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U.S. Securities and Exchange Commission

Equal Employment Opportunity Data Posted Pursuant to the No Fear Act:
U. S. Securities and Exchange Commission
For 1st Quarter 2014 for period ending December 31, 2013

**Mixed Cases are Included in this report.**

Complaint Activity

Comparative Data

Previous Fiscal Year Data

2014
Thru
12-31

2009

2010

2011

2012

2013
Number of Complaints Filed 14 17 10 20 19 7
Number of Complainants 13 16 9 17 17 7
Repeat Filers 2 1 1 2 2 0

 

Complaints by Basis Comparative Data
Previous Fiscal Year Data 2014
Thru
12-31
Note: Complaints can be filed alleging multiple bases.
The sum of the bases may not equal total complaints filed.
2009 2010 2011 2012 2013
Race 2 9 7 11 6 5
Color 2 3 1 5 1 4
Religion 1 3 2 3 0 2
Reprisal 8 8 8 13 11 3
Sex 6 5 6 9 6 4
PDA 0 0 0 0 0 0
National Origin 0 2 1 4 4 2
Equal Pay Act 1 0 0 1 0 0
Age 7 7 8 13 12 2
Disability 6 5 5 11 4 2
Genetics 0 0 0 0 0 0
Non-EEO 2 2 0 6 4 3

 

Complaints by Issue Comparative Data
Previous Fiscal Year Data 2014
Thru
12-31
Note: Complaints can be filed alleging multiple bases.
The sum of the bases may not equal total complaints filed.
2009 2010 2011 2012 2013
Appointment/Hire 3 3 4 1 1 0
Assignment of Duties 4 3 1 10 2 1
Awards 1 2 0 1 0 0
Conversion to Full-time 0 0 0 0 0 0
Disciplinary Action
 Demotion 0 0 0 0 0 0
 Reprimand 0 0 1 5 1 1
 Suspension 1 1 0 3 1 0
 Removal 1 0 0 0 0 0
 Other 1 1 0 0 1 0
Duty Hours 0 0 1 1 2 0
Evaluation Appraisal 1 5 0 9 11 0
Examination/Test 0 0 0 0 0 0
Harassment
 Non-Sexual 4 3 2 7 2 3
 Sexual 0 1 0 0 0 1
Medical Examination 0 0 0 0 0 0
Pay (Including Overtime) 2 1 0 2 1 1
Promotion/Non-Selection 1 1 1 4 2 1
Reassignment
 Denied 0 0 0 0 2 0
 Directed 0 0 1 2 0 0
Reasonable Accommodation 5 3 1 5 2 3
Reinstatement 0 0 0 0 0 0
Retirement 0 0 1 0 1 0
Termination 1 3 1 1 1 1
Terms/Conditions of Employment 8 5 6 7 9 3
Time and Attendance 1 0 1 5 1 0
Training 1 2 0 2 1 0
Other 3 1 3 0 3 0

 

Processing Time Comparative Data
Previous Fiscal Year Data 2014
Thru
12-31
2009 2010 2011 2012 2013
Complaints pending during fiscal year
Average number of days in investigation 291.55 256.30 262.23 281.48 282.85 306.04
Average number of days in final action 0 73.00 55.00 47.67 51.00 0
Complaint pending during fiscal year where hearing was requested
Average number of days in investigation 294.80 269.77 277.04 289.05 284.52 310.13
Average number of days in final action 0 21.00 0 8.00 41.00 0
Complaint pending during fiscal year where hearing was not requested
Average number of days in investigation 259.00 206.29 203.00 241.75 273.25 259.00
Average number of days in final action 0 104.20 55.00 67.50 61.00 0

 

Complaints Dismissed by Agency Comparative Data
Previous Fiscal Year Data 2014
Thru
12-31
2009 2010 2011 2012 2013
Total Complaints Dismissed by Agency 1 6 4 2 1 1
Average days pending prior to dismissal 52 170 41 282 37 24
Complaints Withdrawn by Complainants
Total Complaints Withdrawn by Complainants 0 1 2 0 3 2

 

Total Final Agency Actions Finding Discrimination Comparative Data
Previous Fiscal Year Data 2014
Thru
12-31
2009 2010 2011 2012 2013
# % # % # % # % # % # %
Total Number Findings 0   0   0   0   0   0  
Without Hearing 0 0 0 0 0 0 0 0 0 0 0 0
With Hearing 0 0 0 0 0 0 0 0 0 0 0 0

 

Findings of Discrimination Rendered by Basis Comparative Data
Previous Fiscal Year Data 2014
Thru
12-31
Note: Complaints can be filed alleging multiple bases.
The sum of the bases may not equal total complaints and findings.
2009 2010 2011 2012 2013
# % # % # % # % # % # %
Total Number Findings 0   0   0   0   0   0  
Race 0 0 0 0 0 0 0 0 0 0 0 0
Color 0 0 0 0 0 0 0 0 0 0 0 0
Religion 0 0 0 0 0 0 0 0 0 0 0 0
Reprisal 0 0 0 0 0 0 0 0 0 0 0 0
Sex 0 0 0 0 0 0 0 0 0 0 0 0
PDA 0 0 0 0 0 0 0 0 0 0 0 0
National Origin 0 0 0 0 0 0 0 0 0 0 0 0
Equal Pay Act 0 0 0 0 0 0 0 0 0 0 0 0
Age 0 0 0 0 0 0 0 0 0 0 0 0
Disability 0 0 0 0 0 0 0 0 0 0 0 0
Genetics 0 0 0 0 0 0 0 0 0 0 0 0
Non-EEO 0 0 0 0 0 0 0 0 0 0 0 0
 
