February 24, 2021
IN THE UNITED STATES DISRICT COURT
FOR THE WESTERN DISTRICT OF VIRGINIA
IN RE: EMPLOYMENT DISPUTE RESOLUTION PLAN
FOR THE WESTERN DISTRICT OF VIRGINIA
STANDING ORDER NO. 2021-
It is ORDERED that the attached Employment Dispute Resolution Plan for
the Western District of Virginia, as revised on and approved by the Judicial Council of
the Fourth Circuit February 11, 2021, be and hereby is adopted for this Court and shall
be adhered to by each unit of the Court in accordance with the procedures set forth in
said plan.
24th day of February, 2021.
Entered, for the Court, this ______
Michael F. Urbanski
Chief U.S. District Judge
2021.02.24 11:19:12 -05'00'
________________________________________
CHIEF UNITED STATES DISTRICT JUDGE
FILED: February 11, 2021
UNITED STATES COURT OF APPEALS
FOR THE FOURTH CIRCUIT
JUDICIAL COUNCIL
In the Matter of the Review of the *
Revised Employment Dispute Resolution * No. 426
Plan of the United States District Court for *
the Western District of Virginia *
ORDER
The Employment Dispute Resolution Plan of the United States District Court for the Western
District of Virginia, as revised, which is attached to and made a part of this Order, is hereby approved
by the Judicial Council of the Fourth Circuit, and it is so ORDERED.
FOR THE COUNCIL:
______________________
James N. Ishida
Secretary
Date: February 11, 2021
WESTERN DISTRICT OF VIRGINIA
EMPLOYMENT DISPUTE RESOLUTION PLAN
I. PREAMBLE
The Federal Judiciary is committed to a workplace of respect, civility, fairness, tolerance,
and dignity, free of discrimination and harassment. These values are essential to the
Judiciary, which holds its Judges and Employees to the highest standards. All Judges and
Employees are expected to treat each other accordingly.
The Western District of Virginia is committed to the practice of equal employment
opportunity and will not tolerate intimidation or retaliation against employees, law clerks,
interns/externs, or applicants because they have engaged in or may engage in filing a
complaint of discrimination, harassment, or retaliation; assisting or participating in an
investigation; opposing any act or practice made unlawful by any applicable law; or for
exercising any other legally protected right.
This Employment Dispute Resolution (EDR) Plan is intended to provide a means for
addressing wrongful conduct. It is not intended to adjudicate employee discipline. As
such, the process or decisions determined within the EDR Plan must not be used as the
basis to take disciplinary action against an employee who is the subject of an allegation of
wrongful conduct. It is the responsibility of the appointing official to assess, in accordance
with applicable policies and procedures, whether further action in a separate process is
necessary to correct and prevent wrongful conduct. Additional guidance for the Presiding
Judicial Officer is provided in Section V. The goal of the EDR Plan is to promote and
facilitate a positive workplace.
Regardless of its form or motive, bullying, harassment, or inappropriate conduct does not
align with treating colleagues with respect and will not be tolerated as it undermines the
Court’s ability to do its job for the public. As expressed in the Code of Conduct for Judges
and for Judicial Employees, an honorable and independent judiciary is indispensable to
justice in our society. All Judges and Employees should maintain and enforce high
standards of conduct and should personally observe those standards to create an exemplary
workplace and to preserve the integrity of the Judiciary.
II. INTRODUCTION
This Plan is intended to promote and facilitate a positive workplace and to provide a means
for addressing wrongful conduct. This Plan provides options for the reporting and
Last revised February 11, 2021
1
resolution of allegations of wrongful conduct (discrimination, sexual, racial, or other
discriminatory harassment, abusive conduct, and retaliation) in the workplace. Early action
is the best way to maintain a safe work environment. All Judges, Employing Offices, and
Employees have a responsibility to promote workplace civility, prevent harassment or
abusive conduct, and to take appropriate action upon receipt of reliable information
indicating a likelihood of wrongful conduct under this Plan. See Code of Conduct for
Judicial Employees, Canon 3(C).
This Plan applies to all:
• Judges of the United States District Court for the Western District of Virginia;
• Current and former Employees (including all law clerks and chambers staff);
• Paid and unpaid interns, externs, and other volunteers; and
• Applicants for employment who have been interviewed.
The following persons cannot seek relief under this Plan: Judges, applicants for judicial
appointment, Criminal Justice Act panel attorneys and applicants, investigators and service
providers, community defender employees, volunteer mediators, and any other non-
Employees not specified above. See Appendix 1 for full definitions of Judges and
Employees.
III. WRONGFUL CONDUCT
A. This Plan prohibits wrongful conduct that occurs during the period of employment
or the interview process (for an applicant). Wrongful conduct includes:
discrimination;
sexual, racial, and other discriminatory harassment;
abusive conduct; and
retaliation (including retaliation as described in the Whistleblower Protection
Provision in Guide to Judiciary Policy, Vol. 12, § 220.10.20(c)).
Wrongful conduct can be verbal, non-verbal, physical, or non-physical.
Wrongful conduct also includes conduct that would violate the following
employment laws and policy, as applied to the Judiciary by Judicial Conference
policy:
Title VII, Civil Rights Act of 1964;
Age Discrimination in Employment Act of 1967;
Americans with Disabilities Act of 1990 and the Rehabilitation Act of 1973;
Family and Medical Leave Act of 1993;
Uniformed Services Employment and Reemployment Rights Act of 1994;
Whistleblower Protection Provision (Guide, Vol. 12, § 220.10.20(c));
Worker Adjustment and Retraining Notification Act;
Occupational Safety and Health Act; and
Last revised February 11, 2021
2
The Employee Polygraph Protection Act of 1988.
See Guide, Vol. 12, Ch. 2.
This plan is intended to provide a means for addressing wrongful conduct regardless
of whether it meets the legal standard for discrimination, discriminatory harassment,
or abusive conduct. The objective is to address workplace conflicts at the lowest
and most direct level to create a safe, positive, and productive work environment.
An employee concerned about workplace conflict should consider seeking Informal
Advice pursuant to § V.C.1.
B. Discrimination is an adverse employment action that materially affects the terms,
conditions, or privileges of employment (such as hiring, firing, failing to promote,
or a significant change in benefits) based on the following Protected Categories:
race, color, sex, gender, gender identity, pregnancy, sexual orientation, religion,
national origin, age (40 years and over),1 or disability.
C. Discriminatory harassment occurs when a workplace is permeated with
discriminatory intimidation, ridicule, and insult that is sufficiently severe or
pervasive to alter the conditions of the employment and create an abusive working
environment. Discriminatory harassment includes sexual harassment.
Examples of conduct that may give rise to discriminatory harassment: racial slurs;
derogatory comments about a person’s ethnicity, culture, or foreign accent; or jokes
about a person’s age, disability, or sexual orientation.
Examples of conduct that may give rise to sexual harassment: suggestive or obscene
notes, emails, text messages, or other types of communications; sexually degrading
comments; display of sexually suggestive objects or images; unwelcome or
inappropriate touching or physical contact; unwelcome sexual advances or
propositions; inappropriate remarks of a sexual nature or about physical appearance;
or employment action affected by submission to, or rejection of, sexual advances.
