Equal Employment Opportunity

The mission of the Commodity Futures Trading Commission (CFTC) is to promote the integrity, resilience, and vibrancy of the U.S. derivatives markets through sound regulation. Our workforce brings a wide range of experiences and perspectives that are essential to fulfilling our mission. All federal  employees, applicants for employment, and former employees have the right to equal employment opportunity (EEO). Employment discrimination, including harassment, based on race; color; religion; sex; national origin; age; disability; genetic information; pregnancy, childbirth, or related medical conditions; and retaliation for engaging in protected EEO activity is prohibited.

The CFTC’s Office of Equal Employment Opportunity (OEEO):

  • Leads the CFTC in establishing and maintaining an effective and model EEO program, in compliance with civil rights statutes, regulations, and U.S. Equal Employment Opportunity Commission (EEOC) guidance.
  • Administers a fair and impartial EEO complaint process for all CFTC employees and job applicants.
  • Prepares and submits quarterly and annual EEO program reports, as required by law.
  • Educates the workforce on employee rights and responsibilities regarding unlawful discrimination, harassment, and retaliation.
  • Provides neutral technical assistance to individuals seeking to resolve workplace conflicts through the EEO process.

Establishing a Model EEO Program

Federal agencies are required to take steps to promote EEO and create and maintain the minimum requirements for a model EEO program, pursuant to Title VII of the Civil Rights Act of 1964 (Title VII), as amended, 42 U.S.C. § 2000e et seq.; and Section 501 of the Rehabilitation Act of 1973 (Rehabilitation Act), as amended, 29 U.S.C. § 791; and the Americans with Disabilities Act Amendments Act of 2008 (Pub. L. 110-325).

The EEOC’s Management Directive 715 (MD-715) establishes the six essential elements for a model EEO program:  

  1. Demonstrated commitment from agency leadership;
  2. Integration of EEO into the agency's strategic mission;
  3. Management and program accountability;
  4. Proactive prevention of unlawful discrimination;
  5. Efficiency; and
  6. Responsiveness and legal compliance.

Equal Employment Opportunity Complaint Process

OEEO administers the CFTC EEO complaint process in compliance with EEOC regulations published in the Code of Federal Regulations at 29 CFR § 1614, which outlines the procedures for the federal EEO complaint process.

CFTC employees, former employees, or applicants who believe they have been discriminated against in violation of Federal anti-discrimination laws that prohibit discrimination on the basis of race; color; religion; sex; national origin; age; disability; genetic information; pregnancy, childbirth, or related medical conditions; or retaliation for engaging in protected EEO activity have the right to engage in the CFTC EEO process by following the steps below. The process is designed to ensure that all CFTC employees, former employees, and applicants have access to a fair, impartial, and timely resolution of claims involving discrimination, harassment, or retaliation.

Step 1: Initiating EEO Contact

If you are a CFTC employee, former employee, or applicant and believe you have been subjected to discrimination, harassment, or retaliation you must initiate EEO contact by contacting OEEO within 45 calendar days of the alleged incident or from the date you became aware of an action you believe to be discriminatory.

CFTC Office of Equal Employment Opportunity
Email:  [email protected]
Phone: 202-418-5400

Step 2: Pre-Complaint Counseling

Before filing a formal complaint, you must engage in EEO counseling. During this period, you will have an opportunity to discuss the issue with an EEO Counselor, who will provide information about the EEO process and your rights and responsibilities, attempt to resolve the issue informally, including offering an opportunity to elect alternative dispute resolution, and provide a Notice of Right to File a formal complaint if the issue cannot be resolved.

Step 3: Filing a Formal Complaint

If the issue is not resolved through counseling, you will be issued a Notice of Right to File a formal complaint with OEEO. The formal complaint must be submitted in writing and contain sufficient detail to identify the issue, the alleged discriminatory act(s), and the date(s) of the event(s) in question. You must file a formal complaint within 15 calendar days from the date you receive the Notice of Right to File.

