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UNITED STATES DISTRICT COURT
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WESTERN DISTRICT OF WASHINGTON
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11 EMPLOYMENT DISPUTE GENERAL ORDER 04-25
RESOLUTION POLICY
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The Judges of the United States District Court for the Western District of Washington do
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hereby approve and adopt the attached Employment Dispute Resolution Policy, which replaces
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any prior Employment Dispute Resolution Policy.
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IT IS SO ORDERED.
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Dated this 17th day of January, 2025.
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A
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23 David G. Estudillo
Chief United States District Judge
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GENERAL ORDER 04-25 - 1
WESTERN DISTRICT OF WASHINGTON
EMPLOYMENT DISPUTE RESOLUTION POLICY
U.S. District Court
U.S. Probation and Pretrial Services
Effective January 16, 2025
UNITED STATES DISTRICT COURT
WESTERN DISTRICT OF WASHINGTON
EMPLOYMENT DISPUTE RESOLUTION POLICY
I. INTRODUCTION
The Western District of Washington is committed to a workplace that fosters respect, fairness,
civility, dignity, and tolerance. This Employment Dispute Resolution Policy (“the EDR Policy” or
“the Policy”), is designed to assure that these values are a part of the culture of the Western District
of Washington as a workplace. The goal is to eliminate misconduct, including discriminatory,
harassing, demeaning, and bullying behavior. As a Court employee, you have the right to work in
a professional environment that prohibits harassment and bullying. The Court expects all
relationships within the Court to be business-like, professional, and free of bias, prejudice,
harassment and retaliation. 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
Policy. See Code of Conduct for Judicial Employees, Canon 3(C).
This Policy covers conduct and actions that take place on and off work premises. This Policy then
sets out options for addressing or resolving such conduct. The Policy outlines the Western District
of Washington’s mechanisms for (i) informal advice; (ii) assisted resolution of workplace issues;
and (iii) formal resolution of workplace complaints.
The Policy seeks to encourage the reporting of workplace misconduct and reduce barriers to
reporting, which include fear of retaliation, concern about reputational harm, and the belief that an
issue will not be resolved even if it is reported. The Western District of Washington recognizes
the courage that is needed to report misconduct and continues to encourage early reporting as the
best way to address and prevent systemic, harmful conduct. The Policy prohibits retaliation against
anyone who reports misconduct, whether the person experiences the misconduct directly or is a
bystander. The Policy seeks to provide safe and accessible ways of reporting misconduct.
This Policy applies to all Judges, current and former Employees (including all clerk’s office staff;
chambers employees; paid and unpaid interns, externs, and other volunteers; and probation and
pretrial services employees), and applicants for employment. The following persons cannot seek
relief under this Policy: Judges, applicants for judicial appointment, federal public defender
employees, 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.
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Nothing in this Policy precludes an Employee from seeking legal or other counsel outside the
Court. Employees are advised to seek such counsel if they have any question about their right to
access the Court system.
II. WRONGFUL CONDUCT
A. This Policy prohibits wrongful conduct that occurs during the period of employment or the
applicant process1 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
• The Employee Polygraph Protection Act of 1988.
See Guide, Vol. 12, Ch. 2.
B. Discrimination is an adverse employment action that materially affects the terms,
conditions, or privileges of employment (such as hiring, denial of a promotion, demotion,
termination, or a significant change in benefits) based on the following Protected
Categories: race, color, sex, gender, gender identity, gender expression, marital status,
pregnancy, parenthood or caregiver status2, sexual orientation, religion, creed, ancestry,
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The rights and protections of Chapter 1 of the EEO Policy (Appendix 6) shall apply to Employees.
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A “caregiver” is a person who provides direct care to a spouse, domestic partner, child (biological, adoptive, step, or foster
child, a legal ward, or child to whom the employee stands in loco parentis, parent, sibling, grandparent, or grandchild.
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national origin, citizenship, genetic information, age (40 years and over),3
disability, or service in the uniformed forces.
C. Discriminatory harassment occurs when a person covered by this Policy is subject to
discriminatory4 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. Sexual harassment is a form of
harassment based on sex or gender.
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. Bullying/Abusive Conduct is ordinarily 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. Bullying includes repeated
mistreatment involving abusive conduct that is threatening, oppressive, or intimidating,
and interferes with an individual’s ability to do one’s job. It can be physical, verbal, non-
verbal, or psychological and can involve work assignments and social ostracism as well as
demeaning treatment and comments, and is often persistent, aggressive, and part of a
pattern. Abusive conduct does not include communications and actions conveyed in a
respectful manner and 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. Bullying is not consistent with a workplace that aims to treat
all individuals fairly and with respect. The Court considers the following types of behavior
examples of potential bullying:
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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.
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“Discriminatory” means based on the following Protected Categories: race, color, sex, gender, gender identity,
gender expression, marital status, pregnancy, parenthood or caregiver status, sexual orientation, religion, creed,
ancestry national origin, citizenship, genetic information, age (40 years and over), disability, or service in the
uniform forces.
