NOTIFICATION AND FEDERAL 

EMPLOYEE ANTIDISCRIMINATION 

AND RETALIATION ACT OF 2002

ANNUAL REPORT TO CONGRESS

FISCAL YEAR 2021

FISCAL YEAR 2021 | iii

CONTENTS

INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

EXAMINATION OF TRENDS AND CAUSAL ANALYSIS . . . . . . . . . . . . . . . . . . . . 6

PRACTICAL KNOWLEDGE GAINED THROUGH EXPERIENCE AND ACTIONS 

PLANNED TO IMPROVE COMPLAINT AND CIVIL RIGHTS PROGRAMS. . . . . . . . . . . 10

SEC’S NO FEAR ACT TRAINING PLAN. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Training for New SEC Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Training for All SEC Employees Every Two Years. . . . . . . . . . . . . . . . . . . . . . 14

Additional Outreach Regarding Rights and Remedies. . . . . . . . . . . . . . . . . . . . 15

WHISTLEBLOWER PROTECTION LAWS. . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

ATTACHMENT A: EQUAL OPPORTUNITY DATA POSTED PURSUANT 

TO THE NO FEAR ACT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

ATTACHMENT B: SEC’S DISCIPLINARY ACTION POLICIES. . . . . . . . . . . . . . . . . . 26

2018 Collective Bargaining Agreement Between U.S. Securities and 

Exchange Commission and the National Treasury Employees Union. . . . . . . . . . . . 29

Prepared by

THE OFFICE OF EQUAL EMPLOYMENT OPPORTUNITY
The No FEAR Act requires 

federal agencies to 

maintain a productive and 

mission-focused workplace 

by affording employees, 

former employees and 

applicants for employment 

notice of their rights under 

antidiscrimination and 

whistleblower protection 

laws; and by holding 

agencies and violators of 

these laws accountable.

“
FISCAL YEAR 2021 | 1

INTRODUCTION

On May 15, 2002, Congress enacted the Notification and Federal Employee Antidiscrimination 

and Retaliation Act of 2002 (Pub. L. No 107-174) (No FEAR Act). The No FEAR Act requires 

federal agencies to maintain a productive and mission-focused workplace by affording employees, 

former employees and applicants for employment notice of their rights under antidiscrimination and 

whistleblower protection laws; and by holding agencies and violators of these laws accountable. On 

January 1, 2021, the Elijah E. Cummings Federal Employee Antidiscrimination Act of 2020 (Pub.

L. No. 116-283) (Cummings Act) amended the No FEAR Act to require federal agencies to increase 

accountability under these laws by, among other things:

n Mandating a direct reporting relationship from the head of the Equal Employment Opportunity 

Program to the head of the agency;

n Posting a notice, on a public-facing website, of any final finding of discrimination or retaliation by 

the agency within 90 days of such finding and maintaining the posting for not less than 1 year;

n Notifying the Equal Employment Opportunity Commission whether disciplinary action has 

been proposed against any agency employee as a result of a finding that the agency committed 

discrimination or retaliation, within 120 days of such finding;

n Establishing a system to track each complaint of discrimination, arising under one of the statutes 

listed in 5 U.S.C. section 2302(b)(1), through its conclusion, including whether a decision has been 

made regarding disciplinary action;

n Notating any adverse action and the reason for the action in an employee’s personnel record if an 

agency takes an adverse against the employee under 5 U.S.C. section 7512 in relation to a finding 

of discrimination or retaliation by the agency; and

n Restricting nondisclosure agreements from prohibiting or restricting personnel from disclosing 

whistleblower information.

1

The reporting provisions of the No FEAR Act, as amended, set forth under section724.302(a)-(c), 

the items to be included in the Annual No FEAR Act Report concerning cases filed under Federal 

antidiscrimination laws and whistleblower protection laws.

1 https://www.govinfo.gov/content/pkg/PLAW-116publ283/html/PLAW-116publ283.htm
2 | No FEAR Act Annual Report

Agencies must include the following information:

n The number of Federal court cases, pending or resolved, arising under No FEAR Act laws, and the 

status and disposition of the cases;

n Judgment Fund reimbursements and adjustments to the agency’s budget to meet reimbursement 

requirements;

n The number and type of disciplinary actions related to discrimination, retaliation, or harassment, 

and the agency’s policy relating to appropriate disciplinary action;

n Year-end summary data related to the agency’s Equal Employment Opportunity (EEO) complaint 

activity for the fiscal year;2

n An analysis of trends, causation, and practical knowledge gained through experience;

n Actions planned or taken to improve the agency’s discrimination complaint programs; and

n The agency’s No FEAR Act training plan.

Reports must be submitted to: 

n The Speaker of the U.S. House of Representatives; 

n President Pro Tempore of the U.S. Senate;

n U.S. Senate Committee on Homeland Security and Governmental Affairs; 

n U.S. House of Representatives Committee on Oversight and Reform; 

n Each committee of Congress with jurisdiction relating to the agency; 

n U.S. Attorney General; 

n Director, U.S. Office of Personnel Management; and

n Chair, U.S. Equal Employment Opportunity Commission. 

2 The No FEAR Act data for the SEC can be accessed from the agency’s homepage (SEC.gov), or directly at https://www.

sec.gov/eeoinfo/nofeardata.htm.
FISCAL YEAR 2021 | 3

This is the U.S. Securities and Exchange Commission’s (SEC) Annual No FEAR Act Report for Fiscal 

Year (FY) 2021 in accordance with reporting obligations at 5 C.F.R. section 724.302 (a)-(c).

Section 724.302(a)(1): The number of cases in Federal court pending or resolved in each fiscal 

year and arising under each of the respective provisions of the Federal Antidiscrimination Laws 

applicable to them as defined in section 724.102 of subpart A of this part in which an employee, 

former Federal employee, or applicant alleged a violation(s) of these laws, separating data by the 

provision(s) of law involved.

Section 724.302(a)(2)(i): In the aggregate, for the cases identified pursuant to section 724.302(a)(1), 

the status or disposition (including settlement).