Step 4: Acceptance/Dismissal of Complaint

Once you have filed a formal complaint, OEEO will acknowledge receipt of your formal complaint and review the complaint for acceptance or dismissal. If your complaint is dismissed, it means that it has been determined that the complaint does not meet the necessary criteria to proceed further in the formal complaint process. A complaint can be dismissed for several reasons, as described in the EEOC’s regulations at 29 CFR § 1614.107(a).

If your complaint is dismissed, you will receive written notice explaining the reason(s). You may appeal the dismissal to the EEOC or seek other administrative or legal remedies, depending on the situation.

Step 5: Investigation

If your complaint is accepted, OEEO will assign an EEO Investigator to investigate the accepted claims. The investigation is intended to gather facts and evidence from all parties involved, including witnesses, to determine whether discrimination occurred. The investigation will be conducted in a fair and impartial manner, as required by 29 CFR § 1614.108. The investigation must be completed within 180 calendar days from the filing of the formal complaint, unless an extension is granted.

Step 6: Request a Final Agency Decision (FAD) or Hearing

Upon completion of the investigation, OEEO will issue you a copy of your Report of Investigation and you will have an opportunity to either: 1) request a hearing before an EEOC Administrative Judge; or 2) request issuance of a Final Agency Decision (FAD) from the CFTC. The FAD is the CFTC’s final decision on the complaint of discrimination, and the FAD will include a notice of appeal rights.  

Step 7: Appeal Process

You have the right to appeal a FAD to the EEOC within 30 calendar days from the date of receipt of the FAD, as outlined in 29 CFR § 1614.402. The notice of appeal rights issued with a FAD will also inform you of your right to file a civil action in the appropriate Federal District Court within 90 calendar days of receipt of the FAD.

Alternative Dispute Resolution

The CFTC’s EEO Alternative Dispute Resolution (ADR) program offers a voluntary, confidential, and effective method for resolving workplace concerns outside of the formal EEO complaint process. The goal of the EEO ADR program is to provide employees and applicants an opportunity to resolve concerns quickly and collaboratively, without the need for prolonged investigations or litigation. The CFTC EEO ADR program is established in accordance with EEOC regulations and guidance, specifically 29 CFR § 1614.102 and the EEOC’s Management Directive 110, which emphasizes the use of ADR as a tool to resolve workplace concerns early in the EEO process.

The EEOC’s regulations and guidance encourage federal agencies to incorporate ADR as a means to foster a work environment that promotes fairness, respect, and the effective resolution of workplace issues. By providing an alternative to formal EEO complaints, the CFTC’s EEO ADR program allows both parties to engage in constructive dialogue, facilitated by a neutral third-party mediator, to find mutually agreeable solutions to workplace concerns. This approach encourages open communication and problem-solving, promoting a more positive, productive and cooperative workplace environment.

Key Aspects of the EEO ADR Program:

  1. Voluntary and Confidential: Participation in ADR is completely voluntary for both the complainant and the agency. All discussions during the ADR process are confidential, so that participants can openly address concerns without fear of reprisal or negative consequences.
  2. Mediation: Mediation is the primary method used in the CFTC EEO ADR program. A trained, neutral mediator helps the parties identify the issues, understand each other’s perspectives, and explore potential resolutions.
  3. Timely Resolution: ADR can provide a quicker resolution compared to the timeframe for processing a formal EEO complaint. ADR allows for early intervention, helping to resolve workplace concerns and return the parties to a more positive, productive and cooperative workplace environment.
  4. No Retaliation: Employees will not be subjected to retaliation for choosing to participate in ADR. The CFTC strives to ensure that all parties are treated fairly throughout the process.

Anti-Harassment

The CFTC’s Human Resources Branch leads the CFTC’s Anti-Harassment Program, and the CFTC’s anti-harassment policy and procedure explains the process for reporting harassment or offensive conduct.

