NOTIFICATION AND 

FEDERAL EMPLOYEE 

ANTIDISCRIMINATION 

ACT OF 2002 

FISCAL YEAR 2022

ANNUAL REPORT TO CONGRESS 

CFTC 

COMMODITY FUTURES TRADING COMMISSION 
No FEAR Act Annual Report 2

TABLE OF CONTENTS

INTRODUCTION ....................................................................................................................... 3

BACKGROUND ........................................................................................................................... 5

RESULTS AND DATA .................................................................................................................. 7

TRENDS AND ANALYSIS .............................................................................................................. 8

PRACTICAL KNOWLEDGE GAINED ............................................................................................. 10

NO FEAR ACT TRAINING PLAN ................................................................................................ 10

APPENDIX I: Equal Employment Opportunity Complaint Data ............................................. 11

APPENDIX II: 2022 CFTC Equal Employment Opportunity and Anti- Harassment 

Statement ............................................................................................................................. 21
No FEAR Act Annual Report 3

INTRODUCTION

The Commodity Futures Trading Commission (CFTC) is an independent agency of the U.S. 

government that oversees the U.S. derivatives markets, which include futures, options, and 

swaps. The mission of the CFTC is to promote the integrity, resilience, and vibrancy of the U.S. 

derivatives markets through sound regulation. The CFTC consists of five Commissioners, who 

are appointed by the President and confirmed by the Senate to serve staggered five-year terms. 

No more than three sitting Commissioners may be from the same political party, and with the 

advice and consent of the Senate, the President designates one of the Commissioners to serve as 

Chairman. The Office of the Chairman oversees the Commission’s principal divisions and 

offices that administer and enforce the Commodity Exchange Act (CEA) and the regulations, 

policies, and guidance thereunder. During fiscal year 2022 (FY 2022), the Office of the 

Chairman included: the Office of Public Affairs (OPA); the Office of Legislative and 

Intergovernmental Affairs (OLIA); the Office of Technology Innovation (OTI); and the Office of 

Minority and Women Inclusion (OMWI). 

During FY 2022, the CFTC's four programmatic divisions were the Division of Clearing and 

Risk (DCR), Division of Enforcement (DOE), Division of Market Oversight (DMO), and the 

Market Participants Division (MPD). The programmatic divisions are supported by a number of 

divisions and offices, including the offices within the Office of the Chairman and the Office of 

the Chief Economist (OCE), Division of Administration (DA), Office of General Counsel 

(OGC), and the Office of International Affairs (OIA). The Office of the Inspector General (OIG) 

is an independent office of the CFTC. 

The CFTC's mission is carried out by approximately 676 dedicated and professional employees 

in its Washington, DC headquarters office and its regional offices in Kansas City, Missouri; 

Chicago, Illinois; and Manhattan, New York. 

 

Established by statute as an independent agency in 1974, the CFTC assumed responsibilities 

previously belonging to the Department of Agriculture since the 1920s. The Commodity 

Exchange Act (CEA) historically grants the CFTC regulatory authority over the commodity 

futures and options markets. These markets have existed since the 1860s, beginning with 

agricultural commodities.

Over time, the markets regulated by the CFTC have grown to include energy and metals 

commodities such as crude oil, heating oil, gasoline, copper, gold, and silver. The CFTC also 

oversees markets for financial products such as interest rates, stock indexes, foreign currency, 

and, most recently, futures relating to digital assets.

In addition, the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act directed the 

CFTC to oversee the U.S. swaps market, which is more than $400 trillion in notional value and 

about 12 times the size of the futures market. 

Futures, options, and swaps markets are essential to the U.S. economy and the way that 

businesses and investors manage the risk and uncertainties of future commodity price 

movements. Farmers, ranchers, commercial companies, municipalities, pension funds, and others 
No FEAR Act Annual Report 4

use these markets to lock in a price or rate, helping them focus on innovating, producing goods 

and services, creating jobs, and reducing the risks of investing. 