Cases Pending or Resolved in U.S. Federal Courts3 by Statute and Their Disposition

 FISCAL YEARS

STATUTES 2016 2017 2018 2019 2020 2021

Title VII of the Civil Rights Act of 1964

Pending Cases 4 4 5 3 2 3

Decision Issued 2 0 1 3 1 1

Cases Settled 0 1 0 0 0 0

Age Discrimination in Employment Act of 1967

Pending Cases 3 5 6 3 2 3

Decision Issued 2 0 1 4 1 1

Cases Settled 0 0 0 0 0 0

Rehabilitation Act of 1973

Pending Cases 4 2 1 0 0 0

Decision Issued 1 0 1 1 0 0

Cases Settled 0 0 0 0 0 0

Civil Service Reform Act of 1978, Whistleblower Protection Act and Related Laws

Pending Cases 1 1 0 0 0 0

Decision Issued 0 0 1 0 0 0

Cases Settled 0 0 0 0 0 0

Equal Pay Act

Pending Cases 0 0 0 0 0 1

Decisions Issued 0 0 0 1 0 0

Cases Settled 0 0 0 0 0 0

Genetic Information Nondiscrimination Act (GINA) of 2008 

Pending Cases 0 0 0 0 0 0

Decisions Issued 0 0 0 0 0 0

Cases Settled 0 0 0 0 0 0

3 Includes both U. S. District Courts and Courts of Appeals. A case is listed as “Pending” if it was open on the last day of 

the fiscal year. “Decision Issued” does not include cases that have been appealed to a Court of Appeals.
4 | No FEAR Act Annual Report

Section 724.302(a)(2)(ii): The amount of money required to be reimbursed to the Judgment Fund by 

the agency for payments as defined in section 724.102 of subpart A of this part.

No reimbursements to the Judgment Fund were required during the period FY 2016 – 2021.

Section 724.302(a)(2)(iii): The amount of reimbursement to the Judgment Fund for attorney’s fees 

where such fees have been separately designated.

No reimbursements to the Judgment Fund for attorney’s fees were required during the period 

FY 2016 – 2021.

Section 724.302(a)(3): In connection with cases identified in paragraph (a)(1) of this section, the 

total number of employees in each fiscal year disciplined as defined in section 724.102 of subpart A 

of this part and the specific nature, e.g., reprimand, etc., of the disciplinary actions taken, separated 

by the provision(s) of law involved.

No employees were disciplined during the period FY 2016 – 2021 in connection with cases identified 

in paragraph (a)(1) of this section.

Section 724.302(a)(4): The final year-end data about discrimination complaints for each fiscal year 

that was posted in accordance with Equal Employment Opportunity Regulations at subpart G of title 

29 of the Code of Federal Regulations (implementing section 301(c)(1)(B) of the No FEAR Act).

The final year-end EEO complaint case data for FY 2021 are found in Attachment A.

Section 724.302(a)(5): Whether or not in connection with cases in Federal court, the number of 

employees in each fiscal year disciplined as defined in section 724.102 of subpart A of this part in 

accordance with any agency policy described in paragraph (a)(6) of this section. The specific nature, 

e.g., reprimand, etc., of the disciplinary actions taken must be identified.

Four employees were disciplined (suspensions and a letter of reprimand) during the period FY 2016 

– 2021 (one in FY 2017, one in FY 2018, and two in FY 2020), in accordance with the agency policy 

described in paragraph (a)(6) of this section. (See immediately below.)
FISCAL YEAR 2021 | 5

Section 724.302(a)(6): A detailed description of the agency’s policy for taking disciplinary action 

against Federal employees for conduct that is inconsistent with Federal Antidiscrimination Laws and 

Whistleblower Protection Laws or for conduct that constitutes another prohibited personnel practice 

revealed in connection with agency investigations of alleged violations of these laws.

The SEC’s EEO Policy Statement sets forth the agency’s commitment to maintaining a work 

environment that is free of discrimination and retaliation. Further, in FY 2020, the SEC implemented 

revised SEC Administrative Regulation 6-20, Disciplinary and Adverse Actions.4 The regulation sets 

forth policies and procedures for taking disciplinary and adverse actions against bargaining unit and 

non-bargaining unit employees. The process and procedures covering SEC disciplinary actions are 

incorporated by reference in the 2018 Collective Bargaining Agreement (CBA) between the SEC and 

its Union. The CBA explains that disciplinary and adverse actions are taken “for such cause as will 

promote the efficiency of the service.” See Attachment B - SECR 6-20; CBA, Art. 34, Disciplinary 

Actions; CBA, Art. 35, Adverse Actions. See also 5 U.S.C. section 7503(a) & 7513(a) (codifying 

that an agency may take disciplinary or adverse actions against an employee “for such cause as will 

promote the efficiency of the service”).

The SEC Office of Inspector General (OIG) has its own Disciplinary and Adverse Action policy 

that sets forth the policies and procedures relating to employee misconduct for SEC OIG employees. 

The SEC OIG’s Disciplinary and Adverse Action Policy is based on 5 U.S.C. Chapter 75 (Adverse 

Actions), 5 C.F.R. Part 752 (Adverse Actions), 5 C.F.R. Part 315 (relating to probationary periods), 

and other applicable SEC OIG policies. Pursuant to the SEC OIG’s policy, disciplinary and adverse 

actions will only be taken for such cause as will promote the efficiency of the Federal service.

Section 724.302(a)(7): An analysis of the information provided in paragraphs (a)(1) through (6) of 

this section in conjunction with data provided to the Equal Employment Opportunity Commission 

in compliance with 29 C.F.R. part 1614 subpart F of the Code of Federal Regulations. Such analysis 

must include: (i) An examination of trends; (ii) Causal analysis; (iii) Practical knowledge gained 

through experience; and (iv) Any actions planned or taken to improve complaint or civil rights 

programs of the agency with the goal of eliminating discrimination and retaliation in the workplace.

4 The SEC issued a revised Administrative Regulation 6-20 on February 10, 2020, that supersedes an administrative 

regulation issued in 2016.
6 | No FEAR Act Annual Report

EXAMINATION OF TRENDS 

AND CAUSAL ANALYSIS

The SEC’s Office of Equal Employment Opportunity (OEEO) identifies and keeps abreast of 

significant external EEO complaint processing trends and best practices and compares SEC 

complaints data with complaints data for similar size and mission-focused agencies using existing 

and available government-wide federal sector reports. This concerted and sustained engagement 

with EEO peers and other colleagues helps OEEO learn about and share EEO best practices, and 

implement leading practices at the SEC.

