Surrick, Judge R. Barclay

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Cornell University ILR School 
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Consent Decrees Labor and Employment Law Program 
1-4-2010 
EEOC v. Vanguard Group, Inc. 
Judge R. Barclay Surrick 
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EEOC v. Vanguard Group, Inc. 
Keywords 
EEOC, Vanguard Group, Inc., 09-04424, consent decree, race, African-American or Black, disparate 
treatment, compensation, hostile work environment, employment law, Title VII 
This article is available at DigitalCommons@ILR: https://digitalcommons.ilr.cornell.edu/condec/203 
Case 2:09-cv-04424-RBS Document 7 Filed 01/04/2010 Page 1 of 10 
IN THE UNITED STATES DISTRICT COURT 
FOR THE EASTERN DISTRICT OF PENNSYLVANIA 
EQUAL EMPLOYMENT OPPORTUNITY 
COMMISSION, 
Plaintiff 
v. 
VANGUARD GROUP, INC. 
Defendant. 
A. This action was instituted by the United States Equal Employment Opportunity 
Commission (the "EEOC" or the "Commission") on September 29, 2009 against The Vanguard 
Group, Inc. under Title VII of the Civil Rights Act of 1964 and Title 1 of the Civil Rights Act of 
1991 ("Title VII"). In its Complaint, the EEOC alleged that Barbara Alexander was 
discriminated against based on her race, (African American). The EEOC further alleged that Ms. 
Alexander suffered income losses as well as emotional distress damages. The Vanguard Group, 
Inc. denies these allegations and affirmatively states that it has not engaged in any unlawful 
discrimination. 
B. This Consent Decree is entered into by the EEOC and The Vanguard Group, Inc.. This 
Consent Decree shall be final and binding between the EEOC and The Vanguard Group, Inc., its 
directors, officers, agents, employees, successors or assigns and all persons in active concert or 
participation with it, (hereinafter collectively referred to as ("Vanguard"). 
CIVIL ACTION NO: 09-04424 
CONSENT DECREE 
Case 2:09-cv-04424-RBS Document 7 Filed 01/04/2010 Page 2 of 10 
C. The Commission and Vanguard do hereby agree to the entry of this Consent Decree, 
which shall fully and finally resolve all claims which were raised by the EEOC in its Complaint 
in Civil Action No. 09-CV-04424 
Upon consent of the parties to this action, it is hereby ORDERED, ADJUDGED and 
DECREED that: 
NON-DISCRIMINATION AND NON-RETALIATION 
1. This Court has jurisdiction over the parties and the subject matter of this action. 
2. Vanguard shall not engage in any employment practice which constitutes unlawful 
discrimination under Title VII. Specifically, Vanguard is enjoined from making hiring decisions 
based on race. 
3. Vanguard shall not engage in any employment practices which retaliate in any manner 
against any person, including, but not limited to, Barbara Alexander because of that person's 
opposition to any practice alleged or believed to be unlawful under Title VII or because of the 
filing of a charge, the giving of testimony or assistance, or the participation in any manner in any 
investigation, hearing or proceeding under Title VII. 
4. Vanguard shall comply fully with all provisions of Title VII. Nothing in this Consent 
Decree, either by inclusion or exclusion, shall be construed to limit the obligations of Vanguard 
under Title VII or the EEOC's authority to process or litigate any charge of discrimination which 
may be filed against Vanguard in the future. 
MONETARY RELIEF 
5. Vanguard agrees to pay monetary relief in the total amount of $300,000 to Barbara 
Alexander in full settlement of the claims against Vanguard which were raised in the 
Commission's Complaint. Vanguard will issue two checks, one in the amount of $50,000, 
Case 2:09-cv-04424-RBS Document 7 Filed 01/04/2010 Page 3 of 10 
subject to wage tax withholdings, and the second check in the amount of $250,000 in the form of 
a 1099. Vanguard will mail the settlement checks to Barbara Alexander at an addrcsss to be 
supplied by the Commission. Vanguard will also mail a copy of the check to Rachel M. Smith 
EEOC counsel of record, within five days of the date of mailing of the check to Ms. Alexander. 