Findings After Hearing 0   0   0   0   0   0  
Race 0 0 0 0 0 0 0 0 0 0 0 0
Color 0 0 0 0 0 0 0 0 0 0 0 0
Religion 0 0 0 0 0 0 0 0 0 0 0 0
Reprisal 0 0 0 0 0 0 0 0 0 0 0 0
Sex 0 0 0 0 0 0 0 0 0 0 0 0
PDA 0 0 0 0 0 0 0 0 0 0 0 0
National Origin 0 0 0 0 0 0 0 0 0 0 0 0
Equal Pay Act 0 0 0 0 0 0 0 0 0 0 0 0
Age 0 0 0 0 0 0 0 0 0 0 0 0
Disability 0 0 0 0 0 0 0 0 0 0 0 0
Genetics 0 0 0 0 0 0 0 0 0 0 0 0
Non-EEO 0 0 0 0 0 0 0 0 0 0 0 0
 
Findings Without Hearing 0   0   0   0   0   0  
Race 0 0 0 0 0 0 0 0 0 0 0 0
Color 0 0 0 0 0 0 0 0 0 0 0 0
Religion 0 0 0 0 0 0 0 0 0 0 0 0
Reprisal 0 0 0 0 0 0 0 0 0 0 0 0
Sex 0 0 0 0 0 0 0 0 0 0 0 0
PDA 0 0 0 0 0 0 0 0 0 0 0 0
National Origin 0 0 0 0 0 0 0 0 0 0 0 0
Equal Pay Act 0 0 0 0 0 0 0 0 0 0 0 0
Age 0 0 0 0 0 0 0 0 0 0 0 0
Disability 0 0 0 0 0 0 0 0 0 0 0 0
Genetics 0 0 0 0 0 0 0 0 0 0 0 0
Non-EEO 0 0 0 0 0 0 0 0 0 0 0 0

 

Findings of Discrimination Rendered by Issue Comparative Data
Previous Fiscal Year Data 2014
Thru
12-31
2009 2010 2011 2012 2013
# % # % # % # % # % # %
Total Number Findings 0   0   0   0   0   0  
Appointment/Hire 0 0 0 0 0 0 0 0 0 0 0 0
Assignment of Duties 0 0 0 0 0 0 0 0 0 0 0 0
Awards 0 0 0 0 0 0 0 0 0 0 0 0
Conversion to Full-time 0 0 0 0 0 0 0 0 0 0 0 0
Disciplinary Action
Demotion 0 0 0 0 0 0 0 0 0 0 0 0
Reprimand 0 0 0 0 0 0 0 0 0 0 0 0
Suspension 0 0 0 0 0 0 0 0 0 0 0 0
Removal 0 0 0 0 0 0 0 0 0 0 0 0
Other 0 0 0 0 0 0 0 0 0 0 0 0
Duty Hours 0 0 0 0 0 0 0 0 0 0 0 0
Evaluation Appraisal 0 0 0 0 0 0 0 0 0 0 0 0
Examination/Test 0 0 0 0 0 0 0 0 0 0 0 0
Harassment
Non-Sexual 0 0 0 0 0 0 0 0 0 0 0 0
Sexual 0 0 0 0 0 0 0 0 0 0 0 0
Medical Examination 0 0 0 0 0 0 0 0 0 0 0 0
Pay (Including Overtime) 0 0 0 0 0 0 0 0 0 0 0 0
Promotion/Non-Selection 0 0 0 0 0 0 0 0 0 0 0 0
Reassignment
Denied 0 0 0 0 0 0 0 0 0 0 0 0
Directed 0 0 0 0 0 0 0 0 0 0 0 0
Reasonable Accommodation 0 0 0 0 0 0 0 0 0 0 0 0
Reinstatement 0 0 0 0 0 0 0 0 0 0 0 0
Retirement 0 0 0 0 0 0 0 0 0 0 0 0
Termination 0 0 0 0 0 0 0 0 0 0 0 0
Terms/Conditions of Employment 0 0 0 0 0 0 0 0 0 0 0 0
Time and Attendance 0 0 0 0 0 0 0 0 0 0 0 0
Training 0 0 0 0 0 0 0 0 0 0 0 0
Other - User Defined 0 0 0 0 0 0 0 0 0 0 0 0
 