The average number of SEC employees during the period covered in this report (FY 2017 – 2021) 

was approximately 4,500. Between FY 2016 – 2021, the average number of formal administrative 

EEO complaints filed annually was 20. In FY 2021, there were a total of 15 complaints filed by 

14 individuals.

Total Employees, Pre-Complaint/Informal, and Formal Complaints by Fiscal Year Filed

With an annual average of less than 20 complaints filed for approximately 4,500 employees during 

this six-year period, there is insufficient data to draw meaningful conclusions as to the cause and 

effect of the bases and issues raised in these complaints of employment discrimination. Further, in the 

cases closed during this six-year period, there were no findings of employment discrimination from 

which possible causation factors could be gleaned.
FISCAL YEAR 2021 | 7

For the reporting period FY 2016 – 2021, there were 121 formal cases. The five discrimination bases 

alleged most frequently at the SEC were: reprisal (79), sex (62), race (61), age (52), and disability 

(35). The table and graphic below show the number of complaints filed under each of the most 

common bases during this reporting period.

Most Common Bases Alleged at the SEC FY 2016 – FY 2021

In FY 2021, of the 15 complaints filed, the discrimination bases alleged most frequently at the SEC 

were: reprisal (11), sex (eight), age (eight), disability (six), and race (five). For comparison purposes, 

according to the EEOC’s Annual Report on the Federal Workforce for FY 2019 Complaint Tables, 

the top five bases in complaint allegations were reprisal/retaliation, age, disability (physical), race 

(Black/African American), and sex (female).

5

The employment issues raised most frequently in the 121 formal cases raised from FY 2016 – 

2021 were: non-sexual harassment (56), terms and conditions of employment (34),6 performance 

evaluation/appraisal (33), promotion/non-selection (25), assignment of duties (21), and appointment/

hire (17). The table and graphic below show the number of complaints filed under each of the most 

common issues during this reporting period.

5 U.S. Equal Employment Opportunity Commission, Office of Federal Operations, Annual Report on the Federal Work 

Force Fiscal Year 2019, Table B-8 FY 2019 Complaints Filed Basis and Issues—Grand Total. This is the most recent data 

available.

6 Examples of terms and conditions of employment issues include: ‘Imposed an unreasonable dress code; denied participation on special events or denied membership in specific organizations or networks; overly scrutinized employees job; office 

space; Office Policies/Practices; Classification/Position Review, Equality in Discipline; human resource issues other than Pay 

and Awards; Character assassinations; Harassment inquiry; denied union rep/time; letter of instruction; personnel records; 

position review; interference with process; modified duties; conduct not adversely affecting performance; damage to reputation; spinoff complaint; displeased with EEO process; sabotage; workforce transformation; apology; agency processing 

EEO complaint; interviewed by IG; misinformed employees about the EEO process, or personnel policies and practices’.

Equal Employment Opportunity Commission, Benefit and Issue Examples FY 2017, at 2.
8 | No FEAR Act Annual Report

Issues Raised Most Frequently at SEC FY 2016 – FY 2021

The issues most frequently raised in the 15 FY 2021 cases were: non-sexual harassment (eight), 

performance evaluation/appraisal (eight), terms/conditions of employment (seven), assignment 

of duties (three), promotion/non-selection (three), awards (two), reasonable accommodation/

disability (two), and appointment/hire (one). According to the EEOC’s Annual Report on the 

Federal Workforce for FY 2019 Complaint Tables, the top five issues in complaint allegations were 

harassment- non-sexual, disciplinary action, terms and conditions of employment, promotion/nonselection, and reasonable accommodation.

7

The EEOC regulations governing data posted pursuant to Title III of the No FEAR Act limit the 

case disposition data to the following types: dismissals by the agency, withdrawals by complainants, 

and findings of discrimination. See SEC.gov/eeoinfo/nofeardata.htm. During FY 2016 – 2021, the 

SEC dismissed seven complaints and six complaints were withdrawn. As noted above, there were no 

findings of discrimination during this period. In FY 2021, the average number of days to complete 

an investigation was 243.09, as compared to 218.88 days in FY 2020. At the close of FY 2021, ten 

complaints filed in previous years were pending hearings before administrative judges at the EEOC.

There were two other complaints filed in previous years that were on appeal to the EEOC’s Office of 

Federal Operations.

7 U.S. Equal Employment Opportunity Commission, Office of Federal Operations, Annual Report on the Federal 

Workforce Fiscal Year 2019, Table B-8 FY 2019 Complaints Filed Basis and Issues—Grand Total.
FISCAL YEAR 2021 | 9

The complainant rate is the number of complainants (complainants may file multiple complaints) 

as a percentage of the total workforce. The SEC’s complainant rate of .31% in FY 2021 was below 

the most recently reported rate across the federal government (.52%) and for medium-sized agencies 

(.55%) like the SEC.

8

 The table below shows, for each year in the reporting period, the number and 

percent of complaints filed and the number and percent of individuals filing at least one complaint 

(i.e., complainants).

The SEC assessed whether the observed decrease in the complainant rates was larger than would 

be expected due to chance. The observed decrease in FY 2021 was not statistically significant 

compared to FY 2020, but was statistically significant (one-tailed, directional) compared to FY 

2016. This indicates a statistically significant long-term decline over the last five years.

9

 Complaint 

activity has fluctuated over the last six fiscal years, from a high of 30 complaints in 2016 to a low 

of 12 complaints in 2018. The decline in complaints since 2019 correlates with increases in OEEO’s 

outreach and education efforts and may be influenced by the shift to mandatory telework in response 

to the COVID-19 pandemic.

Complainant Rates for Fiscal Years 2016 – 2021

Fiscal 

Year

Number of 

Complaints Filed

Number of 

Complainants*

Total

Workforce

Complaints Filed 

as a % of Total 

Workforce

Number of 

Complainants 

as a % of Total 

Workforce

2016 30 29 4,685 0.64% 0.62%

2017 24 23 4,599 0.52% 0.50%

2018 12 12 4,448 0.27% 0.27%

2019 23 21 4,365 0.53% 0.48%

2020 16 16 4,493 0.36% 0.36%

2021 15 14 4,536 0.33% 0.31%

* Complainants may file multiple complaints.