D. Abusive Conduct is a pattern of demonstrably egregious and hostile conduct not
based on a Protected Category that unreasonably interferes with an Employee’s
work and creates an abusive working environment. Abusive conduct is threatening,
oppressive, or intimidating.
Abusive conduct does not include communications and actions reasonably related
to performance management, including but not limited to: instruction; corrective
criticism and evaluation; performance improvement plans; duty assignments and
changes to duty assignments; office organization; progressive discipline; and
adverse action. Performance management discussions, however, should always be
handled in a professional and respectful manner.
1
The age discrimination provision does not apply to hiring, retirement, or separation of probation and pretrial services officers under 5
U.S.C. chapters 83 and 84.
Last revised February 11, 2021
3
E. Retaliation is a materially adverse action taken against an Employee for reporting
wrongful conduct; for assisting in the defense of rights protected by this Plan; or for
opposing wrongful conduct. Retaliation against a person who reveals or reports
wrongful conduct is itself wrongful conduct.
IV. REPORTING WRONGFUL CONDUCT
The Judiciary encourages early reporting and action on wrongful conduct. Employees who
experience, observe, or learn of reliable information regarding sexual, racial, or other
discriminatory harassment or abusive conduct are strongly encouraged to take appropriate
action, including reporting it to a supervisor, human resources professional, Unit
Executive, Employment Dispute Resolution (“EDR”) Coordinator, Chief Judge, Chief
Circuit Judge, Circuit Director of Workplace Relations, or to the national Office of Judicial
Integrity. See Code of Conduct for Judicial Employees, Canon 3(C). Employees are also
encouraged to report wrongful conduct in the workplace by non-Employees. Court and
chambers’ confidentiality requirements do not prevent any Employee—including law
clerks—from revealing or reporting wrongful conduct by any person.
Prompt reporting allows the Employing Office to respond expeditiously and could prevent
the behavior from escalating. Prompt reporting also allows the Employing Office to take
appropriate action to minimize harm to individuals affected and to minimize disruption to
the work environment.
The Employing Office will promptly and effectively investigate a report of discrimination
or conduct inconsistent with the Plan. Reports and investigations will be handled in a
confidential manner in accordance with § V.B.1. Parties involved in the situation,
including the reporting party and subject of the complaint, will be offered an opportunity
to be interviewed. The Employing Office will take further appropriate action once the
matter has been investigated in accordance with this Plan.
V. OPTIONS FOR RESOLUTION
The Judiciary’s goal is to address wrongful conduct as soon as possible and to provide
multiple, flexible options for doing so. An Employee is always free and is encouraged to
address a conduct issue directly with the person who allegedly committed wrongful
conduct. If an employee is unable or feels uncomfortable in addressing a matter directly
with the subject of the misconduct, the employee may contact a colleague, supervisor, Unit
Executive, the EDR Coordinator, the Circuit Director of Workplace Relations, a Judge, Chief
Judge, or other individual to discuss or address the situation. This Plan provides the
following additional options, and Employees may choose the option(s) that best fit their
needs and comfort level.
If multiple reports of wrongful conduct, which fall within the scope of an EDR Plan, exist,
such matters may be consolidated if the complaining employee(s) and the Unit Executive,
EDR Coordinator, Circuit Director of Workplace Relations, or Chief Judge agree that such
consolidation would promote the efficient and just resolution of the pending matters.
Last revised February 11, 2021
4
A. Plan Options. This Plan provides three options to address wrongful conduct, as
explained in detail below:
1. Informal Advice
2. Assisted Resolution
3. Formal Complaint
B. General Rights. All options for resolution are intended to respect the rights and
privacy of all involved to the greatest extent possible, and to protect the fairness and
thoroughness of the process by which allegations of wrongful conduct are initiated,
investigated, and ultimately resolved.
1. Confidentiality. All individuals involved in the processes under this Plan
must protect the confidentiality of the allegations of wrongful conduct.
Information will be shared only to the extent necessary and only with those
whose involvement is necessary to address the situation. An assurance of
confidentiality must yield when there is reliable information of wrongful
conduct that threatens the safety or security of any person or that is serious
or egregious such that it threatens the integrity of the Judiciary; however such
shall be only in accordance with the provisions of this Plan or with the
express authorization of the Chief Judge.
Confidentiality obligations in this Plan and in the Code of Conduct for
Judicial Employees concerning use or disclosure of confidential information
received in the course of official duties do not prevent nor should they
discourage Employees from reporting or disclosing wrongful conduct,
including sexual, racial, or other forms of discriminatory harassment by a
Judge, supervisor, or other person.
Supervisors, Unit Executives, and Judges must take appropriate action when
they learn of reliable information of wrongful conduct, such as sexual, racial,
or other discriminatory harassment, which may include informing the
appropriate Chief Judge. In addition, if an investigation, hearing, or other
process under this Plan involves confidential client information or
information that is otherwise protected from disclosure by attorney-client,
work-product, or other privilege, individuals involved in the processes under
this Plan must take appropriate action to protect and maintain the privilege
and confidentiality afforded to that information.
2. Impartiality. All investigations, hearings, and other processes under this
Plan must be conducted in a thorough, fair, and impartial manner. The EDR
Coordinator, the Circuit Director of Workplace Relations, and the Presiding
Judicial Officer must be impartial and may not act as an advocate for any
Last revised February 11, 2021
5
person or Party. The EDR Coordinator, Circuit Director of Workplace
Relations, or Presiding Judicial Officer must recuse if he or she participated
in, witnessed, or was otherwise involved with the conduct or employment
action giving rise to the claim. Recusal of these individuals is also required if
the matter creates an actual conflict or the appearance of a conflict.
3. Right to representation. Both the Employee and the Employing Office
responsible for providing any remedy have the right to be represented by an
attorney or other person of their choice at their own expense. Another
Employee may assist the Employee or Employing Office if doing so will not
constitute a conflict of interest or unduly interfere with his or her duties, as
determined by the assisting Employee’s appointing officer. Nothing in this
provision precludes any other involved person from consulting or obtaining
representation by an attorney, but such attorney may not participate in the
proceeding.
4. Interim Relief. An Employee, including a law clerk or other chambers
employee, who pursues any of the options under this Plan may request
transfer, an alternative work arrangement, or administrative leave sufficient
to address any immediate workplace concerns and consistent with the Guide
to Judiciary Policy if the Employee alleges egregious conduct by a
supervisor, Unit Executive, or Judge that makes it untenable to continue
working for that person. Any such request must be made to the Unit
Executive or Chief Judge, as appropriate, to determine appropriate interim
relief, if any, taking into consideration the impact on any Employing Office.
5. Allegations Regarding a Judge. An Employee alleging that a Judge has
engaged in wrongful conduct is encouraged to contact their Unit Executive, the
Chief Judge, the EDR Coordinator, or the Circuit Director of Workplace
Relations, and may use any of the options for resolution as set forth in Section
C. An Employee may also file a complaint under the Judicial Conduct and
Disability Act, 28 U.S.C. §§ 351-364.
