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Securities and Exchange Commission (SEC) FY 2011 EEO Complaint Processing Statistics

Outcome of Counselings Completed in FY 2011
Pre-Complaint Counseling Outcomes Completed by EEO Counselor Completed Using ADR All Completed Counselings
# % # % # %
Pre-Complaint Counseling 14 5 19
Settlements 0 0% 1 20% 1 5.3%
Withdrawals or No Complaints Filed 5 35.7% 2 40% 7 36.8%
Complaints Filed* 10 52.6%
Decision to File Complaint Pending at End of FY 1 5.3%
*Includes only complaints filed in FY 2011 where counseling was also completed during FY 2011.
Agency Use of ADR for EEO Dispute Resolution in FY 2011
Total Number Offer Rate Participation Rate
Pre-Complaint Counselings 19 31.6% 26.3%
Complaint Closures 14 7.1% 7.1%
Bases Most Frequently Alleged in FY 2011
Top Basis 1 Top Basis 2 Top Basis 3
Bases of Alleged Discrimination Reprisal Age Disability (Physical)
Timeliness in FY 2011
Total # # Timely % Timely FY 2010 APD* FY 2011 APD* % Change Govt Wide APD*
All Pre-Complaint Counselings (minus remands) 19 19 100%
All Investigations 3 3 100% 195 175 -10.3% 183
All Complaint Closures 14 234 228 -2.6% 346
Merit Decisions (no AJ) 7 7 100% 332 374 12.7% 429
Dismissal Decisions (no AJ) 4 158 42 -73.4% 73
*APD = Average Processing Days
Outcomes of Complaints in FY 2011
Complaint Closures Final Agency Decision (no AJ Decision) Final Order (AJ Decision Fully Implemented) Final Order (AJ Decision Not Fully Implemented)
# % # % # % # %
Total Complaints Filed 10
Total Closures 14
Settlements 2 14.3%
Withdrawals 1 7.1%
Total Final Agency Actions 11 78.6% 11 100% 0 0% 0 0%
Dismissals 4 36.4% 4 100% 0 0% 0 0%
Merit Decisions 7 63.6% 7 100% 0 0% 0 0%
Finding Discrimination 0 NA% 0 NA% 0 NA% 0 NA%
Finding No Discrimination 7 100% 7 100% 0 0% 0 0%
Costs Associated with EEO Process in FY 2011
Total # Total Amount Average Amount
Pre-Complaint Settlements w/ Monetary Benefits 0 $0 $0
ADR Settlements w/ Monetary Benefits 0 $0 $0
Investigation Costs 3 $17,858 $5,952
Complaint Closures with Monetary Benefits 2 $21,500 $10,750
ADR Settlements w/ Monetary Benefits 0 $0 $0