POSTING OF NOTICE 
6. Within ten business days after entry of this Decree, or as soon as practicable, Vanguard 
shall post same-sized copies of the Notice attached as Exhibit 1 to this Decree on the bulletin 
board located at its Malvern, PA office in the area usually used by Vanguard for communicating 
with job applicants. The notice shall remain posted for two years from the date of entry of this 
Decree. Counsel for Vanguard shall provide a copy of the Notice, and an indication of the date 
and location of its posting, to the EEOC counsel of record within ten days of the posting. 
Vanguard shall permit a representative of the EEOC to enter Vanguard's premises for purposes 
of verifying compliance with this Paragraph at any time during normal business hours with prior 
notice. Vanguard shall take all reasonable steps to ensure that the posting is not altered, defaced 
or covered by any other material. Should the posted copies become defaced, removed, marred, 
or otherwise illegible, Vanguard agrees to as soon as practicable post a readable copy in the same 
manner as hereto specified. 
NON-DISCRIMINATION POLICIES 
8. Vanguard shall re-distribute to all of its employees and distribute to newly-hired 
employees at its Malvern, PA office, its policy or policies against discrimination within 90 days 
after entry of this Consent Decree. 
9. Within 90 days after entry of this Consent Decree, Vanguard shall advise counsel of 
record, that its policies against discrimination have been re-distributed to all current employees. 
Case 2:09-cv-04424-RBS Document 7 Filed 01/04/2010 Page 4 of 10 
SUPERVISOR ACCOUNTABILITY 
10. Vanguard shall promote supervisor accountability by the following conduct: 
(a) Providing additional anti-discrimination training to all of its supervisory and 
managerial personnel as set forth in Paragraph 11; 
(b) Disciplining, up to and including discharge, any supervisor or manager who 
violates Vanguard's policies against discrimination; 
(c) Reiterating to all managers and supervisory personnel the duty to administer their 
work areas to ensure compliance with Vanguard's policy or policies against discrimination; and, 
(d) Reiterating to all managers and supervisors to report any incidents and/or 
complaint of discrimination of which they become aware to Vanguard's human resources 
department, a supervisor, or a manager. 
TRAINING 
11. Vanguard shall provide additional training on the requirements of Title VII on the 
following terms: 
(a) Vanguard will provide additional training during the term of this Consent Decree 
to all of its managers and supervisors at the Malvern, PA office, on an employee's rights under 
Title VII, and the employer's obligations under Title VII, with an emphasis on what constitutes 
unlawful hiring decisions; and how to keep Vanguard free of such forms of discrimination. 
12. Vanguard will provide the EEOC with any and all copies of pamphlets, brochures, 
outlines or other written materials provided to the participants of the training sessions. 
13. Vanguard shall certify to the EEOC in writing within ten business days after the last 
training session has occurred that the training has taken place and that all managers and 
supervisors have attended. Such certification shall include: (i) the dates, location and duration of 
4 
Case 2:09-cv-04424-RBS Document 7 Filed 01/04/2010 Page 5 of 10 
the training sessions; and (ii) a copy of the registries of attendance, which shall include the name 
and position of each person in attendance at each session. 
DISPUTE RESOLUTION 
14. In the event that cither party to this Decree believes that the other party has failed 
to comply with any provision(s) of the Decree, the complaining party shall notify the other party 
of the alleged non-compliance within ten days of the alleged non-compliance and shall afford the 
alleged non-complying party ten business days to remedy the non-compliance or to satisfy the 
complaining party that the alleged non-complying party has complied. If the alleged non-
complying party has not remedied the alleged non-compliance within ten business days, the 
complaining party may apply to the Court for appropriate relief. 
MISCELLANEOUS PROVISIONS 
15. Each party to this Decree shall bear its own expenses, costs and attorneys' fees. 
16. This Consent Decree shall not be construed as placing any limit on remedies available to 
the Court in the event that any individual is found to be in contempt for a violation of this 
Decree. 