C. Specific Options
1. Informal Advice. An Employee may contact an EDR Coordinator, Circuit
Director of Workplace Relations, or the national Office of Judicial Integrity
for confidential advice and guidance (see § V.B.1) about a range of topics
including:
the rights and protections afforded under this Plan, the Judicial
Conduct and Disability Act, and any other processes;
ways to respond to wrongful conduct as it is happening; and/or
options for addressing the conduct, such as informal resolution,
Last revised February 11, 2021
6
participating in Assisted Resolution, or pursuing a Formal Complaint
under this Plan, the Judicial Conduct and Disability Act, or any other
processes.
2. Assisted Resolution. Assisted Resolution is an interactive, flexible process
that may include:
discussing the matter with the person whose behavior is of concern;
conducting a preliminary investigation, including interviewing
persons alleged to have violated rights under this Plan and witnesses
to the conduct;
engaging in voluntary mediation between the persons involved;
and/or
resolving the matter by agreement.
a. To pursue this option, an Employee must contact an EDR Coordinator
or Circuit Director of Workplace Relations and complete a “Request
for Assisted Resolution” (Appendix 2). An Employee asserting any
claim of abusive conduct must first use Assisted Resolution before filing
a Formal Complaint. Filing a Request for Assisted Resolution does not
toll (extend) the time for filing a Formal Complaint under § V.C.3
unless one of the Parties requests, and the Chief Judge or Presiding
Judicial Officer grants, an extension of time for good cause, as
permitted in §V.C.3.a
b. If the allegations concern the conduct of a Judge, the Chief Judge of
must be notified and will be responsible for coordinating any Assisted
Resolution and/or taking any other action required or appropriate under
the circumstances. See, e.g., Rules for Judicial-Conduct and Judicial-
Disability Proceedings.
c. If the allegations concern the conduct of an Employee, the EDR
Coordinator or Circuit Director of Workplace Relations will coordinate
Assisted Resolution and must notify the appropriate Unit Executive(s).
The Unit Executive is responsible for assessing the allegation(s) and
taking appropriate steps, including but not limited to those set forth in
C.2 above, to resolve the matter. If the allegations concern the conduct
of a Unit Executive, the EDR Coordinator must notify the Chief Judge,
who is responsible for assessing the allegation(s) and addressing the
matter as appropriate. In determining what steps are appropriate, the
Unit Executive and/or the Chief Judge are encouraged, if practicable,
to afford the subject of a complaint an opportunity to be heard.
d. The Unit Executive or Chief Judge responsible for assessing the
Last revised February 11, 2021
7
allegations, as indicated in (b) and (c) above, may deny the Request for
Assisted Resolution at any time if he or she concludes it is frivolous; it
does not allege violations of the rights or protections in this Plan; the
alleged conduct arises out of the same facts and circumstances, and was
resolved by, a previous EDR Complaint or other claim process or
procedure; or on other appropriate grounds. Such a denial does not
preclude an Employee from filing a Formal Complaint pursuant to the
provisions set forth in C.3 below.
e. If Assisted Resolution is successful in resolving the matter, the Parties
will so acknowledge in writing.
f. The Parties by mutual assent, or the EDR Coordinator or Circuit
Director of Workplace Relations in his or her discretion, will determine
when to conclude the Assisted Resolution process. If Assisted
Resolution is not successful in resolving the matter, the EDR
Coordinator or Circuit Director of Workplace Relations will advise the
Employee of his or her rights to file a Formal Complaint and/or pursue
action under the Judicial Conduct and Disability Act, if applicable, or
any other processes.
g. Participants in the voluntary mediation process must sign an Agreement
to Mediate Form that outlines confidentiality of the mediation process,
at the beginning of mediation. (See Appendix 3). Any person or party
involved in assisted resolution under § V.C.2 of the EDR Plan shall not
disclose any information or records obtained through assisted
resolution except:
• As necessary to consult with the parties or their representatives,
and then only with notice to all the parties; or
• As the information or records are otherwise discoverable in a
Formal EDR Hearing.
3. Filing a Formal Complaint. An Employee may file a Formal Complaint
(“Complaint”) with any of the Court’s EDR Coordinators to address a claim
of wrongful conduct.
a. To file a Complaint, an Employee must submit a “Formal Complaint”
(Appendix 4) to any of the Court’s EDR Coordinators within 180 days
of the alleged wrongful conduct or within 180 days of the time the
Employee becomes aware or reasonably should have become aware
of such wrongful conduct. Use of the Informal Advice or Assisted
Resolution options does not toll (extend) this 180-day deadline unless
the Chief Judge of the Court or the Presiding Judicial Officer grants
an extension of time for good cause.
Last revised February 11, 2021
8
b. An Employee asserting any claim of abusive conduct must first use
Assisted Resolution before filing a Formal Complaint.
c. The Employee filing the Complaint is called the Complainant. The
Party responding to the Complaint is the Employing Office that is
responsible for providing any appropriate remedy and is called the
Respondent. The Complaint is not filed against any specific
individual(s) but against the Employing Office.
d. If the Complainant and the Subject of the Complainant are both
chambers staff, the EDR Coordinator who receives the Complaint
shall forward the Complaint to the Chief Judge, who shall designate a
Judge, Unit Executive, or another Court Official to respond to the
Complaint and to otherwise act on behalf of the Employing Office.
e. Complaint Regarding a Judge. An Employee alleging that a Judge
has engaged in wrongful conduct may file a Complaint under this
Plan. The EDR Coordinator must immediately provide a copy of the
Complaint to the Chief Circuit Judge (or the next most-senior active
Circuit Judge, if the allegation is against the Chief Circuit Judge), who
will oversee the EDR Complaint process, and who may appoint a
Presiding Judicial Officer to preside over the formal Complaint
proceedings. If a District or Magistrate Judge is the subject of the
Complaint, the EDR Coordinator must also provide a copy of the
Complaint to the Chief District Judge (unless the Chief District Judge
is the subject of the Complaint, in which case the Complaint will be
given only to the Chief Circuit Judge).
If a Judge becomes the subject of both a Complaint under this Plan and
a complaint under the Judicial Conduct and Disability Act, the Chief
Circuit Judge will determine the appropriate procedure for addressing
both, which may include holding the EDR claim or the Judicial
Conduct and Disability Act complaint in abeyance and determining
how best to find any common issues of fact, subject to all requirements
of the Judicial Conduct and Disability Act, the Rules for Judicial-
Conduct and Judicial-Disability Proceedings, and, as practicable, this
EDR Plan. Regardless of whether there is a formal complaint under
the Judicial Conduct and Disability Act, the Chief Circuit Judge should
consider the need for any necessary or appropriate interim relief.
f. Formal Complaint Procedures and Procedural Rights
i. Appointment of Presiding Judicial Officer. Upon receipt of a
Complaint, the EDR Coordinator will immediately send a copy
of the Complaint to the Chief Judge of the Court, who will
appoint a Presiding Judicial Officer. The Presiding Judicial
Last revised February 11, 2021
9
Officer will be a Judge in the Court or, when appropriate, a
Judge from another Court (with the consent of the respective
Chief Judge of that Court).
ii. Presiding Judicial Officer. The Presiding Judicial Officer
oversees the Complaint proceeding. The Presiding Judicial
Officer will provide a copy of the Complaint to the head of the
Employing Office against which the Complaint has been filed
(Respondent), except when the Presiding Judicial Officer
determines for good cause that the circumstances dictate
otherwise. The Presiding Judicial Officer must provide the
subject of the complaint notice that a Complaint has been filed
and the nature and substance of the Complaint allegations.
