U.S. SECURITIES AND 

EXCHANGE COMMISSION

FISCAL YEAR 2020

ANNUAL 

EQUAL EMPLOYMENT 

OPPORTUNITY PROGRAM 

STATUS REPORT

MANAGEMENT DIRECTIVE 715
Some information referenced in this report has been redacted to protect employee privacy. 
FISCAL YEAR 2020 | i

CONTENTS

U.S. SECURITIES AND EXCHANGE COMMISSION INFORMATION (PARTS A, B, C, D) . . .  

Part A: Department or Agency Identifying Information . . . . . . . . . . . . . . . . . . .  

Part B: Total Employment.

Part C: Agency Leadership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  

Part D: Subordinate Components and Documents.

EXECUTIVE SUMMARY (PART E).

Mission of the U.S. Securities and Exchange Commissio

SEC’s EEO Program.

Commission’s Annual Self-Assessment Against MD-715 Essential Elements . . . . . . . . . .  

Essential Element A: Demonstrated Commitment from Commission Leadership.

Essential Element B: Integration of EEO into the Commission’s Strategic Mission . . . . . 20

Essential Element C: Management and Program Accountability.  

Essential Element D: Proactive Prevention of Unlawful Discrimination.  

Essential Element E: Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

Essential Element F: Responsiveness and Legal Compliance.  

Summary of EEO Plan Objectives Planned to Eliminate Identified Barriers 

or Correct Program Deficiencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60

Accomplishments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60

CERTIFICATION OF ESTABLISHMENT OF CONTINUING EQUAL 

EMPLOYMENT OPPORTUNITY PROGRAMS (PART F) . . . . . . . . . . . . . . . . . . . . 73

AGENCY EEO PLAN TO ATTAIN THE ESSENTIAL ELEMENTS OF A 

MODEL EEO PROGRAM (PART H) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75

Section I: Agency’s Procedures for Reasonable Accommodation (RA).  

AGENCY EEO PLAN TO ELIMINATE IDENTIFIED BARRIER (PART I).  

Section I: Analysis of Discretionary Cash and Time-off Awards.  

Section II: Analysis of the Accounting Occupation.  

Section III: Analysis of the Attorney Occupation.  

Prepared by

THE OFFICE OF EQUAL EMPLOYMENT OPPORTUNITY
ii | EEO PROGRAM STATUS REPORT

SPECIAL PROGRAM PLAN FOR THE RECRUITMENT, HIRING, ADVANCEMENT, 

AND RETENTION OF PERSONS WITH DISABILITIES (PART J).  

Section I: Efforts to Reach Regulatory Goals.  

Section II: Model Disability Program.  

Plan to Provide Sufficient & Competent Staffing for the Disability Program. .

Plan to Ensure Sufficient Funding for the Disability Program . . . . . . . . . . . . . . . 100

Section III: Plan to Recruit and Hire Individuals with Disabilities.  

Plan to Identify Job Applicants with Disabilities . . . . . . . . . . . . . . . . . . . . . . 101

Plan to Establish Contacts with Disability Employment Organizations . . . . . . . . . . 104

Progression Towards Goals (Recruitment and Hiring) .  

Section IV: Plan to Ensure Advancement Opportunities for Employees with Disabilities .  

Advancement Program Plan.  

Career Development Opportunities.  

Awards.  

Promotions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118

Section V: Plan to Improve Retention of Persons with Disabilities . . . . . . . . . . . . . . 126

Voluntary and Involuntary Separations.  

Accessibility of Technology and Facilities.  

Reasonable Accommodation Program . . . . . . . . . . . . . . . . . . . . . . . . . . . 131

Personal Assistance Services Allowing Employees to Participate in the Workplace . . . . 135

Section VI: EEO Complaint and Findings Data . . . . . . . . . . . . . . . . . . . . . . . . 137

EEO Complaint Data Involving Harassment.  

EEO Complaint Data Involving Reasonable Accommodation.  

Section VII: Identification and Removal of Barriers . . . . . . . . . . . . . . . . . . . . . . 138

ATTACHMENT 1. SEC ORGANIZATIONAL CHART.  

ATTACHMENT 2. EQUAL EMPLOYMENT OPPORTUNITY POLICY.  

ATTACHMENT 3. SEC STRATEGIC PLAN FY 2018—FY 2022 . . . . . . . . . . . . . . . . 151

ATTACHMENT 4. POLICY ON PREVENTING HARASSMENT (PPH).  

ATTACHMENT 5. REPRESENTATIVE SAMPLE OF CHAIRMAN CLAYTON’S

COMMUNICATIONS TO STAFF ON EEO AND DIVERSITY & INCLUSION.  

ATTACHMENT 6. REASONABLE ACCOMMODATION AND PERSONAL ASSISTANCE

SERVICES PROCEDURES.  

ATTACHMENT 7. SEC’S ALTERNATIVE DISPUTE RESOLUTION CONFLICT 

TO RESOLUTION PROCEDURES.  

ATTACHMENT 8. POLICY MEMORANDUM: STANDARDS FOR EEO, 

WORKFORCE DIVERSITY, AND WORKPLACE INCLUSION.  

ATTACHMENT 9. FY 2020 OMWI SPECIAL OBSERVANCES AND EVENTS.  

ATTACHMENT 10. WORKFORCE DATA TABLES.  
FISCAL YEAR 2020 | 1

U.S. SECURITIES AND EXCHANGE 

COMMISSION INFORMATION 

(PARTS A, B, C, D)

Part A: Department or Agency Identifying Information

Agency

Second 

Level 

Component

Address City State

Zip 

Code 

(xxxxx)

Agency 

Code 

(xxxx)

FIPS 

Code

(xxxx)

U.S. Securities and 

Exchange Commission

N/A 100 F Street, NE Washington DC 20549 SE00 11001

Part B: Total Employment

Total Employment Permanent Workforce Temporary Workforce Total Workforce

Number of Employees 4,389 104 4,493

Part C: Agency Leadership

Section I: Head of Agency and Head of Agency Designee

Agency Leadership Name Title

Head of Agency Allison Herren Lee Acting Chair

Agency Head Designee Peter J. Henry Director, Office of Equal 

Employment Opportunity

Section II: Agency Official(s) Responsible for Oversight of EEO Program(s) 

EEO Program 

Staff Name Title

Occupational 

Series 

(xxxx)

Pay Plan 

and Grade 

(xx-xx)

Phone 

Number

(xxx-xxxxxxx)

Email 

Address

Principal EEO 

Director/Official

Peter J. 

Henry

Director, 

Office of Equal 

Employment 

Opportunity

0905 SO 202-551-7001 henryp@sec.gov

Affirmative 

Employment 

Program Manager

Peter J. 

Henry

Director, 

Office of Equal 

Employment 

Opportunity

0905 SO 202-551-7001 henryp@sec.gov

Complaint 

Processing 

Program Manager

Kelly 

Goode

Compliance 

and Resolutions 

Manager, 

Office of Equal 

Employment 

Opportunity

0905 SK-15 202-551-4398 goodee@sec.gov

Diversity & 

Inclusion Officer

Pamela 

Gibbs

Director, Office 

of Minority and 

Women Inclusion

0340 SO 202-551-6503 gibbsp@sec.gov

Hispanic Program 

Manager (SEPM)

Pamela 

Gibbs

Director, Office 

of Minority and 

Women Inclusion

0340 SO 202-551-6503 gibbsp@sec.gov
2 | EEO PROGRAM STATUS REPORT

EEO Program 

Staff Name Title

Occupational 

Series 

(xxxx)

Pay Plan 

and Grade 

(xx-xx)

Phone 

Number

(xxx-xxxxxxx)

Email 

Address

Women's Program 

Manager (SEPM)

Pamela 

Gibbs

Director, Office 

of Minority and 

Women Inclusion

0340 SO 202-551-6503 gibbsp@sec.gov

Disability Program 

Manager (SEPM)1

Pamela 

Gibbs

Director, Office 

of Minority and 

Women Inclusion

0340 SO 202-551-6503 gibbsp@sec.gov

Special Placement 

Program 

Coordinator 

(Individuals with 

Disabilities)

Kai Petty Team Lead, 

Office of Human 

Resources

0201 SK-14 202-551-6344 pettyka@sec.gov

Reasonable 

Accommodation 

Program Manager

Dia 

Gonsalves

Branch Chief, 

Office of Human 

Resources

0343 SK-15 202-551-3166 gonsalvesd@sec.gov

Anti-Harassment 

Program 

Manager2

Dwayne 

Boyd

Attorney, 

Office of Equal 

Employment 

Opportunity

0905 SK-14 202-551-6017 boydd@sec.gov

ADR Program 

Manager

Rachel 

Anglade

Attorney, 

Office of Equal 

Employment 

Opportunity

0905 SK-14 202-551-2190 anglader@sec.gov

Compliance 

Manager

Kelly 

Goode

Compliance 

and Resolutions 

Manager, 

Office of Equal 

Employment 

Opportunity

0905 SK-15 202-551-4398 goodee@sec.gov

Principal MD-715 

Preparer

Alta G. 

Rodriguez

Senior Counsel 0905 SK-16 202-551-6002 rodriguezag@sec.gov

1 Special Emphasis Program Management (SEPM) for persons with disabilities is coordinated across the Office of Human 

Resources (OHR) and the Office of Minority and Women Inclusion (OMWI). The Director of OMWI is listed here to

reflect responsibility for the Employee Affinity Group supporting SEC employees with disabilities. Other relevant program

management is described in Part J, infra

2 The harassment prevention program is a management responsibility and many SEC offices coordinate responsibilities

The Office of Equal Employment Opportunity subject matter expert is identified here due to his leadership in the SEC’s 

proactive harassment prevention dialogues and for providing educational outreach to managers and employees on 

preventing harassment in the workplace
FISCAL YEAR 2020 | 3

Part D: Subordinate Components and Documents

Section I: List of Subordinate Components Covered in this Report

Please identify the subordinate components within the Agency (e.g., bureaus, regions, et

X If the Agency does not have any subordinate components, please check the box

Section II: Mandatory and Optional Documents for this Report 

In the table below, the Agency must submit these documents with its MD-715 report

Did the Agency submit the following mandatory documents? Please respond 

Yes or No Comments

Organizational Chart Yes

EEO Policy Statement Yes

Strategic Plan Yes

Anti-Harassment Policy and Procedures Yes

Reasonable Accommodation Procedures Yes

Personal Assistance Services Procedures Yes

Alternative Dispute Resolution Procedures Yes

In the table below, the Agency may decide whether to submit these documents with its 

MD-715 report

Did the Agency submit the following optional documents? Please respond 

Yes or No Comments

Federal Equal Opportunity Recruitment Program (FEORP) Report No

Disabled Veterans Affirmative Action Program (DVAAP) Report No

Operational Plan for Increasing Employment of Individuals with Disabilities 

under Executive Order 13548 No

Diversity and Inclusion Plan under Executive Order 13583 No

Diversity Policy Statement No

Human Capital Strategic Plan No

EEO Strategic Plan No

Results from most recent Federal Employee Viewpoint Survey or Annual 

Employee Survey No
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FISCAL YEAR 2020 | 5

EXECUTIVE SUMMARY 

(PART E)

EEOC FORM

715-01 

PART E

U.S. Equal Employment Opportunity Commission 

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

U.S. Securities and Exchange Commission For period covering October 1, 2019 to September 30, 2020

This Equal Employment Opportunity (EEO) Program Status Report for Fiscal Year (FY) 2020 

is prepared and submitted under the Equal Employment Opportunity Commission’s (EEOC) 

Management Directive 715 (MD-715) and accompanying instructions and guidance. According to

the EEOC, “[t]he overriding objective of [MD-715] is to ensure that all employees and applicants 

for employment enjoy equality of opportunity in the federal workplace regardless of race, sex, 

national origin, color, religion, disability or reprisal for engaging in prior protected activity.”