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• Verbal/Written bullying: Abusive and offensive language or remarks; insults,
spreading rumors, unreasonable criticism, slandering, ridiculing or maligning a
person; name calling that is hurtful, insulting or humiliating; using a person as
an object of jokes;
• Psychological manipulation: placing unfair blame for mistakes; setting
someone up for failure; deliberate exclusion; belittling or disregarding
someone’s opinions or suggestions; public criticism; threatening gestures;
• Physical bullying: Pushing, shoving, kicking, poking, tripping, physical assault or
threating physical assault, or damage to or threatening to damage a person’s work
area or property; and
• Cyberbullying: Abusive or offensive text messages or emails, rumors or false
information sent by email or posted on social networking sites, and
embarrassing pictures, videos, websites, or fake profiles on any electronic
technology which includes devices and equipment such as cell phones,
computers, and tablets as well as communication tools including social media
sites, text messages, instant messaging (IM), chat, and websites.
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 Policy; or for
opposing wrongful conduct. Retaliation against a person who reveals or reports wrongful
conduct is itself wrongful conduct.
III. REPORTING WRONGFUL CONDUCT
Employees share the responsibility for keeping the workplace free of discrimination, harassment,
bullying, retaliation, and other misconduct. To implement this Policy effectively, it is imperative
that any Employee who experiences misconduct, has misconduct reported to them, who receives
an inquiry about misconduct, or who witnesses misconduct should report these instances
immediately. Employees may reach out to a supervisor, an EDR Coordinator, the Office of
Workplace Relations, or the national Office of Judicial Integrity. See Code of Conduct for
Judicial Employees, Canon
3(C). Any Employee (including supervisors and EDR Coordinators) who has misconduct
reported to them, who receives an inquiry about misconduct, or who witnesses misconduct
should advise the Office of Workplace Relations, the national Office of Judicial Integrity or an
EDR Coordinator. In some instances, an Employee who receives a report or inquiry about
misconduct will be asked by that person to keep the information
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confidential, keep the person who reported it anonymous, or that no action be taken following
the report or inquiry. In those instances, the Employee receiving the report or inquiry may
contact the EDR Coordinator, the Office of Workplace Relations, or the national Office of
Judicial Integrity for further advice. If the conduct is physically threatening or so pervasive as to
present unsafe working conditions for the Employee or other Employees, the Employee receiving
the report or inquiry must contact an EDR Coordinator or the Office of Workplace Relations.
Supervisors, Unit Executives, and Judges must take appropriate action when they learn of
reliable information of wrongful conduct, which may include providing information to the
appropriate Chief Judge.
IV. 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 to address a conduct issue directly with
the person who allegedly committed wrongful conduct or to contact a colleague, supervisor, Unit
Executive, Judge, Chief Judge, or other individual to discuss or address the situation. This Policy
provides the following additional options, and Employees may choose the option(s) that best fit
their needs and comfort level.
A. Policy Options. This Policy 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 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 Policy must
aim to protect the confidentiality of the allegations of wrongful conduct. However,
not all options to address wrongful conduct can guarantee strict confidentiality, so
an Employee should choose the avenues that best fit their needs and comfort level.
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.
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No person in the role of EDR Coordinator, the Office of Workplace Relations, or
the Office of Judicial Integrity shall be compelled to disclose any conversations,
testify, or provide information obtained through Informal Advice except as
described in § IV.B.1.
Any persons or Party involved in mediation or settlement discussion under
§§ IV.C.2. or IV.C.3.f.iii. of this Policy shall not disclose any information or records
obtained during the mediation or settlement process except as necessary to consult
with the Party or Parties involved. Records made of mediation discussions,
including notes and documents provided in preparation for mediation, are strictly
confidential and will not be filed with the EDR Coordinator, Office of Workplace
Relations, or Office of Judicial Integrity (see § V.B.).
Confidentiality obligations 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 or discourage Employees from reporting or disclosing
wrongful conduct, including sexual, racial, or other forms of discriminatory
harassment by a Judge, supervisor, or other person.
2. Impartiality. All investigations, hearings, and other processes under this Policy
must be conducted in a fair and impartial manner. The EDR Coordinator, the Office
of Workplace Relations, and the Presiding Judicial Officer must be impartial and
may not act as an advocate for either Party. The EDR Coordinator, staff member of
the Office of Workplace Relations, or Presiding Judicial Officer must recuse if they
participated in, witnessed, or were 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
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constitute a conflict of interest or unduly interfere with the Employee’s
duties, as determined by that Employee’s appointing officer.
4. Interim Relief. An Employee, including a law clerk or other chambers employee,
who pursues any of the options under this Policy may request transfer, an alternative
work arrangement, or administrative leave 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 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, the Office of
Workplace Relations, or the national Office of Judicial Integrity for confidential
advice and guidance (see § IV.B.1) about a range of topics including:
• the rights and protections afforded under this Policy, the Judicial
Conduct and Disability Act, and any other processes;
• providing perspective on conduct described, including whether it
violates the Policy;
• ways to respond to wrongful conduct as it is happening; and/or
• options for addressing the conduct, such as informal resolution,
participating in Assisted Resolution, or pursuing a Formal Complaint under
this Policy, the Judicial Conduct and Disability Act, or any other processes.