In addition to the CFTC’s anti-harassment policy and procedure, CFTC employees who believe they have experienced unlawful harassment based on protected bases also have the right to file an EEO complaint under the EEO complaint process described above.

Reasonable Accommodations and Personal Assistance Services

The CFTC provides reasonable accommodations for employees or applicants for employment based on disabilities, and provides personal assistance services to employees with targeted disabilities. Furthermore, the CFTC provides religious accommodations for sincerely held religious observances, practices, and beliefs. Lastly, the CFTC provides accommodations based on pregnancy, childbirth, or related medical conditions, in accordance with the law and CFTC policies.

For information on how to request a reasonable accommodation based on disability or to request personal assistance services for people with targeted disabilities, please see the CFTC’s reasonable accommodation and personal assistance services policy and procedures linked here. Questions and requests for reasonable accommodations at the CFTC should be directed to [email protected].

Individuals who believe they have been unlawfully denied a reasonable accommodation under the law have the right to file an EEO complaint through the complaint process described above.

Accessibility Statement

The CFTC is committed to making its information and communication technology (ICT), as well as its facilities, accessible to individuals with disabilities by meeting or exceeding the requirements of Section 508 of the Rehabilitation Act of 1973 and the Architectural Barriers Act of 1968. Section 508 of the Rehabilitation Act requires all ICT purchased, developed, maintained, or used by federal agencies to be readily accessible to individuals with disabilities. The Architectural Barriers Act requires that buildings and facilities that were built, designed, constructed, altered, leased or financed with Federal funds, by or on behalf of the United States, after August 12, 1968, be accessible to individuals with disabilities. For more information on the right to accessible ICT as well as to accessible facilities, please consult the United States Access Board’s website.

For questions or concerns regarding the accessibility of the CFTC’s ICT please reach out to the CFTC’s 508 Coordinator at [email protected]. For further information on the CFTC’s web accessibility, please see the CFTC’s web policy. For questions or further information regarding the physical accessibility of the CFTC’s buildings and facilities under the Architectural Barriers Act of 1968, please contact [email protected].

If you would like to file a complaint regarding the accessibility of the CFTC’s ICT or facilities under either Section 508 or the Architectural Barriers Act, please contact OEEO by email at [email protected] or by phone at (202) 418-5400.

Equal Employment Opportunity Reports

As part of our commitment to compliance and equal opportunity for all, OEEO prepares and publishes a number of reports required by federal law and regulation.

Notification and Federal Employee Antidiscrimination and Retaliation Act (No FEAR Act) and Elijah E. Cummings Federal Employee Antidiscrimination Act  of 2020 (Cummings Act) Reports

Under the No FEAR Act, as amended by the Cummings Act, the CFTC is required to submit annual and quarterly reports on EEO complaint activity and training. For more information, and to view the CFTC’s annual and quarterly reports, please visit the CFTC’s No FEAR Act & Cummings Act webpage.

CFTC Management Directive 715 Report

The EEOC's Management Directive 715 requires federal agencies to annually evaluate and report on the effectiveness of their EEO programs, in accordance with:

  • Section 717 of Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000e et seq., and
  • Section 501 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 791 et seq.  

The MD-715 Report includes a summary of the CFTC’s EEO-related activities, results of internal assessments to evaluate and enhance EEO, and plans to address deficiencies to strengthen the CFTC’s EEO program.

EEOC Form 462 Report: Annual Federal Equal Employment Opportunity Statistical Report of Discrimination Complaints

The EEOC Form 462 Report provides detailed data on EEO complaint processing activity, including counseling, investigations, final actions, and findings of discrimination. It also includes staffing and resource information related to the CFTC’s EEO program operations. The CFTC submits this report annually to the EEOC in accordance with federal requirements.

Federal Equal Employment Opportunity Laws & Regulations

Resources