Consistent with this objective, MD-715 requires federal agencies to conduct a self-assessment on 

at least an annual basis to evaluate the effectiveness of their overall EEO Program, using EEOCprescribed compliance indicators and measures. MD-715 also requires agencies to identify any

institutional, structural, attitudinal, and/or physical barriers that may operate to exclude certain 

groups, and to develop strategic plans to eliminate identified barriers

This report highlights accomplishments by the U.S. Securities and Exchange Commission (SEC

Commission, or Agency) in advancing EEO. This report also identifies additional actions the SEC

began in FY 2020 and will continue to take in FY 2021 to enhance its overall EEO Program

MISSION OF THE U.S. SECURITIES AND EXCHANGE COMMISSION

The SEC is an independent federal agency established pursuant to the Securities Exchange Act of 

1934. The SEC’s mission is to protect investors, maintain fair, orderly, and efficient markets, and

facilitate capital formation

The SEC oversees approximately $97 trillion in securities trading annually on U.S. equity market

and the activities of over 28,000 registered market participants, including investment advisers, 

mutual funds, exchange traded funds, broker-dealers, municipal advisors, and transfer agents

The Agency also oversees more than 7,400 reporting companies, 24 national securities exchanges, 

nine credit rating agencies, seven active registered clearing agencies, as well as the Public Company 

Accounting Oversight Board (PCAOB), the Financial Industry Regulatory Authority (FINRA), the 

Municipal Securities Rulemaking Board (MSRB), the Securities Investor Protection Corporation 

(SIPC), and the Financial Accounting Standards Board (FASB)
6 | EEO PROGRAM STATUS REPORT

The SEC’s core values are integrity, excellence, accountability, teamwork, fairness, and effectiveness

The SEC consists of five presidentially-appointed Commissioners, with staggered five-year terms

One of them is designated by the President as Chairman of the Commission who is responsible for 

the executive and administrative functions of the Commission. On May 4, 2017, Jay Clayton was

sworn in as the 32nd Chairman of the SEC. Chairman Clayton led the women and men of the SEC

throughout the FY 2020 reporting period

In FY 2020, the SEC was organized into five divisions (Corporation Finance, Enforcement, 

Economic and Risk Analysis, Investment Management, and Trading and Markets) and 25 offices

The SEC’s Headquarters is located in Washington, DC (Headquarters or HO). The Agency also

has 11 Regional Offices located throughout the country. As of September 30, 2020, the SEC had

a total workforce of 4,493 employees, including 4,390 permanent employees and 103 temporary 

employees. See Table A

SEC’s EEO Program

The accomplishments and developments highlighted in this report stem from collaboration 

among various offices responsible for aspects of the Agency’s EEO Program. Three SEC offices

the Office of Equal Employment Opportunity (OEEO), the Office of Minority and Women 

Inclusion (OMWI), and the Office of Human Resources (OHR)—have specific and interrelated 

responsibilities to foster equal employment opportunity and to focus on equal opportunity and 

diversity-related efforts in the Agency’s workforce

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 succeed as far as their talents will take them. It works to

integrate EEO into the SEC’s everyday business by:

n Contributing subject-matter expertise to aid the SEC with realistic strategic thinking, problemsolving, and policy development toward achieving a model workplace; 

n Analyzing data to identify concrete ways of removing potential impediments to equity 

in employment; 

n Proactively engaging with internal and external stakeholders, such as SEC leadership, OMWI, 

OHR, the National Treasury Employees Union (NTEU), the Diversity Council, and employee 

affinity groups; 

n Educating the workforce about EEO laws and about behaviors that could be perceived as 

unwelcome at work;

n De-escalating workplace conflicts through robust harassment prevention and alternative 

dispute resolution programs;

n Providing a neutral forum (outside the Office of the General Counsel [OGC] or OHR) for 

addressing EEO concerns; and

n Independently investigating and assessing EEO concerns and remedying violations of 

employment discrimination laws
FISCAL YEAR 2020 | 7

Through these efforts, OEEO helps to engage, energize, and empower employees to contribute fully 

to the SEC’s mission

OEEO’s Director is a Senior Officer (the equivalent of a member of the Senior Executive Service) 

who, consistent with EEOC regulations governing federal sector EEO Programs found at 29 

C.F.R. Part 1614 (hereinafter, Part 1614) and Section 403 of the Elijah E. Cummings Feder

Employee Antidiscrimination Act of 2020 amending the Notification and Federal Employee 

Antidiscrimination and Retaliation Act of 2002 (No FEAR Act), reports to the SEC Chairman

The OEEO Director leads a neutral office comprised of a small team of diverse professionals

This team has significant expertise in legal and social science analysis, proactive prevention, 

conflict management, investigative techniques, federal sector EEO rules and processes, and 

program management

To comply with Part 1614 and MD-715 requirements, OEEO remains impartial and safeguards 

its organizational autonomy. This helps to prevent institutional conflicts of interest that otherwise

could arise, and to instill confidence in the integrity of the Agency’s EEO Program. For example,

OEEO’s Director exercises authority to carry out Part 1614 functions without interference from any 

office, including OGC. OGC, which defends the SEC in EEO matters, is firewalled from activities

within OEEO. OGC participates during adversarial portions of the EEO process (hearings and

appeals), during settlement negotiations (to include discussions occurring as a result of a request 

for mediation made through OEEO’s Alternative Dispute Resolution [ADR] Program), and/or to 

provide appropriate legal advice or assistance when a manager or supervisor requests it during the 

course of an EEO investigation (consistent with EEOC guidance and recent case law setting forth 

parameters for agency counsel involvement and professional responsibility rules governing attorney 

conduct). Other SEC offices (such as OHR) are similarly firewalled and kept separate as necessary

and appropriate to avoid conflicting or competing interests

OEEO staff attorneys conduct legal sufficiency reviews of EEO matters, which include, for example, 

preparing and issuing “Accept/Dismiss” determinations addressing jurisdiction over, and scope of, 

claims set forth in formal complaints; conducting an impartial and appropriate investigation of 

accepted formal complaints; conducting substantive reviews of the Reports of Investigations (ROIs) 

to ensure compliance with laws and regulations; and drafting of Final Agency Decisions (FADs) and 

Final Agency Orders (FAOs) (as required by 29 C.F.R. § 1614.

At the same time, while OEEO maintains the primary responsibility for many aspects of the 

Agency’s overall EEO Program, it collaborates as appropriate with OHR and OMWI as well as 

the Office of Inspector General (OIG) and OGC to ensure fairness and equality under the law for 

all employees and applicants for employment. OEEO, OMWI, and OHR monitor the impacts and

results of EEO and diversity standards developed by OMWI (as required by the Dodd-Frank Wall 

Street Reform and Consumer Protection Act), cultivate successful policies and practices to reinforce 

them, and develop enhancement strategies to strengthen all EEO and diversity and inclusion (D&I) 

programs agency-wide. In addition, OEEO seeks to coordinate on a general basis with OMWI and
8 | EEO PROGRAM STATUS REPORT

OHR on (among other topics) the diversity recruitment and/or disability accommodation programs 

they administer. The collective work of these offices provides the strategic framework for driving the

SEC’s approach to EEO, affirmative employment, and D&I

OEEO collaborates as appropriate with OGC and OIG, which trains and advises managers and 

supervisors on merit system principles, prohibited personnel practices, and whistleblower protections under applicable civil services laws. Finally, OEEO coordinates extensively with management,

OHR, OGC, OIG, and other offices, as needed, to implement the SEC’s harassment-prevention 

program under the Faragher-Ellerth line of cases, which require that an employer promptly and 

thoroughly investigate complaints of perceived discrimination, harassment, or retaliation

Through cross-functional coordination among key stakeholders in FY 2020, the SEC remedied 

deficiencies identified by the EEOC as part of its technical assistance review of the SEC’s EEO and 

Disability Programs, including: issuing compliant reasonable accommodation procedures; providing 

ADR training to managers and supervisors; posting reasonable accommodation procedures on 

the SEC’s external website; posting personal assistance services procedures on the SEC’s external 

website; and posting Section 504 and 508 of the Rehabilitation Act and Architectural Barriers Act 

notices on the SEC’s external website. In FY 2021, the SEC will continue to focus on enhancements

to its Policy on Preventing Harassment (PPH) procedures and with respect to career development 

and advancement opportunities for persons with disabilities

In addition, OEEO is available to provide technical assistance to senior leadership, management, the 

Diversity Council, employee affinity groups, and NTEU to help carry out leadership priorities and 

implement the EEO and D&I aspects of the SEC’s Strategic Plan for FY 2018 – 2022, the Diversity 

and Inclusion Strategic Plan FY 2020 – 2022, OHR’s Human Capital Strategic Plan FY 2020 – 

2022, and the 2020 – 2022 Recruitment Strategy
FISCAL YEAR 2020 | 9

COMMISSION’S ANNUAL SELF-ASSESSMENT AGAINST MD-715 

ESSENTIAL ELEMENTS

OEEO, in partnership with and through necessary stakeholders, adheres to and promotes the Six 

Elements identified by EEOC and MD-715 as essential for a Model EEO Program under Title VII 

of the Civil Rights Act of 1964 (Title VII), as amended, 42 U.S.C. § 2000e-16, and Section 501 

the Rehabilitation Act of 1973 (Rehabilitation Act), as amended, 29 U.S.C. § 791 (as well as t

Americans with Disabilities Act Amendments Act of 2008 (Pub. L. 110-325)). During FY 202

OEEO again performed an annual EEO Program self-assessment. This Executive Summary recaps

the SEC’s FY 2020 self-assessment findings and action items, organized by each Essential Element 

and related compliance indicators

Essential Element A: Demonstrated Commitment from Commission 

Leadership

MD-715 requires Agency heads and other senior management officials to demonstrate a firm 

commitment to equality of opportunity for employees and applicants for employment. During FY

2020, SEC leadership again demonstrated commitment to ensuring that the SEC’s talented and 

diverse staff have equal employment opportunities and are treated fairly and with respect

The SEC’s Strategic Plan FY 2018 – FY 2022 (available at SEC.gov/strategic-plan) underscores

this approach. The five-year Strategic Plan contains three goals. SEC Goal 3 is to “[e]levate th

SEC’s performance by enhancing our analytical capabilities and human capital development.”

SEC Goal 3 will be accomplished through the following strategic initiative:

3.1: Focus on the SEC’s workforce to increase our capabilities, leverage our shared 

commitment to investors, and promote diversity, inclusion, and equality of opportunity 

among the agency’s staff

As explained in the Strategic Plan, the SEC recognizes its success is dependent on an effective, 

highly-skilled workforce. Accordingly, the Commission focuses on recruiting, retaining, and

training staff with the right mix of skills and expertise. It also promotes diversity, awareness,

inclusion, and mutual respect within the workforce so that every staff member has an equal 

opportunity to contribute and succeed

The SEC also finalized and shared agency-wide its first Diversity and Inclusion Strategic Plan 

FY 2020 – 2022, further exemplifying leadership commitment. To support the SEC’s commitment

to its workforce, the SEC also developed a three-year (FY 2020 – FY 2022) Human Capital 

Strategic Plan with input from OHR, OEEO, and Division and Office Senior Leadership. The

Human Capital Strategic Plan and related Recruitment Strategy emphasize attracting diverse 

talented staff to the Agency, developing leaders who manage effectively and engage staff, and 

increasing professional growth opportunities and development for staff. OEEO’s ongoing

planning aligns with and supports these overall strategic goals and initiatives
10 | EEO PROGRAM STATUS REPORT

Compliance Indicator A.1—The Agency issues an effective, up-to-date 

EEO policy statement.