The CFTC’s Office of Minority and Women Inclusion (OMWI) leads the CFTC’s equal 

employment opportunity (EEO) and diversity, equity, inclusion, and accessibility programs. 

OMWI works to align and integrate equal employment opportunity and diversity, equity, 

inclusion and accessibility with the CFTC mission by:

 Providing leadership, guidance, and impartial and unbiased guidance and 

technical assistance to individuals who seek to resolve workplace conflict 

through the EEO process; 

 Educating the workforce on employee rights and responsibilities in the EEO 

process and the two stages of the CFTC administrative EEO complaint 

process; 

 Administering the informal stage and formal stage of the EEO process for all 

current and former CFTC employees and job applicants; 

 Providing leadership and direction in diversity talent attraction, recruitment, 

and retention;

 Fostering inclusive and welcoming work environments;

 Partnering with CFTC talent and business leaders to ensure equitable 

policies and access to opportunities within the CFTC; and

 Partnering with CFTC talent and business leaders to ensure equitable access

to benefits and opportunities pursuant to CFTC external facing policies and 

programs. 
No FEAR Act Annual Report 5

BACKGROUND 

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

and Retaliation Act of 2002 (Public Law 107-174) (No FEAR Act). The No FEAR Act requires 

that federal agencies be accountable for violations of antidiscrimination and whistleblower 

protection laws; provide notice to employees, former employees and applicants for employment

of their rights under antidiscrimination, whistleblower protection and retaliation laws; and post 

quarterly on its public website certain statistical data relating to federal sector equal employment 

opportunity (EEO) complaints filed with federal agencies. On January 1, 2021, Congress passed 

the Elijah E. Cummings Federal Employee AntiDiscrimination Act of 2020, which amended the 

No FEAR Act to strengthen federal antidiscrimination laws enforced by the EEOC and expanded 

accountability within the federal government. 

Section 203 of the No FEAR Act specifically requires federal agencies to report annually to the 

Speaker of the House of Representatives, the President pro tempore of the Senate, the Committee 

on Governmental Affairs of the Senate, the Committee on Government Reform of the House of 

Representatives, each committee of Congress with jurisdiction relating to the agency, the Equal 

Employment Opportunity Commission, and the Attorney General, not later than 180 days after 

the end of each fiscal year, on the agency’s efforts to improve compliance with employment 

discrimination and whistleblower protection laws and detail the status of complaints brought 

against the agency under these laws. Specifically, agencies must include the following 

information in their annual reports: 

 The number of Federal court cases, pending or resolved, arising under No 

FEAR Act laws, and the status and disposition of the cases; 

 Judgment Fund reimbursements and adjustments to the agency’s budget to 

meet reimbursement requirements;

 The number and type of disciplinary actions related to discrimination, 

retaliation, or harassment, and the agency’s policy relating to appropriate 

disciplinary action;

 Year-end summary data related to the agency’s Equal Employment 

Opportunity (EEO) complaint activity for the fiscal year;

 An analysis of trends, causation, and practical knowledge gained through 

experience;

 Actions planned or taken to improve the agency’s discrimination 

complaint programs; and 

 The agency’s No FEAR Act training plan .
No FEAR Act Annual Report 6

The CFTC is pleased to present its Annual No FEAR Act Report to Congress for FY 2022, in 

accordance with Title II, Section 203 of the No FEAR Act, Public Law 108-174. 

The CFTC’s Office of Minority and Women Inclusion prepared this Report.
No FEAR Act Annual Report 7

RESULTS AND DATA

Federal Court Cases

In FY 2022, there were no cases in federal court pending or resolved arising under each of the 

respective provisions of the federal antidiscrimination laws and whistleblower protection laws 

applicable to them as defined in 5 C.F.R. 724.102. 

Judgment Fund

There were no judgments against the CFTC for cases pending or resolved in Federal district 

court in FY 2022. Therefore, there were no reimbursements to the Judgement Fund required for 

payments or for attorney’s fees where such fees are separately designated. 