8 To gain some insight into the frequency of complaint filings, the EEOC calculates the percentage of federal employees who 

file formal complaints—or who become “complainants”—at each agency; this is the complainant rate. Government-wide, 

the rate of complainants was .52% and for medium-size agencies (1,000 to 14,999 employees) the rate was .55%. See U.S.

Equal Employment Opportunity Commission, Office of Federal Operations, Form 462 Complaints Tables, Table B1 

FY 2018 Total Work Force, Counselings and Complaints, available at https://www.eeoc.gov/federal/reports/tables.cfm.

9 Two-by-two contingency tables with a Fisher’s exact test were analyzed comparing complainant rates during FY 2021 

with the complainant rate in each of the prior years.
10 | No FEAR Act Annual Report

PRACTICAL KNOWLEDGE GAINED 

THROUGH EXPERIENCE AND 

ACTIONS PLANNED TO IMPROVE 

COMPLAINT AND CIVIL RIGHTS 

PROGRAMS

The SEC evaluates its EEO program on an annual basis, as required by the EEOC’s Management 

Directive 715. The SEC reviewed and updated the formal EEO complaint case data maintained in its 

case-tracking software system, iComplaints, and reported in Attachment A. In FY 2021, the SEC’s 

OEEO completed 22 counselings under Part 1614. All counselings completed in FY 2021 qualified 

as timely under 29 C.F.R. section 1614.105. Four counselings were timely completed within 30 

days, and six traditional counselings were completed timely with written extensions of no longer 

than 60 days. Twelve counselings were processed through the SEC’s Alternative Dispute Resolution 

(ADR) program and were timely completed within 90 days. Of the 22 counselings completed, 12 

were resolved at the informal stage. In each of these counselings, the Agency provided the regulatoryrequired notification to individuals of their various rights and responsibilities in the EEO process.

This information was provided during the initial counseling session verbally and also later in writing.

In FY 2021, 15 new formal EEO complaints were filed under Part 1614, compared with 16 in 

FY 2020. OEEO generally issued all Acceptance letters/Dismissal decisions within a reasonable time 

(FY 2021 average of 78 days) after receipt of the written EEO counselor’s report. In FY 2021, OEEO 

conducted investigations of formal EEO complaints in a timely fashion. Of the nine investigations 

completed during FY 2021, none were untimely. OEEO provides complainants with the regulatoryrequired “180-day letter” if an investigation is expected to exceed 180 days. This letter notifies 

complainants of the date by which OEEO expects to complete the investigation and informs 

complainants of their right to request a hearing before an EEOC Administrative Judge or to file a 

lawsuit. In FY 2021, four Final Agency Decisions (no discrimination found) were issued.

The SEC regularly monitors trends in its EEO Program to determine whether its obligations under 

the workplace anti-discrimination laws have been met. OEEO safeguards employment-related civil 

rights at the SEC. It champions SEC efforts to foster a fair and equitable workplace—one where 

employment decisions are based on individual merit, and where everyone has an equal chance to 
FISCAL YEAR 2021 | 11

succeed as far as their talents will take them. In preparing the Agency’s FY 2021 No FEAR Act 

Report, OEEO examined data to identify potential problems, spotted trends, and developed action 

plans. OEEO staff members have gained insights that have helped improve the SEC’s overall EEO 

Program, including the following observations:

n A commitment from top-level leadership to EEO—including a commitment to affirmative 

employment (e.g., barrier analysis) efforts—shapes the workplace experience, inspires employee 

confidence, and aids legal compliance. This commitment is best manifested through tangible 

actions by the Chair, Commissioners, and Senior Leaders to support EEO and visibly and actively 

incorporate the EEO program as a valued partner.

n Maintaining OEEO’s independence is indispensable to safeguarding statutory enforcement 

mechanisms. Not only is this independence required under federal law and EEOC requirements, 

but it is also vital to fostering trust that the EEO Program is (and appears) impartial and separate 

from other offices with potentially conflicting interests.

n Many substantive EEO concepts are complex, and new supervisors may sometimes struggle to 

apply complicated rules (e.g., those involving disability and anti-retaliation laws). Consistent 

proactive prevention of discrimination, harassment, retaliation (including whistleblower 

retaliation), and other prohibited personnel practices—through training and targeted technical 

assistance—remains vital to fostering workplace civil rights and upholding Merit System 

Principles.

n The federal sector EEO process itself can seem confusing to new employees, and often even to 

career civil servants. There are numerous, sometimes overlapping sources of legal protection 

(e.g., via statutes, regulations, and Executive Orders) and various related enforcement processes 

(e.g., the Part 1614 process, intra-agency harassment procedures, Union grievances, and Office 

of Special Counsel/Merit Systems Protection Board complaints). Accordingly, regular messaging 

reinforced through outreach can aid understanding and minimize confusion. In particular, 

explaining the differences between filing an EEO complaint alleging violations of federal law 

and reporting harassment under the SEC’s harassment prevention policy is important.

n Creating collective responsibility for stopping words and conduct that could be perceived 

as offensive in the workplace can help improve culture and reduce EEO complaints alleging 

harassment.

n Operationalizing EEO and Diversity, Equity, Inclusion and Accountability into SEC’s everyday 

business requires close coordination and consistent communication across various SEC offices 

and stakeholders. Sharing information on these concepts spurs discussion and action.
12 | No FEAR Act Annual Report

n All organizational leaders must consider EEO and civil service protections before and while 

implementing new or changed policies, practices, procedures, and organizational matters that 

could affect the workforce. Outreach to the OEEO Director early and often to obtain crucial 

input and feedback on personnel, budget, technology, and other workforce issues can help prevent 

potential EEO missteps and ensure EEO best practices are adopted.

n Resolving issues early and expeditiously helps maintain a work environment that fosters open 

communication, trust, and engagement. Used properly in appropriate circumstances, ADR 

can provide faster, less expensive and contentious, and more productive results in resolving 

workplace disputes, including claims of discrimination, harassment, and retaliation or workstyle 

or personality conflicts that may arise. The SEC must be open to and make reasonable efforts 

to settle complaints of discrimination as early as possible in, and throughout, the administrative 

processing of complaints.

OEEO applied the above experience when defining its strategic priorities for FY 2022 – 2024. In 

FY 2021, OEEO finalized its first office-level strategic plan to define its work and align it with overall 

Commission, diversity, and operations goals. This new foundation in OEEO will further support the 

collective work of a number of key offices and personnel across the Commission at the leadership 

and staff levels and provide a strategic framework for driving the SEC’s approach to EEO.