Upon written application from a Unit Executive to the
Presiding Judicial Officer and for good cause shown, a stay of
formal proceedings may be granted for a time period not to
exceed 30 days, in order to allow the Unit Executive to address
the alleged wrongful conduct. The Unit Executive must certify
in the application that the (1) Complaint does not involved the
Unit Executive or a Judge; and (2) the Unit Executive did not
have knowledge of the alleged wrongful conduct at the time
the formal Complaint was filed. At or before the conclusion of
the stay, the Unit Executive shall inform the Presiding Judicial
Officer that the Complaint was resolved through written
settlement or was not resolved. Any stay granted by the
Presiding Judicial Officer shall be excluded from any relevant
time period calculations contained in this Plan.
The Presiding Judicial Officer will provide for appropriate
investigation and discovery, allow for settlement discussions,
discuss the possibility of mediating the matter, determine any
written submissions to be provided by the Parties and direct
production of those submissions, determine if a hearing is
needed, determine the time, date, and place of the hearing,
issue a written decision, and, if warranted, order remedies.
iii. Limited Role of the Presiding Judicial Officer. The “Presiding
Judicial Officer” performs a crucial but limited role when they
adjudicate employee disputes under this Plan. This guidance
seeks to assist Presiding Judicial Officers in identifying the
boundaries of their roles and authorities, particularly when the
accused person is the subject of a parallel Judicial Conduct and
Disability (JC&D) proceeding. While it may be preferable that
Last revised February 11, 2021
10
EDR proceedings that have ripened into formal complaints be
stayed until the completion of parallel JC&D proceedings,
circumstances can make such stays impractical. In those
instances, it is particularly important that the Presiding Judicial
Officers respect the different missions of the two proceedings.
Presiding Judicial Officers serve in an administrative capacity
with limited, non-Article III authority, even if they otherwise
serve as Article III judges. Accordingly, consistent with the
advice given in the Employment Dispute Resolution
Interpretive Guide & Handbook, Presiding Judicial Officers
hold take care to ensure that they confine their findings and
rulings to the matters strictly before them. For instance,
Presiding Judicial Officers are not assigned the task of
determining whether the accused person should be held
accountable for any alleged misconduct but are instead asked
to determine whether the complainant has asserted a
cognizable cause of action under the EDR Plan and is entitled
to a remedy from the employing office as authorized by the
Plan. When the accused person is a judicial officer, Presiding
Judicial Officers must respect clear distinctions between the
EDR process, in which they are assigned an adjudicative role,
and the often-parallel JC& D process, in which they are not. In
resolving an EDR matter, Presiding Judicial Officers should
refrain (to the extent feasible) from making findings or
reaching conclusions about any alleged misconduct by an
accused judicial officer, remembering that such officer is not
before them as a party and under the Plan, has no rights to
appear, be heard, or otherwise defend him/herself. Culpability
of an accused judicial officer is to be measured and determined
through the JC& D process.
More general guidance for Presiding Judicial Officers is set out
in the Employment Dispute Resolution Interpretive Guide &
Handbook.
iv. Disqualification and Replacement. Either Party may seek
disqualification of the EDR Coordinator or the Presiding
Judicial Officer by written request to the Chief Judge,
explaining why the individual should be disqualified.
If the Presiding Judicial Officer is disqualified, the Chief Judge
will designate another Judge to serve as Presiding Judicial
Officer. If the EDR Coordinator is disqualified, the Chief
Judge will appoint one of the alternate EDR Coordinators or, if
Last revised February 11, 2021
11
available, an EDR Coordinator from another Court (with the
consent of the respective Chief Judge of that Court).
v. Response. The Respondent may file a Response to the
Complaint with the EDR Coordinator within 30 days of
receiving the Complaint. The EDR Coordinator must
immediately send the Response to the Presiding Judicial
Officer and to the Complainant.
vi. Investigation and Discovery. The Presiding Judicial Officer
will ensure that the allegations are thoroughly, impartially, and
fairly investigated, and may use outside trained investigators if
warranted. The investigation may include interviews with the
subject(s) of the complaint and witnesses, review of relevant
records, and collecting documents or other records. The
Presiding Judicial Officer will provide for such discovery to
the Complainant and Respondent as is necessary and
appropriate. The Presiding Judicial Officer will also determine
what evidence and written arguments, if any, are necessary for
a fair and complete assessment of the allegations and response.
vii. Case preparation. The Complainant may use official time to
prepare his or her case, so long as it does not unduly interfere
with the performance of duties.
viii. Extensions of time. Any request for an extension of time must
be in writing. The Presiding Judicial Officer may extend any
of the deadlines set forth in this EDR Plan for good cause,
except for the deadline to issue a written decision, which may
only be extended by the Chief Judge.
ix. Established Precedent. In reaching a decision, the Presiding
Judicial Officer should be guided by judicial and
administrative decisions under relevant rules and statutes, as
appropriate. The Federal Rules of Evidence and any federal
procedural rules do not apply.
x. Notice of Written Decision. The EDR Coordinator or Presiding
Judicial Officer will immediately send a copy of the written
decision to the Parties, the Chief Judge of the Court, and to the
subject(s) of the complaint. The EDR Coordinator will inform
the Parties of appeal rights, procedures, and deadlines.
g. Resolution of Complaint Without a Hearing. After notifying the
Parties and giving them an opportunity to respond, the Presiding
Last revised February 11, 2021
12
Judicial Officer may resolve the matter without a hearing.
i. The Presiding Judicial Officer may dismiss a Complaint and
issue a written decision at any time in the proceedings on the
grounds that: it is untimely filed, is frivolous, fails to state a
claim, or does not allege violations of the rights or protections
in this Plan; the alleged conduct arises out of the same facts
and circumstances, and was resolved by, a previous EDR
Complaint or other claim process or procedure; or on other
appropriate grounds.
ii. After completion of investigation and discovery, the Presiding
Judicial Officer may, on his or her own initiative or at the
request of either Party, issue a written decision if the Presiding
Judicial Officer determines that no relevant facts are in dispute
and that one of the Parties is entitled to a favorable decision on
the undisputed facts.
iii. The Parties may enter into an agreed written settlement if
approved in writing by the Presiding Judicial Officer and the
Chief Judge.
h. Resolution of Complaint With a Hearing. If the Complaint is not
resolved in its entirety by dismissal, Assisted Resolution, decision
without a hearing, or settlement, the Presiding Judicial Officer will order a
hearing on the merits of the Complaint.
i. Hearing. The hearing will be held no later than 90 days after
the filing of the Complaint unless the Presiding Judicial Officer
extends the deadline for good cause. The Presiding Judicial
Officer will determine the place and manner of the hearing.
ii. Notice. The Presiding Judicial Officer must provide reasonable
notice of the hearing date, time, and place to the Complainant,
the Respondent, and any subject(s) of the complaint.
iii. Right to Present Evidence. The Complainant and Respondent
have the right to present witnesses and documentary evidence
and to examine adverse witnesses. The Presiding Judicial
Officer, in his or her discretion, may solicit evidence from the
subject(s) of the complaint if such evidence is necessary to
secure a just result.
iv. Record of Proceedings. A verbatim record of the hearing must
be made and will be the official record of the proceeding. This
may be a digital recording or a transcript.
