consisted of the names of the

FSM-qualified applicants, and the other consisted of the names of the

LSM-qualified applicants.<6> With respect to dexterity tests, qualified

applicants were at times not hired because they did not respond, were

not available to go to work, and/or because they failed to meet other

pre-hire requirements which are not at issue in this case.

Eighty-three (83) complainants filed formal complaints soon after the

agency posted an October 1995 Quarterly Seniority Roster for the clerk

craft at the agency's San Francisco Post Office.<7> The Seniority Roster

listed employees in the clerk craft by name in order of their seniority.

The record reflects that the agency changed the seniority dates of

employee A (Asian, Chinese) and employee B (Asian, Chinese) pursuant to

settlement agreements which resolved complaints of discrimination filed

by employees A and B on July 22, 1994.

In a final agency decision (FAD), the agency dismissed these 83 complaints

on several grounds, including: untimely counselor contact pursuant to 29

C.F.R. � 1614.107(a)(2); failure to cooperate pursuant to 29 C.F.R. �

1614.107(a)(7); and failure to state a claim pursuant to 29 C.F.R. �

1614.107(a)(1). On July 24, 1997, the Commission reversed the FAD and

remanded the complaints to the agency for further processing.

The Administrative Judge's Decision

Following a hearing, the AJ issued a decision on September 12, 2003,

finding no discrimination.<8> The record reveals that complainants

proposed calling eleven (11) complainants as witnesses, and the

AJ approved all 11 witnesses. Once at the hearing, complainants'

representative called four (4) complainant witnesses to testify and eight

(8) agency officials. The agency called two (2) agency officials, and one

(1) expert witness. In addition, the AJ gave complainants the opportunity

to present anecdotal testimony of discrimination during the hearing.

AJ Decision (AJD), at 7.

With respect to the timeliness of the complaints, the record reveals

that the agency moved for the dismissal of the complaints of William

Su, Kit Chu Jeh, Jolly Moi (now Jolly Lieng), Branda Li, and May Chug,

as untimely.<9> Id., at 25. The AJ determined that the sworn testimony

of these five (5) complainants reflected that they sought EEO counseling

in an untimely manner, and he therefore dismissed their complaints. Id.

The AJ considered whether complainants established a prima facie

case of race and/or national origin discrimination, and found that

complainants failed to establish any instance where the agency advanced

non-Asian/non-Chinese applicants in the hiring process order to the

detriment of Asian/Chinese applicants as a result of their race and/or

national origin. Id., at 7-8. The AJ then determined that the agency

provided legitimate nondiscriminatory reasons for its actions through

testimony, as well as through �thousands of pages of documents relating

to the selection of applicants, including complainants, during the

relevant time period.� Id., at 11. In analyzing each of complainants'

allegations of pretext, the AJ determined that complainants failed to

refute the testimony of the manager of personnel services, which the AJ

considered �detailed and convincing.� Id., at 19. The AJ noted that,

since the agency relied on some documents that it produced at the time

of the hearing, he granted complainants up to 20 days to analyze the

data and submit evidence to rebut the agency's reasons. Id., at 18-19.

With respect to the disparate impact theory of discrimination, the AJ

noted that complainants failed to provide evidence to support their

allegation that the adverse consequences of the selections process for

DCM clerks in 1988 through 1990 and beyond fell more harshly on Chinese

and other Asian applicants. Id., at 23. He found the testimony of the

agency's expert witness was of a kind and degree sufficient to show the

agency's selection procedure did not have a disparate impact on Asians,

including Chinese. Id., at 24. The AJ concluded that complainants

failed to prove discrimination under either the disparate treatment or

the disparate impact theories of discrimination. Id.

The AJ further addressed sanctions, as the agency and complainants

moved for such. Id., at 25. The agency requested sanctions against

complainants for matters which arose in the course of discovery, and for

failing to cooperate and appear in connection with several depositions

which were duly noticed and scheduled to be conducted in June and

July 2002. Id. The complainants moved for sanctions, requesting that

certain adverse inferences be drawn against the agency in light of its

alleged willful destruction of relevant records at some point following

the initiation of this case. Id., at 27. The AJ denied the agency's

and complainants' motions.

On October 22, 2003, the agency issued a decision in which it adopted

the decision and findings of the AJ.

Contentions on Appeal

Complainants' union representative submits a statement on appeal on

complainants' behalf, and three complainants submitted three separate

statements. In the statement submitted by the union representative,

the complainants note that some complainants never received a copy of

the AJ decision, and/or a copy of the final agency decision, and thus

were not afforded a right to appeal.<10> Complainants further state

that the agency's assertion that complainants failed to appear for

depositions is false, and they note that most complainants attended

their depositions despite their not being formally served notices to

appear. Complainants maintain that the AJ erred as follows: the AJ

permitted the agency to submit motions without serving complainants;

the AJ limited the amount of time allowed each complainant to testify;

the AJ disallowed some complainants' testimony when he dismissed some

complaints as untimely when complainants appeared to testify; the AJ

failed to appreciate the effect that English as a second language had

upon the testimony of some complainants, evidenced by his disallowing

a translation during the hearing; the AJ allowed the agency to �block�

discovery for many months, and then permitted the agency to arrive at

the hearing with numerous records it had not yet disclosed; and the AJ

refused to allow one additional day of hearings for review of the newly

produced documents and for rebutting testimony.