2. Assisted Resolution. Assisted Resolution is an interactive, flexible process that
may include:
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• 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 Policy 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 the
Office of Workplace Relations and complete a “Request for Assisted Resolution”
(Appendix 2).5 An Employee asserting any claim of abusive conduct is strongly
encouraged to use Assisted Resolution before filing a Formal Complaint but is not required
to do so. Filing a Request for Assisted Resolution does not toll (extend) the time for filing
a Formal Complaint under § IV.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 §
IV.C.3.a.
b. If the allegations concern the conduct of a Judge, the Chief Judge of the
appropriate district, bankruptcy, or circuit Court 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 the Office 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 to resolve the matter. If the allegations concern
the conduct of a Unit Executive, the EDR Coordinator or the Office of Workplace Relations
must notify the Chief Judge, who is responsible for assessing the allegation(s) and
addressing the matter as appropriate.
d. The Unit Executive or Chief Judge responsible for assessing the allegations,
as indicated in (b) and (c) above, may deny the Request for Assisted Resolution at any
time if they were to conclude it is frivolous; it does not allege
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When an Employee completes a Request for Assisted Resolution form and chooses to use a local EDR Coordinator
to facilitate resolution, the local EDR Coordinator must notify the Office of Workplace Relations of the request.
The Office of Workplace Relations may serve as a resource for the EDR Coordinator to facilitate resolution at the
EDR Coordinator’s request.
When an Employee completes a Request for Assisted Resolution form and chooses to use the Office of Workplace
Relations to facilitate resolution, the Office of Workplace Relations may notify the local EDR Coordinator when
appropriate or upon request of the Employee.
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violations of the rights or protections in this Policy; 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.
e. If Assisted Resolution is successful in resolving the matter, the Parties will
so acknowledge in writing.
f. If Assisted Resolution is not successful in resolving the matter, the EDR
Coordinator or the Office of Workplace Relations will advise the Employee of the
Employee’s rights to file a Formal Complaint and/or pursue action under the Judicial
Conduct and Disability Act, if applicable, or any other processes.
3. Filing a Formal Complaint. An Employee may file a Formal Complaint
(“Complaint”) with any of the Court’s EDR Coordinators or the Office of
Workplace Relations to address a claim of wrongful conduct.6
a. To file a Complaint, an Employee must submit a “Formal Complaint”
(Appendix 3) to any of the Court’s EDR Coordinators or the Office of Workplace Relations
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.
b. An Employee asserting any claim of abusive conduct is strongly encouraged
to use Assisted Resolution before filing a Formal Complaint but is not required to do so.
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. Complaint Regarding a Judge. An Employee alleging that a Judge has
engaged in wrongful conduct may file a Complaint under this Policy. For Complaints
against Judges, the Presiding Judicial Officer is the Chief Circuit Judge or a designee. If the
Chief Circuit Judge is the subject of the Complaint, the Circuit
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When an Employee files a Formal Complaint form with a local EDR Coordinator, the local EDR Coordinator must
notify the Office of Workplace Relations of the Complaint. The Office of Workplace Relations may serve as a
resource for the EDR Coordinator upon the EDR Coordinator’s request.
When an Employee files a Formal Complaint form with the Office of Workplace Relations, the Office of Workplace
Relations may notify the local EDR Coordinator when appropriate or upon request of the Employee.
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Judge who is next in precedence to become Chief Circuit Judge, pursuant to 28
U.S.C. § 45, shall designate an alternative Presiding Judicial Officer to oversee thehearing
process. The EDR Coordinator must promptly provide a copy of the Complaint to the Chief
Circuit Judge (or the next Circuit Judge in precedence to become Chief Circuit Judge, if
the allegation is against the Chief Circuit Judge) , who will oversee the EDR Complaint
process. If a District, Magistrate, or Bankruptcy Judge is the subject of the Complaint, the
EDR Coordinator must also provide a copy of the Complaint to the Chief Judge of the
appropriate district or bankruptcy court,(unless the Chief District Judge or Chief
Bankruptcy Judge is the subject of the Complaint, in which case the Complaint would not
be given to that Judge).
If a Judge becomes the subject of both a Complaint under this Policy 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 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 Policy. 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.
e. Formal Complaint Procedures and Procedural Rights
i. Appointment of Presiding Judicial Officer. Upon receipt of a
Complaint, the EDR Coordinator will promptly send a copy of the Complaint to the
Chief Judge of the Court, who will appoint a Presiding Judicial Officer. The
Presiding Judicial Officer will be, a Judge from another Court in the Circuit (with
the consent of the respective Chief Judge of that Court), including from the Circuit
Panel of Presiding Judicial Officers7, or when appropriate, a Judge or the Court
from which the Complaint arises. In determining whether appointment of a Judge
of the Court from which the Complaint arises is appropriate, the Chief Judge should
consider input from the Complainant. In the event that no Presiding Judicial Officer
who is without an actual or perceived conflict, or who otherwise wishes to recuse
themselves in accordance with § IV.B.2., is available from the Circuit, the Chief
Judge may appoint a Judge from another circuit.
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 may
provide the individual alleged to have violated rights under this Policy notice that a
Complaint has been filed and the nature and substance of the Complaint allegations, if
the Presiding Judicial Officer determines it is necessary
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The Presiding Judicial Officer will provide for appropriate investigation and
discovery, allow for settlement discussions,8 and determine any written
submissions to be provided by the Parties, 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. 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, pursuant to § IV.C.3.e.i. If the
EDR Coordinator is disqualified, the Chief Judge will appoint one of the alternate
EDR Coordinators or, if available, an EDR Coordinator from another Court or
circuit (with the consent of the respective Chief Judge of that Court or circuit).
