Other

Equal Employment Opportunity Data Posted Pursuant to the No FEAR Act: U. S. Securities and Exchange Commission

May 12, 2017

For 4th Quarter 2019 for period ending September 30, 2019

Complaint Activity Comparative Data
Previous Fiscal Year Data 2019Thru09-30
2014 2015 2016 2017 2018
Number of Complaints Filed 16 27 30 24 12 24
Number of Complainants 16 25 29 23 12 21
Repeat Filers 0 2 1 1 0 3
Complaints by Basis Comparative Data
Previous Fiscal Year Data 2019Thru09-30
Note: Complaints can be filed alleging multiple bases.
The sum of the bases may not equal total complaints filed.		 2014 2015 2016 2017 2018
Race 9 13 19 12 6 12
Color 5 4 6 4 2 3
Religion 2 1 5 2 1 4
Reprisal 8 17 18 15 9 14
Sex 11 12 16 9 6 14
PDA 0 0 0 0 0 1
National Origin 2 2 2 2 1 1
Equal Pay Act 1 3 2 1 2 4
Age 8 15 14 11 4 10
Disability 2 5 12 5 3 4
Genetics 0 0 0 0 0 0
Non-EEO 2 1 5 2 0 4
Complaints by Issue Comparative Data
Previous Fiscal Year Data 2019Thru09-30
Note: Complaints can be filed alleging multiple bases.
The sum of the bases may not equal total complaints filed.		 2014 2015 2016 2017 2018
Appointment/Hire 1 6 9 4 1 0
Assignment of Duties 1 0 5 2 2 4
Awards 0 2 4 2 3 2
Conversion to Full-time 0 0 1 0 0 0
Disciplinary Action
Demotion 0 2 0 1 0 0
Reprimand 1 1 1 1 0 1
Suspension 1 1 1 1 0 0
Removal 1 2 2 1 2 2
Duty Hours 0 0 1 0 0 0
Perf. Eval./ Appraisal 2 7 6 8 6 3
Examination/Test 0 0 0 0 0 0
Harassment
Non-Sexual 6 8 14 11 5 9
Sexual 0 0 1 1 0 2
Medical Examination 0 0 0 0 0 0
Pay including overtime 2 3 3 2 1 3
Promotion/Non-Selection 3 8 8 0 5 7
Reassignment
Denied 1 0 2 0 0 0
Directed 0 1 3 2 1 1
Reasonable Accommodation Disability 3 0 6 2 1 3
Reinstatement 0 0 0 0 0 0
Religious Accommodation 0 0 1 0 0 0
Retirement 0 0 0 0 1 0
Sex-Stereotyping 0 0 0 0 0 0
Telework 0 2 2 0 0 0
Termination 3 2 1 2 0 1
Terms/Conditions of Employment 6 6 4 5 1 6
Time and Attendance 2 2 3 1 1 1
Training 0 2 0 1 0 0
Other
Other 1 - Non EEO Harassment 0 0 0 0 0 0
Other 2 – None Provided 0 0 0 1 0 0
User Defined - Other 3 0 0 0 0 0 0
User Defined - Other 4 0 0 0 0 0 0
Processing Time Comparative Data
Previous Fiscal Year Data 2019Thru09-30
2014 2015 2016 2017 2018
Complaints pending during fiscal year
Average number of days in investigation 195.32 129.88 169.40 198.95 189.76 175.78
Average number of days in final action 41.00 46.29 46.79 43.86 38.10 57.38
Complaint pending during fiscal year where hearing was requested
Average number of days in investigation 194.75 126.00 181.79 203.50 207.50 174.71
Average number of days in final action 27.00 18.50 34.50 29.67 23.00 50.50
Complaint pending during fiscal year where hearing was not requested
Average number of days in investigation 196.00 131.17 153.64 191.14 161.83 179.50
Average number of days in final action 44.50 57.40 51.70 54.50 52.80 78.00
Complaints Dismissed by Agency Comparative Data
Previous Fiscal Year Data 2019Thru09-30
2014 2015 2016 2017 2018
Total Complaints Dismissed by Agency 2 3 0 1 0 5
Average days pending prior to dismissal 14 42 0 41 0 141
Complaints Withdrawn by Complainants
Total Complaints Withdrawn by Complainants 4 1 1 0 3 0
Total Final Agency Actions Finding Discrimination Comparative Data
Previous Fiscal Year Data 2019Thru09-30
2014 2015 2016 2017 2018
# % # % # % # % # % # %
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 2019Thru09-30
Note: Complaints can be filed alleging multiple bases.
The sum of the bases may not equal total complaints and findings.		 2014 2015 2016 2017 2018
# % # % # % # % # % # %
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 2019Thru09-30
2014 2015 2016 2017 2018
# % # % # % # % # % # %
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
Duty Hours 0 0 0 0 0 0 0 0 0 0 0 0
Perf. Eval./ 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 Disability 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
Religious Accommodation 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
Sex-Stereotyping 0 0 0 0 0 0 0 0 0 0 0 0
Telework 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
Other 1 - Non EEO Harassment 0 0 0 0 0 0 0 0 0 0 0 0
User Defined - Other 2 0 0 0 0 0 0 0 0 0 0 0 0
User Defined - Other 3 0 0 0 0 0 0 0 0 0 0 0 0
User Defined - Other 4 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/Perm Status 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
Duty Hours 0 0 0 0 0 0 0 0 0 0 0 0
Perf. Eval./ 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 Disability 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
Religious Accommodation 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
Sex-Stereotyping 0 0 0 0 0 0 0 0 0 0 0 0
Telework 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
Other 1 - Non EEO Harassment 0 0 0 0 0 0 0 0 0 0 0 0
User Defined - Other 2 0 0 0 0 0 0 0 0 0 0 0 0
User Defined - Other 3 0 0 0 0 0 0 0 0 0 0 0 0
User Defined - Other 4 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
Duty Hours 0 0 0 0 0 0 0 0 0 0 0 0
Perf. Eval./ 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 Disability 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
Religious Accommodation 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
Sex-Stereotyping 0 0 0 0 0 0 0 0 0 0 0 0
Telework 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
Other 1 - Non EEO Harassment 0 0 0 0 0 0 0 0 0 0 0 0
User Defined - Other 2 0 0 0 0 0 0 0 0 0 0 0 0
User Defined - Other 3 0 0 0 0 0 0 0 0 0 0 0 0
User Defined - Other 4 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 2019Thru09-30
2014 2015 2016 2017 2018
Total complaints from previous Fiscal Years 11 12 11 19 19 15
Total Complainants 8 10 11 19 17 13
Number complaints pending
Investigation 0 0 0 0 0 0
ROI issued, pending Complainant's action 0 0 0 0 0 0
Hearing 10 11 11 17 18 15
Final Agency Action 1 1 0 2 1 0
Appeal with EEOC Office of Federal Operations 1 0 5 5 6 1
Complaint Investigations Comparative Data
Previous Fiscal Year Data 2019Thru09-30
2014 2015 2016 2017 2018
Pending Complaints Where Investigations Exceed Required Time Frames 0 0 0 0 0 0

*The processing times shown include those cases affected by the lapse in appropriations from December 22, 2018 to January 26, 2019, during which OEEO staff were unable to process complaints.

Modified: Oct. 30, 2018
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