Complainant Sandra Lee and Kit Chu Jeh also submit arguments and allege

that the agency failed to hire applicants based upon their scores and

selected applicants with last names beginning with P through Z in 1988

and C through L in 1990. Both complainants maintain that an applicant

with a Spanish surname beginning with the letter D was hired immediately

after taking the examination. They also note that they discovered in

1995 that the agency modified the seniority of two of their coworkers

from a start date of 1993 to 1988 because the coworkers were hired later

than they should have been. See supra. Complainant Alice Lin provided

a statement in which she lists applicants with scores lower than hers

who were hired before she was. She notes that the last three numbers

of their social security numbers are higher than hers.

ANALYSIS AND FINDINGS

Standard of Review

Pursuant to 29 C.F.R. � 1614.405(a), all post-hearing factual findings by

an AJ will be upheld if supported by substantial evidence in the record.

Substantial evidence is defined as �such relevant evidence as a reasonable

mind might accept as adequate to support a conclusion.� Universal

Camera Corp. v. National Labor Relations Board, 340 U.S. 474, 477 (1951)

(citation omitted). A finding regarding whether or not discriminatory

intent existed is a factual finding. See Pullman-Standard Co. v. Swint,

456 U.S. 273, 293 (1982).

Timeliness

EEOC Regulation 29 C.F.R. � 1614.107(a)(2) requires dismissal of a

complaint or a portion of a complaint which fails to comply with the

time limitations set forth in 29 C.F.R. � 1614.105(a). An aggrieved

person is required to initiate contact with an EEO counselor within 45

days of the date of the matter alleged to be discriminatory or, in the

case of a personnel action, within 45 days of the effective date of

the action. See 29 C.F.R. � 1614.105(a)(1). EEOC Regulations further

provide that the agency or the Commission shall extend the time limits

when the individual shows that he or she was not notified of the time

limits and was not otherwise aware of them, that he or she did not

know and reasonably should not have known that the discriminatory

matter or personnel action occurred, that despite due diligence he

or she was prevented by circumstances beyond his or her control from

contacting the Counselor within the time limits, or for other reasons

considered sufficient by the agency or the Commission. See 29 C.F.R. �

1614.105(a)(2). The Commission has adopted a "reasonable suspicion"

standard (as opposed to a "supportive facts" standard) to determine when

the 45 day limitation period is triggered. See Howard v. Department

of the Navy, EEOC Request No. 05970852 (February 11, 1999). Thus,

the time limitation is not triggered until a complainant reasonably

suspects discrimination, but before all the facts that support a charge

of discrimination have become apparent.

In relevant part, the AJ found that the complaints of complainants Kit

Chu Jeh, EEOC Appeal No. 01A44094; Jolly Moi, EEOC Appeal No. 01A44118;

and May Chug, EEOC Appeal No. 01A44085 were untimely, as their sworn

testimony at the hearing and/or their testimony during depositions

reflected that they sought EEO counseling a year or more after they

suspected discrimination.<11> AJD, at 25. The AJ employed the reasonable

suspicion analysis and determined that: the named complainants were fully

aware of their claims a year or more prior to seeking EEO counseling;

they provided no evidence explaining the reasons for their dilatory

contact; and they presented no evidence demonstrating that they were

unaware of the relevant time frames. Id.

The record reveals that, during the hearing, complainants Chug and Moi

stated that they knew that problems existed with their seniority in 1993.

Hearing Transcript (HT), at 334, 341. Similarly, complainant Jeh stated

that he became aware of the policies he believed discriminatory long

before seeking counseling. See AJ Exhibit (AJE): 7. Complainant Moi

further acknowledged that she received information regarding the filing

of EEO complaints during her orientation for the agency. Id., at 342.

In response to the agency's motion to find the complaints of complainants

Jeh, Moi, and Chug untimely, complainants asked the AJ to take judicial

notice of the fact that complainants are �unsophisticated and speak

English as a second language.� AJD, at 25. Furthermore, on appeal,

complainants contend that the AJ failed to appreciate the effect that

English as a second language had upon the testimony of some complainants,

evidenced by the AJ's disallowing a translation during the hearing.