Employee Discipline

 The CFTC administers a discipline and adverse action program in accordance with 5 CFR Part 

752. Disciplinary or adverse actions against employees for conduct that is inconsistent with 

federal antidiscrimination and whistleblower protection laws, or for conduct which constitutes a 

prohibited personnel practice, are determined based on the circumstances of each case, with 

penalties up to and including removal from federal service, if appropriate. The process and 

procedures covering CFTC disciplinary actions for bargaining unit employees are incorporated 

into the 2019 Collective Bargaining Agreement (CBA) between the CFTC and its Union. The 

CBA explains that disciplinary actions will only be taken “for such cause as will promote the 

efficiency of the service” and “such actions must be consistent with applicable laws and 

government-wide regulations.” 

In FY 2022, there were no employees disciplined in accordance with the CBA in connection with

cases arising under federal antidiscrimination or whistleblower protection laws. 
No FEAR Act Annual Report 8

TRENDS AND ANALYSIS

The final year-end discrimination complaints data for FY 2022 can be found in Appendix I.

For the reporting period FY 2020 - FY 2022, a total of 12 formal EEO complaints were filed

against the CFTC. During FY 2020 – FY 2022, the most common bases alleged in those 

complaints were:

 Reprisal (9 complaints);

 Race (7 complaints); and

 Age (6 complaints) 

During FY 2020 – FY 2022, the most common issues alleged were: 

 Promotion/non-selection (4 complaints); and

 Non-sexual harassment (4 complaints)

In FY 2022 specifically, there was a total of only one formal EEO complaint filed against the 

CFTC. Notably, the number of formal EEO complaints filed increased from five to six formal 

complaints filed from FY 2020 to FY 2021, respectively, and decreased to only one formal 

complaint filed in FY 2022. 

This decrease may be attributed to the fact that during FY 2022, the CFTC increased its 

alternative dispute resolution (ADR) participation rate during EEO counselings to 40%. From 

FY 2019 through FY 2021, the CFTC had a 0% ADR participation rate during EEO counselings.

The decrease in complaints in FY 2022 may also be attributed to the actions the CFTC initiated 

in FY 2022 to advance diversity, equity, inclusion, and accessibility (DEIA) and equal 

employment opportunity (EEO). In January 2022, CFTC Chairman Rostin Behnam onboarded 

the CFTC’s first Chief Diversity, Equity, Inclusion and EEO Officer (Chief Diversity Officer) to 

lead the agency’s equal employment opportunity (EEO) and diversity, equity, inclusion and 

accessibility (DEIA) programs. During FY 2022, the new Chief Diversity Officer spearheaded a 

number of initiatives to advance EEO and DEIA at the CFTC, including, for example: 

 Offering EEO compliance training, required for all CFTC managers and 

supervisors. The training provided managers and supervisors with tools to: 

1) recognize, respond to, and prevent harassment in the workplace; 2) 

identify and act on requests for reasonable accommodations; and 3) 

understand the EEO complaint process and manager/supervisor rights and 

responsibilities. The following modules were offered: 

 Prevention and elimination of harassment/hostile work environments; 

 Responding to requests for reasonable accommodations; and

 The EEO Complaint Process – rights and responsibilities.

 Establishing a variety of opportunities for employees to engage with the OMWI team,
No FEAR Act Annual Report 9

learn more about EEO and DEIA, and provide input and feedback, including: 

quarterly meetings with CFTC affinity group leaders; regular Chief Diversity Office

meetings with Division and Office Directors; and leading six agency-wide “Voice 

your Vision” sessions. The sessions served as the kickoff to the CFTC’s DEIA 

strategic planning process as the CFTC works towards the issuance of the CFTC’s 

first ever stand-alone DEIA Strategic Plan in FY 2023. The sessions were an 

opportunity to participate in the development of a shared vision statement for DEIA 

at the CFTC that is forward-looking, inspirational, and aspirational. All CFTC

employees were invited to provide input on EEO and DEIA by: 

r 

 Attending one of the six OMWI “Voice your Vision” sessions; 

 Providing input and feedback through an electronic anonymous suggestion 

box; 

 Sending an email to OMWI's office email inbox; 

 Scheduling a small group or private appointment with an OMWI staff 

member. 