The SEC’s commitment to equal employment opportunity is highlighted in its Equal Employment 

Opportunity Policy and Policy on Preventing Harassment (see Attachments 2 and 4). The SEC

maintains an EEO Policy, which advises employees of the SEC’s commitment to complying 

with EEO laws and provides information on how to participate in the EEO complaint process

In addition, the SEC’s Policy on Preventing Harassment 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 legally-protected basis before it escalates. These documents affirm that the SEC

Chairman, Commissioners, senior leaders, managers, and first-line supervisors will enforce EEO 

principles and laws. These policies contain all content required by the EEOC, including

n A commitment to EEO for all employees and applicants for employment, regardless of, inter alia, 

their race, color, religion, sex (including pregnancy, sexual orientation, transgender status, and 

gender identity), national origin, age, disability, genetic information, and prior protected EEOrelated activity

n A commitment that all employees and applicants will have the freedom to compete on a fair and 

level playing field

n A guarantee that EEO encompasses all personnel/employment programs, management practices, 

and decisions, including, but not limited to, recruitment/hiring, merit promotion, transfer, 

reassignments, training and career development, benefits, and separation

n A guarantee that workplace harassment will not be tolerated, and that the Agency will promptly 

correct the harassing conduct before it becomes severe or pervasive

n A guarantee that reprisal against anyone who engaged in protected activity will not be tolerated, 

and that the Agency supports the rights of all employees to exercise their rights under the civil 

rights statutes

In spring 2020, the SEC Chairman issued these policies via email directly to all employees with a 

message emphasizing the strategic importance of integrating EEO into the SEC’s everyday business:

Another matter discussed in the town hall is our shared commitment to equality 

of opportunity. This commitment applies just the same even though we are much 

more physically separated.

In this regard, I am pleased to re-issue the SEC’s Equal Employment Opportunity 

(EEO) Policy and Policy on Preventing Harassment and encourage you to read 

each policy.

We at the SEC can be thought of as a team. Every one of our team members 

should be able to compete on a level career playing field. Integrating EEO into the 

SEC’s everyday business furthers the strategic initiatives that drive our mission. It 

also is a critical part of our cultural foundation that has enabled us to establish a 

talented, diverse, engaged and highly productive workforce.
FISCAL YEAR 2020 | 11

We all play a role in creating a workplace where everyone has an equal chance to 

succeed as far as their talents will take them.

There is no place at the SEC for discrimination, harassment, or retaliation in 

violation of federal laws or SEC policies. If you believe that either of these policies 

has been violated, or ever have questions about the right thing to do, I ask you to 

speak up in whichever of the following ways you feel most comfortable: talk with 

your manager, any member of the SEC’s management team, or the SEC’s Office 

of Equal Employment Opportunity (OEEO) at 202-551-6040, OEEO@sec.gov, or 

(880) 877-8339 for TTY users.

OEEO is a vital resource, partnering with me to make EEO an essential part of the 

SEC’s everyday work, and is available to all.

These policy documents are readily available on OEEO’s intranet page. Both documents also have

been provided throughout the year directly to new employees on or around their first day of work 

during employee orientation, and to all new supervisors and managers as they are promoted or join 

the SEC. Large posters with this information have been placed near the OEEO suite and in a display

stand in the lobby of SEC Headquarters, in other common areas, and in Regional Offices

OEEO also made concerted efforts throughout FY 2020 to communicate to the SEC workforce 

its continued availability to address EEO concerns and complaints, particularly, as SEC personnel, 

with few exceptions, switched to mandatory full telework in mid-March due to the COVID-19 

pandemic. The OEEO Director advised all SEC personnel on the importance of maintaining a

considerate and respectful telework environment and reminded the SEC workforce that all EEO 

laws and protections continued in full force and effect in the new virtual working environment:

Collegiality is one of the hallmarks of the SEC, and we encourage you to continue 

to show consideration and respect in your interactions with one another and to 

leverage the support and services available from the Office of Equal Employment 

Opportunity (OEEO).

Particularly with increased communications by email, it is helpful to reflect in 

moments of stress and uncertainty on civility in tone and content of messages. 

Please read the SEC’s EEO Policy and Policy on Preventing Harassment to refresh 

yourself about rights and responsibilities applicable to workplace interactions. 

OEEO’s recipe for harassment-free holidays and the SEC’s guide for disability 

inclusion in the workplace are useful resources to review. Please be aware of your 

behavior toward others and avoid blaming anyone who may contract the novel 

coronavirus. And please do not assume that anyone has the coronavirus, including 

based on stereotypes or symptoms.

If you feel that you have been treated inappropriately, please contact the Office 

of Equal Employment Opportunity at OEEO@sec.gov or HarassmentConcerns@

sec.gov. Also contact us with any questions or concerns—our office is open, and 

we are here to support you. 
12 | EEO PROGRAM STATUS REPORT

In addition, OEEO staff formed a collaborative working group to develop and publish agency-wide 

communications on timely and cutting-edge civil rights/EEO-related topics of interest. The inaugural

communication reflected on the passing of civil rights titans John Lewis and C.T. Vivian and thei

courageous work in advancing racial equality in the United States, including the prohibition of 

discrimination in employment enshrined in the Civil Rights Act of 1964. The communication also

acknowledged the unjustified killings of African Americans, and highlighted the EEOC’s Resolution 

condemning this violence. In these agency-wide communications, OEEO regularly reminds SEC

colleagues to review the SEC’s EEO and harassment prevention policies and to contact OEEO staff 

with questions, concerns, or complaints of discrimination

The efforts of this OEEO working group are part of a new communications initiative, with the 

assistance of the SEC’s Office of Public Affairs, to relay critical information on civil rights and 

EEO-related topics to the SEC workforce and highlight the assistance and technical support that this 

neutral office offers the SEC workforce. As part of this initiative, OEEO is working to incorporate

communications means described in EEOC’s Report, Preserving Access to the Legal System: A 

Practical Guide to Providing Employees with Adequate Information About Their Rights Under 

Federal Equal Employment Opportunity (EEO) Laws and Regulations (September 2, 2014)

Compliance Indicator A.2—The Agency has communicated EEO policies 

and procedures to all employees.

In addition to the publication and communication of the policies noted above, the SEC has 

promulgated various other regulations and procedures to advance its EEO Program, all of which are 

readily accessible on the SEC’s intranet to all employees. Table 1 below contains a list of policies and

procedures communicating EEO-related content

Table 1: SEC EEO and Affirmative Employment-Related Regulations and Procedures

SEC Regulations and Procedures

Acceptable Use of SEC Information Technology Resources (SECR 24-4.3)

Administrative Grievance Procedure (SECR 6-25)

Affirmative Action Plan for Individuals with Disabilities and Targeted Disabilities 

Delegated Examining (SECR 6-6)

Diversity Partnerships (SECR 28-2)

Domestic Violence, Sexual Assault, and Stalking in the Workplace (SECR 6-48)

Domestic Partner Benefits Program (SECR 6-75)

Employee Affinity Groups and Special Observances (SECR 28-3) 

Equal Employment Opportunity Dispute Resolution Policy Statement 

Equal Employment Opportunity Policy

Information and Communication Technology (ICT) Section 508/Accessibility Program (SECR 24-10)

Merit Promotion Program (SECR 6-23, SECR 6-24)

Religious Compensatory Time (for bargaining unit employees) (SECR 6-22)

Policy on Preventing Harassment & Procedures to Implement the SEC’s Policy on Preventing Harassment 

(SECOP 27-1)

Standards for Equal Employment Opportunity, Workforce Diversity, and Workplace Inclusion 

(OMWI – September 8, 2016)
FISCAL YEAR 2020 | 13

The SEC publishes information about the EEO complaint process and the roles and responsibilities 

of OEEO. Information is placed on the SEC’s external and internal websites and in high-traffic areas

in SEC buildings and offices to provide employees and applicants for employment with notice of 

their EEO rights and to highlight the 45-calendar day time limit for contacting an EEO Counselor 

or OEEO if they believe they have been discriminated against on an EEO basis and wish to enter the 

administrative complaint process

The OEEO intranet page contains contact and location information for OEEO, ensuring that 

employees can easily seek OEEO’s assistance—including EEO counseling—in person (until midMarch 2020, when the SEC workforce began mandated telework in response to the COVID-19 

pandemic) or virtually. OEEO continued a review of its intranet page and enhanced ease of use,

including by highlighting prominently how to report harassment or file an EEO claim. Importantly,

to ensure ongoing access to the justice system, OEEO worked quickly to provide new filing-related 

information applicable given mandated telework, including by reaching out directly to those persons 

already participating in the EEO process at the SEC and general information on the SEC’s public 

and internal websites

In FY 2020, OEEO drove significant updates to SEC’s external website to achieve compliance 

with Section 501 of the Rehabilitation Act of 1973 by providing transparent, easy-to-understand 

information related to requirements under Sections 504 and 508 of the Rehabilitation Act and 

Architectural Barrier Act (ABA), including how to raise concerns informally as well as how to file 

a complaint formally alleging a legal violation. With significant support from OEEO, SEC will

issue an Administrative Regulation and related Operating Procedures setting forth complaint-filing 

procedures under Sections 504 and 508 and the ABA in FY 2021

In FY 2020, the Agency provided new employees with copies of important policies and procedures 

(including the EEO Policy, Policy on Preventing Harassment, and EEO Dispute Resolution Policy 

Statement) during orientation and relays additional information about the federal-sector EEO 

complaint process through a taped presentation. All employees also must complete a web-based

training required by the No FEAR Act upon hire and every two years thereafter, which discusses 

rights and responsibilities, the federal sector complaint process, ADR, harassment prevention and 

reporting, and reasonable accommodation

This mandatory training is supplemented by additional training and information-sharing. OEEO

conducted an in-person, scenario-based harassment prevention training designed to raise awareness 

of the types of words and conduct that could offend others regardless of intent. This training was

updated to be presented in a virtual environment to reach employees on mandatory telework due 

to the pandemic. OEEO trained over 200 employees in FY 2020 through both the in-person and

virtual modules. OHR shared information about the SEC’s accommodation program for disability,

including providing access to relevant policies and procedures and how to make requests, at New 

Employee Orientation
14 | EEO PROGRAM STATUS REPORT

In addition, in 2020, the Agency leveraged SEC Today (the SEC’s daily employee newsletter) to 

communicate on, for example, religious inclusion, the earning and use of compensatory time 

for religious practices, and new resources available for managers and employees on reasonable 

accommodation (for disability and religious practices). These resources included information sheets

and on-demand training for managers and employees on reasonable accommodation topics

In FY 2020, OEEO continued conducting individual outreach to newly-hired or promoted 

supervisors and managers within their first few weeks in the position—and prior to more formal 

training opportunities—to give them immediate information and tools to comply with EEO laws 

and best practices. In FY 2020, OEEO staff briefed 32 new supervisors and managers. As part o

this outreach, OEEO shares written materials and a briefing that provide practical guidance on 

avoiding common EEO pitfalls, including access to additional electronic resources and policies 

that may be useful. OEEO continues to expand information that is made available in its toolkit,

including pandemic-related compliance information and information required by the No FEAR 

Act. This briefing provides a foundation for subsequent, manager-specific training on ADR, merit

principles and prohibited personnel practices, and managing in compliance with EEO laws. OEEO

also creates, conducts, collaborates in presenting, and/or sponsors other trainings on EEO-related 

topics, as well, including, for example, harassment prevention dialogues and on-demand learning, 

retaliation awareness under various legal schemes, ADR in the EEO process, contractors and EEO 

issues, live and on-demand new supervisor training regarding EEO, reasonable accommodation, 

whistleblowing, and on-demand training related to transgender rights in the workplace

In April 2020, at the invitation of the Agency’s Office of Acquisitions (OA), the OEEO delivered 

a virtual presentation entitled “Workplace Rights and Protections for SEC Contractors” to SEC 

Contracting Officers and Contracting Officer Representatives. This was the first time that OEEO

had presented on this topic, and OEEO leveraged this opportunity to provide SEC Contracting 

Officers and Contracting Officer Representatives with an understanding of the types of EEO 

workplace issues and complaints that SEC contractors might raise, and how SEC Offices and, 

primarily OEEO, processes these issues and complaints. The 140 participants at the presentation

were highly engaged and, at the conclusion of the presentation, rated their knowledge of the topic 

very high. Following the presentation, OEEO revised the presentation to better address some of the

questions that were raised, made the presentation 508-compliant, and subsequently posted it on the 

SEC’s learning platform

Further, the No FEAR Act requires each federal 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. Office of

Personnel Management (OPM) regulations, found at 5 C.F.R. § 724.302(a)(9), require agenc

to include No FEAR Act training plans in the annual No FEAR Act Report. The SEC obtained

certification from the U.S. Office of Special Counsel (OSC) through its 5 U.S.C. § 2302(c) pro

(requiring agencies to inform their employees of the rights and remedies available to them under 

the Civil Service Reform Act [CSRA], the Whistleblower Protection Act [WPA], the Whistleblower 
FISCAL YEAR 2020 | 15

