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

May 12, 2017

For 4th Quarter 2021 for period ending September 30, 2021

Complaint Activity Comparative Data
Previous Fiscal Year Data 2021
Thru
09-30
2016 2017 2018 2019 2020
Number of Complaints Filed 30 24 12 24 16 15
Number of Complainants 29 23 12 21 16 14
Repeat Filers 1 1 0 3 0 1
Complaints by Basis Comparative Data
Previous Fiscal Year Data 2021
Thru
09-30
Note: Complaints can be filed alleging multiple bases.
The sum of the bases may not equal total complaints filed.
2016 2017 2018 2019 2020
Race 19 12 6 12 7 5
Color 6 4 2 3 3 1
Religion 5 2 1 4 0 3
Reprisal 18 15 9 14 12 11
Sex 16 9 6 14 9 8
PDA 0 0 0 1 0 0
National Origin 2 2 1 1 1 1
Equal Pay Act 2 1 2 4 0 1
Age 14 11 4 10 5 8
Disability 12 5 3 4 5 6
Genetics 0 0 0 0 0 0
Non-EEO 5 2 0 4 2 1
Complaints by Issue Comparative Data
Previous Fiscal Year Data 2021
Thru
09-30
Note: Complaints can be filed alleging multiple bases.
The sum of the bases may not equal total complaints filed.
2016 2017 2018 2019 2020
Appointment/Hire 9 4 1 0 2 1
Assignment of Duties 5 2 2 4 5 3
Awards 4 2 3 2 2 2
Conversion to Full Time/Perm Status 1 0 0 0 0 0
Disciplinary Action
Demotion 0 1 0 0 0 1
Reprimand 1 1 0 1 1 0
Suspension 1 1 0 0 1 0
Removal 2 1 2 2 1 0
Duty Hours 1 0 0 0 0 0
Perf. Eval./ Appraisal 6 8 6 3 2 8
Examination/Test 0 0 0 0 0 0
Harassment
Non-Sexual 14 11 5 9 9 8
Sexual 1 1 0 2 0 0
Medical Examination 0 0 0 0 0 0
Pay including overtime 3 2 1 3 1 1
Promotion/Non-Selection 8 0 5 7 2 3
Reassignment
Denied 2 0 0 0 1 0
Directed 3 2 1 1 0 0
Reasonable Accommodation Disability 6 2 1 3 2 2
Reinstatement 0 0 0 0 0 0
Religious Accommodation 1 0 0 0 0 0
Retirement 0 0 1 0 0 0
Sex-Stereotyping 0 0 0 0 0 0
Telework 2 0 0 0 0 0
Termination 1 2 0 1 1 1
Terms/Conditions of Employment 4 5 1 6 11 7
Time and Attendance 3 1 1 1 0 0
Training 0 1 0 0 0 0
Other
Other 1 - Non EEO Harassment 0 0 0 0 0 0
None Provided 0 1 0 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 2021
Thru
09-30
2016 2017 2018 2019 2020
Complaints pending during fiscal year
Average number of days in investigation 169.40 198.95 189.76 175.78 218.88 243.09
Average number of days in final action 46.79 43.86 38.10 57.38 52.00 39.91
Complaint pending during fiscal year where hearing was requested
Average number of days in investigation 181.79 203.50 207.50 174.71 226.57 219.80
Average number of days in final action 34.50 29.67 23.00 50.50 48.00 41.00
Complaint pending during fiscal year where hearing was not requested
Average number of days in investigation 153.64 191.14 161.83 179.50 183.00 278.80
Average number of days in final action 51.70 54.50 52.80 78.00 60.00 58.00
Complaints Dismissed by Agency Comparative Data
Previous Fiscal Year Data 2021
Thru
09-30
2016 2017 2018 2019 2020
Total Complaints Dismissed by Agency 0 1 0 5 0 0
Average days pending prior to dismissal 0 41 0 141 0 0
Complaints Withdrawn by Complainants
Total Complaints Withdrawn by Complainants 1 0 3 0 0 2
Total Final Agency Actions Finding Discrimination Comparative Data
Previous Fiscal Year Data 2021
Thru
09-30
2016 2017 2018 2019 2020
# % # % # % # % # % # %
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 2021
Thru
09-30
Note: Complaints can be filed alleging multiple bases.
The sum of the bases may not equal total complaints and findings.
2016 2017 2018 2019 2020
# % # % # % # % # % # %
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 2021
Thru
09-30
2016 2017 2018 2019 2020
# % # % # % # % # % # %
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 2021
Thru
09-30
2016 2017 2018 2019 2020
Total complaints from previous Fiscal Years 11 19 19 15 17 12
Total Complainants 11 19 17 13 13 12
Number complaints pending
Investigation 0 0 0 0 0 0
ROI issued, pending Complainant's action 0 0 0 0 0 0
Hearing 11 17 18 15 15 10
Final Agency Action 0 2 1 0 2 2
Appeal with EEOC Office of Federal Operations 5 5 6 1 4 2
Complaint Investigations Comparative Data
Previous Fiscal Year Data 2021
Thru
09-30
2016 2017 2018 2019 2020
Pending Complaints Where Investigations Exceed Required Time Frames 0 0 0 0 1 0
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