 

 Launching an agency-wide project team to develop and deliver the CFTC’s 

first ever stand-alone DEIA Strategic Plan; and 

 Expanding and strengthening the CFTC’s EEO-related programming. 

During FY 2022, the special emphasis program observances at the CFTC 

included: 

Month Event Attendees

February Black History Month Program

“Black Health and Wellness”

187 attendees

March Women’s History Month Program

“Women Providing Healing, Promoting 

Hope”

147 attendees

May Asian American Pacific Islander Heritage 

Month Program

“Advancing Leaders through 

Collaboration”

Hybrid Event - 120

virtual attendees

plus in-person 

attendees

June LGBTQIA+ Program

“Resilience and Pride in Public Service”

110 attendees

June Juneteenth

“Inclusion in the Digital Asset EcoSystem”

226 attendees

September Hispanic Heritage Month Program

“Unidos-Inclusivity for a Stronger Nation” 

163 attendees
No FEAR Act Annual Report 10

PRACTICAL KNOWLEDGE GAINED

Although the CFTC’s equal employment opportunity (EEO) complaints trended downward in 

FY 2022, the CFTC will continue to focus resources on training and proactive prevention, and 

EEO policy revisions and development of compliant EEO policies in partnership with the Office 

of the Chairman, the Human Resources Branch and the Office of General Counsel. Consistent 

proactive prevention of discrimination, harassment, retaliation (including whistleblower 

retaliation), and other prohibited personnel practices through training and hands-on technical 

assistance remains vital to fostering EEO and diversity, equity, inclusion and accessibility 

(DEIA) and upholding Merit System Principles across the CFTC. 

The CFTC will also continue to improve its resources, capacity and efforts to conduct 

comprehensive demographic and EEO barrier analysis, identify EEO related trends within the 

workplace and develop data-driven proactive prevention measures at CFTC Headquarters and 

Regional Offices. Robust data analytics will assist the CFTC in implementing an enterprise-wide 

strategic approach to EEO training, barrier analysis and proactive prevention. Engaging with 

CFTC Headquarters and Regional Office organizational leaders and stakeholders early and often 

to obtain crucial input and feedback on personnel, budget, technology, and other workforce 

issues will enhance proactive prevention efforts and ensure EEO and DEIA best practices are 

integrated into talent and business operations across the CFTC. 

In addition, the CFTC is working to expand the Office of Minority and Women Inclusion’s 

(OMWI’s) budget and staffing. OMWI is hiring a new Associate Director, EEO to lead the CFTC’s 

EEO program within the CFTC’s OMWI. The CFTC will also onboard an additional EEO 

Specialist and a full-time data analyst who will support the CFTC’s OMWI and Human 

Resources Branch to further accelerate the CFTC’s progress in developing an effective and 

accurate demographic data collection system and expanding its barrier demographic data 

analysis efforts. 

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 

and whistleblower protection laws applicable to them. As part of the CFTC’s ongoing effort to 

train all CFTC employees on their rights, remedies, and responsibilities under the No FEAR Act, 

with the launch of the CFTC’s new employee onboarding program in FY 2023, new employees 

receive information about their rights and responsibilities under antidiscrimination and 

whistleblower protection laws during new employee orientation.

In compliance with the requirement to provide No FEAR Act training to all CFTC employees 

every two years, the CFTC is working to develop and launch an online No FEAR Act Training in 

2023. All CFTC employees will be required to complete the training, and new employees will be 

required to complete the training within 90 days after joining the CFTC. The training will be 

formally assigned and tracked through the CFTC’s online learning management system. 
No FEAR Act Annual Report 11