Protection Enhancement Act [WPEA], and related laws) in December 2016. This certification

expired December 2019, and OSC recertified the SEC in March 2020. As part of ongoing efforts

related to certification, the Agency accomplished the following in FY 2020:

n In spring 2020, OEEO led an update to the mandatory No FEAR Act training to ensure all 

applicable discrimination and whistleblowing protections for federal employees were included

n In June 2020, OEEO updated and published on SEC.gov an enhanced No FEAR Act

notice describing all anti-discrimination and whistleblowing protections, including venues 

and timeframes for asserting rights, in an effort to further transparency and ease of finding 

information for those seeking information on rights under applicable anti-discrimination laws 

and Executive Orders

n 223 managers viewed the recording of the training OSC provided in FY 2019 on prohibited 

personnel practices and merit system principles

n OGC routinely advises new employees of whistleblower rights during orientation

n OGC and the Chairman’s Office provided notification to all employees of the right to be free 

from reprisal via an agency-wide email

n SEC provides information to employees about OSC, Prohibited Personnel Practices (PPP), and 

whistleblower rights on a designated SEC intranet page

n SEC’s website links directly to OSC’s website enabling individuals to learn about their rights and 

get instructions on where and how to file PPP and whistleblower-related claims

n SEC placed updated posters from OSC throughout Headquarters and Regional Offices

n OGC offered training to managers on addressing retaliation, harassment, and discrimination

n OEEO coordinated a training (for the second year in a row) on retaliation with stakeholders in 

OGC, OHR, OIG, and the Office of Support Operations (OSO)

Collectively, these efforts apprise employees of the SEC’s commitment to EEO across all its 

programs, policies, and activities

Compliance Indicator A.3—The Agency assesses and ensures EEO principles 

are part of its culture.

In FY 2020, senior SEC leaders made a sustained and visible commitment to fostering a positive 

organizational culture and to integrating EEO compliance, diversity and inclusion, and opportunity 

into SEC business and personnel actions and decisions. The increased focus on these principles was

highlighted in the Agency Financial Report for Fiscal Year 2020: 

The importance of diversity, inclusion, and opportunity to the Commission, the 

financial industry, and our society more generally was brought into stark relief 

by the events of 2020. The Commission’s commitment to these fundamental and 

performance-enhancing principles is long-standing and we recognize action is 

needed and progress must continue. In recent years, we undertook a variety of 
16 | EEO PROGRAM STATUS REPORT

internal initiatives to further our collective commitment to these principles and 

each other, including efforts to measure our progress. We also launched a variety 

of external initiatives designed to further these principles in our markets, including 

in the areas of investor access and investment management...

In FY 2020, the SEC’s advisory committees held meetings focused on issues of 

diversity, inclusion, and opportunity within their respective market segments.

In FY 2020, the Chairman, Commissioners, and Senior Officers continued to actively sponsor one 

or more of the nine SEC Employee Affinity Groups (EAGs):

n African American Council

n American Indian Heritage Committee

n Asian American and Pacific Islander Committee

n Caribbean American Heritage Committee

n Disability Interests Advisory Committee

n Hispanic and Latino Opportunity, Leadership, and Advocacy Committee

n Pride Alliance (formerly the Lesbian, Gay, Bisexual, and Transgender [LGBT] Committee)

n Veterans Committee

n Women’s Committee

EAGs have been instrumental in helping to cultivate a workplace culture that attracts diverse talent 

and encourages employee engagement and retention. EAGs foster a supportive, inclusive, and fair

work environment through their programs and activities, including programs to commemorate 

special observances. OMWI provides guidance, resources, and management support to the EAGs,

and SEC’s senior leadership supports the EAGs and encourages employees to participate in EAG 

events and activities held throughout the year. Senior leaders spoke at or attended major diversity

events this past fiscal year. A list of some events held is included in Attachment 

The SEC has an active Diversity Council comprised of members of the EAGs, management, 

NTEU, and representatives from Headquarters and Regional Offices. The SEC’s Diversity Council

is engaged in working collaboratively on a range of issues to foster diversity and inclusion at the 

Commission. In FY 2020, the SEC Chairman continued to serve as chair for the Diversity Council,

underscoring his support of equity, diversity, and inclusion at the Agency. The Diversity Council

launched several new initiatives in FY 2020 including:

n The UN-covering Task Force, led by an OEEO staff member, which promotes bringing your 

authentic self to work and establishes five working groups—Communications, Data/Metrics, 

Employee Affinity Groups, Facilitated Discussions, and Learning & Development—to support 

this initiative;
FISCAL YEAR 2020 | 17

n The subcommittee on the study of Fairness and Bias in the workplace, led by the OMWI 

Director, which seeks to ascertain employee perceptions of fairness and bias in the workplace; 

and

n The working group consisting of EAG representatives, which analyzed the Agency’s Federal 

Employee Viewpoint Survey (FEVS) results and developed recommendations

OMWI also supported the launch of the Diversity Council’s first webpage on the SEC’s intranet 

site, The Exchange, as well as helped the Diversity Council launch the new Diversity and Inclusion 

webpage on SEC.gov to showcase diversity and inclusion initiatives at the Commissio

In FY 2020, the SEC hosted a number of diversity and inclusion discussions that reflected the 

Agency’s commitment and support of a diverse and inclusive workplace and marketplace. In

particular, as issues surrounding race came to the forefront given societal events, the SEC initiated 

a number of events and open dialogues to raise awareness and foster a connected culture. For

example, OMWI held Diversity Dialogues, a series of small group discussions across the Agency led 

by a staff member in OMWI and one in OEEO that provided a safe space for candid discussions 

on race and related matters. From June to December 2020, the SEC held 29 Diversity Dialogue

attended by almost 1,000 staff members. Additionally, the African American Council hosted a

virtual Lunch and Learn session where over 400 attendees participated in the candid, open, and 

supportive conversation, which centered on both societal-level issues and the personal experiences of 

African American colleagues

Starting in June 2020, Chairman Clayton frequently highlighted equality of opportunity, equity, 

diversity, and inclusion topics and accomplishments in his newly-launched, weekly communication 

to the SEC workforce, reinforcing the importance of commitment to these issues in day-to-day 

SEC operations and the connection of these issues to mission achievement. See Attachment 5 for a

representative list of topics Chairman Clayton highlighted in his weekly communications to staff. In

addition, in FY 2020, the Chairman presented the Isaac C. Hunt Award for Diversity and Inclusion

at a virtual ceremony to a member of the SEC staff to show the Commission’s special appreciation 

for employees who contribute significantly to the advancement of diversity efforts at the SEC or in 

their communities

Significantly, in October 2019, following the SEC’s Chairman active participation in the launch of 

a cross-agency effort led by the Department of Commerce’s Office of Civil Rights, supporting First 

Generation Professionals (FGP) in federal service, the SEC’s OEEO conducted an all-day workshop 

that highlighted SEC leaders and staff who identify as FGPs and shared with the audience their 

personal journeys as they navigated unchartered territories in their personal and professional lives

SEC personnel and other federal government employees were invited to participate in inspirational 

and practical panel discussions and workshops on a number of topics, including networking, 

financial literacy, self-promotion, and resilience. Given the success of the initial workshop,

OEEO sponsored a FGP Panel Discussion in October 2020 moderated by Chairman Clayton 

and featuring FGPs—Federal Deposit Insurance Corporation Chairman Jelena McWilliams and 
18 | EEO PROGRAM STATUS REPORT

SEC Commissioner Allison Herren Lee (currently, the SEC’s Acting Chair)—and FGP ally SEC 

Commissioner Elad Roisman. The SEC’s delivery of these FGP programs has prompted other

federal agencies to contact OEEO for guidance, lessons learned, and best practices in delivering 

similar programming

The concerted efforts around equality of opportunity, equity, diversity, and inclusion by SEC 

leadership, the Diversity Council, OMWI, OEEO, the EAGs, and Agency staff may have been 

fruitful. In December 2020, SEC Chairman Clayton, in coordination with the NTEU President,

communicated to all SEC personnel the 2020 Federal Employee Viewpoint Survey results and 

shared that the Agency’s response rate of 78.5% was the Agency’s second highest since 201

This compares favorably to the overall government wide response rate of 44.3%. See OPM’

January 19, 2021, Press Release providing a preview of highlights from the 2020 FEVS 

Government wide results: www.opm.gov/news/releases/2021/01/opm-federal-employeeviewpoint-survey-preview-highlights-of-governmentwide-2020-result

The SEC’s FY 2020 Federal Employee Viewpoint Survey (FEVS) Results

In addition to significant gains in overall FEVS average scores (78% positive, representing 

a 6 percentage point increase over 2019), the scores on the following key indices related to 

engagement, satisfaction, inclusion, and leader effectiveness increased by 6 – 7 percentage points 

compared to prior year (2019) data:

n Global Satisfaction Index: 82% positive (7 percentage point increase);

n Employee Engagement Index: 82% positive (6 percentage point increase);

n Leader Effectiveness Index: 75% positive (6 percentage point increase); and

n New Inclusion Quotient Index (the New IQ): 75% positive (6 percentage point increase)

The New IQ in FEVS measures enabling conditions that lead to an inclusive workplace and is made 

up of 20 FEVS questions grouped into the following “5 Habits of Inclusion”:

Fair: Are all employees treated equitably?

Open: Does management support diversity in all ways?

Cooperative: Does management encourage communication and collaboration?

Supportive: Do supervisors value employees?

Empowering: Do employees have the resources and support needed to excel?

The New IQ score reflects the percentage of positive responses to the questions corresponding to 

each Habit of Inclusion. The SEC’s overall New IQ for 2020 was 75 percent positive, which was

6 percentage points higher than the Agency’s overall New IQ for 2019, and the highest percent 

positive score for the Agency in the last nine years. The SEC’s scores on each Habit of Inclusio

increased between 3 and 8 percentage points across all of the subfactors: Fair (up 8 percentage 
FISCAL YEAR 2020 | 19

points); Open (up 5 percentage points); Cooperative (up 8 percentage points); Supportive (up 3 

percentage points); and Empowering (up 8 percentage points). Across all five subfactors, these are

the highest percent positive scores attained by the SEC in the past nine years

In addition to the New IQ, the SEC tracks the percentage of positive responses (i.e., percent positive

to three diversity-related FEVS questions, as shown in Table 2 below. The percent positive scores on

each question increased by 2 to 6 percentage points between 2019 and 2020, reaching all-time highs 

since 2015. These results suggest that support for the Agency’s D&I efforts continues, and that

employees positively perceive these efforts

Table 2: SEC Scores on Select Diversity Related FEVS Questions

FEVS Question 2015 2016 2017 2018 2019 2020

Q34 - Policies and programs promote diversity in 

the workplace (for example, recruiting minorities and 

women, training in awareness of diversity issues, 

mentoring).

62% 65% 67% 67% 66% 68%

Q45 - My supervisor is committed to a workforce 

representative of all segments of society. 73% 76% 80% 82% 81% 84%

Q55 - Supervisors work well with employees of 

different backgrounds. 64% 68% 77% 78% 77% 83%

Source: Federal Employee Viewpoint Survey 2020, retrieved on February 10, 2021.

The SEC also examines FEVS results by key demographic groups (e.g., age, gender, race/ethnicity

SEC tenure, supervisory status, sexual orientation, veteran status, and disability status). The SEC

made significant improvements across all demographic groups. In results broken down by gender,

age, and SEC tenure, all subgroups saw increases between 5 and 9 percentage points across the 

FEVS average, Employee Engagement Index, Global Satisfaction Index, and the New IQ. In the

results broken down by race, Asian American employees and White employees saw increases 

between 5 and 7 percentage points, with Black or African American employees and Hispanic 

employees seeing increases between 2 and 5 percentage points across the four key indices

In 2020, the SEC made significant gains in items related to diversity, inclusion, and opportunity; 

fairness; empowerment; perceptions of senior leaders; communication; collaboration; and 

creativity and innovation. In an email to SEC staff, Chairman Clayton recognized that employee

feedback helped drive the Agency’s focus and commitment to making improvements in these areas, 

particularly, in the areas of employee growth and opportunity, staff empowerment, and diversity 

and inclusion, including in the area of senior management representation
20 | EEO PROGRAM STATUS REPORT

Essential Element B: Integration of EEO into the Commission’s 

Strategic Mission

MD-715 recognizes that equality of opportunity is essential to attracting, developing, and retaining 

the most qualified workforce to support an agency’s achievement of its strategic mission. This

element requires that the EEO Programs are structured to maintain a workplace that is free from 

discrimination and support that strategic mission

Compliance Indicator B.1—The reporting structure for the EEO Program provides the 

principal EEO official with appropriate authority and resources to effectively carry 

out a successful EEO Program.