A primary focus will be implementing Goal 3 of SEC Strategic Plan for Fiscal Years 2018 – 2022

(Elevate the SEC’s performance by enhancing analytical capabilities and human capital development) 

and Initiative 3.1 (Focus on the SEC’s workforce to increase capabilities, leverage shared commitment 

to investors, and promote diversity, inclusion, and equality of opportunity among the Agency’s 

staff).

10 In addition to implementing its new Strategic Plan, in FY 2021, OEEO continued daily 

operations including:

n Processed all informal and formal complaints and requests for ADR it handled in compliance with 

29 C.F.R. Part 1614 and EEOC MD-110; 

n Drove efforts to continue implementing the EEOC’s affirmative action regulations under Section 

501 of the Rehabilitation Act of 1973 and contributed expertise to a variety of Agency efforts 

focused on disability, including, the creation of a cross-agency working group focused on 

advancement opportunities for employees with disabilities, leading efforts to finalize complaint 

procedures related to accessibility issues under Sections 504 and 508 of the Rehabilitation Act, 

and advising on the enhancements to SEC’s religious accommodation policy; 

n Conducted ongoing barrier analyses, including monitoring action plans that effectively address 

identified barriers; 

10 Plans will re-align with the SEC’s 2022 – 2026 Strategic Plan, when issued.
FISCAL YEAR 2021 | 13

n Collaborated with the federal sector EEO community to share and learn best practices and 

innovative approaches to enhance equality of employment opportunity; 

n Continued to incorporate the EEOC’s Six Essential Elements of a Model EEO Program to achieve 

greater program effectiveness; 

n Briefed senior leadership on the State of the Agency EEO Program to reaffirm support for the 

program, provide awareness of issues and trends (systemic or otherwise), and solicit input and 

commitment to strengthening the EEO Program;

n Improved accuracy of EEO complaint data; 

n Leveraged internal communication channels to distribute EEO-related information and promoted 

communication of information and early intervention to help officials identify the issues and bases 

that may give rise to EEO complaints; 

n Trained supervisors and managers to provide proactive approaches to resolving issues stemming 

from alleged violations of personnel policies and practices; 

n Fostered constructive, open, continuous communication between employees and management to 

help resolve workplace conflicts at the earliest possible opportunity, and to ensure that employees, 

management officials, and persons with settlement authority understood the purpose and value 

of ADR; 

n Increased employee awareness of EEO statutes, executive orders, and leading practices;

n Continued to collaborate with stakeholders across the Agency to analyze workforce demographic 

data and to foster employment opportunity for all consistent with applicable law, rules, 

regulations, and guidance;

n Reviewed information from employee surveys, exit interviews, focus groups, and training to 

identify opportunities to improve equality of opportunity at the SEC; and 

n Incorporated EEO best practices gained through the SEC’s coalitions with other federal agencies.

Section 724.302(a)(8): For each fiscal year, any adjustments needed or made to the budget of 

the agency to comply with its Judgment Fund reimbursement obligation(s) incurred under section 

724.103 of this part.

As noted above, no reimbursements were made by the SEC to the Judgment Fund during the 

period FY 2016 – 2021; therefore, no adjustments were made to the SEC’s budget to comply with 

this section. 

Section 724.302(a)(9): The agency’s written plan developed under section 724.203(a) of subpart B 

of this part to train all of its employees (including supervisors and managers) about the rights and 

remedies available under the Antidiscrimination Laws and Whistleblower Protection Laws applicable 

to them.
14 | No FEAR Act Annual Report

SEC’S NO FEAR ACT 

TRAINING PLAN

The No FEAR Act requires each agency to develop a plan to train all employees (including managers 

and supervisors) about the rights and remedies available under the Antidiscrimination Laws and 

Whistleblower Protection Laws applicable to them. OPM regulations require agencies to include No 

FEAR Act training plans in the annual No FEAR Act Report. See 5 C.F.R. section 724.302(a)(9).

TRAINING FOR NEW SEC EMPLOYEES 

As part of the SEC’s ongoing effort to train all SEC employees on their rights, remedies, and 

responsibilities under the No FEAR Act, new SEC employees receive information about their 

rights and responsibilities under the anti-discrimination and whistleblower protection laws during 

new employee orientation, including the SEC’s EEO and harassment prevention policies. All new 

employees are also instructed, during new employee orientation, to take an online No FEAR Act 

training course within 30 days after joining the SEC. The training is formally assigned and tracked 

through the SEC’s e-learning system, LEAP. The SEC’s Office of the General Counsel also provides 

training to new employees on Federal employee whistleblower protections and rights.

TRAINING FOR ALL SEC EMPLOYEES EVERY TWO YEARS

In compliance with the requirement to provide No FEAR Act training every two years, the SEC 

updated its online No FEAR Act Training and mandated that all SEC employees complete the 

training. Over 99 percent of employees completed the training in 2020. Several SEC employees were, 

and continue to be, on extended leave without access to the No FEAR Act training; these employees 

were included as part of the one percent. The SEC will provide mandatory No FEAR Act training to 

all SEC employees again in 2022 and track completion through the SEC’s LEAP system.
FISCAL YEAR 2021 | 15

ADDITIONAL OUTREACH REGARDING RIGHTS AND REMEDIES

OEEO in partnership with other SEC offices works to ensure all employees are aware of and know 

how to access EEO policies and related information. The SEC maintains an EEO Policy, which 

advises employees of the SEC’s commitment to equal employment opportunity laws and provides 

information on how to participate in the EEO complaint process. In addition, the SEC’s Policy 

on Preventing Harassment (PPH) expresses the SEC’s commitment to a harassment-free work 

environment. The PPH was designed to identify and stop behavior that might be offensive on a 

protected basis before it escalates. These policies are emailed annually to employees by the SEC Chair, 

are physically posted in prominent locations throughout the SEC’s headquarters and regional offices, 

and are available on SEC’s intranet.