Last revised February 11, 2021
13
v. Written Decision. The Presiding Judicial Officer will make
findings of fact and conclusions of law and issue a written
decision no later than 60 days after the conclusion of the
hearing, unless an extension for good cause is granted by the
Chief Judge.
i. Remedies. When the Presiding Judicial Officer finds that the
Complainant has established by a preponderance of the evidence
(more likely than not) that a substantive right protected by this Plan
has been violated, the Presiding Judicial Officer may direct the
Employing Office to provide remedies for the Complainant. The
remedies are limited to providing relief to the Complainant, should be
tailored as closely as possible to the specific violation(s) found, and
take into consideration the impact on any Employing Office. The
Chief Judge and Employing Office (Respondent) must take
appropriate action to carry out the remedies ordered in the final
written decision, subject to any applicable policies or procedures.
i. Allowable Remedies may include:
• placement of the Complainant in a position previously
denied;
• placement of the Complainant in a comparable alternative
position;
• reinstatement to a position from which the Complainant
was previously removed;
• prospective promotion of the Complainant;
• priority consideration of the Complainant for a future
promotion or position;
• back pay and associated benefits when the statutory
criteria of the Back Pay Act are satisfied,2
• records modification and/or expungement;
• granting of family and medical leave;
• any reasonable accommodation(s);
• other equitable relief, such as temporary stays of adverse
actions; and
• any other appropriate remedy to address the wrongful
conduct.
2
Back Pay Act. Remedies under the Back Pay Act, including attorney’s fees, may be ordered only when the statutory criteria of the Back
Pay Act are satisfied, which include: (1) a finding of an unjustified or unwarranted personnel action; (2) by an appropriate authority; (3)
which resulted in the withdrawal or reduction of all or part of the Employee’s pay, allowances, or differentials. An order of back pay is
subject to review and approval by the Director of the Administrative Office of the United States Courts. See 5 U.S.C. § 5596(b)(1) and
Guide, Vol. 12, § 690.
Last revised February 11, 2021
14
ii. Unavailable Remedies. Other than under the Back Pay Act,
monetary damages are not available. The Presiding Judicial
Officer may award attorney’s fees only if the statutory
requirements under the Back Pay Act are satisfied.
iii. The issue in an EDR Complaint is whether the Employing Office
is responsible for the alleged conduct; it is not an action against
any individual. The Presiding Judicial Officer lacks authority to
impose disciplinary or similar action against an individual.
When there has been a finding of wrongful conduct in an EDR
proceeding, an appointing official, or official with delegated
authority, should separately assess whether further action, in
accordance with any applicable policies and procedures, is
necessary to correct and prevent wrongful conduct and promote
appropriate workplace behavior, and may not utilize or rely upon
the Presiding Judicial Officer’s findings in making that
assessment.
j. Review of Decision (Appeal). The Complainant and/or the
Respondent may appeal the decision to the judicial council of the
circuit by submitting in writing a Request for Review of Decision
setting forth the grounds for appeal within 30 days of the date of the
decision under procedures established by that judicial council
(Appendix5). The EDR Coordinator will inform the Parties of the
procedures for seeking review. The decision will be reviewed based
on the record created by the Presiding Judicial Officer and will be
affirmed if supported by substantial evidence and the proper
application of legal principles.
VI. COURT AND EMPLOYING OFFICE OBLIGATIONS
To ensure that Employees are aware of the options provided by this Plan, and that the Plan
is effectively implemented, Courts and Employing Offices must adhere to the following:
A. Records. At the conclusion of informal or formal proceedings under this Plan, all
papers, files, and reports will be filed with the EDR Coordinator. Records made
of mediation discussions, including notes and documents produced in preparation
for mediation are strictly confidential and will not be filed with the EDR
Coordinator. However, final written settlement agreements and the mediator’s
Notice of Conclusion of Mediation or Assisted Resolution will be filed with the
EDR Coordinator or Director of Workplace Relations. Final settlement
agreements are not subject to public disclosure. No papers, files, or reports relating
to an EDR matter will be filed in any Employee’s personnel folder, except as
necessary to implement an official personnel action.
Last revised February 11, 2021
15
Mediators will dispose of all EDR materials in accordance with the Office of the
Circuit Mediator retention policy. A mediator’s file will not be re-opened for
anyone, including the parties, after the mediation is completed.
Final decisions under this Plan will be made available to the public, appropriately
redacted, in accordance with procedures established by the judicial council of the
circuit.
Upon receipt of EDR-related files and documents from any source, the Director of
Workplace Relations will retain such materials in accordance with the retention
policy of the Office of Director of Workplace Relations.
B. EDR Coordinators. The Chief Judge will designate both a primary EDR
Coordinator and at least one alternate EDR Coordinator for the Court. The Court
may use an EDR Coordinator from another Court or may use the Circuit Director of
Workplace Relations as an alternate EDR Coordinator, if necessary, with the
approval of the appropriate Chief Judge. An Employee may choose the EDR
Coordinator with whom he or she wishes to seek Informal Advice, request Assisted
Resolution, or file a Complaint under this EDR Plan.
An EDR Coordinator must be an Employee who is not a Unit Executive. A Judge
may not be an EDR Coordinator. All EDR Coordinators must be trained and
certified as set forth in the Employment Dispute Resolution Interpretive Guide and
Handbook.
C. Advising Employees of their Rights. The Court and Employing Offices must:
1. prominently post on their internal and external main homepages a direct
link, labeled “Your Employee Rights and How to Report Wrongful
Conduct,” to:
the entire EDR Plan with all Appendices and relevant contact
information;
the Judicial Conduct and Disability Act, the Rules for Judicial-Conduct
and Judicial-Disability Proceedings, and the Judicial Conduct and
Disability Complaint form; and
contact information for all of the Court’s EDR Coordinators, Circuit
Director of Workplace Relations, and the national Office of Judicial
Integrity.
2. prominently display in the workplace:
the posters set forth in Appendix 6; and
an Anti-Discrimination and Harassment Notice that: (a) states that
discrimination or harassment based on race, color, sex, gender, gender
identity, pregnancy, sexual orientation, religion, national origin, age (40
Last revised February 11, 2021
16
years and over), or disability is prohibited; (b) explains that Employees
can report, resolve, and seek remedies for discrimination, harassment, or
other wrongful conduct under the EDR Plan by contacting any of the
Court’s EDR Coordinators and/or the Circuit Director of Workplace
Relations, and/or the national Office of Judicial Integrity; (c) identifies
the names and contact information of all Court EDR Coordinators, the
Circuit Director of Workplace Relations, and the national Office of
Judicial Integrity; and (d) states where the EDR Plan can be located on
the Court’s website.
3. ensure that each new Employee receive an electronic or paper copy of the
EDR Plan and acknowledge in writing that he or she has read the Plan; and
4. conduct training annually for all Judges and Employees, including chambers
staff, to ensure that they are aware of the rights and obligations under the
EDR Plan and the options available for reporting wrongful conduct and
seeking relief.