Compliance Indicator B.2—The EEO Director controls all aspects of the EEO Program.

Compliance Indicator B.4—The Agency has sufficient budget and staffing to support 

the success of its EEO Program.

To minimize repetition, these compliance indicators will be addressed together

As a direct report to the SEC Chairman, the OEEO Director exercises authority to conduct all 

aspects of the Agency’s EEO Program efficiently and effectively and with the autonomy and 

authority needed to carry out a successful EEO Program. This authority was formalized through

the SEC’s first designation of authority from the Chairman on December 23, 2020, to the OEEO 

Director which authorizes the OEEO Director to control all aspects of the Agency’s EEO program 

as required by 29 C.F.R. Part 1614, MD-715, and EEOC’s Management Directive-110 (MD-1

The OEEO Director also has direct and regular access to the Chairman, Commissioners, and other 

senior-level management officials

In addition, in FY 2020, the SEC had sufficient resources, budget, and qualified staffing to implement a successful EEO program. In FY 2020 (as in previous years), OEEO had a standalone budget

and was authorized to fill two full-time positions to complement OEEO’s team. OEEO is a small

team of diverse professionals with significant expertise and includes:

n The Director (an attorney with extensive labor and employment compliance expertise);

n A Deputy Director (an attorney with extensive labor and employment compliance expertise 

from multiple sectors);

n An EEO Compliance and Resolutions Branch Manager (a former EEOC Administrative Judge, 

and attorney with extensive labor and employment compliance expertise);

n Five Attorney Advisors with significant litigation and EEO compliance experience;

n An EEO Specialist;

n Three Management and Program Analysts, one of whom is a social scientist; and

n An Industrial/Organizational Psychologist
FISCAL YEAR 2020 | 21

The duties and responsibilities of these EEO officials and personnel are defined in position 

descriptions, annual performance plans, EEOC guidance, and in related standard operating 

procedures OEEO has developed

In FY 2020, three contractors and three student interns were available to assist OEEO in identifying 

and working to eliminate identified barriers to employment for all protected groups. OEEO also has

resources available through contract counselors, ADR professionals, and investigators. Consistent

with EEOC guidance, personnel assisting with EEO counseling do not work on formal complaint 

processing. By leveraging these various resources at different stages of the EEO complaint process,

OEEO thoroughly and fairly processed EEO complaints, including by conducting EEO counseling, 

overseeing fact-gathering investigations, issuing Final Agency Decisions assessing whether or not 

discrimination occurred, and conducting legal sufficiency reviews

In FY 2020, all counselors and investigators satisfied the 32 hours of training and/or eight hours 

of refresher training required by EEOC MD-110. Likewise, in FY 2020, OEEO staff received

virtual training to maintain and enhance competencies necessary for carrying out the EEO Program

For instance, staff members typically attend either the EEOC’s annual Examining Conflicts in 

Employment Law (EXCEL) or the Federal Dispute Resolution (FDR) conference. OEEO will

work on leveraging additional training opportunities and enhancing skills and cross-training for 

all staff in future fiscal years

In coordinating the SEC’s overall EEO activities, the OEEO Director also leverages the efforts of 

staff in other offices with primary responsibility for aspects of the EEO Program not controlled 

by OEEO. OEEO collaborates with OMWI on workforce D&I issues, including affirmative

employment efforts led by OEEO (e.g., barrier analyses) as well as special emphasis progra

OEEO works with OHR to implement the SEC’s Affirmative Action Plan for the Recruitment, 

Hiring, Advancement, and Retention of Persons with Disabilities (SEC’s Affirmative Action Plan 

for Persons with Disabilities). OEEO consults with OGC to ensure compliance with OEEO and

EEOC decisions and orders. OEEO coordinates with OIG and OGC to encourage sufficient

workforce training on whistleblower protections and prohibited personnel practices under federal 

civil service laws

OEEO also works with management, OHR, OGC, and OIG related to the SEC’s anti-harassment 

policy and program. Pursuant to the SEC’s anti-harassment procedures, management, in conjunction with OHR and/or OIG, are responsible for conducting investigations related to harassmen

Working together, as appropriate, staff from these (and sometimes other) offices and teams 

collectively enabled the SEC during FY 2020 to:

n Conduct the annual MD-715 Agency self-assessment to identify possible EEO Program 

deficiencies;

n Conduct analyses of the SEC workforce;
22 | EEO PROGRAM STATUS REPORT

n Provide supervisors and employees with training on the EEO Program (including on retaliation, 

harassment, disability accommodations, the EEO complaint process, and EEO-related ADR);

n Maintain accurate data collection and tracking systems for, e.g., EEO and harassmen

complaints, workforce demographics, and applicant flow data;

n Administer required special emphasis programs (such as the Federal Women’s Program, Hispanic 

Employment Program, and People with Disabilities Program);

n Manage the SEC’s anti-harassment and reasonable accommodation/personal assistance services 

(PAS) programs; and

n Ensure timely and complete compliance with EEOC orders

Compliance Indicator B.3—The EEO Director and other EEO professional staff are 

involved in, and consulted on, management/personnel actions.

Throughout FY 2020, the OEEO Director met (in-person, and virtually beginning in March 2020) 

with the Chairman and each Commissioner regularly and also frequently communicated with Senior 

Leadership, including the OMWI Director, the Chief Operating Officer, the Chief Human Capital 

Officer (CHCO), and other office leads to provide updates on the EEO Program. Further, the OEEO

Director is a member of the Agency’s Diversity Council, and of the Operations Steering Committee, 

which is a vetting and decision-making body related to major SEC internal operations and policies

In general, the OEEO Director and designated staff participate in major meetings and initiatives 

regarding workforce changes that might implicate EEO issues or negatively impact any protected 

EEO group. For example, in FY 2020

n OEEO contributed its subject matter expertise to the SEC’s first Diversity and Inclusion 

Strategic Plan

n OEEO provided input to the SEC’s Recruitment Strategy to align it with the SEC’s Affirmative 

Action Plan for Persons with Disabilities

n OEEO provided consulting services to OHR related to a newly-forming executive selection 

program (Senior Officer Cohort Program) and SEC compensation-related policies and practices

n OEEO finalized the process for and transitioned two barrier analysis studies to the Agency’s 

Chief Operating Officer for management action

n OEEO completed and shared results from formal program evaluation on the implementation of 

the Agency’s policy on screening and interviewing job candidates

n OEEO developed and published the SEC’s procedures related to processing parental status, 

sexual orientation, and gender identity complaints pursuant to Executive Orders 13152, 13087, 

and 13672

n OEEO continued to lead Agency efforts to finalize procedures related to processing complaints 

filed under Sections 504 and 508 and the Architectural Barriers Act

n OEEO drove discussions to better define roles and responsibility within the SEC related to 

compliance with Sections 504 and 508 of the Rehabilitation Act
FISCAL YEAR 2020 | 23

n OEEO worked collaboratively with key stakeholders on revising the SEC’s public website for 

accessibility reasonable accommodation information

n OEEO continued to collaborate with OHR to enhance supervisory and employee training offered 

by SEC University (SECU) College of Leadership and Team Development (CLTD) to ensure that 

EEO concepts are addressed in new employee orientation, CLTD 307, as well as trainings on the 

No FEAR Act and harassment prevention. OEEO staff served as trainers in CLTD 30

n OEEO contributed EEO expertise on several Administrative Regulations and SEC Operating 

Procedure reviews including, Reasonable Accommodation under the Rehabilitation Act, and the 

SEC’s 508 Policy

n OEEO identified opportunities for the SEC to enhance its religious accommodation program, 

resulting in a new on-demand training module offered to SEC employees and enhanced 

communications related to religious inclusion and accommodation

As noted above, both the SEC Strategic Plan and the Diversity and Inclusion Strategic Plan

reference EEO and D&I principles, committing the Agency to full compliance with all federal 

laws, Executive Orders, management directives, and policies related to equality of opportunity and 

affirmative employment. To achieve these objectives, OEEO’s input related to major management

decisions affecting the SEC workforce is critical. Accordingly, the OEEO Director will continue to

work through the SEC’s Operating Steering Committee regarding personnel, budget, technology, 

and other issues to provide an EEO perspective, proactively and prior to final decisions being made

Further, OEEO will continue to seek partnership from OHR and OMWI in report and policy 

development and review so that an EEO perspective and OEEO subject matter expertise can be 

contributed early in the drafting and coordination process

Compliance Indicator B.5—The Agency recruits, hires, develops, and retains 

supervisors and managers who have effective managerial, communications, 

and interpersonal skills.

The SEC focuses on recruiting, hiring, developing, and retaining supervisors and managers with 

the managerial, communication, and interpersonal skills needed to supervise effectively in a diverse 

workplace. The Commission’s strategic plans, described above, emphasize this business imperativ

OHR develops recruitment plans to attract and retain Senior Officers based on pre-determined 

skillsets needed for the role

Once on-board, the SEC provides supervisors and managers learning opportunities to enhance 

their managerial, communications, and interpersonal skills. In addition to substantive EEO

training and outreach offered by OEEO (see above), in FY 2020, OMWI offered various online, 

virtual and live classes to help managers supervise effectively in the SEC’s diverse work environment

For example, OMWI offered six virtual sessions of “Conscious Equity 2.0,” a course primarily

targeting managers and supervisors at Headquarters to help foster a connected culture where team 

members can feel empowered, psychologically safe, and prepared to manage self and others. The

course was well-received with almost 600 staff members participating, including 370 supervisors 
24 | EEO PROGRAM STATUS REPORT

and managers from Headquarters and 142 from the Regional Offices. These sessions were followed

by 18 group discussions led by a facilitator where staff shared ideas about implementing some of 

the strategies covered by the course. Over 2,000 SEC staff members across the Agency participated

in these discussions

Similarly, the SECU College of Leadership and Team Development offerings described below are 

designed to promote leadership behaviors that support the Agency’s vision to promote respect, 

honor the dignity of all people, develop others, and cultivate the creativity, growth and diversity 

of thought and experience for leaders at all organizational levels. Information on leadership

development by grade levels is below:

Senior Officers (SOs)

In FY 2020, Senior Officers participated in SECU seminars that provided leadership best 

practices and cutting-edge self-paced resources on current leadership best practices. Courses

included: Learning to Manage in a Complex World, Managing in a Virtual World, and Leading 

Author discussions on Accountable Leaders. SOs participated in the Leader as Coach course

alongside non-executive leaders as part of a deliberate approach to sensitize and convey the 

Agency’s expectation that developmental feedback and coaching be meaningful, thoughtful 

and respectful. Equally important, Agency executives learned to practice active listening to

understand others. SECU also designed and introduced a SO seminar series that included

courses on Leading Through Uncertainty, Ambiguity and Transition, Preparing for the 

Unpredictable, and Strategies for Agility, Effectiveness and Awakening Your Team. Anticipated

outcomes from the SO seminar series include:

n Establishing rapport and meaningful connection with key stakeholders; 

n Re-framing difficult conversations to identify and develop options for alternative outcomes 

while simultaneously maintaining relationships; 

n Effectively leading Agency staff through the pandemic;

n Inspiring an organizational culture of inclusion, ownership, and results; and

n Cultivating a culture that embraces diversity of thought and experiences

In FY 2020, the SEC initiated the development of the SO Cohort Program, which places an 

agency-wide emphasis on ensuring that SO applicants across the Agency have the leadership 

skills needed to excel in a SO position. The program will improve the process for identifying and

selecting future leaders by creating a centralized, agency-wide selection program that initially 

screens candidates on essential leadership competencies in a fair and legally-compliant manner
FISCAL YEAR 2020 | 25