The OEEO intranet page contains contact and location information, important information and 

resources about EEO laws and policies, and complaint- processing procedures. This helps ensure that 

employees can easily seek assistance—including EEO counseling—in person or virtually. SEC also 

provides contact and other relevant information to members of the public, including applicants for 

employment, on SEC.gov.
16 | No FEAR Act Annual Report

WHISTLEBLOWER 

PROTECTION LAWS

The Whistleblower Protection Act of 1989 and the Whistleblower Protection Enhancement Act 

of 2012 provide the right for covered Federal employees to make protected disclosures and to be 

protected from retaliation for making such disclosures. The Dr. Chris Kirkpatrick Whistleblower 

Protection Act of 2017 further reinforces and enhances these protections.

A whistleblower makes a protected disclosure by reporting what they reasonably believe to be a violation of law, rule or regulation; gross mismanagement; a gross waste of funds; an abuse of authority; 

a substantial and specific danger to public health or safety; or censorship related to research, analysis 

or technical information. These protected disclosures may be made to anyone, but are typically made 

to management, to the SEC Office of Inspector General (OIG), or to the U.S. Office of Special Counsel (OSC), which is an independent federal investigative and prosecutorial agency.

The Whistleblower Protection Enhancement Act of 2012 requires that the statement below is 

incorporated into the SEC’s and the SEC OIG’s nondisclosure policies, forms, or agreements in effect 

before the Act’s effective date of December 27, 2012:

These provisions are consistent with and do not supersede, conflict with, or otherwise alter the 

employee obligations, rights, or liabilities created by existing statute or Executive order relating 

to (1) classified information, (2) communications to Congress, (3) the reporting to an Inspector 

General of a violation of any law, rule, or regulation, or mismanagement, a gross waste of funds, an 

abuse of authority, or a substantial and specific danger to public health or safety, or (4) any other 

whistleblower protection. The definitions, requirements, obligations, rights, sanctions, and liabilities 

created by controlling Executive orders and statutory provisions are incorporated into this agreement 

and are controlling.

In December 2019, the SEC received its recertification under the OSC’s 5 U.S.C. section 2302(c) 

certification program. This OSC certification program requires agencies to periodically inform 

employees about their rights and remedies under the whistleblower protection laws. The SEC’s 

certification now extends through December 2022.
FISCAL YEAR 2021 | 17

In November 2020, the SEC OIG participated in an Agency-wide training to advise SEC and SEC 

OIG employees of their rights and remedies under the whistleblower protection laws. This training 

included instruction on what qualifies as a protected disclosure, how and where to report instances of 

retaliation, and information on the role of OSC.

In December 2020, the SEC OIG trained its supervisory employees on how to respond to allegations 

of whistleblower retaliation, as required by the Dr. Chris Kirkpatrick Whistleblower Protection Act 

of 2017.

The SEC OIG’s public website contains information about whistleblower rights and remedies, and 

options for filing complaints of whistleblower retaliation via the SEC OIG’s hotline. See SEC.gov/oig.
18 | No FEAR Act Annual Report

ATTACHMENT A: EQUAL 

OPPORTUNITY DATA POSTED 

PURSUANT TO THE NO FEAR ACT

EQUAL EMPLOYMENT OPPORTUNITY DATA POSTED PURSUANT TO 

THE NO FEAR ACT U.S. SECURITIES AND EXCHANGE COMMISSION

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

Complaint Activity

Comparative Data

Previous Fiscal Year Data 2021 Thru 

2016 2017 2018 2019 2020 09-30

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

Note: Complaints can be filed alleging 

multiple bases. 

The sum of the bases may not equal 

total complaints filed.

Comparative Data

Previous Fiscal Year Data

2021 Thru 

2016 2017 2018 2019 2020 09-30

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
FISCAL YEAR 2021 | 19

Complaints by Issue

Note: Complaints can be filed alleging 

multiple bases. 

The sum of the bases may not equal 

total complaints filed.

Comparative Data

Previous Fiscal Year Data

2021 Thru 

2016 2017 2018 2019 2020 09-30

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. Evaluation/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
20 | No FEAR Act Annual Report

Processing Time

Comparative Data

Previous Fiscal Year Data 2021 Thru 

2016 2017 2018 2019 2020 09-30

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 

2016 2017 2018 2019 2020 09-30

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 

2016 2017 2018 2019 2020 09-30

# % # % # % # % # % # %

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
FISCAL YEAR 2021 | 21

Findings of Discrimination 

Rendered by Basis

Note: Complaints can be filed 

alleging multiple bases. 

The sum of the bases may not equal total 

complaints and findings.

Comparative Data

Previous Fiscal Year Data 2021 Thru 

2016 2017 2018 2019 2020 09-30

# % # % # % # % # % # %

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
22 | No FEAR Act Annual Report

Findings of Discrimination 

Rendered by Issue

Comparative Data

Previous Fiscal Year Data 2021 Thru 

2016 2017 2018 2019 2020 09-30

# % # % # % # % # % # %

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. 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 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
FISCAL YEAR 2021 | 23

Findings of Discrimination 

Rendered by Issue

Comparative Data

Previous Fiscal Year Data 2021 Thru 

2016 2017 2018 2019 2020 09-30

# % # % # % # % # % # %

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. 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 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
24 | No FEAR Act Annual Report

Findings of Discrimination 

Rendered by Issue

Comparative Data

Previous Fiscal Year Data 2021 Thru 

2016 2017 2018 2019 2020 09-30

# % # % # % # % # % # %

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. 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 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
FISCAL YEAR 2021 | 25

Pending Complaints 

Filed in Previous Fiscal 

Years by Status

Comparative Data

Previous Fiscal Year Data 2021 Thru 

2016 2017 2018 2019 2020 09-30

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 

2016 2017 2018 2019 2020 09-30

Pending Complaints Where 

Investigations Exceed Required 

Time Frames 0 0 0 0 1 0
26 | No FEAR Act Annual Report

ATTACHMENT B: SEC’S

DISCIPLINARY ACTION POLICIES

SEC ADMINISTRATIVE REGULATION

U.S. Securities and Exchange Commission SECR 6-20

Office of Human Resources February 10, 2020

Washington, D.C. 20549

DISCIPLINARY AND ADVERSE ACTIONS

This administrative regulation describes the policy and principles of the U.S. Securities and 

Exchange Commission (SEC) for maintaining discipline and for taking disciplinary and adverse 

actions. 

Except as otherwise noted, this policy applies to all SEC employees without regard to bargaining 

unit status. This policy applies to the SEC’s Office of the Inspector General to the extent it does 

not interfere with or impede the authorities or independence of the Inspector General pursuant to

the Inspector General Act of 1978.