D. Reporting. The Court and Employing Offices will provide annually, to the
Administrative Office of the United States Courts, data on: (1) the number and types
of alleged violations for which Assisted Resolution was requested, and for each
matter, whether it was resolved or was also the subject of a Complaint under this
Plan or other complaint; (2) the number and type of alleged violations for which
Complaints under this Plan were filed; (3) the resolution of each Complaint under
this Plan (dismissed or settled prior to a decision, or decided with or without a
hearing); and (4) the rights under this Plan that were found by decision to have been
violated. The Court and Employing Offices should also provide any information
that may be helpful in identifying the conditions that may have enabled wrongful
conduct or prevented its discovery, and what precautionary or curative steps should
be undertaken to prevent its recurrence.
E. Appendices Attached:
1. Definitions
2. Request for Assisted Resolution
3. Agreement to Mediate
4. Formal Complaint Form
5. Request for Review of Decision (Appeal)
6. Posters
This Plan supersedes all prior Equal Employment Opportunity and Employment Dispute
Resolution Plans.
Effective date: February 11, 2021
Last revised February 11, 2021
17
APPENDIX 1
DEFINITIONS
Chief Judge: The Chief Judge of the United States District Court for the Western District
of Virginia. However, in any situation where the Chief Judge is the subject of an allegation
addressed by this Plan, the responsibilities of the “Chief Judge” as set forth herein shall
devolve upon the most senior active (i.e., not senior status) Judge of the Court who is not
also a subject of such allegation.
Circuit Director of Workplace Relations: A circuit Employee who coordinates
workplace conduct issues and the implementation of all Court EDR Plans within the circuit.
The scope of duties may vary by circuit, but generally, a Circuit Director of Workplace
Relations may: provide Informal Advice and Assisted Resolution under any EDR Plan
within the circuit; assist in training the EDR Coordinators within the circuit; provide or
arrange for training throughout the circuit on workplace conduct, discrimination, and
sexual harassment; and collect and analyze statistical data and other information relevant
to workplace conduct matters.
Court: The District Court in which the Employing Office that would be responsible for
ordering redress, correction, or abatement of a violation of rights under this EDR Plan is
located. In the case of disputes involving probation and pretrial services, “Court” refers to
the District Court.
EDR Coordinator: A Court Employee, other than a Judge or Unit Executive, designated
by the Chief Judge to coordinate all of the Options for Resolution provided for in this Plan.
The EDR Coordinator provides confidential advice and guidance (see § V.B.1) if an
Employee seeks Informal Advice; coordinates the Assisted Resolution process, including
any necessary investigation; accepts Complaints under this Plan for filing; and assists the
Presiding Judicial Officer in the Complaint proceeding, as directed. The EDR Coordinator
maintains and preserves all Court files pertaining to matters initiated and processed under
this EDR Plan. The EDR Coordinator assists the Court in meeting its obligations under this
Plan to train and advise employees of their rights under this Plan, and to post the Plan as
directed. Additional information on the EDR Coordinator’s responsibilities may be found
in the EDR Interpretive Guide and Handbook.
Employee: All employees of the Court. This includes Unit Executives and their staffs;
judicial assistants and other chambers employees; chambers and pro se law clerks; court
reporters appointed by the Court; and paid and unpaid interns, externs, and other volunteer
employees.
Employing Office/Respondent: The office of the Court that is responsible for providing
any appropriate remedy. The Court is the Employing Office of Judges and chambers
employees.
Judge: A judge appointed under Article III of the Constitution, or a United States
magistrate judge of the United States District Court for the Western District of Virginia.
1
Office of Judicial Integrity: The office of the Administrative Office of the United States
Courts staffed to provide advice and guidance to Employees nationwide about workplace
conduct issues, including sexual, racial, and other discriminatory harassment, abusive
conduct, and other wrongful conduct. Contact information for the Office of Judicial
Integrity can be found on the JNet and on uscourts.gov.
Parties: The Employing Office and the Employee who has filed a request for Assisted
Resolution or a Formal Complaint.
Protected Category: Race, color, sex, gender, gender identity, pregnancy, sexual
orientation, religion, national origin, age (40 years and over), or disability.
Unit Executive: The Clerk of Court or Chief Probation Officer of the United States
District Court for the Western District of Virginia.
2
APPENDIX 2
REQUEST FOR ASSISTED RESOLUTION
USE OF ASSISTED RESOLUTION DOES NOT EXTEND THE 180-DAY DEADLINE TO
FILE A FORMAL COMPLAINT UNLESS THE DEADLINE IS EXTENDED UNDER EDR
PLAN § V.C.3.a
Submitted in accordance with the Procedures of the Western District’s Employment Dispute
Resolution Plan.
Full name of person submitting the form: ____________________________________________
Your mailing address: ___________________________________________________________
Your phone number(s): __________________________________________________________
Your email address: _____________________________________________________________
Are you: a current employee a former employee an interviewed applicant?
Court and office in which you are employed or to which you applied:
______________________________________________________________________________
Your job title or job title of the position to which you applied: __________________________
Date of interview (for interviewed applicants only): ____________________________________
Name and address of Employing Office from which you seek assistance (if the matter involves a
judge or chambers employee, the Employing Office is the Court):
_____________________________________________________________________________
Alleged Wrongful Conduct for which you seek Assisted Resolution (check all that apply):
Discrimination based on (check all that apply): Harassment based on (check all that apply):
Race Race
Color Color
Sex Sex
Gender Gender
Gender identity Gender identity
Pregnancy Pregnancy
Sexual orientation Sexual Orientation
Religion Religion
1
National origin National origin
Age Age
Disability Disability
Other based on (check all that apply):
Abusive Conduct
Retaliation
Whistleblower Protection
Family and Medical Leave
Uniform Services Employment and Reemployment Rights
Worker Adjustment and Retraining
Occupational Safety and Health
Polygraph Protection
Other (describe): _________________________________________________________
Date(s) of alleged incident(s) for which you seek Assisted Resolution:
______________________________________________________________________________
Summary of the actions or occurrences for which you seek Assisted Resolution (attach additional
pages as needed):
______________________________________________________________________________
______________________________________________________________________________
_____________________________________________________________________________
______________________________________________________________________________
Names and contact information of any witnesses to the actions or occurrences for which you
seek Assisted Resolution:
_____________________________________________________________________________
______________________________________________________________________________
Do you have a preference as to which EDR Coordinator you want to assist you in resolving this
issue? (Names of EDR Coordinators are listed on our internal and public websites and on the
How to Address Wrongful Conduct in the Workplace poster in Appendix 6.) Yes No
Name of the EDR Coordinator with whom you prefer to assist you in resolving this issue:
___________________________________________________________________________
Describe the assistance or corrective action you seek: ________________________________
___________________________________________________________________________
2
___________________________________________________________________________
Have you filed a complaint involving same or similar facts under a separate administrative
process or another court’s/unit’s EDR Plan? Yes No
If yes, what was the name of the EDR Coordinator that assisted you, and what was the outcome?
