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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 2015 for period ending September 30, 2015

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

Complaint Activity

 Comparative Data
Previous Fiscal Year Data

 2015
Thru
09-30
2010 2011 2012 2013 2014
Number of Complaints Filed 17 10 20 19 16 27
Number of Complainants 16 9 17 17 16 25
Repeat Filers 1 1 2 2 0 2

 

Complaints by Basis Comparative Data
Previous Fiscal Year Data 2015
Thru
09-30
Note: Complaints can be filed alleging multiple bases.
The sum of the bases may not equal total complaints filed. 		2010 2011 2012 2013 2014
Race 9 7 11 7 9 14
Color 3 1 5 1 5 4
Religion 3 2 3 0 2 1
Reprisal 8 8 13 12 7 16
Sex 5 6 9 6 10 11
PDA 0 0 0 0 0 0
National Origin 2 1 4 4 3 2
Equal Pay Act 0 0 1 0 0 3
Age 7 8 13 12 7 15
Disability 5 5 11 4 2 6
Genetics 0 0 0 0 0 0
Non-EEO 2 0 6 4 3 1

 

Complaints by Issue Comparative Data
Previous Fiscal Year Data 2015
Thru
09-30
Note: Complaints can be filed alleging multiple bases.
The sum of the bases may not equal total complaints filed. 		2010 2011 2012 2013 2014
Appointment/Hire 3 4 1 1 2 6
Assignment of Duties 3 1 10 2 1 0
Awards 2 0 1 0 0 2
Conversion to Full-time 0 0 0 0 0 0
Disciplinary Action
Demotion 0 0 0 0 0 2
Reprimand 0 1 5 1 1 1
Suspension 1 0 3 1 0 1
Removal 0 0 0 0 0 2
Other 1 0 0 1 0 2
Duty Hours 0 1 1 2 0 0
Evaluation Appraisal 5 0 9 11 1 7
Examination/Test 0 0 0 0 0 0
Harassment
Non-Sexual 3 2 7 2 5 8
Sexual 1 0 0 0 1 0
Medical Examination 0 0 0 0 0 0
Pay (Including Overtime) 1 0 2 1 1 3
Promotion/Non-Selection 1 1 4 2 3 9
Reassignment
Denied 0 0 0 2 1 0
Directed 0 1 2 0 0 1
Reasonable Accommodation 3 1 5 2 3 0
Reinstatement 0 0 0 0 0 0
Retirement 0 1 0 1 0 0
Termination 3 1 1 1 3 2
Terms/Conditions of Employment 5 6 7 9 7 6
Time and Attendance 0 1 5 1 1 3
Training 2 0 2 1 0 3
Other 1 3 0 3 0 2

 

Processing Time Comparative Data
Previous Fiscal Year Data 2015
Thru
09-30
2010 2011 2012 2013 2014
Complaints pending during fiscal year
Average number of days in investigation 251.81 256.65 272.28 274.06 195.14 129.88
Average number of days in final action 73.00 55.00 47.67 51.00 52.50 49.57
Complaint pending during fiscal year where hearing was requested
Average number of days in investigation 264.31 270.37 280.04 276.73 204.15 126.00
Average number of days in final action 21.00 0 8.00 41.00 28.00 19.50
Complaint pending during fiscal year where hearing was not requested
Average number of days in investigation 206.50 203.71 235.00 260.20 182.11 131.17
Average number of days in final action 104.20 55.00 67.50 61.00 60.67 57.40

 

Complaints Dismissed by Agency Comparative Data
Previous Fiscal Year Data 2015
Thru
09-30
2010 2011 2012 2013 2014
Total Complaints Dismissed by Agency 6 4 2 1 2 3
Average days pending prior to dismissal 170 41 282 37 14 42
Complaints Withdrawn by Complainants
Total Complaints Withdrawn by Complainants 1 2 0 3 4 1

 

Total Final Agency Actions Finding Discrimination Comparative Data
Previous Fiscal Year Data 2015
Thru
09-30
2010 2011 2012 2013 2014
# % # % # % # % # % # %
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 2015
Thru
09-30
Note: Complaints can be filed alleging multiple bases.
The sum of the bases may not equal total complaints and findings. 		2010 2011 2012 2013 2014
# % # % # % # % # % # %
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 2015
Thru
09-30
2010 2011 2012 2013 2014
# % # % # % # % # % # %
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 2015
Thru
09-30
2010 2011 2012 2013 2014
Total complaints from previous Fiscal Years

 14 13 8 25 12 12
Total Complainants 13 11 5 18 9 10
Number complaints pending
Investigation 0 1 0 0 0 0
ROI issued, pending Complainant's action 0 0 0 1 0 0
Hearing 3 2 4 17 11 11
Final Agency Action 0 0 2 1 1 1
Appeal with EEOC Office of Federal Operations 1 3 4 3 3 0

 

Complaint Investigations Comparative Data
Previous Fiscal Year Data 2015
Thru
09-30
2010 2011 2012 2013 2014
Pending Complaints Where Investigations Exceed Required Time Frames 0 1 1 2 0 0

 

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Modified: 11/23/2015