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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 2016 for period ending September 30, 2016



Complaint Activity

Comparative Data

Previous Fiscal Year Data

2016
Thru
09-30

2011

2012

2013

2014

2015

Number of Complaints Filed

10

20

18

16

27

30

Number of Complainants

9

17

17

16

25

29

Repeat Filers

1

2

1

0

2

1

 



Complaints by Basis

Comparative Data

Previous Fiscal Year Data

2016
Thru
09-30

Note: Complaints can be filed alleging multiple bases.
The sum of the bases may not equal total complaints filed.

2011

2012

2013

2014

2015

Race

7

11

7

9

13

19

Color

1

5

1

5

4

6

Religion

2

3

0

2

1

5

Reprisal

8

13

11

8

17

18

Sex

6

9

6

11

12

16

PDA

0

0

0

0

0

0

National Origin

1

4

4

2

2

2

Equal Pay Act

0

1

0

1

3

2

Age

8

13

12

8

15

14

Disability

5

11

4

2

5

12

Genetics

0

0

0

0

0

0

Non-EEO

0

6

4

2

1

5

 

Complaints by Issue

Comparative Data

Previous Fiscal Year Data

2016
Thru
09-30

Note: Complaints can be filed alleging multiple bases.
The sum of the bases may not equal total complaints filed.

2011

2012

2013

2014

2015

Appointment/Hire

4

1

1

1

6

9

Assignment of Duties

1

10

2

1

0

5

Awards

0

1

0

0

2

4

Conversion to Full-time

0

0

0

0

0

1

Disciplinary Action

 Demotion

0

0

0

0

2

0

 Reprimand

1

5

1

1

1

1

 Suspension

0

3

1

1

1

1

 Removal

0

0

0

1

2

2

Duty Hours

1

1

2

0

0

1

Perf. Eval./ Appraisal

0

9

11

2

7

6

Examination/Test

0

0

0

0

0

0

Harassment

 Non-Sexual

2

7

2

6

8

14

 Sexual

0

0

0

0

0

1

Medical Examination

0

0

0

0

0

0

Pay including overtime

0

2

1

2

3

3

Promotion/Non-Selection

1

4

2

3

8

8

Reassignment

 Denied

0

0

2

1

0

2

 Directed

1

2

0

0

1

3

Reasonable Accommodation Disability

1

5

2

3

0

6

Reinstatement

0

0

0

0

0

0

Religious Accommodation

0

0

0

0

0

1

Retirement

1

0

1

0

0

0

Sex-Stereotyping

0

0

0

0

0

0

Telework

0

0

0

0

2

2

Termination

1

1

1

3

2

1

Terms/Conditions of Employment

5

7

7

6

6

4

Time and Attendance

1

5

1

2

2

3

Training

0

2

1

0

2

0

Other

 Other 1 - Non EEO Harassment

2

0

1

0

0

0

 User Defined - Other 2

1

0

2

0

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

2016
Thru
09-30

2011

2012

2013

2014

2015

Complaints pending during fiscal year

Average number of days in investigation

166.50

259.82

276.35

195.32

129.88

169.17

Average number of days in final action

47.43

33.50

54.40

41.00

46.29

46.79

Complaint pending during fiscal year where hearing was requested

Average number of days in investigation

0

254.71

303.67

194.75

126.00

181.79

Average number of days in final action

28.00

7.00

40.00

27.00

18.50

34.50

Complaint pending during fiscal year where hearing was not requested

Average number of days in investigation

166.50

268.75

230.86

196.00

131.17

151.50

Average number of days in final action

54.00

60.00

60.00

44.50

57.40

51.70

 

Complaints Dismissed by Agency

Comparative Data

Previous Fiscal Year Data

2016
Thru
09-30

2011

2012

2013

2014

2015

Total Complaints Dismissed by Agency

4

2

1

2

3

0

Average days pending prior to dismissal

49

174

37

14

42

0

Complaints Withdrawn by Complainants

Total Complaints Withdrawn by Complainants

2

0

3

4

1

1

 



Total Final Agency Actions Finding Discrimination

Comparative Data

Previous Fiscal Year Data

2016
Thru
09-30

2011

2012

2013

2014

2015

#

%

#

%

#

%

#

%

#

%

#

%

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

2016
Thru
09-30

Note: Complaints can be filed alleging multiple bases.
The sum of the bases may not equal total complaints and findings.

2011

2012

2013

2014

2015

#

%

#

%

#

%

#

%

#

%

#

%

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

2016
Thru
09-30

2011

2012

2013

2014

2015

#

%

#

%

#

%

#

%

#

%

#

%

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

2016
Thru
09-30

2011

2012

2013

2014

2015

Total complaints from previous Fiscal Years

3

6

18

11

12

16

Total Complainants

1

3

12

8

10

14

Number complaints pending

Investigation

1

0

0

0

0

0

ROI issued, pending Complainant's action

0

0

1

0

0

0

Hearing

2

4

17

10

11

16

Final Agency Action

0

2

0

1

1

0

Appeal with EEOC Office of Federal Operations

4

3

2

1

0

5

 



Complaint Investigations

Comparative Data

Previous Fiscal Year Data

2016
Thru
09-30

2011

2012

2013

2014

2015

Pending Complaints Where Investigations Exceed Required Time Frames

1

1

1

0

0

0

 

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

Modified: 11/29/2016