If the Chief Judge Recuses, the Judge who is next in precedence to become Chief
Judge shall designate a Presiding Judicial Officer, pursuant to § IV.C.3.e.i.
iv. 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 promptly send the Response to the Presiding Judicial Officer and
to the Complainant.
v. Investigation and Discovery. The Presiding Judicial Officer will
ensure that the allegations are impartially and fairly investigated, and may use
outside trained investigators if warranted. The investigation may include interviews
with the parties, persons alleged to have violated rights under this Policy 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.
vi. Case preparation. The Complainant may use official time to
prepare their case, so long as it does not unduly interfere with the performance of
duties.
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The Panel of Presiding Judicial Officers (“Panel”) will consist of Court of Appeals, district, magistrate, and
bankruptcy judges located throughout the Circuit, who will be available to serve as a Presiding Judicial Officer. All
members of the Panel will be appointed by the Chief Circuit Judge.
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Either Party may request in writing a stay, or the Presiding Judicial Officer may on the Presiding Judicial Officer’s
own initiative stay a Formal Complaint proceeding up to 60 days (unless extended for good cause), if the Employing
Office asserts that there has been no prior opportunity to address the conduct alleged, or for purposes of engaging in
settlement discussions or other forms of alternative resolution dispute. The Presiding Judicial Officer will determine
whether to grant the stay after providing an opportunity to respond. A stay in the proceedings can provide the
Employing Office an opportunity to assess the allegations and take appropriate action. If the matter is successfully
resolved, the Parties may enter into an agreed written settlement approved by the Presiding Judicial Officer pursuant
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to § IV.C.3.f.iii. If the matter is not resolved during the stay, the stay of proceedings will be lifted, and the Formal
Complaint will proceed under § IV.C.3.
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vii. 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 Policy for good cause, except for the deadline to issue a written decision,
which may only be extended by the Chief Judge.
viii. 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.
ix. Notice of Written Decision. The EDR Coordinator or Presiding
Judicial Officer will promptly send a copy of the written decision to the Parties, and
the Chief Judge of the Court. The EDR Coordinator or Presiding Judicial Officer
may send a copy of the written decision toto any individual alleged to have violated
rights protected by this Policy, if the Presiding Judicial Officer determines it is
necessary. The EDR Coordinator will inform the Parties of appeal rights,
procedures, and deadlines.
f. Resolution of Complaint Without a Hearing. After notifying the Parties
and giving them an opportunity to respond, the Presiding 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 Policy; 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. The presiding Judicial
Officer will issue a written decision within a reasonable amount of time.
ii. After completion of investigation and discovery, the Presiding
Judicial Officer may, on the Presiding Judicial Officer’s 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. The Presiding Judicial Officer will
issue a written decision withing a reasonable amount of time.
iii. The Parties may enter into an agreed written settlement if approved
in writing by the Presiding Judicial Officer, and by the Chief Judge if necessary.
g. 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.
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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 individual(s) alleged to have violated the Complainant’s rights.
iii. Right to Present Evidence. The Complainant and Respondent have
the right to present witnesses and documentary evidence and to examine adverse
witnesses, subject to the discretion of the Presiding Judicial Officer.
vi. 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.
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.
h. 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 Policy 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 written decision, subject to any applicable policies
or procedures. If the Presiding Judicial Officer directs Employing Office to provide remedies
to the Complainant, within 30 days of the issued written decision, the Employing Office must
provide to the Office of Workplace Relations a summer of what action was or will be taken
to carry out the ordered remedies and must provide a summary at the conclusion of the
imposed remedies. The Employing Office must provide status updates as requested by the
Office of Workplace Relations.
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;
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• 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 satisfied9;
• records modification and/or expungement;
• granting of family and medical leave;
• any reasonable accommodation(s); and
• any other appropriate remedy to address the wrongful conduct.10
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.
i. Review of Decision (Appeal). The Complainant and/or the Respondent
may appeal the decision to the Judicial Council of the Ninth Circuit by submitting in
writing a Petition for Review of Decision setting forth the grounds for appeal within 30
days of the date of the decision under procedures established by the Judicial Council of the
Ninth Circuit (Appendix 4). 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.
9
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.
10
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, such as:
• requiring counseling or training;
• ordering no contact with the Complainant;
• reassigning or transferring an Employee;
• reprimanding the Employee who engaged in wrongful conduct;
• issuing a suspension, probation, or demotion of the Employee who engaged in wrongful conduct; and/or
• terminating employment for the Employee who engaged in wrongful conduct.
15
V. COURT AND EMPLOYING OFFICE OBLIGATIONS
To ensure that Employees are aware of the options provided by this Policy, and that the Policy is
effectively implemented, Courts and Employing Offices must adhere to the following:
A. Adopt and Implement EDR Policy. All Courts must adopt and implement an EDR Policy
based on this EDR Policy. Courts may join with others to adopt consolidated EDR Policies.
Any modification of this EDR Policy (1) may expand, but should not diminish or curtail,
any of the rights or remedies afforded Employees under this EDR Policy, and (2) must be
approved by the Judicial Council of the Ninth Circuit. A copy of each EDR Policy and any
subsequent modifications must be filed with the Administrative Office.
B. Records. At the conclusion of informal or formal proceedings under this Policy, all papers,
files, and reports will be filed with the EDR Coordinator and the Office of Workplace
Relations. 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.
Final decisions under this Policy will be made available to the public, appropriately
redacted, in accordance with procedures established by the Judicial Council of the Ninth
Circuit.