Findings After Hearing 0   0   0   0   0   0  
Appointment/Hire 0 0 0 0 0 0 0 0 0 0 0 0
Assignment of Duties 0 0 0 0 0 0 0 0 0 0 0 0
Awards 0 0 0 0 0 0 0 0 0 0 0 0
Conversion to Full-time 0 0 0 0 0 0 0 0 0 0 0 0
Disciplinary Action
Demotion 0 0 0 0 0 0 0 0 0 0 0 0
Reprimand 0 0 0 0 0 0 0 0 0 0 0 0
Suspension 0 0 0 0 0 0 0 0 0 0 0 0
Removal 0 0 0 0 0 0 0 0 0 0 0 0
Other 0 0 0 0 0 0 0 0 0 0 0 0
Duty Hours 0 0 0 0 0 0 0 0 0 0 0 0
Evaluation Appraisal 0 0 0 0 0 0 0 0 0 0 0 0
Examination/Test 0 0 0 0 0 0 0 0 0 0 0 0
Harassment
Non-Sexual 0 0 0 0 0 0 0 0 0 0 0 0
Sexual 0 0 0 0 0 0 0 0 0 0 0 0
Medical Examination 0 0 0 0 0 0 0 0 0 0 0 0
Pay (Including Overtime) 0 0 0 0 0 0 0 0 0 0 0 0
Promotion/Non-Selection 0 0 0 0 0 0 0 0 0 0 0 0
Reassignment
Denied 0 0 0 0 0 0 0 0 0 0 0 0
Directed 0 0 0 0 0 0 0 0 0 0 0 0
Reasonable Accommodation 0 0 0 0 0 0 0 0 0 0 0 0
Reinstatement 0 0 0 0 0 0 0 0 0 0 0 0
Retirement 0 0 0 0 0 0 0 0 0 0 0 0
Termination 0 0 0 0 0 0 0 0 0 0 0 0
Terms/Conditions of Employment 0 0 0 0 0 0 0 0 0 0 0 0
Time and Attendance 0 0 0 0 0 0 0 0 0 0 0 0
Training 0 0 0 0 0 0 0 0 0 0 0 0
Other - User Defined 0 0 0 0 0 0 0 0 0 0 0 0
 
Findings Without Hearing 0   0   0   0   0   0  
Appointment/Hire 0 0 0 0 0 0 0 0 0 0 0 0
Assignment of Duties 0 0 0 0 0 0 0 0 0 0 0 0
Awards 0 0 0 0 0 0 0 0 0 0 0 0
Conversion to Full-time 0 0 0 0 0 0 0 0 0 0 0 0
Disciplinary Action
Demotion 0 0 0 0 0 0 0 0 0 0 0 0
Reprimand 0 0 0 0 0 0 0 0 0 0 0 0
Suspension 0 0 0 0 0 0 0 0 0 0 0 0
Removal 0 0 0 0 0 0 0 0 0 0 0 0
Other 0 0 0 0 0 0 0 0 0 0 0 0
Duty Hours 0 0 0 0 0 0 0 0 0 0 0 0
Evaluation Appraisal 0 0 0 0 0 0 0 0 0 0 0 0
Examination/Test 0 0 0 0 0 0 0 0 0 0 0 0
Harassment
Non-Sexual 0 0 0 0 0 0 0 0 0 0 0 0
Sexual 0 0 0 0 0 0 0 0 0 0 0 0
Medical Examination 0 0 0 0 0 0 0 0 0 0 0 0
Pay (Including Overtime) 0 0 0 0 0 0 0 0 0 0 0 0
Promotion/Non-Selection 0 0 0 0 0 0 0 0 0 0 0 0
Reassignment
Denied 0 0 0 0 0 0 0 0 0 0 0 0
Directed 0 0 0 0 0 0 0 0 0 0 0 0
Reasonable Accommodation 0 0 0 0 0 0 0 0 0 0 0 0
Reinstatement 0 0 0 0 0 0 0 0 0 0 0 0
Retirement 0 0 0 0 0 0 0 0 0 0 0 0
Termination 0 0 0 0 0 0 0 0 0 0 0 0
Terms/Conditions of Employment 0 0 0 0 0 0 0 0 0 0 0 0
Time and Attendance 0 0 0 0 0 0 0 0 0 0 0 0
Training 0 0 0 0 0 0 0 0 0 0 0 0
Other - User Defined 0 0 0 0 0 0 0 0 0 0 0 0

 

Pending Complaints Filed in Previous Fiscal Years by Status Comparative Data
Previous Fiscal Year Data 2014
Thru
12-31
2009 2010 2011 2012 2013
Total complaints from previous Fiscal Years 4 14 13 8 25 33
Total Complainants 4 13 11 5 18 20
Number complaints pending
Investigation 0 0 1 0 0 4
ROI issued, pending Complainant's action 0 0 0 0 1 0
Hearing 4 3 2 4 17 20
Final Agency Action 0 0 0 2 0 0
Appeal with EEOC Office of Federal Operations 1 1 3 4 3 3

 

Complaint Investigations Comparative Data
Previous Fiscal Year Data 2014
Thru
12-31
2009 2010 2011 2012 2013
Pending Complaints Where Investigations Exceed Required Time Frames 0 0 1 1 2 0

 

http://www.sec.gov/eeoinfo/nofeardata.htm

Modified: 10/24/2013