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Securities and Exchange Commission (SEC)

Contact: Alta G. Rodriguez
Acting EEO Director
(202) 551-6040
Email: rodriguezad@sec.gov
Fiscal Year 2006 2007 2008 2009
Size of Work Force 3,602 3,449 3,637 3,722
Pre-Complaint Process
Completed/Ended Counselings 22 19 19 21
Offered ADR 22 19 19 18
Processed and Completed (Participations) 0 6 2 2
Resolutions (Settlements and Withdrawals) 0 3 1 0
Formal Complaint Process
Complaint Closures 16 20 5 13
Offered ADR 2 0 2 13
Processed and Completed (Participations) 2 0 2 1
Resolutions (Settlements and Withdrawals) 0 0 1 1

For FY 2000 through FY 2005, ADR activity was measured in both completed and pending counselings and complaints.

Fiscal Year 2000 2001 2002 2003 2004 2005
Size of Work Force 2,958 3,052 3,031 3,293 3,829 3,883
Pre-Complaint Process
Initial Counseling Contacts 24 28 22 18 39 28
Offered ADR N/A N/A 22 25 45 32
Processed in ADR 8 6 4 6 6 4
Completed ADR 0 4 5 8 7 4
Resolved Disputes 0 1 2 1 2 1
Formal Complaint Process
Complaints Filed 10 21 13 14 25 17
Complaints in Inventory 70 50 47 48 41 31
Offered ADR N/A N/A 13 1 0 1
Processed in ADR N/A 0 0 1 0 1
Completed ADR 3 0 0 1 0 1
Resolved Disputes 3 0 0 1 0 0