_____________________________________________________________________________
_____________________________________________________________________________
Do you have an attorney or other person who represents you? Yes No
If yes, please provide the attorney’s name, mailing address, email address, and phone number(s):
______________________________________________________________________________
______________________________________________________________________________
I acknowledge that this Request will be kept confidential to the extent possible, but information
may be shared to the extent necessary and with those whose involvement is necessary to resolve
this matter, as explained in the EDR Plan (see EDR Plan § V.B.1).
Your signature: _________________________________________________________
Date submitted: __________________________________
---------------------------------------------------------------------------------------------------------------------
Agency Use Only
Request for Assisted Resolution reviewed by EDR Coordinator on _______________________.
EDR Coordinator/Circuit Director of Workplace Relations name:
_______________________________________
EDR Coordinator/Circuit Director of Workplace Relations signature:
_______________________________________
Local Court Claim ID (Court Initials-AR-YY-Sequential Number): _______________________
3
APPENDIX 3
AGREEMENT TO MEDIATE
We, the undersigned participants, voluntarily agree to engage in good faith in the mediation
process to resolve the issues in dispute. We understand and consent to the following ground rules:
1. Definition of Mediation: Mediation is a process in which a Mediator facilitates
communication between the participants and, without deciding the issues or imposing a
solution on the parties, enables them to understand and to reach a mutually agreeable resolution
to their dispute.
2. Role of the Mediator: The Mediator acts as a facilitator, not as an advocate, advisor,
counselor, factfinder, or judge. The Mediator has no authority to decide the case and is not
acting as a representative of the participants or the Employing Office. The Mediator assists the
participants in identifying issues, reducing obstacles to communication, maximizing the
exploration of alternatives, and helping participants reach voluntary agreements.
3. The Mediation Process: Mediation is an informal process and will include at a minimum, an
opportunity for all participants to be heard, the identification of issues to be resolved, the
generation of alternatives for resolution, and if the participants agree, the development of a
Memorandum of Understanding or Settlement Agreement. The mediation process is voluntary
and may be terminated by any participant at any time.
4. Caucus Sessions: The Mediator reserves the opportunity to meet with the participants
individually in private sessions to gather more information and explore options. Information
shared in these private caucus sessions will remain confidential unless the participant gives the
Mediator permission to share it with the other participant(s).
5. Confidentiality: Confidentiality is essential to effective mediation as it allows the parties to
have a full and candid exchange of information. A successful mediation requires that
participants be able to speak with complete candor, acknowledge risks and weaknesses, and
look for common ground, without fear that if a settlement is not reached, their words will be
used against them in an EDR hearing or otherwise.
As per the EDR Plan, the proceedings of the mediation, including any written submissions,
positions taken by the participants, views expressed, and admissions or suggestions made by the
participants or the Mediator in the course of the mediation, shall be strictly confidential. Positions
taken by the participants during any stage of the mediation process shall also be strictly
confidential and may not be disclosed or used for any other purposes, including an EDR Complaint
Hearing.
The participants, any attorneys or representatives, or anyone involved in the settlement or
mediation discussions may not disclose information or records obtained through or prepared
1
specifically for the mediation process, except:
1) As necessary to consult with the participants or their counsel or representatives, and then
only with notice to all participants;
2) If the information or records are otherwise properly discoverable in an EDR Formal
Complaint proceeding;
3) When a participant needs to share the contents of the Mediation Agreement for purposes
of its enforcement or implementation; or
4) When there appears to be imminent risk to safety or security of any person. Whether this
risk exists is a determination to be made by the Mediator.
Any written settlement or mediation agreement will be filed with the EDR Coordinator and/or
Director of Workplace Relations.
The Mediator may not act as a witness in any other EDR Formal Complaint proceeding in relation
to the mediated claim.
6. Participation: The Mediator does not provide legal or other advice. Participants are
encouraged to seek the advice or representation at any time if needed to make informed
decisions. If all the participants and the Mediator agree, a representative from a Unit's human
resource office, a subject matter expert, or other third party may participate in the mediation.
7. Time Limits: Discretion to extend the applicable time limits for mediation rests with the Chief
Judge of the Court or other Presiding Judicial Officer.
8. Agreements: Any final agreement will be voluntary and bind the participants to make a good
faith effort to implement it. The Mediator may memorialize the agreement; however, the
participants are responsible for consulting with others regarding rights and policies and, if
needed, to involve individuals whose concurrence may be needed to ratify or implement any
agreement (i.e. Chief Judge, Unit Executive, etc.). Before the Mediation Memorandum of
Understanding can be concluded, the Employing Office's delegate must confirm its approval
on behalf of the Court or Unit.
9. Good Faith: Mediation is a good faith attempt at informally resolving the issues. It is a
violation of the Mediation Rules to retaliate against any person for using mediation services or
for participating in mediation and may be grounds for a finding of misconduct.
2
By signing below, we acknowledge that we have read, understand, and agree to the terms and
conditions of this agreement.
_____________________________________________________ _____________________
Participant Name Date
_____________________________________________________ ________________________
Participant Name Date
____________________________________________________ ________________________
Participant Name Date
____________________________________________________________________________
Participant Name Date
____________________________________________________________________________
Mediator Date
3
APPENDIX 4
FORMAL COMPLAINT FORM
Submitted in accordance with the Procedures of the Western District’s Employment Dispute
Resolution Plan.
Full name of person submitting the form (Complainant):
_____________________________________________________________________________
Your mailing address: ___________________________________________________________
Your phone number(s): __________________________________________________________
Your email address: _____________________________________________________________
Are you: a current employee a former employee an interviewed
applicant?
Court and office in which you are employed or to which you applied:
______________________________________________________________________________
Your job title or job title of the position to which you applied: ___________________________
Date of interview (for interviewed applicants only): ____________________________________
Name and address of Employing Office from which you seek assistance (if the matter involves a
judge or chambers employee, the Employing Office is the Court):
_____________________________________________________________________________
Identify the Wrongful Conduct that you believe occurred (check all that apply):
Discrimination based on (check all that apply): Harassment based on (check all that apply):
Race Race
Color Color
Sex Sex
Gender Gender
Gender identity Gender identity
Pregnancy Pregnancy
Sexual orientation Sexual Orientation
Religion Religion
1
National origin National origin
Age Age
Disability Disability
Other based on (check all that apply):
Abusive Conduct
Retaliation
Whistleblower Protection
Family and Medical Leave
Uniform Services Employment and Reemployment Rights
Worker Adjustment and Retraining
Occupational Safety and Health
Polygraph Protection
Other (describe): _________________________________________________________
Date(s) of alleged incident(s) for which you seek a remedy:
______________________________________________________________________________
Summary of the actions or occurrences giving rise to the Complaint (attach additional pages as
needed):
______________________________________________________________________________
______________________________________________________________________________
___________________________________________________________________________
______________________________________________________________________________
Identify, and provide contact information for, any persons who were involved in this matter, who
were witnesses to the actions or occurrences, or who can provide relevant information
concerning the Complaint (attach additional pages as needed):
____________________________________________________________________________
______________________________________________________________________________
Describe the assistance or corrective action you seek: ____________________________
_______________________________________________________________________
___________________________________________________________________________
Have you already sought Assisted Resolution for this Abusive Conduct Claim? Yes No
If yes, please provide the following information:
Date Request for Assisted Resolution was submitted: __________________________
2
Date it concluded: __________________________________
Name of the EDR Coordinator that assisted you: ________________________________
Describe the resolution, if any: ______________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
Have you filed a complaint involving same or similar facts under a separate administrative
process or another court’s/unit’s EDR Plan? Yes No
If yes, what was the name of the EDR Coordinator that assisted you, and what was the outcome?