As an initial step in developing this program, the SEC conducted a competency study to identify 

and validate the leadership skills required of all SOs. The study began with an extensive review

of competency model research, including the leadership models developed and validated by 

OPM and the SEC. OHR worked closely with a diverse group of SOs to conduct an iterative

review of the model and tailor it to align with critical SO leadership skills required at the SEC

Once finalized, all SOs received a competency survey to identify the most critical leadership 

skills across the Agency. This information will serve as the foundation for developing leadership

assessments during the next development phase in FY 2021

OHR is developing the SO Cohort Program with a high level of rigor to ensure it provides a 

standardized, fair, and lawful approach for selecting SOs. Special advisors from OEEO and

OMWI provided technical assistance to ensure all program materials and processes emphasize 

and support fairness, diversity, and inclusion, including with respect to requirements under 

Section 501 of the Rehabilitation Act related to mentoring and advancement of persons 

with disabilities. In FY 2021, OHR will launch a communications campaign to educate SEC

employees on the program and create awareness, specifically emphasizing that the program 

offers an inclusive and open opportunity to advance for those employees willing to self-develop 

in the leadership skills targeted by this program

SK-17 Managers

In FY 2020, SECU facilitated its fourth annual leadership development seminar series entitled 

Virtual Team Engagement and Effectiveness, which expanded on content in prior years’ popular 

leadership development seminar series for SK-17 leaders. During these virtual 90-minute seminars,

Regional- and Headquarters-based managers developed their team-based leadership capabilities 

and competencies. In FY 2020, the interactive, three-part series included Delegation for Virtual

Ownership and Engagement, Managing Virtual Accountability and Workflow, and Next Level 

Meeting Mastery. Each session was presented with the goal of

n Understanding communication styles and the impact of personality in the workplace to more 

effectively gather, discuss and disseminate information between teams and stakeholders; 

n Recognizing and valuing individual differences, and treating all team members with respect;

n Managing individual and group workflows to maintain accountability and encourage strong 

relationships;

n Inspiring professional development for others by broadening skillsets and developing new 

competencies; and

n Fostering trust behaviors and building resilience to maintain high performance
26 | EEO PROGRAM STATUS REPORT

SK-15 Supervisors

In FY 2020, the Leadership Development Seminar Series for SK-15 supervisory staff, 

Developing and Maintaining Effective Organizational Relationship, included courses on 

Building Effective Relationship Networks, Communicating for Understanding and Influence, 

and Diagnose and Troubleshoot Communication Breakdowns. First-level supervisor seminars

and programs focus on supporting and increasing innovation and creativity at the first-line 

supervisor level in the SEC. These courses are intended to expand SK-15 supervisors’ leadership

skills and to help them:

n Identify the best operating modes to help lead teams to achieve their various outcomes and 

make team communications clearer and more effective;

n Hold team members accountable for commitments in a constructive and positive manner to 

maintain trust and respect; and

n Introduce a variety of practical strategies for addressing issues and difficult conversations in 

ways that strengthen, rather than weaken, the group or team

All Managers

SECU offerings provide specialized, targeted leadership development for all managerial levels 

at the SEC, thereby emphasizing the importance of leadership skills for all who formally lead 

others. All managers have access to All Things Management (ATM) and the AskHR portal on

the SEC’s intranet, which include a review of Merit Principles, Prohibited Personnel Practices, 

the Agency’s selection processes and hiring toolkit, information about the SEC’s Collaboration 

and Resolution Everyday (CaRE) ADR program (non-EEO ADR), and key fairness and 

inclusion expectations for leaders. SECU’s FY 2020 leadership offerings were designed or

re-designed for easily accessible and effective delivery in the virtual environment. In-person

and virtual sessions included: Learning to Manage in a Complex World; Managing in a Virtual 

World (multiple offerings); Leader as Coach; Fundamentals of HRM; Next Level Meeting 

Mastery; and Leading Author discussion focused on Accountable Leaders

All SEC managers are eligible to receive twelve sessions of private executive coaching. The

coaching supports managers as they pause, reflect, and explore new options for their careers 

and actions. In FY 2020, approximately 71 managers participated in this executive coaching

program. As a supplement to in-class training and coaching, the SECU published its Summer

Reading list, available to all SEC staff. Each of the books on this list promotes the baseline

leadership culture of inclusivity and engagement and best practices for leading self and others 

that the SEC is working to maintain. Books are available online at no cost. The book lis

included: The Art of Authenticity: Tools to Become an Authentic Leader and Your Best Self by 

Karissa Thacker; The Long-Distance Leader by Kevin Eikenberry; and Feedback and Other 

Dirty Words by M. Tamara Chandle
FISCAL YEAR 2020 | 27

The SEC also has the following required supervisory training:

n Fundamentals of Human Resource Management (CLTD 307): CLTD 307 is required for 

all new SEC managers. This course covers a broad range of human capital-related topics to

educate SEC managers on the Agency’s HR policies, statutory, regulatory, and procedural 

requirements, and on federal sector best practices. Topics including the SEC’s policies on the

prevention of workplace violence, providing accommodations, and EEO and whistleblower 

protections are extensively covered. During 2020, CLTD 307 was updated from in-person

training to a highly-interactive two-hour, two-day offering to meet participants’ and Agency 

needs during the pandemic. Participants complete required eLearning online modules on

human capital-related topics that prepare them to participate in the in-person classroom 

session. The EEO training module provides fact-based scenarios and video content for

discussion and in-depth teaching on the SEC’s EEO complaint process and substantive 

EEO laws. The training also covers the Merit Principles and Prohibited Personnel Practices

as foundational to federal employment; cards containing this information are provided 

to all participants in required supervisory training. Subject matter experts facilitate the

classroom portion of the course through the discussion of fact-based scenarios derived 

from a global case study read in advance. This allows participants to better understand the

interconnectedness of managing the SEC’s human capital. During FY 2020, the College

of Leadership and Team Development sought assistance from the SEC’s Office of General 

Counsel and the Office of Special Counsel to re-create wallet cards listing the Merit System 

Principles and Prohibited Personnel Practices (formerly provided by OPM). Wallet cards,

available in hard copy and soft PDF copy, are provided to new and tenured SEC managers

n Leader as Coach (LAC): In FY 2020, due to the pandemic, SECU re-designed the Leader 

as Coach course—formerly a full-day, in-person mandatory offering—for facilitation in a 

virtual environment. LAC is for management at all levels in the SEC. The course is focuse

on helping managers to provide coaching and feedback to all employees, thereby promoting 

agency-wide learning and emphasizing career growth. Managers worked together to discuss

a wide variety of case studies and role-played to practice listening and providing coaching or 

feedback. SEC managers attend two highly-interactive three-hour virtual sessions to enhance

and develop an understanding of coaching as a conversation distinct from mentoring, 

feedback, supervising, or consulting with others and increased their knowledge of the basic 

“moves” of coaching and when to use them. Offerings are ongoing for new SEC manager
28 | EEO PROGRAM STATUS REPORT

Compliance Indicator B.6—The Agency involves managers in the implementation 

of its EEO Program.

Support from managers and supervisors is critical to an effective EEO Program. OEEO engaged

Senior Officers, managers, and supervisors in Divisions and Offices in the EEO Program and 

related efforts. As described above, throughout FY 2020, SEC leadership frequently demonstrated

meaningful commitment to EEO principles and to affirmative employment. Leaders at all levels

were involved in different aspects of the SEC’s EEO Program as appropriate, including in the 

development of management actions responsive to recommendations made by OEEO’s barrier 

analysis program, and in Special Emphasis Programs and related initiatives. Managers are required

to cooperate as necessary and appropriate with EEO-related counselings, investigations, and ADR 

efforts. The Agency also encouraged managers and supervisors to engage with OEEO on civil rights

and EEO-related topics in a proactive manner. Similarly, OEEO intends in future fiscal years to

engage more directly with Regional management teams through on-site visits, as feasible

Essential Element C: Management and Program Accountability

This element requires the Agency head to hold all managers, supervisors, and EEO officials responsible 

for the effective implementation of the Agency’s EEO Program and the SEC’s Affirmative Action Plan 

for Persons with Disabilities. Per EEOC’s MD-715, in ensuring such accountability, the SEC must

n Conduct regular internal audits, on at least an annual basis, to assess the effectiveness and 

efficiency of the Title VII and Rehabilitation Act programs and to ascertain whether the 

Agency has made a good faith effort to identify and remove barriers to equality of opportunity 

in the workplace;

n Evaluate managers and supervisors on efforts to provide equality of opportunity for 

all employees;

n Maintain clearly defined, well-communicated, consistently applied, and fairly implemented 

personnel policies, selection and promotion procedures, evaluation procedures, rules of conduct, 

and training systems;

n Establish procedures to prevent all forms of discrimination, including harassment, retaliation, 

and failure to provide reasonable accommodation to qualified individuals with disabilities;

n Implement effective reasonable accommodation procedures that comply with applicable 

executive orders, EEOC guidance, the Architectural and Transportation Barriers Compliance 

Board’s Uniform Federal Accessibility Standards and Electronic and Information Technology 

Accessibility Standards;

n Be mindful of the Agency’s disability program obligations, including the provision of reasonable 

accommodations, when negotiating collective bargaining agreements with recognized labor 

organization(s) representing Agency employees;

n Review each finding of discrimination to determine the appropriateness of taking disciplinary 

action against Agency officials involved in the matter. Track these decisions and report trends,

issues, and problems to Agency leadership for appropriate action; and

n Ensure compliance with settlement agreements and orders issued by the Agency, EEOC, and 

EEO-related cases from the Merit Systems Protection Board, labor arbitrators, and the Federal 

Labor Relations Authority
FISCAL YEAR 2020 | 29

Compliance Indicator C.1—The Agency conducts regular internal audits of its 

component and field offices.

The SEC is not organized in “field components” but does have eleven Regional Offices out of 

which employees perform mission-related work. For EEO Program purposes, Regional Office

workforce data are considered and included in barrier analysis research along with workforce 

data from Headquarters

Compliance Indicator C.2—The Agency has established procedures to prevent all 

forms of EEO discrimination.

As explained in Section A.2 above (Compliance Indicator A.2) and set forth in Table 1 above

the SEC has promulgated various regulations and procedures to advance the EEO Program

These policies and procedures aid in the proactive prevention of EEO discrimination and increase 

accountability. Further, clear policies and procedures related to personnel programs generally

work to minimize subjectivity, foster consistency in decision-making across the SEC, and clarify 

the roles and responsibilities of the various offices/programs. In addition to the regulations listed

in Table 1 above, SEC managers and supervisors must comply with additional regulations and 

procedures governing major personnel programs, thus helping to prevent unlawful discrimination

The SEC-NTEU Collective Bargaining Agreement (CBA), which has 52 Articles, also creates an 

expectation of consistency in personnel decision-making and includes an article addressing Equal 

Employment Opportunity, which affirms the parties’ commitment to the principles of EEO and 

workplace fairness

Of particular importance, the SEC makes available EEO information related to harassment 

prevention, reasonable accommodation, and permissible religious expression. For example, in FY

2020, the Commission re-issued the SEC’s Policy on Preventing Harassment, and, in combination 

with the Procedures to Implement the SEC’s Policy on Preventing Harassment (issued in June 2019), 

set forth the anti-harassment policy and program pursuant to the Faragher-Ellerth line of Supreme 

Court cases and the EEOC’s Enforcement Guidance on Vicarious Employer Liability for Unlawful 

Harassment by Supervisors. Taken together, these documents set forth all of the criteria established

in the enforcement guidance which requires:

n A clear explanation of prohibited conduct;

n Assurance that employees who make complaints of harassment or provide information related 

to such complaints will be protected against retaliation;

n A clearly described complaint process that provides accessible avenues of complaint;

n Assurance that the SEC will protect the confidentiality of harassment complaints to the 

extent possible; 

n A complaint process that provides a prompt, thorough, and impartial investigation; and

n Assurance that the SEC will take immediate and appropriate corrective action when it 

determines that harassment has occurred
30 | EEO PROGRAM STATUS REPORT

Based on technical assistance from the EEOC provided in FY 2020, the SEC is updating its 

procedures to provide further clarity on some of the criteria referenced above. The policy and

procedures provide a clear explanation of prohibited conduct. As set forth in the procedures,