APPENDIX I: Equal Employment Opportunity Complaint Data1

TABLE 1: COMPLAINT ACTIVITY

Complaint 

Activity

2017 2018 2019 2020 2021 2022

thru 

9-30

Number of 

complaintsfiled

5 4 5 5 6 1

Number of 

complainants

5 4 5 3 5 1

Repeat Filers 0 0 1 1 1 0

TABLE 2: COMPLAINTS BY BASIS* 

Complaints 

by Basis

Race

2017

1

2018

2

2019

2

2020

2

2021

5

2022

thru 

9-30

0

Color 2 1 1 1 2 0

Religion 0 0 0 0 0 0

Reprisal 2 2 3 3 5 1

Sex 1 1 1 1 2 0

Pregnancy 0 0 0 0 0 0

National 

Origin

0 0 1 1 0 0

Equal Pay 

Act

0 0 0 0 0 0

Age 3 2 3 3 3 0

Disability 1 1 0 0 1 0

Genetics 0 0 0 0 0 0

Non-EEO 0 0 0 0 0 0

*Complaints can be filed alleging multiple bases. The sum of the bases may not equal total 

complaints filed.

1 Since this report’s submission, the numbers in the published version of Appendix I have been updated to fix a minor 

error. The No FEAR Act data for the CFTC can be accessed from the CFTC’s homepage (CFTC.gov), or directly at 

https://www.cftc.gov/WebPolicy/EEONoFearAct/nofearreportFY23_Q1.
No FEAR Act Annual Report 12

TABLE 3: COMPLAINTS BY ISSUE

Complaints by 

Issue

2017 2018 2019 2020 2021 2022 thru

9-30

Appointment/Hire 0 0 0 0 2 1

Assignment of 

Duties

0 0 0 0 2 0

Awards 0 0 0 0 0 0

Conversion to Full 

Time/Perm Status

0 0 0 0 0 0

Disciplinary ActionDemotion

0 0 0 0 0 0

Disciplinary ActionReprimand

0 0 0 0 0 0

Disciplinary ActionSuspension

0 0 0 0 0 0

Disciplinary ActionRemoval

0 0 0 0 0 0

Disciplinary ActionOther

0 0 0 0 0 0

Duty Hours 0 0 0 0 0 0

Performance 

Evaluation/Appraisal

0 2 0 1 1 0

Examination/Test 0 0 0 0 0 0

Harassment- NonSexual

5 1 5 2 2 0

Harassment-Sexual 0 0 0 0 0 0

Medical 

Examination

0 0 0 0 0 0

Pay (including 

overtime)

0 0 0 0 2 0

Promotion/NonSelection

0 0 0 1 2 1

ReassignmentDenied

0 0 0 0 0 0

ReassignmentDirected

0 0 0 1 0 0

Reasonable

AccommodationDisability

0 1 0 0 0 0

Reinstatement 0 0 0 0 0 0

Religious 

Accommodation

0 0 0 0 0 0

Retirement 0 0 0 0 0 0

Sex-Stereotyping 0 0 0 0 0 0

Complaints by 2017 2018 2019 2020 2021 2022 thru
No FEAR Act Annual Report 13

Issue 9-30

Telework 0 0 0 0 0 0

Termination 0 0 0 0 1 0

Terms/Conditions 

of Employment

0 0 0 0 1 0

Time and 

Attendance

0 0 0 0 0 0

Training 0 0 0 0 1 0

Other 

Terms/Conditions

of Employment

0 0 0 0 0 0

TABLE 4: PROCESSING TIME (FOR COMPLAINTS PENDING DURING THE FISCAL YEAR) 

Processing 

Time

2017 2018 2019 2020 2021 2022 thru

9-30

Average 

number of days 

in investigation

29 149 33 117 152.6 164.33

Average 

number of days 

in final action

0 0 0 0 0 0

TABLE 5: PROCESSING TIME (FOR COMPLAINTS PENDING DURING FISCAL YEAR WHERE HEARING WAS REQUESTED)

Processing 

Time

2017 2018 2019 2020 2021 2022 thru

9-30

Average 

number of days 

in investigation

0 156 45 167 135.33 140.14

Average

number of days 

in final action

0 0 0 0 0 0

TABLE 6: PROCESSING TIME (FOR COMPLAINTS DURING FISCAL YEAR WHERE HEARING WAS NOT REQUESTED) 