All EDR Formal Complaint Final Decisions shall be made available to the public, free of
charge, upon written request to the Office of Workplace Relations. An EDR Final
Decision is either the dispositive written decision of the Presiding Judicial Officer, if no
Petition for Review of Decision was filed, or, if a Petition for Review of Decision was
filed, the dispositive decision of the Executive Committee of the Ninth Circuit Judicial
Council. Before an EDR Final Decision is made public, individuals names and other
identifying information must be redacted.
C. EDR Coordinators. The Chief Judge will designate both a primary EDR Coordinator and,
if available, at least one alternate EDR Coordinator for the Court.11 A Court may use an EDR
Coordinator from another Court, or may use the Office 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 the Employee wishes to seek
Informal Advice, request Assisted Resolution, or file a Complaint under this EDR Policy.
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 EDR Interpretive Guide and Handbook.
16
11
A team of EDR Coordinators or multiple EDR Coordinators would satisfy the requirement to designate a primary
and alternate EDR Coordinator.
17
D. Advising Employees of their Rights. Courts 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 Policy 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 the Court’s EDR Coordinators, the Office of
Workplace Relations, and the national Office of Judicial Integrity (internal
homepage only).
2. prominently display in the workplace:
• the posters set forth in Appendix 5; and
• an Anti-Discrimination and Harassment Notice that: (a) states that
discrimination or harassment based on race, color, sex, gender, gender identity,
gender expression, marital status, pregnancy, parenthood or caregiver status,
sexual orientation, religion, creed, ancestry, national origin, citizenship, genetic
information, age (40 years and over), disability, or service in the uniformed
forces is prohibited; (b) explains that Employees can report, resolve, and seek
remedies for discrimination, harassment, or other wrongful conduct under the
EDR Policy by contacting any of the Court’s EDR Coordinators and/or the
Office of Workplace Relations, and/or the national Office of Judicial Integrity;
(c) identifies the names and contact information of all Court EDR Coordinators,
the Office of Workplace Relations, and the national Office of Judicial Integrity;
and (d) states where the EDR Policy can be located on the Court’s website.
3. ensure that each new Employee receive an electronic or paper copy of the EDR Policy
and acknowledge in writing that the Employee has read the Policy; 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
18
Policy and the options available for reporting wrongful conduct and seeking relief.
Courts and Employing Offices must ensure that all Judges and Employees, including
chambers staff, have completed their annual training.
E. Reporting. Courts and Employing Offices will provide annually, to the Administrative
Office of the United States, 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 Policy or other complaint; (2) the number
and type of alleged violations for which Complaints under this Policy were filed; (3) the
resolution of each Complaint under this Policy (dismissed or settled prior to a decision, or
decided with or without a hearing); and
(4) the rights under this Policy that were found by decision to have been violated. Courts
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.
Chief Judges and Unit Executives will provide annually, to the Office of Workplace
Relations, confirmation of compliance with § V.D., including the links required by §
V.D.1.
F. Appendices Attached:
1. Definitions
2. Request for Assisted Resolution
3. Formal Complaint Form
4. Procedures for Review of EDR Presiding Judicial Officer Decision by the
Executive Committee of the Judicial Council of the Ninth Circuit (Appeal)
5. Posters
6. Ninth Circuit Equal Employment Opportunity (EEO) Policy
This Policy supersedes all prior Equal Employment Opportunity and Employment Dispute Resolution
Policies.
Effective date:
19
DEFINITIONS
APPENDIX 1
Court: The Court (Court of Appeals, District Courts, Bankruptcy Courts, Court of Federal Claims
and Court of International Trade, or of any Court created by an Act of Congress in a territory that
is invested with any jurisdiction of a District Court of the United States) in which the Employing
Office that would be responsible for ordering redress, correction, or abatement of a violation of
rights under this EDR Policy is located. In the case of disputes involving probation and pretrial
services, “Court” refers to the appropriate District Court.
EDR Coordinator: A Court Employee or staff member of the Office of Workplace Relations,
other than a Judge or Unit Executive, designated by the Chief Judge to coordinate all of the Options
for Resolution provided for in this Policy. The EDR Coordinator provides confidential advice and
guidance (see § IV.B.1.) if an Employee seeks Informal Advice; coordinates the Assisted
Resolution process, including any necessary investigation; accepts Complaints under this Policy
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 Policy. The EDR Coordinator assists the Court in meeting its
obligations under this Policy to train and advise employees of their rights under this Policy, and to
post the Policy as directed. Additional information on the EDR Coordinator’s responsibilities may
be found in the EDR Interpretive Guide and Handbook.
Employee: All employees of a Court. This includes Unit Executives and their staffs; judicial
assistants and other chambers employees; law clerks; and chief probation officers and chief pretrial
services officers and their respective staffs; court reporters appointed by a 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, a United States bankruptcy judge, a
United States magistrate judge, a judge of the Court of Federal Claims, a judge of the Court of
International Trade, or a judge of any Court created by an Act of Congress in a territory that is
invested with any jurisdiction of a district court of the United States.
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 JNet and on
uscourts.gov.
Office of Workplace Relations: The Office of Workplace Relations serves the Ninth Circuit and
includes the Director of Workplace Relations. The Office coordinates workplace conduct issues
and the implementation of all Court EDR Policies within the circuit. The scope of duties generally
may include: provide Informal Advice, coordinate Assisted Resolution, and assist with the Formal
Complaint process under any EDR Policy 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. A staff member of the Office of Workplace
Relations may function as an EDR Coordinator and provide all Options for Resolution for
Employees.