OEEO has established a firewall between the anti-harassment program in OEEO and the OEEO 

Deputy Director that is based on the type of work that OEEO staff performing Faragher-Ellerth 

related duties undertake. OEEO staff serve as an intake point for harassment concerns and

conduct educational outreach when requested by management; management, in conjunction 

with other SEC stakeholders such as OHR, OIG, and OGC, remains responsible for gathering 

information, investigating concerns, and taking prompt corrective action, as needed, under the 

circumstances. This structure maintains OEEO’s independence from the decision-making process

on harassment complaints, thus minimizing the potential for a conflict of interest that could arise if 

OEEO processes an EEO complaint under Part 1614 involving the same or similar acts of alleged 

harassment. In FY 2020, the OEEO complaints team continued to formally refer and track all

allegations of harassment received as part of the informal or formal complaint process

The SEC’s proactive harassment prevention program is grounded in training and early intervention

Program efforts are designed to reduce the incidence and impact of EEO-based harassment. OEEO

facilitates interactive harassment prevention dialogues with the SEC workforce of managers, 

supervisors, non-supervisory employees, and contractors. These dialogues raise awareness of

behaviors that could be offensive on an unlawful basis regardless of intent and promote an 

environment in which concerns can be addressed and resolved expeditiously and respectfully, thus 

emphasizing the benefit of immediate reporting. They also introduce participants to the value of

bystander awareness in preventing harassment. Interactive sessions help educate parties as to how

the behavior was perceived and why it could be problematic and inappropriate at work. In FY

2020, the pandemic caused a significant reduction in the number of in-person training sessions; 10 

training sessions were held, and approximately 200 employees and contractors participated. OEEO

developed a virtual training module to deliver to employees as the SEC transitioned to mandatory 

telework. In line with published scientific literature in this area, this program is based on voluntary

participation to increase open disclosure of potential concerns and facilitate transfer of learning to 

the job. Within the SEC, the well-respected PPH program has grown through word-of-mouth and

recommendations from participants. In early FY 2020, OEEO presented a concentrated version of

the program to the SEC Chairman, the Commissioners, and their staff

OEEO had many contacts regarding potential PPH concerns in FY 2020, and most led to preemptive resolution because corrections were made to avoid or resolve the potential PPH issue at 

the onset before it escalated. Over the past six years, the volume of proactive contacts to OEEO

has increased from fewer than 30 in FY 2015 to a high of 82 inquiries in FY 2020. OEEO

conducted coaching sessions related to preventing harassment often as a follow-on to the outreach 

described here; 89 SEC participants benefitted from these coaching sessions. Greater societal

awareness and the PPH program’s positive reputation for confidential (to the extent possible) 

and quality consultation and coaching has encouraged and led to wider adoption of proactive 

prevention efforts among leaders and employees. As indicated above, the Commission published
FISCAL YEAR 2020 | 31

new operating procedures in June 2019, which define steps to be taken by parties in response to 

an alleged harassment incident as well as methods to prevent or address any potentially retaliatory 

response. Establishing and posting these procedures, jointly signed by the OEEO Director and the

Chief Operating Officer (COO), help communicate both the importance of harassment prevention 

and the Agency’s commitment to the program’s goals and intent

Similarly, the SEC has in place a Reasonable Accommodation Policy and program to ensure that 

applicants and employees know about their right under the Rehabilitation Act to receive a reasonable accommodation for disability-related limitations if needed to apply for a job, perform the 

essential functions of a job, or enjoy equal benefits and privileges of employment. This policy also

explains management’s responsibilities when a supervisor or manager is on notice that an employee 

requires a reasonable accommodation. The SEC continues to make progress enhancing this program, and in FY 2019, EEOC informed the Agency that its proposed policy, standard operating

procedures, and forms had been approved and comply with applicable EEOC regulations and 

guidance. The Commission is finalizing these documents internally and will disseminate and train

appropriate staff on the revised policy and procedures (and forms), and post them on SEC.gov, as

required under the new Section 501 Affirmative Action Regulations, and on the internal interactive 

portal AskHR in FY 2021. As separate offices, there is a clear firewall between OEEO and OHR

the office administering the SEC’s reasonable accommodation and PAS programs. Additional information about the SEC’s reasonable accommodation program and efforts to correct deficiencies can

be found in Part E and in Part J, infra

The SEC’s administrative regulation and operating procedures on religious accommodation are 

under development. These policy documents will be reviewed by key stakeholders and are expected

to be finalized by December 2021

Compliance Indicator C.3—The Agency evaluates managers and supervisors on their 

efforts to ensure equal employment opportunity.

The successful performance of SEC managers and supervisors includes efforts to achieve a 

workplace free from discrimination. All SEC supervisors and managers have an element in their

annual performance appraisal that evaluates commitment to Agency EEO policies and principles 

and participation in the EEO Program. Leading People is a critical element in the performance

plan of SK-15 supervisors, SK-17 managers, and Senior Officers, all of whom have supervisory 

responsibilities. This critical element states

n Senior Officers: This executive core qualification involves the ability to lead people and manage 

the workforce to meet the organization’s mission and goals. Included in this meta-competency are

behaviors related to conflict management, leveraging diversity, developing others, team building, 

and human capital management. Fosters an environment that encourages employees to make

whistleblower disclosures, which includes responding constructively when employees make 

disclosures and taking requisite action to resolve the disclosure
32 | EEO PROGRAM STATUS REPORT

n SK-15/SK-17: Plans, distributes, coordinates, and monitors work assignments; evaluates work 

performance and provides constructive feedback by taking action to address performance 

problems; ensures staff are appropriately selected and utilized and are treated in a fair and 

equitable manner regardless of race, gender, age, religion, and other individual differences

Champions and promotes a diverse and inclusive work environment in which all employees have 

an opportunity to be productive by managing, developing, and treating staff equitably regardless 

of individual differences. Contributes to a culture of respecting and appreciating diversity and

the benefits of a diverse workforce through participating in diversity awareness activities and 

supporting and/or participating in the Agency’s diversity recruiting and hiring efforts. Fosters

an environment that encourages employees to make whistleblower disclosures, which includes 

responding constructively when employees make disclosures and taking requisite action to 

resolve the disclosure

The performance management program provides examples of behaviors in these areas for assessing 

specific levels of performance. The specific language in Leading People elements does not explicitly

list all day-to-day EEO responsibilities. The language included, however, is intended to require

that rating officials assess all those with supervisory duties on all aspects of EEO compliance

As interpreted and applied, therefore, these critical elements are considered by rating officials in 

evaluating the performance of all Senior Officers, managers, and supervisors on resolving EEO 

conflicts, participating in ADR, ensuring cooperation with complaint and harassment prevention 

processes, providing accommodations as required, ensuring subordinate supervisors are equipped to 

lead a diverse workforce, collaborating with OEEO and other stakeholders to identify and remove 

barriers, and complying with EEO-related settlement agreements and orders

Compliance Indicator C.4—The Agency ensures effective coordination between 

its EEO Programs and Human Resources (HR) program.

OEEO and OHR continue to coordinate effectively and work on ways to enhance early 

coordination and collaboration, particularly with respect to identifying and eliminating barriers 

to equality of opportunity, proactively training supervisors and managers on EEO topics, and 

substantive reviews of SEC strategic workforce plans, policies, and procedures. The CHCO,

OEEO Director, and the OHR and OEEO Deputy Directors meet monthly to discuss various 

personnel programs, policies, and procedures

Significantly, OEEO has made preparing and delivering briefings on barrier analysis to OHR 

leadership and program offices and other internal stakeholders a sustained priority to raise 

awareness of the cross-cutting nature of this work, to highlight intersections and areas for 

collaboration in report-writing and data gathering, and to increase buy-in from partners across the 

SEC to EEO-related strategic planning. Another successful area in which OEEO and OHR have

coordinated include regarding grievances and MSPB appeals and related EEO complaints to ensure 

the same matter is not dual-processed inappropriately under applicable legal authorities. Although

OMWI primarily worked with OHR to focus on outreach and recruitment for SEC’s workforce, 

OEEO will work on enhancing coordination with these efforts in line with areas for study and/or 
FISCAL YEAR 2020 | 33

opportunities identified through its barrier analysis work and to contribute an OEEO perspective 

to future SEC recruitment strategies. Finally, OHR and OEEO prepared and/or reviewed various

annual reports (e.g., MD-715, No FEAR Act, the Federal Equal Opportunity Recruitment Plan, an

the Disabled Veterans’ Affirmative Action Plan) and will continue to enhance early collaboration 

with respect to all required reports to ensure all perspectives are represented

Compliance Indicator C.5—Following a finding of discrimination, the Agency explores 

whether it should take a disciplinary action.

The SEC’s EEO Policy Statement sets forth its commitment to maintaining a work environment that 

is free of discrimination, harassment, and retaliation. On February 20, 2020, the SEC implemented

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

forth policies and principles for taking disciplinary and adverse actions with respect to bargaining 

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

adverse actions are incorporated by reference in the CBA between the SEC and NTEU. Consistent

with 5 U.S.C. §§ 7503(a) & 7513(a), the SEC’s CBA explains that adverse actions are taken “f

such cause as will promote the efficiency of the service.” The Agency does not have a Table of

Penalties and uses progressive discipline when appropriate

In FY 2020, OEEO did not issue any findings of discrimination. In the event of a finding, and as

required by the Dodd-Frank Act, OEEO would coordinate with the OMWI Director regarding the 

design and implementation of any appropriate remedies and relief in accordance with subpart E 

of 29 C.F.R. § 1614. Where appropriate and permissible, OEEO also would share findings—

or related necessary policy or practice changes—with other relevant staff. SEC personnel may also

learn about findings through posted notices and appropriate discussions in trainings. In sharing such

information, OEEO would seek to share lessons learned to avoid additional future violations. In all

instances, the Agency would take care to keep identities of personnel involved confidential to the 

extent required by law

In certain cases where conduct is found not to be unlawful, but nonetheless problematic, the OEEO 

Director or designee is also prepared to recommend particular improvements or corrections. OEEO

would provide specific feedback, as appropriate, to SEC officials with oversight responsibilities 

for the involved program or team/employee to improve EEO knowledge, management practices, 

and share lessons learned. This type of technical assistance would be provided on a need-to-know

basis, only after (a) carefully evaluating the propriety of giving feedback, (b) redacting information 

to maintain confidentiality where possible and as required by law, and (c) determining that such 

information can be shared with officials consistent with OEEO’s role as a neutral

The SEC has held employees accountable for inappropriate conduct as necessary under the 

circumstances. For example, two employees were disciplined in FY 2020 in accordance with

Agency policy related to conduct found to be inconsistent with EEO laws
34 | EEO PROGRAM STATUS REPORT

Compliance Indicator C.6—The EEO office advises managers/supervisors 

on EEO matters.

