Opportunities Exist to Strengthen the SEC’s Office of Equal Employment Opportunity Programs and Operations, Report No. 581

Submitting OIG:

Report Description:

Date Issued:

Monday, January 29, 2024

Agency Reviewed / Investigated:

Securities and Exchange Commission

Component, if applicable:

Office of Equal Employment Opportunity

Location(s):

Agency-Wide

Type of Report:

Inspection / Evaluation

Special Projects:

DEIA

Questioned Costs:

Funds for Better Use:

Number of Recommendations:

Report updated under NDAA 5274:

View Document:

Attachment	Size
OpportunitiesExisttoStrengthenSECsOEEOProgramsOperationsRptNo581.pdf	1.92 MB

Recommendation Number	Recommendation Status	Significant Recommendation
1	Open	Yes
Immediately establish processes, such as developing a firewall to prevent the OEEO Director from participating in the day-to-day functions of the anti-harassment program, in order to avoid any actual or appearance of a conflict of interest.
2	Open	Yes
Coordinate with SEC offices and management who share responsibilities in the anti-harassment program to (a) update the policies and procedures to clarify key terms, roles, and responsibilities; (b) educate program officials on their roles and responsibilities; and (c) ensure established timelines are met.
3	Open	Yes
Establish, implement, and communicate policies and procedures to process anti-harassment program cases that present a conflict of interest, and ensure the procedures align with EEOC requirements and guidance for anti-harassment programs.
4	Open	Yes
Establish a blanket Memorandum of Understanding with another federal agency and/or enter into other written agreements with other entities to process conflict-of-interest harassment cases in a timely manner.
5	Open	Yes
Develop and implement policies and procedures to ensure anti-harassment cases are consistently and accurately tracked and documented, including internal review processes.
6	Open	Yes
Establish, as part of proactive prevention efforts, a process to periodically review reported harassment concerns and coordinate with divisions and offices to determine whether tailored training is needed, and then offer such training agency wide and/or to divisions and offices, as appropriate.”
7	Open	Yes
Review and update, as needed, the System of Records Notice for the anti-harassment program to ensure it reflects accurate information and safeguards all records collected under the program.
8	Open	Yes
Develop and implement a review, monitoring, and validation process to ensure complaints, including those handled by other third-party agencies, are processed and files are maintained in accordance with all statutory and EEOC requirements.
9	Open	Yes
Develop and implement a process to ensure harassment allegations raised during the complaint process are tracked and promptly referred to the anti-harassment program.
10	Open	Yes
Develop and implement a process to ensure contractor training certifications (such as those for contracted counselors, mediators, and investigators) are requested and retained.

Recommendation Number

Recommendation Status

Significant Recommendation

Additional Details

Open

Yes

Immediately establish processes, such as developing a firewall to prevent the OEEO Director from participating in the day-to-day functions of the anti-harassment program, in order to avoid any actual or appearance of a conflict of interest.

Open

Yes

Coordinate with SEC offices and management who share responsibilities in the anti-harassment program to (a) update the policies and procedures to clarify key terms, roles, and responsibilities; (b) educate program officials on their roles and responsibilities; and (c) ensure established timelines are met.

Open

Yes