First we note that, after reviewing the depositions of complainants

and observing the testimony of complainants Su, Chug, and Moi, the AJ

found �nothing in [complainants'] testimony or in their appearance as

witnesses to lead a reasonable person to believe that the[y] did not fully

understand and appreciate the nature and consequence of their actions.�

AJD, at 26. Moreover, the Commission notes that complainants Su, Chug,

and Moi did not request an interpreter during the hearing. Instead,

the record reveals that, during testimony provided by complainant

Cheng, a �dialect was spoken to the complainant� by another complainant

present at the preceding.<12> HT, at 310. The agency objected to said

communication, stating that such communications caused extreme prejudice

to the agency because agency counsel was �without the language capability

to understand what [was] spoken.� Id. The transcript reveals that the

AJ asked that only English be spoken while testimony was being given

since the hearing was being transcribed, and he sustained the objection

and admonished the audience. Id. Complainant Cheng did request an

interpreter; however, the AJ noted that one was not available. Id.,

at 311. The agency then clarified its question, and complainant Cheng

indicated that she understood the questions.<13> Id. The Commission

further notes that, in the only other instance in which a complainant

witness, complainant Su, did not appear to understand the question

presented to him by agency counsel, agency counsel rephrased the question,

and complainant was able to provide an answer. Id., at 322-23.

The Commission finds that the complaints of complainants Kit Chu Jeh,

Jolly Moi, and May Chug were properly dismissed for untimely EEO counselor

contact. The record indicates that each of these complainants provided

testimony that they became aware of the alleged seniority discrepancies

in 1993, but did not initiate contact with an EEO Counselor until October

1995, well beyond the 45 day limitation period. Despite complainants'

contention that they are unsophisticated and speak English as a second

language, the record reflects and the AJ found that, based upon their

appearances at the hearing, complainants understood and appreciated the

nature and consequences of their actions. The record reveals that the

3 named complainants' alleged difficulties with understanding English

did not interfere with their ability to complete required training

classes, perform their job, or provide appropriate responses during

the hearing or at their depositions. Complainants have not persuaded

the Commission that their alleged difficulty understanding the English

language actually prevented them from contacting an EEO Counselor within

the 45 day limitations period. After a careful review of the record,

we find that complainants have failed to present adequate justification

for extending the limitation period beyond 45 days. Therefore, we find

that the AJ's decision to dismiss these 3 complaints for failure to

initiate contact with an EEO Counselor in a timely manner was proper.

Disparate Treatment

A claim of disparate treatment is examined under the three-part analysis

first enunciated in McDonnell Douglas Corp. v. Green, 411 U.S. 792

(1973). For complainants to prevail, they must first establish a prima

facie case of discrimination by presenting facts that, if unexplained,

reasonably give rise to an inference of discrimination, i.e., that a

prohibited consideration was a factor in the adverse employment action.

McDonnell Douglas, 411 U.S. at 802; Furnco Construction Corp. v. Waters,

438 U.S. 567 (1978). The burden then shifts to the agency to articulate a

legitimate, nondiscriminatory reason for its actions. Texas Department of

Community Affairs v. Burdine, 450 U.S. 248, 253 (1981). Once the agency

has met its burden, the complainants bear the ultimate responsibility

to persuade the fact finder by a preponderance of the evidence that

the agency acted on the basis of a prohibited reason. St. Mary's Honor

Center v. Hicks, 509 U.S. 502 (1993).

The Commission finds that the AJ's decision properly summarized the

relevant facts and referenced the appropriate regulations, policies,

and laws. Applying the standards set forth in McDonnell Douglas, the

Commission agrees with the AJ's finding that complainants failed to

establish a prima facie case of discrimination on the bases of race

and/or national origin. The AJ found that complainants failed to

identify any instance where the agency advanced non-Asian/non-Chinese

applicants in the hiring process order to the detriment of Asian/Chinese

applicants as a result of their race and/or national origin. AJD, at 7-8.

The AJ noted that the alleged favored employees who were taken out of

order included individuals identified as Asian/Chinese. Id. Indeed,

complainants have not provided sufficient evidence to support an inference

of race and/or national origin discrimination. Although complainants have

identified comparative employees that may have been treated more favorably

then they, the record reveals that the alleged favored employees were

applicants in the same protected status as complainants. See, generally,

O'Connor v. Consolidated Coin Caterer's Group, 517 U.S. 308 (1996).

While comparative evidence is not an essential element of a prima facie

case of discrimination, the complainant must come forward with sufficient

evidence to create an inference of discrimination. Id. Complainants here

have failed to provide sufficient evidence to create such an inference.

Therefore, we find that complainants failed to establish a prima facie

case of race and/or national origin discrimination.

Assuming for the sake of argument that complainants did establish a prima

facie case of race and/or national origin discrimination, the burden

shifts to the agency to articulate legitimate, nondiscriminatory reasons

for its actions. McDonnell Douglas, 411 U.S. at 802-04. The record

reveals that the agency provided testimony, as well as �thousands of

pages of documents relating to the selection of applicants, including

complainants, during the relevant time period,� as evidence to support

its reasons. AJD, at 11. The manager of personnel services (Manager)

testified that there were no instances where the agency excluded a

complainant from the process at any stage, or where a complainant was

not timely trained or appointed in regular rank order when considering,

inter alia: (1) their DCM test score and entry date into the computer

database; (2) their call-in notifications regarding LSM or FSM training;

(3) non-responses or unavailability annotations on the pre-hire trainee

list or hiring worksheet; (4) the negative tie-breaker effect of their

social security numbers; (5) the phase out of LSM machines; and (6)

their official date of appointment. We note that the AJ reviewed

and specifically tracked the hiring process as applied to ten (10)

complainants, and found that no irregularities existed with respect to

these 10 individuals. Id., at 12-18.

