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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 4th Quarter 2014 for period ending September 30, 2014

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

Complaint Activity

 Comparative Data
Previous Fiscal Year Data

 2014
Thru
09-30
2009

 2010

 2011

 2012

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

 

Complaints by Basis Comparative Data
Previous Fiscal Year Data 2014
Thru
09-30
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 7 9
Color 2 3 1 5 1 5
Religion 1 3 2 3 0 2
Reprisal 8 8 8 13 12 7
Sex 6 5 6 9 6 11
PDA 0 0 0 0 0 0
National Origin 0 2 1 4 4 3
Equal Pay Act 1 0 0 1 0 0
Age 7 7 8 13 12 7
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
09-30
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 2
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 1
Examination/Test 0 0 0 0 0 0
Harassment
 Non-Sexual 4 3 2 7 2 5
 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 3
Reassignment
 Denied 0 0 0 0 2 1
 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 3
Terms/Conditions of Employment 8 5 6 7 9 7
Time and Attendance 1 0 1 5 1 1
Training 1 2 0 2 1 0
Other 3 1 3 0 3 0

 

Processing Time Comparative Data
Previous Fiscal Year Data 2014
Thru
09-30
2009 2010 2011 2012 2013
Complaints pending during fiscal year
Average number of days in investigation 279.73 251.81 256.65 272.28 274.06 195.14
Average number of days in final action 0 73.00 55.00 47.67 51.00 52.50
Complaint pending during fiscal year where hearing was requested
Average number of days in investigation 284.65 264.31 270.37 280.04 276.73 204.15
Average number of days in final action 0 21.00 0 8.00 41.00 28.00
Complaint pending during fiscal year where hearing was not requested
Average number of days in investigation 242.00 206.50 203.71 235.00 260.20 182.11
Average number of days in final action 0 104.20 55.00 67.50 61.00 60.67

 

Complaints Dismissed by Agency Comparative Data
Previous Fiscal Year Data 2014
Thru
09-30
2009 2010 2011 2012 2013
Total Complaints Dismissed by Agency 1 6 4 2 1 2
Average days pending prior to dismissal 52 170 41 282 37 14
Complaints Withdrawn by Complainants
Total Complaints Withdrawn by Complainants 0 1 2 0 3 4

 

Total Final Agency Actions Finding Discrimination Comparative Data
Previous Fiscal Year Data 2014
Thru
09-30
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
09-30
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
09-30
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
09-30
2009 2010 2011 2012 2013
Total complaints from previous Fiscal Years 4 14 13 8 25 12
Total Complainants 4 13 11 5 18 9
Number complaints pending
Investigation 0 0 1 0 0 0
ROI issued, pending Complainant's action 0 0 0 0 1 0
Hearing 4 3 2 4 17 11
Final Agency Action 0 0 0 2 0 1
Appeal with EEOC Office of Federal Operations 1 1 3 4 3 3

 

Complaint Investigations Comparative Data
Previous Fiscal Year Data 2014
Thru
09-30
2009 2010 2011 2012 2013
Pending Complaints Where Investigations Exceed Required Time Frames 0 0 1 1 2 0

 

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Modified: 02/25/2015