This administrative regulation shall be reviewed at least every three years to ensure the contents 

remain relevant and reflect current federal laws, rules, regulations, and SEC regulations. 

Summary of Changes. 

This revision supersedes SECR 6-20, “Disciplinary and Adverse Actions,” dated January 15, 

2016. This revision reflects a change in the policy approving officials; updates to the policy, 

authority, and responsibilities sections; and other administrative updates.

//Signature on File//

James P. McNamara

Chief Human Capital Officer 

Office of Human Resources
FISCAL YEAR 2021 | 27

SECR 6-20

February 10, 2020

2

SEC ADMINISTRATIVE REGULATION

DISCIPLINARY AND ADVERSE ACTIONS

1. Purpose and Scope

This administrative regulation describes the policy and principles of the U.S. Securities and 

Exchange Commission (SEC) for maintaining discipline and for taking disciplinary and 

adverse actions.

2. Policy

It is the policy of the SEC that disciplinary and adverse actions will be taken for such cause 

as will promote the efficiency of the federal service.

3. General Procedures

3.1. Except as otherwise noted, refer to Article 34, “Disciplinary Actions,” and Article 35, 

“Adverse Actions,” of the Collective Bargaining Agreement (CBA) and the askHR portal for 

related procedures. 

3.2. Except as otherwise noted, refer to Article 36, “Unacceptable Performance,” of the CBA 

and the askHR portal for information regarding actions based on unacceptable performance.

4. Authority

• Chapters 43 and 75 of Title 5, United States Code

• Parts 432 and 752 of Title 5, Code of Federal Regulations, current edition

• Public Law 95-452, “Inspector General Act of 1978,” October 12, 1978, as amended 

• Collective Bargaining Agreement between the United States Securities and Exchange 

Commission and the National Treasury Employees Union, current edition

5. Applicability

5.1. Except as noted in subsection 5.2. below, this administrative regulation applies to all 

SEC employees without regard to bargaining unit status. 

5.2. This policy applies to the SEC’s Office of the Inspector General to the extent it does not 

interfere with or impede the authorities or independence of the Inspector General pursuant to 

the Inspector General Act of 1978.

5.3. Until further notice, except as noted in subsection 5.4. below, the authorities cited above 

and Article 34, “Disciplinary Actions,” Article 35, “Adverse Actions,” and Article 36, 

“Unacceptable Performance,” of the CBA shall apply to all SEC employees. 

5.4. The following provisions of the CBA shall not apply to non-bargaining unit employees:
28 | No FEAR Act Annual Report

SECR 6-20

February 10, 2020

3

5.4.1. Article 34, the last sentence of Section 5.G.; 

5.4.2. Article 34, Section 7;

5.4.3. Article 35, the last sentence of Section 3.7.; 

5.4.4. Article 35, Section 5; and

5.4.5. Article 36, Section 5.

6. Definitions

Except as otherwise noted, refer to Article 34, “Disciplinary Actions,” Article 35, “Adverse 

Actions,” and Article 36, “Unacceptable Performance,” of the CBA for related definitions. 

7. Responsibilities

7.1. Chief Human Capital Officer, Office of Human Resources, or designee(s), shall 

establish policies and procedures for disciplinary and adverse actions, in consultation with 

the Office of the General Counsel (OGC).

7.2. General Counsel, OGC, or designee(s), shall provide legal and technical expertise, 

advice, and guidance (including the proper processes and procedures to be followed) to 

supervisory and management officials on disciplinary and adverse actions.

7.3. Supervisors shall comply with the provisions of this administrative regulation and the 

CBA, as applicable.

Except as otherwise noted, refer to Article 34, “Disciplinary Actions,” Article 35, “Adverse 

Actions,” and Article 36, “Unacceptable Performance,” of the CBA for additional related 

responsibilities.
FISCAL YEAR 2021 | 29

2018 COLLECTIVE BARGAINING AGREEMENT BETWEEN 

U.S. SECURITIES AND EXCHANGE COMMISSION AND THE 

NATIONAL TREASURY EMPLOYEES UNION

140

Article 34

DISCIPLINARY ACTIONS

Section 1

For purposes of this Article, disciplinary actions are written reprimands and suspensions 

for fourteen (14) calendar days or fewer.

Section 2

In effecting disciplinary actions, the Employer endorses the use of like penalties for like 

offenses and progressive discipline. The Employer will consider the existence of any 

mitigating and/or aggravating circumstances, the nature of the position occupied by the 

employee at issue, and any other factors bearing upon the incident(s) or act(s) underlying 

the action. The degree of discipline administered will be proportionate to the offense 

and will be determined on a case-by-case basis.

Section 3

When the Employer determines that discipline of an employee is appropriate, the 

Employer may consider informal actions before taking disciplinary action. However, 

the Employer need not take informal action before taking disciplinary action.

The Employer will take a disciplinary action for such cause as will promote the efficiency 

of the service.

Section 4

No advance notice is required for the issuance of a written reprimand. However, a 

written reprimand will state the specific reasons for the action and include a statement in 

the written reprimand advising the employee of his/her rights to challenge the written 

reprimand.

Written reprimands will be placed in the employee's Official Personnel Folder for no 

more than two (2) years from the date of issuance.

Section 5

The Employer will follow these procedures when proposing and deciding to suspend an 

employee under this Article:

A. Give the employee advance written notice stating the specific reasons for the 

proposed suspension. In cases where a disciplinary action is proposed for 
30 | No FEAR Act Annual Report

141

reasons of off-duty misconduct, the Employer's written notification also will 

contain a statement of the nexus between the off-duty misconduct and the 

efficiency of the service.

B. Provide the employee with a copy of the information relied upon to support the 

proposed disciplinary action.

C. Grant the employee a reasonable amount of duty time, up to four hours, to prepare 

his/her response to the proposed suspension. The Employer may consider a 

written request from the employee for additional duty time to prepare his/her 

response.

D. Give the employee the opportunity to reply to the notice orally and/or in writing 

within seven calendar days from the date the employee receives notice of the 

proposed suspension. The Employer may consider a written request from the 

employee to extend the reply period.