17. This Consent Decree shall fully and finally resolve all claims which were raised by the 
EEOC in its Complaint in Civil Action No. 09-CV-04424. 
18. This Consent Decree shall be filed in the United States District Court for the Eastern 
District of Pennsylvania and shall continue to be in effect for a period of two years. Any 
application by any party to modify or vacate this Consent Decree during such period shall be 
made by motion to the Court on no less than thirty days notice to the other party. 
19. The Court retains jurisdiction over this case in order to enforce the terms of the 
Consent Decree. 
5 
Case 2:09-cv-04424-RBS Document 7 Filed 01/04/2010 Page 6 of 10 
20. The Clerk of the District Court is hereby directed to send a file-stamped copy of 
this Consent Decree to counsel of record. 
For Plaintiff EEOC: 
James L. Lee 
Deputy General Counsel 
Gwendolyn Young Reams 
Associate General Counsel 
Washington, D.C. 
EQUAL EMPLOYMENT OPPORTUNITY COMMISSION 
For The Vanguard Group, Inc.: 
;bra M .Lawrence 
Acting Regional Attorney 
acficl M. Sjrfith 
Trial Attorney 
EQUAL EMPLOYMENT OPPORTUNITY COMMISSION 
Philadelphia District Office 
801 Market Street, Suite 1300 
Philadelphia, PA 19107 
IT IS ORDERED 
BY THE COU 
//M^ 
Mark. S. Dichter, Esquire 
Morgan Lewis & Bockius, LLP 
1701 Market Street 
Philadelphia, PA 19103-2921 
Grace E. Speights 
Morgan Lewis & Bockius, LLP 
1111 Pennsylvania Avenue, NW 
Washington, D.C. 20004 
R. BARCLAY SUKRICK 
UNITED STATES DISTRICT JUDGE 
DATE: (UttLjLlem 
Case 2:09-cv-04424-RBS Document 7 Filed 01/04/2010 Page 7 of 10 
EXHIBIT 1 
NOTICE TO ALL VANGUARD EMPLOYEES 
This Notice is being posted pursuant to a Consent Decree entered by the Federal Court in 
EEQC v. Vanguard Group, Inc. Civil Action Number 09-4424 (E.D.PA), resolving a lawsuit 
filed by the Equal Employment Opportunity Commission ("EEOC") against The Vanguard 
Group, Inc. ("Vanguard"). 
Title VII of the Civil Rights Act of 1964, 42 U.S.C. Section 2000e, et seg,, as amended, 
("Title VII"), prohibits discrimination against employees and applicants for employment based 
upon race, color, sex, religion or race. Title VII further prohibits retaliation against employees or 
applicants who avail themselves of their rights under Title VII by engaging in protected 
activities, such as opposing employment practices believed to be discriminatory, filing a charge 
of discrimination and/or testifying or participating in a Commission investigation. The EEOC is 
a federal agency which investigates charges of unlawful employment discrimination. The EEOC 
has authority to bring lawsuits in Federal Court to enforce Title VII. 
To resolve the case, Vanguard and the EEOC have entered into a Consent Decree which 
provided, among other things, that: (1) Vanguard paid monetary relief; (2) Vanguard will not 
discriminate on the basis of race; (3) Vanguard will not retaliate against any person because he or 
she opposed any practice made unlawful by Title VII, filed a charge of discrimination, 
participated in any Title VII proceeding, or asserted any rights under the Consent Decree and (4) 
Vanguard will provide additional training to all managers and supervisors at its Malvern, PA 
location regarding race discrimination and Vanguard's policy prohibiting race discrimination. 
If you believe you have been discriminated against, you may contact the Vanguard 
Human Resources office and/or the EEOC at (215) 440-2600. The EEOC charges no fees and 
has employees who speak languages other than English. 
THIS IS AN OFFICIAL NOTICE AND MUST NOT BE DEFACED BY ANYONE 
This Notice must remain posted for two (2) years from the date below and must not be 
altered, defaced or covered by any other material. Any questions about this Notice or 
compliance with its terms may be directed to the: Regional Attorney, EEOC Philadelphia 
District Office, 801 Market Street, Penthouse, Suite 1300 Philadelphia, PA 19107. 