Since the agency articulated legitimate, nondiscriminatory reasons

for its actions, the burden returns to complainants to demonstrate

that the agency's articulated reasons were pretext for discrimination.

The record reflects that, on February 18, 2003, complainants submitted

their arguments to rebut the agency's asserted reasons, but failed

to identify any discriminatory conduct on the part of the agency.<14>

AJE: 5. Indeed, the AJ properly determined that complainants failed to

refute the testimony of the Manager, which the AJ considered �detailed

and convincing.� AJD, at 19. The AJ found that complainants were

treated similar to or better than non-Asian/non-Chinese applicants in

that: (1) the agency promptly processed the applications of most of

complainants once they passed the entry test; (2) the vast majority of

applicants for DCM operator positions were Asians of Chinese origin; (3)

the qualification and hiring of non-Asians appears to have at times been

adversely affected when compared with Asians; (4) automation affected

Asians and non-Asians alike; and (5) hiring delays did not fall more

harshly on a particular racial category. Id., at 20-21.

On appeal, complainants make various assertions regarding the conduct

of the AJ during the hearing. We, however, find that the hearing

transcript reflects that the AJ acted properly. Although complainants

allege that the AJ permitted the agency to submit motions without serving

complainants, complainants do not specifically identify which motions

the agency failed to serve upon them, nor do they state that the AJ did

not allow them to respond to said motions. Moreover, the record reflects

that the AJ forwarded documents to the parties when he believed that one

party did not receive the submissions of the other party. HT, at 325.

Complainants also maintain that the AJ limited the amount of time allowed

each complainant to testify, and that he disallowed some complainants

testimony when he dismissed their complaints as untimely. We find no

indication in the transcript, however, that the AJ limited the testimony

of complainant witnesses, or that he failed to allow testimony from any

of the approved witnesses. Instead, the record reflects that the AJ

approved 11 complainant witnesses, but complainants chose to call 4. HT,

at 15. Furthermore, the AJ permitted one complainant witness to testify

even though she had not been earlier approved as a witness. AJD, at 2.

Complainants further contend that the AJ allowed the agency to �block�

discovery for many months, then permitted the agency to produce numerous

records it had not yet disclosed at the hearing, and that the AJ refused

to allow one additional day of hearings for review of the newly produced

documents and for rebutting testimony. While the agency produced evidence

for the first time at the hearing, the AJ granted complainants up to 20

days to analyze the data and submit evidence to rebut the agency's reason,

and he left open the possibility of further questioning at a later date

if and when the complainants could identify a need. HT, at 271-272.

Based upon a thorough review of the hearing transcript, the Commission

finds that the AJ properly conducted all aspects of the hearing.

Complainants Sandra Lee and Kit Chu Jeh also submit arguments and allege

that the agency failed to hire applicants based upon their scores,

instead selecting applicants with last names beginning with P through

Z in 1988 and C through L in 1990. We, however, find, as did the AJ,

that the vast majority of the individuals on the hiring worksheets, as

well as some of those individuals identified as favored by complainants,

are members of complainants' protected groups. Therefore, complainants

have failed to show that the agency has acted with discriminatory animus

on the bases of their race and/or national origin. To the extent that

complainants argue that the agency selected applicants with last names

beginning with P through Z in the 1988 time period and C through L

in the 1990 time period, we find that all evidence supports a finding

that the agency utilized a standardized procedure in filling vacancies.

See supra, at 2-3. Furthermore, the October 1995 Quarterly Seniority

Roster reflects that, contrary to complainants' assertion, the agency

hired individuals with last names beginning with C through L in the 1988

time period, and it also hired individuals with last names beginning

with P through Z in the 1990 time period.

Complainants Lee and Jeh further maintain that an applicant (comparator)

with a Spanish surname beginning with the letter D was hired immediately

after taking the examination, and they infer that she must have

been hired without having passed training and medical examinations.

We first note that comparator and these two complainants all scored 100

for the DCM position. Agency Exhibit: A-6. In addition, complainants

provide only their mere assertions that comparator did not participate

in LSM/FSM training and dexterity test before being hired, and we find

nothing in the record to indicate such. Finally, the record reflects

that applicants' names were placed on the hiring register according to

score order; the date an applicant took his or her examination does not

appear to have any relationship to when he or she was contacted by the

agency to attend training.