Panel of Presiding Judicial Officers: The Panel of Presiding Judicial Officers (“Panel”) will
consist of Court of Appeals, district, magistrate, and bankruptcy judges throughout the Circuit. A
chief Judge will appoint a Panel Member judge to oversee the Formal Complaint process. All
appointments of member judges are made by the Chief Circuit Judge, and composition and term
lengths are at the discretion of the Chief Circuit Judge.
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, gender expression, marital status,
pregnancy, parenthood or caregiver status, sexual orientation, religion, creed, ancestry, national
origin, citizenship, genetic information, age (40 years and over),12 disability, or service in the
uniformed forces.
Unit Executive: Circuit Executive, district court executive, clerk of court, chief probation officer,
chief pretrial services officer, bankruptcy administrator, bankruptcy appellate panel clerk, senior
staff attorney, chief preargument/conference attorney/circuit mediator, or circuit librarian.
12
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.
1
REQUEST FOR ASSISTED RESOLUTION APPENDIX 2
*USE OF ASSISTED RESOLUTION DOES NOT EXTEND THE 180-DAY
DEADLINE TO FILE A FORMAL COMPLAINT UNLESS THE DEADLINE IS
EXTENDED UNDER THE EDR POLICY § IV.C.3.a.*
Submitted under the Procedures of the Ninth Circuit Employment Dispute Resolution Policy
Court:
Full name of person submitting the form:
Your mailing address:
Your email address:
Your phone number(s):
Office in which you are employed or applied to:
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):
Your job title/job title applied for:
Date of interview (for interviewed applicants only):
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 witnesses to the actions or occurrences for which you seek
Assisted Resolution:
2
Describe the assistance or corrective action you seek:
Alleged Wrongful Conduct for which you seek Assisted Resolution (check all that apply):
☐ Discrimination based on (check all ☐ Harassment based on (check all that
that apply): apply):
☐ Race ☐ Race
☐ Color ☐ Color
☐ Sex ☐ Sex
☐ Gender ☐ Gender
☐ Gender identity ☐ Gender identity
☐ Gender expression ☐ Gender expression
☐ Marital status ☐ Marital status
☐ Pregnancy ☐ Pregnancy
☐ Parenthood ☐ Parenthood
☐ Caregiver ☐ Caregiver
☐ Sexual orientation ☐ Sexual orientation
☐ Religion ☐ Religion
☐ Creed ☐ Creed
☐ Ancestry ☐ Ancestry
☐ National origin ☐ National origin
☐ Citizenship ☐ Citizenship
☐ Genetic information ☐ Genetic information
☐ Age ☐ Age
☐ Disability ☐ Disability
☐ Service in the uniformed ☐ Service in the uniformed
forces forces
☐ Abusive Conduct ☐ Uniform Services ☐ Occupational Safety
☐ Retaliation Employment and and Health
☐ Whistleblower
Reemployment ☐ Polygraph Protection
Protection
Rights ☐ Other (describe)
☐ Worker Adjustment
☐ Family and Medical
and Retraining
Leave
3
Do you have an attorney or other person who represents you?
☐ Yes
Please provide name, mailing address, email address, and phone number(s):
☐ No
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 Policy (see EDR Policy § IV.B.1).
Your signature
Date submitted
Request for Assisted Resolution reviewed by EDR Coordinator/Director of Workplace
Relations on
EDR Coordinator/Director of Workplace Relations name
EDR Coordinator/Director of Workplace Relations signature
4
FORMAL COMPLAINT FORM APPENDIX 3
Submitted under the Procedures of the Ninth Circuit Employment Dispute Resolution Policy
Court:
Full name of person submitting the form (Complainant):
Your mailing address:
Your email address:
Your phone number(s):
Office in which you are employed or applied to:
Name and address of Employing Office from which you seek a remedy (if the matter
involves a judge or chambers employee, the Employing Office is the Court):
Your job title/job title applied for:
Date of interview (for interviewed applicants only):
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):
Describe the remedy or corrective action you seek (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):
1
Identify the Wrongful Conduct that you believe occurred (check all that apply):
☐ Discrimination based on (check all that ☐ Harassment based on (check all that
apply): apply):
☐ Race ☐ Race
☐ Color ☐ Color
☐ Sex ☐ Sex
☐ Gender ☐ Gender
☐ Gender identity ☐ Gender identity
☐ Gender expression ☐ Gender expression
☐ Marital status ☐ Marital status
☐ Pregnancy ☐ Pregnancy
☐ Parenthood ☐ Parenthood
☐ Caregiver ☐ Caregiver
☐ Sexual orientation ☐ Sexual orientation
☐ Religion ☐ Religion
☐ Creed ☐ Creed
☐ Ancestry ☐ Ancestry
☐ National origin ☐ National origin
☐ Citizenship ☐ Citizenship
☐ Genetic information ☐ Genetic information
☐ Age ☐ Age
☐ Disability ☐ Disability
☐ Service in the uniformed forces ☐ Service in the uniformed forces
☐ Abusive Conduct
☐ Retaliation ☐ Uniform Services ☐ Occupational Safety
☐ Whistleblower Employment and and Health
Protection Reemployment ☐ Polygraph Protection
☐ Family and Medical Rights ☐ Other (describe)
Leave ☐ Worker Adjustment
and Retraining
Date on which Assisted Resolution was requested:
Date on which Assisted Resolution concluded:
2
Do you have an attorney who represents you?
