Skip to main content

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

May 12, 2017

For 4th Quarter 2020 for period ending September 30, 2020

Complaint Activity Comparative Data
Previous Fiscal Year Data 2020
Thru
9-30
2015 2016 2017 2018 2019
Number of Complaints Filed 27 30 24 12 24 16
Number of Complainants 25 29 23 12 21 16
Repeat Filers 2 1 1 0 3 0
Complaints by Basis Comparative Data
Previous Fiscal Year Data 2020
Thru
9-30
Note: Complaints can be filed alleging multiple bases.
The sum of the bases may not equal total complaints filed.
2015 2016 2017 2018 2019
Race 13 19 12 6 12 7
Color 4 6 4 2 3 3
Religion 1 5 2 1 4 0
Reprisal 17 18 15 9 14 12
Sex 12 16 9 6 14 9
PDA 0 0 0 0 1 0
National Origin 2 2 2 1 1 1
Equal Pay Act 3 2 1 2 4 0
Age 15 14 11 4 10 5
Disability 5 12 5 3 4 5
Genetics 0 0 0 0 0 0
Non-EEO 1 5 2 0 4 2
Complaints by Issue Comparative Data
Previous Fiscal Year Data 2020
Thru
9-30
Note: Complaints can be filed alleging multiple bases.
The sum of the bases may not equal total complaints filed.
2015 2016 2017 2018 2019
Appointment/Hire 6 9 4 1 0 2
Assignment of Duties 0 5 2 2 4 5
Awards 2 4 2 3 2 2
Conversion to Full Time/Perm Status 0 1 0 0 0 0
Disciplinary Action
Demotion 2 0 1 0 0 0
Reprimand 1 1 1 0 1 1
Suspension 1 1 1 0 0 1
Removal 2 2 1 2 2 1
Duty Hours 0 1 0 0 0 0
Perf. Eval./ Appraisal 7 6 8 6 3 2
Examination/Test 0 0 0 0 0 0
Harassment
Non-Sexual 8 14 11 5 9 9
Sexual 0 1 1 0 2 0
Medical Examination 0 0 0 0 0 0
Pay including overtime 3 3 2 1 3 1
Promotion/Non-Selection 8 8 0 5 7 2
Reassignment
Denied 0 2 0 0 0 1
Directed 1 3 2 1 1 0
Reasonable Accommodation Disability 0 6 2 1 3 2
Reinstatement 0 0 0 0 0 0
Religious Accommodation 0 1 0 0 0 0
Retirement 0 0 0 1 0 0
Sex-Stereotyping 0 0 0 0 0 0
Telework 2 2 0 0 0 0
Termination 2 1 2 0 1 1
Terms/Conditions of Employment 6 4 5 1 6 11
Time and Attendance 2 3 1 1 1 0
Training 2 0 1 0 0 0
Other
Other 1 - Non EEO Harassment 0 0 0 0 0 0
None Provided 0 0 1 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 2020
Thru
9-30
2015 2016 2017 2018 2019
Complaints pending during fiscal year
Average number of days in investigation 129.88 169.40 198.95 189.76 175.78 218.88
Average number of days in final action 46.29 46.79 43.86 38.10 57.38 52.00
Complaint pending during fiscal year where hearing was requested
Average number of days in investigation 126.00 181.79 203.50 207.50 174.71 226.57
Average number of days in final action 18.50 34.50 29.67 23.00 50.50 48.00
Complaint pending during fiscal year where hearing was not requested
Average number of days in investigation 131.17 153.64 191.14 161.83 179.50 183.00
Average number of days in final action 57.40 51.70 54.50 52.80 78.00 60.00
Complaints Dismissed by Agency Comparative Data
Previous Fiscal Year Data 2020
Thru
9-30
2015 2016 2017 2018 2019
Total Complaints Dismissed by Agency 3 0 1 0 5 0
Average days pending prior to dismissal 42 0 41 0 141 0
Complaints Withdrawn by Complainants
Total Complaints Withdrawn by Complainants 1 1 0 3 0 0
Total Final Agency Actions Finding Discrimination Comparative Data
Previous Fiscal Year Data 2020
Thru
9-30
2015 2016 2017 2018 2019
# % # % # % # % # % # %
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 2020
Thru
9-30
Note: Complaints can be filed alleging multiple bases.
The sum of the bases may not equal total complaints and findings.
2015 2016 2017 2018 2019
# % # % # % # % # % # %
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 2020
Thru
9-30
2015 2016 2017 2018 2019
# % # % # % # % # % # %
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/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 Define
Other 1 - Non EEO Harassment 0 0 0 0 0 0 0 0 0 0 0 0
None Provided 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 Define
Other 1 - Non EEO Harassment 0 0 0 0 0 0 0 0 0 0 0 0
None Provided 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/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 Define
Other 1 - Non EEO Harassment 0 0 0 0 0 0 0 0 0 0 0 0
None Provided 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 2020
Thru
9-30
2015 2016 2017 2018 2019
Total complaints from previous Fiscal Years 12 11 19 19 15 17
Total Complainants 10 11 19 17 13 13
Number complaints pending
Investigation 0 0 0 0 0 0
ROI issued, pending Complainant's action 0 0 0 0 0 0
Hearing 11 11 17 18 15 15
Final Agency Action 1 0 2 1 0 2
Appeal with EEOC Office of Federal Operations 0 5 5 6 1 4
Complaint Investigations Comparative Data
Previous Fiscal Year Data 2020
Thru
9-30
2015 2016 2017 2018 2019
Pending Complaints Where Investigations Exceed Required Time Frames 0 0 0 0 0 1
Return to Top