Complainant Alice Lin provided a statement in which she lists applicants

with scores lower than hers who were hired before she was, and she

notes that the last three numbers of their social security numbers are

higher than hers. A review of the lists with the names of individuals

who have lower scores than complainant Lin reveals that she identifies

numerous individuals with Asian sur-names as having a higher seniority

date than she does. We find that this fact obviates her assertion that

the agency sought to exclude Asians from selection for these vacancies.

Moreover, it remains unclear whether the identified individuals were FSM-

or LSM-qualified.

Finally, complainants have argued that the agency modified the seniority

of two of their coworkers (Asian, Chinese) from a start date of 1993

to 1988 because the coworkers were hired later than they should have

been. The Commission, however, finds that, while some discrepancies

existed in the hiring of applicants, the record reveals that these

errors were a result of the processing of 9,000 applicants, that is,

normal fluctuation, rather than discriminatory animus by agency officials.

In sum, complainants have failed to present any evidence that the agency's

actions were motivated by discriminatory animus towards complainants'

race and/or national origin. We therefore discern no basis to disturb

the AJ's finding that complainants failed to prove by a preponderance

of the evidence that they were discriminated against under a disparate

treatment theory of analysis.

Disparate Impact

The theory of disparate impact requires a showing that: (a) the employer

applied a facially neutral policy that resulted in a disproportionate

adverse impact on a protected group; (b) there was a statistical

disparity; and (c) that the disparity is linked to the challenged

policy or practice. Griggs v. Duke Power, 401 U.S. 424 (1971); Watson

v. Fort Worth Bank and Trust, 487 U.S. 977 (1988). Once a prima facie

showing is made, the employer has the burden of showing that the policy

has �a manifest relationship to the employment in question.� Id.

If the employer is successful in their proof, the complainants must

then demonstrate that other alternative methods or policies could be

used which do not have the discriminatory effect but which serve the

business purpose. Id. Practices or procedures, neutral on their face

and even neutral in terms of intent cannot be maintained if they operate

to freeze the status quo of discriminatory employment practices. Id.

The Civil Rights Act of 1991 effectively codified the requirement that

an employer prove a legitimate business purpose and not merely produce

evidence of it as stated in the Supreme Court case, Wards Cove Packing

Co. v. Atonio, 490 U.S. 642 (1989).

In the present case, the AJ properly found that complainants failed to

provide evidence to support their allegation that the adverse consequences

of the selection process for DCM clerks in 1988 through 1990 and beyond

fell more harshly on Chinese and other Asian applicants. AJD, at 23.

The record reflects that the agency's expert witness (EW) reviewed the

available labor market prior to the hearing and prepared a report.

HT, 359. EW testified that: during the relevant period, the agency

hired more Asians, including Chinese, than were represented in the

civilian labor pool; differences between the hiring order of Asians and

non-Asians occurred because of a person's rank on the hiring worksheet;

no time period at any point in the hiring process was longer for Asians,

including Chinese, than what could be expected randomly or beyond normal

fluctuation; and, in his opinion, there was no statistically significant

data reflecting a race-based disparate impact in the selection process.

Id., 360-72.

Complainants provided no arguments to rebut EW's testimony that the

agency's method of hiring applicants did not have a disproportionate

adverse impact on Asians and/or Chinese. We note that complainants

received EW's report, as well as, per the AJ's order during the hearing,

his spreadsheets. HT, at 376. We further note that EW is an expert

in behavioral and organizational psychology and statistics, and has

conducted �more than 40 and probably 50 plus� validation studies. ID.,

at 356. After carefully reviewing EW's testimony, the Commission agrees

with the AJ's conclusion that there was no race-based disparate impact

in the selection process for DCM clerks in 1988 through 1990 and beyond

which fell more harshly on Chinese and other Asian applicants.

Sanctions

EEOC Regulation 29 C.F.R. � 1614.109(f)(3) authorizes Administrative

Judges to take such actions deemed appropriate, where complainants, an

agency, or its employees fail without good cause shown to respond fully

and in a timely fashion to an AJ's order, or requests for investigative

files, documents, records, comparative data, statistics, affidavits, or

the attendance of witnesses. However, such sanctions must be tailored in

each case to appropriately address the underlying conduct of the party

being sanctioned. A sanction may be used to deter the non-complying

party from similar conduct in the future, coerce compliance in the instant

case, and to equitably remedy the opposing party. Hale v. Department of

Defense, EEOC Appeal No. 01A22458 (July 15, 2003). If a lesser sanction

would suffice to coerce compliance, deter such actions in the future,

or remedy the opposing party, an AJ may be abusing his or her discretion

to impose a harsher sanction. Timerman v. United States Postal Service,

EEOC Appeal No. 07A20094 (February 3, 2004) (citing Pacheco v. United

States Postal Service, EEOC Appeal No. 01970691 (November 25, 1998)).