_____________________________________________________________________________
_____________________________________________________________________________
Do you have an attorney or other person who represents you? Yes No
If yes, please provide the attorney’s name, mailing address, email address, and phone number(s):
______________________________________________________________________________
______________________________________________________________________________
I have attached a copy of documents that relate to my Complaint (such as emails, notices or
discipline or termination, job application, etc.)
I acknowledge that this Complaint will be kept confidential to the extent possible, but
information may be shared to the extent necessary and with those whose involvement is
necessary to resolve this matter, as explained in the EDR Plan (see EDR Plan § V.B.1).
I affirm that the information provided in this Complaint is true and correct to the best of my
knowledge:
Complainant signature: _________________________________________________________
Date submitted: __________________________________
3
---------------------------------------------------------------------------------------------------------------------
Agency Use Only
Complaint reviewed by EDR Coordinator on: ____________________________
EDR Coordinator name: _______________________________________________________
EDR Coordinator signature: ____________________________________________________
Local Court Claim ID (Court Initials-AR-YY-Sequential Number): _______________________
4
APPENDIX 5
REQUEST FOR REVIEW OF DECISION (APPEAL)
Submitted in accordance with the Procedures of the Western District’s Employment Dispute
Resolution Plan.
Name of Requesting Party: _______________________________________________________
Address: ___________________________________________________________
Phone Number(s): _____________________________________________________________
Email Address: __________________________________________________________
Parties involved in the Complaint:
__________________________________________________________, Requesting Party v.
__________________________________________________________, Responding Party
Name of Presiding Judicial Officer: ________________________________________________
Name of Court in which Presiding Judicial Officer’s decision was issued:
_____________________________________________________________________________
Request for Review of Decision on Formal Complaint
Notice is hereby given that ________________________________________________
(Requesting Party) in the above named case, hereby requests review by the Judicial Council for
the Fourth Circuit from the decision by Judge _______________________________________
entered in this matter on the ___________ day of __________________________, 20________.
Attached to this request is a copy of the Presiding Judicial Officer’s decision.
Please state the reason(s) you contend that the Presiding Judicial Officer’s decision was in error
(attach additional pages if necessary):
______________________________________________________________________________
1
______________________________________________________________________________
______________________________________________________________________________
Submitted this ___________ day of __________________________, 20________.
Signature of Requesting Party: ____________________________________________________
Signature of Counsel, if any:______________________________________________________
---------------------------------------------------------------------------------------------------------------------
Agency Use Only
Received by the Fourth Circuit Judicial Council on __________________________________.
2
APPENDIX 6
POSTERS
(Remainder of page intentionally left blank)
INFORMAL ADVICE
To request advice about a workplace concern,
contact your Employment Dispute Resolution
(EDR) coordinator, Circuit Director of Workplace
Relations, or the Office of Judicial Integrity.
They can provide you with advice and guidance ASSISTED RESOLUTION
on how to address the issue including: Contact an EDR Coordinator or Circuit
• Your rights under the EDR Plan Director of Workplace Relations to request
• Advice on handling discriminatory, Assisted Resolution. This interactive,
harassing, or abusive conduct flexible process may include:
• Discussions with the source of the
• Options for addressing the conduct
conduct
• Preliminary investigation, including
interviewing witnesses
• Resolving the matter by agreement
FORMAL COMPLAINT
Contact an EDR coordinator to file a formal complaint.
The Complaint must be filed within 180 days of the
Contact Information:
alleged violation or the discovery of the violation.
Local EDR Coordinators
This formal process includes:
Scott Jones, Career Law Clerk
• Appointment of Presiding Judicial Officer
437-799-8700 x 8433
• An investigation and/or hearing if appropriate
[email protected]
• Written decision
Mary Butenschoen, Court Reporter
• Appeal rights 540-857-5100 x 5312
[email protected]
Confidentiality Circuit Director of Workplace Relations
All options for resolution are intended to respect Leila Jabbar, Director of Workplace Relations
privacy of all involved to the greatest extent 804-916-2181
possible, and to protect the fairness and
[email protected]
thoroughness of the process by which allegations National Office of Judicial Integrity
of wrongful conduct are initiated, investigated, and
ultimately resolved. Michael Henry, Judicial Integrity Officer
202-502-1603
[email protected]
Revised: June 7, 2023
Employees of the Federal Judiciary are protected by the employment rights listed below, as described in Guide to
Judiciary Policy, Vol. 12, Ch. 2.
Employees have options for resolution, including Informal Advice, Assisted Resolution, and filing a Formal Complaint.
Formal Complaints must be filed within 180 days of when the Employee knew or should have known of the alleged violation.
More information, including a list of court EDR Coordinators, can be found on the JNet.
Employees may confidentially report workplace discrimination, harassment, abusive behavior, or retaliation to an EDR
Coordinator, Circuit Director of Workplace Relations, or the Judicial Integrity Officer, Michael Henry, at 202-502-1603.
Protection from Unlawful Family and Medical Leave Hazard-Free Workspaces
Discrimination Provides rights and protections for Requires employing offices to comply
Prohibits discrimination in personnel employees needing leave for with occupational safety and health
actions based on race, color, sex, specified family and medical reasons. standards, and provide workplaces
gender, gender identity, pregnancy, free of recognized hazards.
sexual orientation, religion, national
origin, age (40+), or disability.
Protection for Veterans and
Members of the Uniformed Polygraph Testing Prohibition
Services Restricts the use and the results of
Protection from Harassment Protects employees performing polygraph testing.
Prohibits sexual harassment, service in the uniformed services
discriminatory harassment, and from discrimination and provides
abusive conduct. certain benefits and reemployment
rights.
Protection for Exercising
Workplace Rights Notification of Office Closings
Prohibits intimidation, retaliation, or and Mass Layoffs
discrimination against employees Under certain circumstances,
who exercise their employment rights requires that employees be notified of
or report or oppose wrongful conduct, an office closing or of a mass layoff at
including whistleblower protection. least 60 days in advance of the event.
These rights are fully explained in Guide to Judiciary Policy, Vol. 12, Ch. 2.
Effective date: February 11, 2021
File a
Complaint
File a complaint with
an EDR coordinator
within 180 days of the
conduct (or discovery
of the conduct).
Gather
Information
The Presiding Judicial
Officer decides what
investigation and
discovery are needed
and if written
arguments are needed.
Hearing
The Presiding
Judicial Officer
determines if a
hearing is needed.
DECISION
RIGHTS
• An impartial investigation and/or hearing, if appropriate.
• Both parties may use a representative or attorney (at
own expense). APPEAL
• Both parties may present witnesses and examine
adverse witnesses.
• A prompt written decision by a Presiding Judicial Officer.
• Appeal.
Parties have the right to appeal to the circuit
judicial council within 30 days of a decision.
Effective date: February 11, 2021