Processing 

Time

2017 2018 2019 2020 2021 2022 thru

9-30

Average 

number of days 

in investigation

0 144 45 167 188 162

Average 

number of days 

in final action

0 0 0 0 0 0
No FEAR Act Annual Report 14

TABLE 7: COMPLAINTS DISMISSED BY AGENCY

Agency 

Dismissal 

Information

2017 2018 2019 2020 2021 2022 thru

9-30

Complaints

dismissed by 

agency

0 0 0 0 1 1

Average days 

pending prior 

to dismissal

0 0 0 252 262 235

Total 

Complaints

Withdrawn by 

Complainants

0 0 0 0 0 0

TABLE 8: TOTAL FINAL AGENCY ACTIONS FINDING DISCRIMINATION

Type of 

Findings

2017 

# 

2017

%

2018 

# 

2018

%

2019 

# 

2019

%

2020 

# 

2020

%

2021 

# 

2021

%

2022

thru 

9-30 

#

2022

thru 

9-30

%

Total 

Findings

0 0 0 0 0 0 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

TABLE 9: TOTAL FINDINGS OF DISCRIMINATION RENDERED BY BASIS

Basis 2017 

# 

2017

%

2018 

# 

2018

%

2019 

# 

2019

%

2020 

# 

2020

%

2021 

# 

2021

%

2022

thru

9-30 

#

2022

thru 

9-30

%

Total 

findings

0 0 0 0 0 0 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

Pregnancy 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
No FEAR Act Annual Report 15

TABLE 10: TOTAL FINDINGS OF DISCRIMINATION RENDERED AFTER HEARING BY BASIS

Basis 2017 

# 

2017

%

2018 

# 

2018

%

2019 

# 

2019

%

2020 

# 

2020

%

2021 

# 

2021

%

2022

thru 

9-30

#

2022

thru 

9-30

%

Total 

findings

0 0 0 0 0 0 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

Pregnancy 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

TABLE 11: TOTAL FINDINGS OF DISCRIMINATION RENDERED WITHOUT HEARING BY BASIS

Basis 2017 

# 

2017

%

2018 

# 

2018

%

2019 

# 

2019

%

2020 

# 

2020

%

2021 

# 

2021

%

2022

thru 

9-30 

#

2022

thru 

9-30

%

Total 

findings

0 0 0 0 0 0 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

Pregnancy 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
No FEAR Act Annual Report 16

TABLE 12: TOTAL FINDINGS OF DISCRIMINATION RENDERED BY ISSUE

Issue 2017 

# 

2017

%

2018 

# 

2018

%

2019 

# 

2019

%

2020 

# 

2020

%

2021 

# 

2021

%

2022

thru 

9-30

#

2022

thru 

9-30

%

Total findings 0 0 0 0 0 0 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 ActionDemotion0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary ActionReprimand0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary ActionSuspension

0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary ActionRemoval0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary ActionOther

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

Performance 

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-Sexual 0 0 0 0 0 0 0 0 0 0 0 0

Harassment-NonSexual

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/NonSelection

0 0 0 0 0 0 0 0 0 0 0 0

ReassignmentDenied

0 0 0 0 0 0 0 0 0 0 0 0

ReassignmentDirected0 0 0 0 0 0 0 0 0 0 0 0

Reasonable 

AccommodationDisability

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
No FEAR Act Annual Report 17

Issue 2017 

# 

2017

%

2018 

# 

2018

%

2019 

# 

2019

%

2020 

# 

2020

%

2021 

# 

2021

%

2022

thru 

9-30

#

2022

thru 

9-30

%

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 

Terms/Conditions 

of Employment

0 0 0 0 0 0 0 0 0 0 0 0

TABLE 13: TOTAL FINDINGS OF DISCRIMINATION RENDERED AFTER HEARING BY ISSUE

Issue 2017 

# 

2017

%

2018 

# 

2018

%

2019 

# 

2019

%

2020 

# 

2020

%

2021 

# 

2021

%

2022

thru 

9-30 

#

2022

thru 

9-30

%

Total findings 0 0 0 0 0 0 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 ActionDemotion0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary ActionReprimand