In the present matter, the Commission finds that the AJ applied the proper

standard, and appropriately denied sanctions, as neither party showed

any prejudice by the other party's actions. The record reflects that the

agency requested sanctions against complainants for matters which arose

in the course of discovery, and for failing to cooperate and appear in

connection with several depositions which were duly noticed and scheduled

to be conducted in June and July 2002. AJD, at 26. The AJ denied the

agency's motions because, for among other reasons, the agency did not

demonstrate that it was prejudiced with respect to the issues in the

case as a result of complainants' failure to cooperate. Id., at 26-27.

Complainants' also moved for sanctions. Specifically, they requested that

certain adverse inferences be drawn against the agency in light of its

alleged willful destruction of relevant records following the initiation

of this case. AJD, at 27. The record reflects that complainants called

5 agency officials as witnesses at the hearing to testify regarding

the agency's failure to retain some documents, but not one of these

witnesses testified to any acts which could be construed as an intentional

destruction of records. Id. Accordingly, the AJ found that complainants

failed to elicit any testimony corroborating their claim that the agency

willfully destroyed relevant documents. Id. Indeed, the AJ noted that

�the fact that so many documents were produced so long after the events

at issue -- well over a decade -- is most impressive.� AJD, at 28.

Furthermore, complainants asserted that the agency failed to maintain

the relevant materials in a particular order, leaving �a great deal� of

sorting and other organizational tasks for them to complete. Id. The AJ,

however, found that there was no evidence indicating that the documents

were not provided in the order in which they were organized and preserved

in the ordinary course of business. Id. The AJ concluded that the

agency attempted to comply in good faith with all discovery orders. Id.

The Commission finds that neither party provided sufficient information

to establish that they were prejudiced by the other party's actions.

The record reveals that the agency failed to identify with any specificity

the alleged costs it incurred when some complainants did not appear for

depositions. AJE: 8. In addition, we note that, on appeal, complainants

claimed that �most complainants appeared for depositions,� despite not

being formally served with notices to appear.

With respect to complainants' motion for sanctions, we agree with the

AJ's finding that complainants failed to show that the agency acted

willfully in destroying some of the relevant documents. We, however,

note that the record reflects that complainants sought counseling for

their complaints in 1995, whereas the event at issue took place from

1988 through 1990, and the Commission's remand order of July 24, 1997

incorrectly identified the relevant period for records to be produces as

July 1, 1995 through April 12, 1996. Xu, et al. v. United States Postal

Service, EEOC Appeal No. 01970744 (July 24, 1997). Furthermore, we

find it significant that the AJ permitted complainants additional time

(20 days) to review all newly produced documents, while continuing the

hearing and keeping the record open to enable complainants to throughly

analyze the documents.<15> Finally, and most importantly, complainants

have not shown that they were prejudiced by the agency's failure to

retain some records pertaining to the selection of applicants.

For the above stated reasons, the Commission determines that the

circumstances presented herein did not warrant the ultimate sanction of

a finding of discrimination for the complainants, or the award of costs

incurred to the agency. The Commission thus finds that the AJ acted

properly in denying both parties' requests for sanctions.

CONCLUSION

The Commission finds that the AJ's decision properly summarized the

relevant facts and referenced the appropriate regulations, policies,

and laws. The record reflects that complainants failed to present

sufficient evidence, showing that any of the agency's actions were

discriminatorally based upon their race and/or national origin, and we

therefore discern no basis to disturb the AJ's decision. After a careful

review of the record, including complainants' arguments on appeal, and

arguments and evidence not specifically addressed in this decision,

we find that the AJ's decision finding no discrimination was proper.

Accordingly, we affirm the agency's final decision.

STATEMENT OF RIGHTS - ON APPEAL

RECONSIDERATION (M0701)

The Commission may, in its discretion, reconsider the decision in this

case if the complainant or the agency submits a written request containing

arguments or evidence which tend to establish that:

1. The appellate decision involved a clearly erroneous interpretation

of material fact or law; or

2. The appellate decision will have a substantial impact on the policies,

practices, or operations of the agency.

Requests to reconsider, with supporting statement or brief, must be filed

with the Office of Federal Operations (OFO) within thirty (30) calendar

days of receipt of this decision or within twenty (20) calendar days of

receipt of another party's timely request for reconsideration. See 29

C.F.R. � 1614.405; Equal Employment Opportunity Management Directive for

29 C.F.R. Part 1614 (EEO MD-110), 9-18 (November 9, 1999). All requests

and arguments must be submitted to the Director, Office of Federal

Operations, Equal Employment Opportunity Commission, P.O. Box 19848,

Washington, D.C. 20036. In the absence of a legible postmark, the

request to reconsider shall be deemed timely filed if it is received by

mail within five days of the expiration of the applicable filing period.

See 29 C.F.R. � 1614.604. The request or opposition must also include

proof of service on the other party.

Failure to file within the time period will result in dismissal of your

request for reconsideration as untimely, unless extenuating circumstances

prevented the timely filing of the request. Any supporting documentation

must be submitted with your request for reconsideration. The Commission

will consider requests for reconsideration filed after the deadline only

in very limited circumstances. See 29 C.F.R. � 1614.604(c).