☐ Yes
Please provide name, mailing address, email address, and phone number(s):
☐ No
☐ I have attached copy(ies) of any documents that relate to my Complaint (such as emails, notices
of 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 Policy (see EDR Policy § IV.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
Complaint reviewed by EDR Coordinator/Director of Workplace Relations on
EDR Coordinator/Director of Workplace Relations name
EDR Coordinator/Director of Workplace Relations signature
3
PROCEDURES FOR REVIEW OF EDR PRESIDING JUDICIAL OFFICER DECISION
BY THE EXECUTIVE COMMITTEE OF THE JUDICIAL COUNCIL OF THE NINTH
CIRCUIT (APPEAL)
APPENDIX 4
I. Scope of the Rules
These rules govern procedures for petitioning for review a decision, or summary dismissal of a
Ninth Circuit Employment Dispute Resolution Policy Complaint rendered by a Presiding Judicial
Officer (see § IV.C.3.e.ii). Such review is conducted by the Executive Committee of the Judicial
Council of the Ninth Circuit (“Executive Committee”).
II. Filing Petition for Review
A. Filing the Petition for Review. A Party aggrieved by the final decision of the Presiding Judicial
Officer or by summary dismissal of a Complaint, may petition for review of that decision or
summary dismissal by filing a Petition for Review (“Petition”) to which is attached a copy of
the decision of the Presiding Judicial Officer (or copy of the summary dismissal).
B. Form of Petition and Supporting Arguments. The Petition shall be in accordance with Form
1, which follows these procedures. Included in the Petition or as an attachment to the Petition
shall be a statement, not to exceed 10 pages in length (8 ½ x 11 white paper, double-spaced,
singled-sided) setting forth the basis for the Petition and all arguments and information
supporting the petition. The Petition must be filed with the Executive Committee in a timely
manner as set forth in Section III below.
C. Serving the Petition for Review. The petitioning Party must serve the Petition on the
Executive Committee by having it delivered to the Office of Workplace Relations at the
following address:
Office of Workplace Relations Parcel Delivery
P.O. Box 193939 Office of Workplace Relations 95
San Francisco, CA 94119 Seventh Street
San Francisco, CA 94103
The Petition may also be emailed to the Office of Workplace Relations at the
following address:
[email protected].
1
Upon receipt, the Office of Workplace Relations will serve a copy of the Petition (and all
attachments thereto) on the opposing Party..
III. Filing Deadlines
A. Time for Filing a Petition for Review. A Petition for Review must be submitted to the
Executive Committee no later than 30 days following the date of the final decision of the
Presiding Judicial Officer or following the date of a summary dismissal of the Complaint.
B. Requests for Extension of Time. The Executive Committee may extend the time to file a
Petition for Review and for any other filing specified in these procedures, provided the
petitioner shows good cause or excusable neglect.
C. Determining Time Periods. The word “days” in all filing deadlines in these procedures shall
mean calendar days, except that if the deadline date occurs on a Saturday, Sunday, or holiday,
the deadline shall be extended to the next following Monday or court business day respectively.
IV. Consideration by the Executive Committee
A. General. All reviews will be conducted by the members of the Executive Committee and shall
be based on the decision of the Presiding Judicial Officer or the summary dismissal of a
Complaint and any documents submitted by the Parties in response to the directive of the
Executive Committee as outlined below.
B. Scope of the Record and Documents to be Considered. Within 20 days following receipt of
the Petition for Review, the Executive Committee shall notify the Parties concerning what, if
any, additional information, i.e., record (e.g., hearing transcript), documents and/or briefs, may
be submitted for its consideration. Unless notified by the Executive Committee of its request for
additional information, neither Party is to submit further information.
C. Oral Argument. Oral argument will normally not be permitted but may be ordered by the
Executive Committee. Either Party may request such argument in writing filed within 7 days
following filing of the Petition as part of the petition (in the case of the
party filing the Petition) or (in the case of the Respondent) in a letter submitted no later than 7
days from receipt of the Petition, setting forth the specific reasons why such argument is
necessary, and why adequate argument cannot be made in written form. If granted, oral
argument, may, at the sole discretion of the Executive Committee, be conducted via
teleconference using video and/or audio technology.
D. Standard of Review. The written decision or summary dismissal of the Presiding Judicial
Officer shall be affirmed if supported by substantial evidence.
E. Summary Disposition. If at any time prior to the final submission of the case for review, the
Executive Committee determines that the basis(es) of the request for review are so insubstantial
as to not justify further proceedings, the Court may issue an appropriate dispositive order.
F. Form of Final Review. The Executive Committee shall issue its decision in writing within a
reasonable amount of time.
Attachment: Sample Petition for Review to the Executive Committee of the Judicial
Council of the Ninth Circuit from Presiding Judicial Officer’s Decision
[see next page for Form 1]
Name of Petitioning Party or Counsel Address
Telephone # Fax
#
Email
Name of Court in Which Presiding Judicial Officer’s Final Decision Was Issued
A.B., Petitioner v. Petition for Review of Decision in (or
Summary Dismissal of Employment
C.D., Respondent Dispute Resolution Policy Complaint
Notice is hereby given that (name of Party petitioning for review), (Petitioner) in the
above named case, hereby submits this Petition for Review to the Executive Committee of the
Judicial Council of the Ninth Circuit from the final decision (or summary dismissal of the
Complaint) by Judge (name of Presiding Judicial Officer) entered in this matter action on the
day of , (20 ).