0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary ActionSuspension0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary ActionRemoval0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary ActionOther

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

Performance 

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-Sexual 0 0 0 0 0 0 0 0 0 0 0 0

Harassment-NonSexual0 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/NonSelection0 0 0 0 0 0 0 0 0 0 0 0

ReassignmentDenied0 0 0 0 0 0 0 0 0 0 0 0

ReassignmentDirected

0 0 0 0 0 0 0 0 0 0 0 0
No FEAR Act Annual Report 18

Issue 2017 2017 2018 2018 2019 2019 2020 2020 2021 2021 2022 2022

# % # % # % # % # % thru thru

9-30 9-30

# %

Reasonable 

AccommodationDisability

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-Sterotyping 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 

Terms/Conditions 

of Employment

0 0 0 0 0 0 0 0 0 0 0 0

TABLE 14: TOTAL FINDINGS OF DISCRIMINATION RENDERED WITHOUT HEARING BY ISSUE

Issue 2017 

# 

2017

%

2018 

# 

2018

%

2019 

# 

2019

%

2020 

# 

2020

%

2021 

# 

2021

%

2022

thru

9-30 

#

2022

thru 

9-30

%

Total findings 0 0 0 0 0 0 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 ActionDemotion0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary ActionReprimand

0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary ActionSuspension

0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary ActionRemoval

0 0 0 0 0 0 0 0 0 0 0 0

Disciplinary ActionOther0 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

Performance 

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-Sexual 0 0 0 0 0 0 0 0 0 0 0 0

Harassment-NonSexual

0 0 0 0 0 0 0 0 0 0 0 0
No FEAR Act Annual Report 19

Issue 2017 

# 

2017

%

2018 

# 

2018

%

2019 

# 

2019

%

2020 

# 

2020

%

2021 

# 

2021

%

2022

thru 

9-30

#

2022

thru 

9-30

%

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/Nonselection

0 0 0 0 0 0 0 0 0 0 0 0

ReassignmentDenied0 0 0 0 0 0 0 0 0 0 0 0

ReassignmentDirected0 0 0 0 0 0 0 0 0 0 0 0

Reasonable 

AccommodationDisability

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

Terms/Conditions 

of Employment

0 0 0 0 0 0 0 0 0 0 0 0

TABLE 15: PENDING COMPLAINTS FILED IN PREVIOUS FISCAL YEARS BY STATUS

Pending 2017 2018 2019 2020 2021 2022 thru

Complaints 9-30

and

Complainants

Total 

complaints 

from previous 

fiscal years

1 4 1 2 8 2

Total 

complainants

1 4 1 2 8 2
No FEAR Act Annual Report 20

TABLE 16: PENDING COMPLAINTS BY STATUS

Complaint 

Status

2017 2018 2019 2020 2021 2022 thru

9-30

Investigation 0 0 0 0 0 0

ROI issued, 

pending 

complainant’s 

action

0 0 0 0 0 0

Hearing 0 0 0 0 3 2

Final Agency 

Action

0 0 0 0 1 0

Appeal with 

EEOC Office 

of Federal 

Operations

0 0 0 0 0 0

TABLE 17: PENDING COMPLAINTS WHERE INVESTIGATION EXCEED REQUIRED TIME FRAMES

Investigations 2017 2018 2019 2020 2021 2022 thru

9-30

Number of 

investigations 

exceeding

timeframes

0 0 0 0 0 0
No FEAR Act Annual Report 21

APPENDIX II: CFTC Equal Employment Opportunity and AntiHarassment Statement

To: All CFTC Employees

From: Chairman Rostin Behnam 

Date: April 14, 2022 

Subject: CFTC Equal Employment Opportunity and Anti-Harassment Statement

Equal Employment Opportunity

As CFTC Chairman, I believe that the CFTC should be a model workplace where all employees 

have the right to work and advance on the bases of merit and ability. Federal Equal Employment 