COMPLAINANT'S RIGHT TO FILE A CIVIL ACTION (S0900)

You have the right to file a civil action in an appropriate United States

District Court within ninety (90) calendar days from the date that you

receive this decision. If you file a civil action, you must name as

the defendant in the complaint the person who is the official agency head

or department head, identifying that person by his or her full name and

official title. Failure to do so may result in the dismissal of your

case in court. "Agency" or "department" means the national organization,

and not the local office, facility or department in which you work. If you

file a request to reconsider and also file a civil action, filing a civil

action will terminate the administrative processing of your complaint.

RIGHT TO REQUEST COUNSEL (Z1199)

If you decide to file a civil action, and if you do not have or cannot

afford the services of an attorney, you may request that the Court appoint

an attorney to represent you and that the Court permit you to file the

action without payment of fees, costs, or other security. See Title VII

of the Civil Rights Act of 1964, as amended, 42 U.S.C. � 2000e et seq.;

the Rehabilitation Act of 1973, as amended, 29 U.S.C. �� 791, 794(c).

The grant or denial of the request is within the sole discretion of

the Court. Filing a request for an attorney does not extend your time

in which to file a civil action. Both the request and the civil action

must be filed within the time limits as stated in the paragraph above

("Right to File A Civil Action").

FOR THE COMMISSION:

______________________________

Stephen Llewellyn

Acting Executive Officer

Executive Secretariat

___09-23-04_______________

Date

Angela Cho,

EEOC Appeal No. 01A41029

Chit Yee Chong,

EEOC Appeal No.01A44081

Laing Chow,

EEOC Appeal No.01A44082

Luan Chu,

EEOC Appeal No.01A44083

Faye Chu,

EEOC Appeal No.01A44084

May Chung,

EEOC Appeal No.01A44085

Jamie Chung,

EEOC Appeal No.01A44086

Nelly Fu,

EEOC Appeal No.01A44087

Diana Gong,

EEOC Appeal No.01A44088

Mary Ham,

EEOC Appeal No.01A44089

Christina Ho,

EEOC Appeal No.01A44090

Yvonne Huang,

EEOC Appeal No.01A44091

Peter Huynh,

EEOC Appeal No.01A44092

Diana Hway,

EEOC Appeal No.01A44093

Kit Jeh,

EEOC Appeal No.01A44094

Vinder Kaur,

EEOC Appeal No.01A44095

Florence Kho,

EEOC Appeal No.01A44096

Kay Kim,

EEOC Appeal No.01A44097

Myung Kim,

EEOC Appeal No.01A44098

Michael Koo,

EEOC Appeal No.01A44099

Catherine Kung,

EEOC Appeal No.01A44100

Lisa Kwong,

EEOC Appeal No.01A44101

Rozana Lee,

EEOC Appeal No.01A44102

Sandra Lee,

EEOC Appeal No.01A44103

Cornel Lee,

EEOC Appeal No.01A44104

Kwan Lee,

EEOC Appeal No.01A44105

Gon Leong,

EEOC Appeal No.01A44106

Ming Leung,

EEOC Appeal No.01A44107

Mary Leung,

EEOC Appeal No.01A44108

Gene Li,

EEOC Appeal No.01A44109

Becky Liang,

EEOC Appeal No.01A44110

Donald Lim,

EEOC Appeal No.01A44111

Carolina Lima,

EEOC Appeal No.01A44112

Alice Lin,

EEOC Appeal No.01A44113

Maggie Lu,

EEOC Appeal No.01A44114

Alice Lui,

EEOC Appeal No.01A44115

Rexman Lui,

EEOC Appeal No.01A44116

Lan Ly,

EEOC Appeal No.01A44117

Jolly Moi,

EEOC Appeal No.01A44118

Khn-san Myint,

EEOC Appeal No.01A44119

Vivian Posadas,

EEOC Appeal No.01A44120

Clarita Robinson,

EEOC Appeal No.01A44121

Frisco Sacluti,

EEOC Appeal No.01A44122

Gloria Salinda,

EEOC Appeal No.01A44123

Phuong Thai,

EEOC Appeal No.01A44124

Tony Tran,

EEOC Appeal No.01A44125

Nancy Tran,

EEOC Appeal No.01A44126

Ku Tzeng,

EEOC Appeal No.01A44127

Brent Wong,

EEOC Appeal No.01A44128

Emily Wong,

EEOC Appeal No.01A44129

Samuel Woo,

EEOC Appeal No.01A44130

Shirley Xie,

EEOC Appeal No.01A44131

Sandra Xu,

EEOC Appeal No.01A44132

Yaner Xu,

EEOC Appeal No.01A44133

Quinhong Yan,

EEOC Appeal No.01A44134

Lucia Yan,

EEOC Appeal No.01A44135

Hon-In Yang,

EEOC Appeal No.01A44136

Mary Yang,

EEOC Appeal No.01A44137

Seong Yi,

EEOC Appeal No.01A44138

QingNing Yu,

EEOC Appeal No.01A44139

Lily Yuan,

EEOC Appeal No.01A44140

1 Although eighty-three (83) complainants initially filed formal

complaints with the agency, only 61 complainants filed appeals in the

present case, Appeal Nos. 01A41029, 01A44081-01A44140. We note that

complainants' representative asserts in the complainants' statement

on appeal that some complainants were never served with a copy of the

EEOC Administrative Judge decision and/or the final agency decision,

and thus not afforded a right to appeal. Complainants identify only

one individual by name, Branda Li. We note that Ms. Li's name does

not appear on the list of names attached to the Administrative Judge

decision or the FAD. In addition, the record reveals that the names of

twenty-two (22) complainants, appearing in consecutive, alphabetical

order, and clustering twice from Ariston Cabrera thru Kum Cho and

Frank Shih thru Muoi Thai, did not file appeals with the Commission.

While the Commission can identify 22 individuals, this decision will

not address their complaints because the complainants' representative

failed to identify which of these individuals wish to file appeals.

2 The names and appeal numbers of the 61 individual complainants who

timely initiated appeals from the agency's final orders appear at pages

17-19 of this decision. We note that complainants filed each of their

complaints individually and never sought to have their claims certified

as a class complaint.

3 We note that, while complainants also listed Burma, China, Hong Kong,

India, Korea, Philippines, Taiwan, or unspecified as countries of national

origin, complainants did not object to, nor raise arguments on appeal

to the AJ's identifying their national origin as mostly Chinese.

4 As part of a settlement involving applicants of self-declared Hispanic

origin, referred to as the �image lawsuit,� beginning in 1986 and ending

sometime before the 1988 hiring period, only individuals of Hispanic

origin could apply and test for positions as clerk carriers, distribution

clerk machine operators, and mail processors in the Golden Gate District.

Compensable veterans and military personnel were the only exceptions to

the requirements of this settlement. Hearing Transcript, at 79-80, 239.

We note that the terms of this settlement are not before the Commission.

5 The agency significantly reduced its hiring for Letter Sorting

Machine Operators after 1990, and it eventually phased out the machines

completely. Hearing Transcript, at 256-57.

6 Due to this two pool system, when the agency hired FSM qualified

applicants, it hired FSM qualified applicants with lower entry-level

test scores ahead of LSM qualified applicants with higher entry-level

test scores. Conversely, when the agency hired LSM qualified applicants,

it hired LSM qualified applicants with lower entry-level test scores

ahead of FSM qualified applicants with higher entry-level test scores.

7 One complaint, that of complainant Diana Gong, EEOC Appeal No. 01A44088,

included additional allegations of discrimination, including: (1) refusal

to process an injury claim, (2) falsification of an accident report,

and (3) denial of compensation. The record reflects that the parties

stipulated that only hiring claims were at issue, and complainant does

not raise these three other issues on appeal.

8 The AJ first noted that the parties stipulated to, among other

things, the following relevant facts: the sole bases for the claims

were race and/or national origin; only hiring claims were at issue; most

complainants initially became aware of the alleged hiring discrimination

upon the posting of a quarterly seniority roster in October of 1995;

complainants' hiring claims include an allegation of disparate impact

discrimination, but do not include claims related to allegations that

the agency entered into any settlement agreements in bad faith; and the

relevant time period applicable to these complaints was the 1988-1990

time period. AJ Decision, at p. 3.

9 We note that William Su and Branda Li have not filed appeals with

the Commission.

10 Only Branda Li is identified in the statement by name.

11 Although the AJ also dismissed the complaints of complainant William

Su and Branda Li, we will not address those dismissals, as these two

complainants have not filed appeals with the Commission.

12 We note that complainant Cheng's complaint was not dismissed for

untimeliness.

13 Relevant portions of the hearing transcript read as follows:

Agency Counsel: While the witness was on the witness stand, she was

spoken to by a member of this audience who is another complainant,

in a language that was spoken that was not English....

AJ: I agree with the objection. The objection is sustained. I am

going to admonish this audience. I even saw people gesturing with

their hands as to how to answer the question. And that we don't do.

And if there is any indication that it's done, I may have to remove some

people from this hearing. It's the only way we can proceed.

Complainant Cheng: But can I have an interpreter?

AJ: We don't have an interpreter.

Agency counsel: Do you understand what I mean by a call-in notice?

Do you know what a call-in notice is?

Complainant Cheng: That means they send me a letter to come in and

report.

14 The AJ noted that, since the agency relied on some documents that

it produced at the time of the hearing, he granted complainants up to 20

days to analyze the data and submit evidence to rebut the agency's reason.

Id., at 18-19.

15 In its response to complainants' motion for sanctions, agency counsel

expressed their own frustration in not promptly producing the relevant

records, as they too erroneously believed that most of the documents

had been destroyed. AJE: 5, 9. We note that it appears from the record

that some documents were not retained by the agency.