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Securities and Exchange Commission (SEC) FY 2014 EEO Complaint Processing Statistics

Outcome of Counselings Completed in FY 2014
Pre-Complaint Counseling Outcomes	Completed by EEO Counselor		Completed Using ADR		All Completed Counselings
Pre-Complaint Counseling Outcomes	#	%	#	%	#	%
Pre-Complaint Counselings	25		16		41
Settlements	1	4%	2	12.5%	3	7.3%
Withdrawals or No Complaints Filed	13	52%	6	37.5%	19	46.3%
Complaints Filed*					15	36.6%
Decision to File Complaint Pending at End of FY					4	9.8%

*Includes only complaints filed in FY 2014 where counseling was also completed during FY 2014.

Agency Use of ADR for EEO Dispute Resolution in FY 2014
	Total Number	Offer Rate	Participation Rate
Pre-Complaint Counselings	41	80.5%	39%
Complaint Closures	26	3.9%	3.9%

Bases Most Frequently Alleged in FY 2014 Filed Complaints
	Top Basis 1	Top Basis 2	Top Basis 3
Bases of Alleged Discrimination	REPRISAL	AGE	SEX (FEMALE)

Timeliness in FY 2014
	Total #	# Timely	% Timely	FY 2013 APD*	FY 2014 APD*	% Change	Govt Wide APD*
All Pre-Complaint Counselings (minus remands)	41	41	100%
All Investigations	16	14	87.5%	353	216	-38.8%	197
All Complaint Closures	26			312	504	61.5%	419
Merit Decisions (no AJ)	3	2	66.7%	359	365	1.7%	439
Dismissal Decisions (no AJ)	2			37	14	-62.2%	66

*APD =Average Processing Days

Outcomes of Complaints in FY 2014
	#	%	#	%	#	%	#	%
	Complaint Closures		Final Agency Decision (No AJ Decision)		Final Order (AJ Decision Fully Implemented)		Final Order (AJ Decision Not Fully Implemented)
Total Complaints Filed	16
Total Closures	26
Settlements	16	61.5%
Withdrawals	4	15.4%
Total Final Agency Actions	6	23.1%	5	83.3%	1	16.7%	0	0%
Dismissals	2	33.3%	2	100%	0	0%	0	0%
Merit Decisions	4	66.7%	3	75%	1	25%	0	0%
Finding Discrimination	0	NA%	0	NA%	0	NA%	0	NA%
Finding No Discrimination	4	100%	3	75%	1	25%	0	0%

Costs Associated with EEO Process in FY 2014
	Total #	Total Amount	Average Amount
Pre-Complaint Settlements w/ Monetary Benefits	1	$35,000	$35,000
ADR Settlements w/ Monetary Benefits	1	$35,000	$35,000
Investigation Costs	16	$47,867	$2,991
Complaint Closures with Monetary Benefits	15	$180,751	$12,050
ADR Settlements w/ Monetary Benefits	1	$5,000	$5,000