E. If the employee elects to make an oral reply, the Deciding Official, or his/her 

designee, will prepare a summary of the oral reply for the record. The Employer 

will provide a copy of this summary to the employee and the employee's 

representative and allow at least one day for comment and/or correction.

F. Consider the employee's reply.

G. Give the employee a written decision letter concerning the proposed suspension. 

Normally, the decision will be made by a management official of a higher level 

than the official who issued the notice of the proposed suspension. The decision 

letter will be issued prior to the effective date of the suspension, and will contain 

the Employer's findings with respect to each specification and charge made 

against the employee in the notice of proposed action and the dates of the 

suspension. The Employer also will include a statement in the decision letter 

advising the employee of the Union's right to challenge the suspension.

Section 6

Upon request an employee is entitled to representation at any examination by a 

representative of the Employer in connection with an investigation if the employee 

reasonably believes that the examination may result in disciplinary action against the 

employee.
FISCAL YEAR 2021 | 31

142

Section 7

An employee against whom a disciplinary action has been taken may grieve that action 

under Article 32 of this Agreement (Grievance Procedure). For actions effected after a 

second level management decision (suspensions), the grievance procedure may be 

bypassed and the Union may elect to proceed directly to arbitration in accordance with 

Article 33.

Section 8

If a disciplinary action is canceled, all documentation relative to that action (or proposed 

action) in the employee's Official Personnel File will be destroyed, with confirmation of 

destruction sent to the employee. The Employer will not destroy any documentation

required to be preserved under laws, rules, or regulations.
32 | No FEAR Act Annual Report

143

Article 35

ADVERSE ACTIONS

Section 1

For purposes of this Article, adverse actions are suspensions for more than fourteen (14) 

calendar days, removals (except for actions taken under Article 36 (Unacceptable 

Performance)), reductions in grade or pay (except for actions taken under Article 36 

(Unacceptable Performance)), or furloughs of thirty (30) calendar days or fewer.

The provisions of this Article do not apply to the removal of probationary or term 

employees. The Employer will take an adverse action for such cause as will promote the 

efficiency of the service.

Section 2

The Employer and the Union agree to the concept of progressive discipline. Every 

situation warranting discipline is different and in some instances, progressive discipline 

may not be appropriate. In deciding what action may be appropriate, the Employer will 

give due consideration to the relevance of any mitigating and/or aggravating 

circumstances, including those listed below. All of these factors may not be relevant in 

a particular case, and each case must be considered individually. Selection of the 

appropriate penalty requires a responsible balancing of the factors relevant to the 

particular case.

1. The nature and seriousness of the offense, and its relation to the employee's 

duties, position, and responsibilities, including whether the offense was 

intentional or technical and inadvertent, or was committed maliciously or for 

gain, or was frequently repeated;

2. The employee's job level and type of employment including fiduciary role, 

contacts with the public, and prominence of the position;

3. The employee's past disciplinary record;

4. The employee's past work record, including length of service, performance on

the job, ability to get along with fellow workers, and dependability;

5. The effect of the offense upon the employee's ability to perform at a satisfactory 

level and its effect upon the Employer's confidence in the employee's ability to 

perform assigned duties;

6. Consistency of the penalty with those imposed upon other employees for the 

same or similar offenses;

7. The notoriety of the offense or its impact upon the reputation of the Employer;

8. The clarity with which the employee was on notice of any rules that were 

violated in committing the offense, or had been warned about the conduct in 

question;

9. Potential for the employee's rehabilitation;
FISCAL YEAR 2021 | 33

144

10. Mitigating circumstances surrounding the offense such as unusual job tensions, 

personality problems, mental impairment, harassment or bad faith, malice or 

provocation on the part of the others involved in the matter; and

11. The adequacy and effectiveness of alternative sanctions to deter such conduct in 

the future by the employee or others.

Section 3

The Employer will follow these procedures when proposing and deciding to take adverse 

actions against an employee under this Article:

1. Give the employee at least thirty (30) calendar day advance written notice stating 

the specific reasons for the proposed adverse action. In cases where an adverse 

action is proposed for reasons of off-duty misconduct, the Employer's written 

notification also will contain a statement of the nexus between the off-duty 

misconduct and the efficiency of the service.

2. Provide the employee with a copy of any information relied upon to support the 

proposed adverse action.

3. Grant the employee a reasonable amount of duty time, normally no more than eight 

(8) hours, to prepare his/her response to the proposed adverse action. The 

Employer may consider a written request from the employee for additional duty 

time to prepare his/her response.

4. Give the employee the opportunity to reply to the notice orally and/or in writing 

within ten calendar days from the date the employee receives notice of the proposed 

adverse action. The Employer may consider a written request from the employee 

to extend the reply period unless the proposed action is being taken under the 'crime 

provision' (5 CFR §752.404), in which case a request for an extension of the reply 

period will not be considered.

5. If the employee elects to make an oral reply, the Deciding Official or his/her 

designee, will prepare a summary of the oral reply for the record. The Employer 

will provide a copy of this summary to the employee and the employee's 

representative and allow at least one day for comment and/or correction.

6. Consider the employee's reply.

7. Give the employee a written decision letter concerning the proposed adverse action. 

Normally, the decision will be made by a management official of a higher level than 

the official who issued the notice of the proposed adverse action. The decision 

letter will be issued prior to the effective date of the adverse action, and will contain 

the Employer's findings with respect to each specification made against the 

employee in the notice of proposed action. The Employer also will include a 

statement in the decision letter advising the employee of his/her or the Union's 

rights to challenge the adverse action.
34 | No FEAR Act Annual Report

145

Section 4

Upon request, an employee is entitled to representation at any examination by a 

representative of the Employer in connection with an investigation if the employee 

reasonably believes that the examination may result in disciplinary action against the 

employee.

Section 5

An employee against whom an adverse action has been taken may challenge that action 

in accordance with Article 32 (Grievance Procedure) of this Agreement. The grievance 

procedure may be bypassed and the Union may elect to proceed directly to arbitration in 

accordance with Article 33. This would not preclude the employee's option to appeal 

the adverse action directly to the Merit Systems Protection Board if arbitration is not 

invoked.

Section 6

If an adverse action is canceled, all documentation relative to that action (or proposed 

action) in the employee's Official Personnel File will be destroyed, with confirmation of 

destruction sent to the employee. The Employer will not destroy any documentation 

required to be preserved under laws, rules, or regulations.

U.S. SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549