By: By: 
For: Equal Employment Opportunity For: The Vanguard Group, Inc. 
Commission 
7 
Case 2:09-cv-04424-RBS Document 7 Filed 01/04/2010 Page 8 of 10 
IN THE UNITED STATES DISTRICT COURT 
FOR THE EASTERN DISTRICT OF PENNSYLVANIA 
EQUAL EMPLOYMENT OPPORTUNITY 
COMMISSION, 
Plaintiff, 
v. 
VANGUARD GROUP, INC. 
Defendant. 
Civil Action No. 09-04424 
RELEASE 
I, Barbara Alexander, for the consideration affecting me set forth in Paragraph 5 of the 
Consent Decree entered into by the Equal Employment Opportunity Commission (the "EEOC"), 
and The Vanguard Group, Inc. in Civil Action Number 09-04424, do hereby waive, remit, 
release and forever discharge Vanguard Group, its directors, officers, agents, employees, 
representatives, successors and assigns, from any and all claims which were asserted in the 
EEOC's Complaint, in EEOC v. Vanguard Group. Inc.. Civil Action No. 09-04424. 
This Release is freely executed in return for the good and valuable consideration set forth 
in the above-referenced Consent Decree. I have full knowledge of the institution of this lawsuit 
on my behalf and hereby accept the amount of the monetary settlement set forth in the 
aforementioned Consent Decree. I further acknowledge that I have been provided a reasonable 
time to read and consider this Release. I acknowledge that I have been advised of my right to 
private counsel. 
1 
Case 2:09-cv-04424-RBS Document 7 Filed 01/04/2010 Page 9 of 10 
I am legally competent to execute this Release and accept full responsibility thereof. 
DATE: /*//*ftj 
Sworn to and Subscribed 
Before me this today 
of / f c ^ w 2009 
NOTARY PUBLIC 
SIGNATURE: 
Jarbara Alexander 
KORUTHU K. PHIUP 
Notary Public, State of New York 
No.01PH6072183 
Qualified in Nassau County 
Commission Expires April 1, 2010 
My Commission Expires: D^'~ & /'<=** J' 
2 
MODE = MEMORY TRANSMISSION START=JAN-04 10:43 END=JAN-04 10=49 
FILE NO.=960 
STN NO. COMM. ABBR NO. STATION NAME/TEL NO. PAGES DURATION 
001 
002 
003 
OK 
OK 
OK 
s 
s 
s 
2154402B4S 
14109624278 
1S774329652 
010'010 00 = 01:14 
010/010 00:01:30 
010/010 00:02:38 
-JUDGE R. EHRCLPY SURRICK -
UNITED STA TES DISTRICT COURT 
EASTER* DISTRICT OF PESXSri VASIA 
»»/•» l';Y/reO STA TES COURTHOUSE 
l.\DEPESDESCEMALL WEST 
SIXTH AV» MARKET STREETS 
FHILAT>ELfHlA. rr.SSSYL.WA 19KK-17JI 
Chambers of (26 7)2<>9- 7630 
R. BARCLAYSURRICK 
United Statu District Judge 
January 4,2010 
To: Debra M. Lawrence, Esquire 
Rachel M. Smith, Esquire 
Stephanie Marino, Esquire 
EQUAL EMPLOYMENT OPPORTUNITY COMMISSION 
Philadelphia District Office 
801 Market Street 
Philadelphia, Pennsylvania 19107 
Fax: 215-440-2848 
410-962-4270 
Joseph J. Costello, Esquire 
Mark S. Dichter, Esquire 
MORGAN LEWIS & BOCKIUS LLP 
1701 Market Street 
Philadelphia, Pennsylvania 19103 
Fax: 877-432-9652 
Re: EEOC v. Vanguard Group, Inc. 
Civil Action No. 09-4424 
Memo: Signed Consent Decree to follow. 
Via Fax: Ten (10) pages transmitted to include this cover page. 


EEOC v. Vanguard Group, Inc.

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EEOC v. Vanguard Group, Inc.

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