Attached to this Petition is a copy of the Presiding Judicial Officer’s Final Decision (or
summary dismissal of the Complaint).
The basis(es) of this Petition for Review is (reason why review is requested—this
basis(es) may be included as an attachment).
Submitted on this day of , (20 ).
(s)
(Representing name of Party)
POSTERS
APPENDIX 5
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 Policy 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.
Contact Information:
The Complaint must be filed within 180 days of the
Nathan Lewis
alleged violation or the discovery of the violation. 206-370-8499
This formal process includes:
[email protected]
• Appointment of Presiding Judicial Officer Aaron Chang
• An investigation and/or hearing if appropriate 206-370-8487
• Written decision
[email protected]
• Appeal rights Sarah Bogosian
206-370-5217
[email protected]
Confidentiality Office of Workplace Relations
All options for resolution are intended to respect 415-355-8914
privacy of all involved to the greatest extent
[email protected]
possible, and to protect the fairness and
Michael Henry (or Deputy Judicial Officer
thoroughness of the process by which allegations Carolyn Dubay), Judicial Integrity Officer
of wrongful conduct are initiated, investigated, and 202-502-1604
ultimately resolved.
[email protected]
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 JNet.
Employees may confidentially report workplace discrimination, harassment, abusive behavior, or retaliation to an EDR
Coordinator, Office of Workplace Relations, or the Judicial Integrity Officer, Michael Henry (or Deputy Judicial Officer Carolyn
Dubay), at 202-502-1604.
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, gender free of recognized hazards.
expression, marital status,
pregnancy, parenthood or caregiver
Protection for Veterans and
status, sexual orientation, religion, Members of the Uniformed Polygraph Testing Prohibition
creed, ancestry, national origin, Services Restricts the use and the results of
citizenship, genetic information, age Protects employees performing polygraph testing.
(40+), disability, service in the service in the uniformed services
uniformed forces. from discrimination and provides
certain benefits and reemployment
rights.
Protection from Harassment
Prohibits sexual harassment,
discriminatory harassment, and Notification of Office Closings
abusive conduct. and Mass Layoffs
Under certain circumstances,
Protection for Exercising requires that employees be notified of
Workplace Rights an office closing or of a mass layoff at
least 60 days in advance of theevent.
Prohibits intimidation, retaliation, or
discrimination against employees
who exercise their employment rights
or report or oppose wrongful conduct,
including whistleblower protection.
These rights are fully explained in Guide to Judiciary Policy, Vol. 12, Ch. 2.
Effective date:
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.
Appeal
• Both parties may use a representative or attorney (at
own expense).
• Both parties may present witnesses and examine
adverse witnesses.
• A prompt written decision by a Presiding Judicial Officer.
Parties have the right to appeal to the circuit
Effective date: judicial council within 30 days of a decision.
WESTERN DISTRICT OF WASHINGTON EQUAL
EMPLOYMENT OPPORTUNITY (EEO) POLICY
APPENDIX 6
I. Statement of Policy
Each Court and court unit will promote equal employment opportunity to all persons or classes of
persons regardless of their race, color, sex, gender, gender identity, gender expression, marital
status, pregnancy, parenthood or caregiver status, sexual orientation, religion, creed, ancestry,
national origin, citizenship, genetic information, age,13 disability, or service in the uniformed
forces, in addition to any other status or characteristic protected under applicable federal law. All
facets of employment such as recruitment, hiring, work assignments, compensation, benefits,
education, disciplinary actions, terminations, training, promotion, advancement, and supervision
are included in the EEO Policy. Each Court Unit Executive will promote a Court or office
environment free of discrimination and harassment. Along with Employees (as defined in the
EDR Policy), applicants for employment and former employees are covered by this EEO Policy.
All Complaints under this EEO Policy shall be covered by the procedures in § V.C.3. of the Ninth
Circuit Employment Dispute Resolution Policy.
Court Unit Executives must ensure that appropriate vacancies (with the exception of chambers law
clerk and judicial assistant vacancies) are publicly announced to attract candidates who represent
the make-up of persons available in the relevant job market and that all hiring and other
employment decisions are based solely on job-related factors. Job postings may be published solely
to internal staff in certain circumstances, such as budgetary constraints; career ladder promotions;
reassignments; and accretion of duties. Reasonable efforts should be made to see that the skills,
abilities, and potential of each Employee are identified and developed, and that all Employees are
given equal opportunities for promotions by being offered, when the work of the Court permits,
and within the limits of available resources, cross-training, reassignments, special assignments, and
outside job-related training.
II. Annual Report
Unit Executives must submit an annual report to the Chief Circuit Judge via the Office of
Workplace Relations. The report will describe any significant achievements in providing equal
employment opportunities, identify areas where improvements are needed, and explain factors
inhibiting achievement of equal employment opportunity objectives.
13
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.
1
III. Objectives
When the Unit Executive deems it necessary or desirable, the Unit Executive will develop
annual objectives that reflect improvements needed in recruitment, hiring, promotions,
and advancement, and will prepare a specific plan (report) explaining how those objectives
will be achieved.
IV. Distribution and Public Notice
Copies of this EEO Policy shall be made available to all Employees and furnished, upon
request, to applicants for positions of employment.
2