Opportunity (EEO) laws and regulations protect all employees and applicants for employment 

from discrimination or harassment based on race, color, religion, sex (including pregnancy, 

sexual orientation, and gender identity), age (40 or older), national origin, disability, genetic 

information, or retaliation. I support the right of all CFTC employees to exercise their rights 

under Federal EEO laws and regulations. Moreover, I reaffirm the CFTC’s commitment to 

ensuring that the CFTC provides employees and applicants for employment equal employment 

opportunity across all personnel and employment programs, and terms, conditions and 

privileges of employment including, but not limited to, recruitment, hiring, merit promotion, 

training, and career development and ask that you join me in this commitment. Consistent with 

this commitment, the CFTC also provides reasonable accommodations to employees and 

applicants with disabilities and for sincerely held religious beliefs, observances and practices.

Unlawful Harassment

The CFTC is committed to maintaining a work environment that is free of harassment. 

Harassment is a form of employment discrimination that violates Federal EEO laws and 

regulations and is defined as unwelcome verbal, non-verbal, or physical conduct that is based on 

race, color, religion, sex (including pregnancy, sexual orientation, and gender identity), age (40 

or older), national origin, disability, genetic information, or retaliation. Sexual harassment is a 

form of harassment defined as unwelcome sexual advances, request for sexual favors, or other 

verbal, non-verbal, or physical conduct of a sexual nature. Harassment becomes unlawful where:

(1) enduring the offensive conduct becomes a condition of continued employment; or (2) the 

conduct is severe or pervasive enough to create a work environment that a reasonable person 

would consider intimidating, hostile, or abusive. Workplace harassment will not be tolerated, and 

the CFTC is committed to implementing policy and procedures to uncover and correct harassing 

conduct at the earliest possible stage to avoid or limit potential harm to any employee before it 

rises to the level of unlawful harassment 
No FEAR Act Annual Report 22

Protection Against Retaliation

CFTC employees and applicants are also protected against retaliation. Consistent with Federal 

EEO laws and regulations, retaliation against individuals for their participation in the EEO 

complaint process or opposition to discriminatory practices is prohibited and will not be 

tolerated.

How To Report

CFTC employees or applicants for employment who believe they have been subjected to or 

observed harassing conduct should contact their immediate supervisor, the supervisor of the 

alleged perpetrator or any member of management. CFTC employees or applicants who 

believe they have been subjected to unlawful harassment, including sexual harassment, 

discrimination, or retaliation based on race, color, religion, sex (including pregnancy, sexual 

orientation, and gender identity), age (40 or older), national origin, disability, genetic 

information, may initiate a complaint by contacting the Office of Minority and Women 

Inclusion (OMWI), Equal Employment Opportunity Program within 45 days of the alleged 

discriminatory action via email at CivilRights@cftc.gov.

Together, we all play a part in making the CFTC an employer of choice where we strive to 

ensure equal employment opportunity and a workplace free of harassment. All CFTC 

employees are responsible for maintaining public trust and are held to high conduct standards 

including honesty, integrity, and impartiality while supporting the Commission in achieving its 

mission and serving as an exemplar in the markets we regulate and the financial industry we 

serve. It is incumbent on all of us, regardless of our positions within the CFTC, to do our part 

to ensure that the CFTC is a safe and fair workplace, where individual differences are respected 

and valued; this includes cooperating fully in any matter related to equal employment 

opportunity. CFTC supervisors and managers must take a lead role in advancing and 

embedding fairness in our decision- making processes and proactively identifying and 

rectifying barriers to equal employment opportunity. Thank you for your hard work and 

dedication to fulfilling the CFTC's mission.
Office of Minority and Women Inclusion

Three Lafayette Centre

1155 21st Street, NW

Washington, DC 20581

202.418.5000 

OMWI@cftc.gov

CFTC.gov