At the same time that the SEC holds managers and supervisors accountable for inappropriate EEOrelated conduct, it also invests significant effort into equipping them proactively with information to 

avoid pitfalls in the first place

The OEEO intranet page, SEC’s public website, and posters throughout SEC facilities invite all 

managers, supervisors, and employees to contact OEEO. OEEO expressly makes clear that OGC

provides legal advice to management on EEO matters, and that OEEO personnel are readily 

available to provide technical assistance and EEO Program-related information, and do so 

frequently when contacted directly or through generic email accounts

During FY 2020, the SEC engaged in numerous actions to promote transparency of its EEO 

Program, including, but not limited to, the following:

n Pursuant to EEOC’s MD-715, the SEC made progress towards conducting two barrier analyses; 

formally transitioned two analyses for management action; briefed relevant incumbents, 

supervisors, and managers on analytic work; and continued work on monitoring actions and 

evaluation based on prior barrier analysis work

n Consistent with EEOC regulations and MD-110, the EEO compliance program provided 

timely counseling, alternative dispute resolution, investigation, and final adjudication processes 

to individuals raising complaints of discrimination, including orienting participants (including 

supervisors and managers) to the federal sector process and rights and responsibilities

n The SEC posted EEO complaint processing data on its public website, consistent with the No 

FEAR Act, and informed new employees of their rights and remedies under antidiscrimination 

laws and whistleblower protection laws within 90 days of their appointment

n OEEO offers education, upon request, regarding conduct that could be viewed as inappropriate 

in the workplace to raise awareness and to support civility and professionalism in the workplace

n OEEO continued to offer EEO briefings to new and/or newly-promoted supervisors within 

weeks of starting their positions to equip these new leaders with practical tips regarding EEO 

compliance and points of contact to assist them before more formal training is available
FISCAL YEAR 2020 | 35

Essential Element D: Proactive Prevention of Unlawful Discrimination

This element requires that the Agency make early efforts to prevent discrimination and to identify 

and eliminate barriers to equal employment opportunity. According to MD-715

Agencies have an ongoing obligation to prevent discrimination on the bases of race, 

color, national origin, religion, sex, age, reprisal and disability, and eliminate barriers 

that impede free and open competition in the workplace. As part of this ongoing 

obligation, agencies must conduct a self-assessment on at least an annual basis to 

monitor progress, identify areas where barriers may operate to exclude certain groups, 

and develop strategic plans to eliminate identified barriers.

Compliance Indicator D.1—The Agency conducts a reasonable assessment to monitor 

progress towards achieving equal employment opportunity throughout the year.

OEEO’s dedicated Barrier Analysis Team (BAT) leads SEC efforts to identify triggers, investigate 

barriers, and offer opportunities for management to adopt corrective action plans (as needed) on 

a year-round basis. BAT work is performed on a day-to-day basis by an Industrial/Organizational

Psychologist, a Senior Counsel, and a data scientist who coordinate with OEEO management, OHR 

personnel, and Division/Office staff who are necessary partners in conducting effective analyses

BAT work is supported by contractors who have expertise in data analytics

OEEO continued to mature the barrier analysis program in FY 2020. OEEO continued to use Agile

principles and work methods (these include cross-functional and self-organizing teams, emphasis on 

collaboration and continuous learning, and speed up value creation through incremental delivery) in 

its barrier analysis program

Compliance Indicator D.2—The Agency identifies areas where barriers may exclude 

EEO groups.

The SEC will continue to conduct research that helps to identify barriers (if any) and areas of 

improvement to EEO for specific segments of the workforce and applicants to the Agency. Research

into barriers will be conducted using EEOC’s recommended methodologies and by applying best 

practices in social science and Industrial/Organizational psychology. OEEO conducts barrier

analyses throughout the fiscal year using data sources to identify triggers, collecting qualitative 

and quantitative data, conducting analyses, incorporating social science and legal research related 

to areas of study, and synthesizing results from a variety of sources to identify and share practical 

opportunities for action with decision makers. It made significant progress on a number of barrier

analysis studies in FY 2020: 

n OEEO extended the barrier analysis program’s reach to gather data from incumbents serving 

in the accountant occupation in close coordination with OHR and Union representation

The information gathered directly from employees potentially impacted by study results 

was invaluable—both to support comprehensive analytic results and to facilitate later 

organizational change
36 | EEO PROGRAM STATUS REPORT

n As part of its program evaluation, OEEO monitored actions taken by OHR in response to a 

prior promotions barrier analysis study that led to OHR’s policy memorandum on screening and 

interviewing job candidates. OEEO shared the results of this monitoring effort with OHR which

highlighted the significant value gained from OHR’s policy implementation and helped support 

continuous improvement in documenting the screening and interviewing process

n OEEO continued work on the equal employment opportunity analytic tool and the related 

self-service workforce data summary tools to coordinate with the instructions provided by the 

EEOC’s Office of Federal Operations (OFO). These tools enable users to review data on the

demographic composition within specific occupations of the entire workforce, newly-hired staff, 

Applicant Flow Data (AFD), and separations by critical organizational characteristics

n OEEO extended its reach externally by speaking at local area networking and professional 

society events, and through outreach and support of intra-agency working groups of colleagues 

working in federal equal employment opportunity

n OEEO obtained contracting resources to support the planning and development of a barrier 

analysis research agenda. The planning includes, inter alia, obtaining input from various

stakeholder groups to gather their insight and perspective on areas of interest/concern in order 

to generate potential ideas for the research agenda

A description of the work on specific barrier analysis studies follows

a. Barrier Analysis Study: Persons with Disabilities and Persons with Targeted Disabilitie

The SEC continued work to analyze and support its commitment to affirmative employment of 

persons with (targeted) disabilities. During FY 2020, OEEO updated and improved workforce

summaries about the Agency’s employees with (targeted) disabilities. Data summaries and

visualizations on this workforce were shared, upon request, with OHR’s Disability Program 

Office and informed OMWI’s efforts to update and improve the Disability Dashboard. Beyond

the workforce data summaries, OEEO’s study of persons with (targeted) disabilities both 

informed and benefited from the Agency’s leadership commitment to disability inclusion

More broadly, during FY 2020, the SEC continued preparations for implementation of the 

revised regulation through a variety of actions coordinated across OEEO, OHR, and OMWI

Information about the study of PWD and PWTD, as well as accomplishments and actions 

related to those efforts, can be found in the SEC’s Affirmative Action Plan for Persons with 

Disabilities. This study closed in FY 202

b. Barrier Analysis Study: Analyses of discretionary cash and time-off awar

During FY 2020, OEEO concluded and shared with Agency leadership results from the 

analysis of the distribution of discretionary cash and time-off awards to employees in different 

groups. Based on OEEO’s research summary, Agency leadership, under the direction of the

COO, considered and initiated management action toward improvement in areas of awards 

distribution identified by the study. Actions by OHR emerging from these efforts were defined

for implementation starting in FY 2020. These actions include improved leadership-focused

guidance and reporting on awards distribution throughout the year. This study closed in FY

2020. OEEO will monitor actions taken in response to the study’s results going forwar

Additional information about this study is included in Part I of this report, infra
FISCAL YEAR 2020 | 37

c. Barrier Analysis Study: Analysis of the accountant occupati

Research into the participation of women in accountant positions continued in FY 2020

OEEO updated prior work on quantitative analyses, synthesized data gathered through various 

means as part of this study, summarized the full set of research evidence, and developed briefing 

materials for various stakeholders. The research phases for data collection, integration, and

interpretation in this study are now complete. During FY 2021, OEEO will share research results

and transition this study for management action. Additional information about this study is

included in Part I of this report, infra

d. Barrier Analysis Study: Analysis of the attorney occupati

Research into the participation of men in attorney positions continued in FY 2020. The attorney

occupation is the SEC’s occupation with the largest employee population. OEEO expanded

review of workforce data on the SEC’s attorney occupation, interviewed experts involved in 

recruiting and hiring attorneys for the Commission, conducted social science research on the 

incentive for male attorneys to separate from public service and enter private industry, conducted 

regression analyses on the hiring of attorneys, and prepared data for further analysis of 

separations. Secondary research on Agency datasets and basic proportional comparisons suggest

market forces may account for the difference in participation rates. In FY 2021, OEEO will

conduct additional regression analysis on the separation of attorneys, and data analysis related to 

the promotion of attorneys at the Agency. Additional information about this study is included in

Part I of this report, infra

Compliance Indicator D.3—The Agency establishes appropriate action plans to 

remove identified barriers.

OEEO’s careful analysis, and synthesis of research results provides a strong, data-driven basis for 

Agency efforts to further its affirmative employment program. OEEO shares research results and

encourages concrete, measurable actions management can take for further improvement. In FY

2020, OEEO implemented a new framework in which final studies and opportunities identified 

by OEEO are provided to the SEC’s COO, who, in turn, consults with relevant management and 

provide updates on action planning and implementation. Pursuant to the framework

n The COO and other relevant management officials provide SEC management’s written response 

to the analysis no later than 60 days after receipt, including what actions the SEC will take, 

the timeline for taking the action, and a method of tracking and reporting on the actions 

management takes

n The COO, relevant management officials, and the OEEO Director meet three times a year 

to discuss the status of the SEC management’s action planning. These meetings are also an

opportunity for OEEO and SEC management to assess any observable impacts and engage in 

additional consultation

n The COO provides OEEO and the Chairman’s Office with a report annually discussing the status 

of SEC management’s actions and action planning that relate to OEEO’s analyses. The report is

provided a month after the end of the fiscal year so that OEEO can include the information in 

the SEC’s next MD-715 report
38 | EEO PROGRAM STATUS REPORT

This framework provides the means not only for action planning, but also for the monitoring 

necessary to ensure accountability. Initial meetings pursuant to the new framework have been

positive with respect to adding transparency and rigor in addressing OEEO’s studies

Compliance Indicator D.4—The Agency has an affirmative action plan for people 

with disabilities, including those with targeted disabilities.

The SEC has an EEOC-approved affirmative action plan for persons with disabilities. OEEO

has applied its research approach to support and assess progress under the SEC’s Affirmative 

Action Plan for Persons with Disabilities as well as encouraged the SEC to align objectives in 

the affirmative action plan with its overall recruitment strategy. See Part J of this report for a

full discussion

Essential Element E: Efficiency

According to the MD-715 instructions, “[t]his element requires the Agency head to ensure that there 

are effective systems for evaluating the impact and effectiveness of the Agency’s EEO programs and 

an efficient and fair dispute resolution process.

Compliance Indicator E.1—The Agency maintains an efficient, fair, and impartial 

complaint resolution process.

Year over year, the SEC complaints program continues to improve. In early FY 2020, OEEO

onboarded a Compliance and Resolutions Branch Manager dedicated to maintaining and 

enhancing the quality and timeliness of all aspects of the Part 1614 complaint process

Under the Branch Manager, the SEC continues to follow the requirements, standards, and 

practices in Part 1614 and has developed additional tools to promote uniformity and efficiency 

in complaint-program activities. These resources help facilitate consistent, timely processing of

EEO matters. OEEO continued to make enhancements to the complaints program in FY 2020,

including, for example:

n Seamless transition to electronic complaint processing in light of the pandemic and the SEC’s 

mandatory telework posture since mid-March 2020;

n Continuing to distribute the educational resource, Top 10 Reasons to Consider ADR, to 

management officials and employees to increase participation in ADR;

n Identifying opportunities and developed strategies to bring greater awareness of the compliance 

program, such as through the SEC’s daily employee newsletter and updated the OEEO 

intranet site to highlight in plain language the programs and staff responsibilities for complaint 

processing, ADR, and preventing harassment;

n Creating templates for Final Agency Decisions and Final Agency Orders; an updated witness 

notification to include sanctions language pursuant to 29 C.F.R. Part 1614; revision 

acceptance letters to eliminate redundancies; and updated complaints program standard 

operating procedures and forms including, an updated intake form and process to identify 

cases for ADR earlier, and iComplaints security and recordkeeping requirements;
FISCAL YEAR 2020 | 39

n Enhancing quality control of data entry for complaints tracking to be consistent with EEOC 

guidance regarding issues and corrective actions; enhancing complaints-related tracking tools 

including, for example, related to referrals to and from OEEO, open case status, and upcoming 

due dates;

n Assessing quality-control measures related to EEO complaint-processing contractors to ensure 

they are providing quality work;

n Continuing use of generic email accounts to ensure ready access to OEEO staff;

n Leveraging facilitation services offered through OHR for some counseling matters;

n Expanding the pool of mediators and EEO counselors available through contracts; 

n Streamlining the acquisitions process for complaint processing services, including contract 

mediators, EEO Counselors, and EEO Investigators; and

n Developing and issuing procedures for processing claims of discrimination raised pursuant to 

Executive Orders regarding parental status, sexual orientation, and gender identity

In FY 2020, OEEO completed 34 counselings under Part 1614. All but one counseling completed

in FY 2020 qualified as timely under 29 C.F.R. § 1614.105, and the one counseling was comple

beyond the 90 days due to provisions in the settlement agreement allowing the required time for 

revocation pursuant to the Older Workers Benefit Protection Act, 29 U.S.C. Section 626(f). F

counselings were timely completed within 30 days, and 16 traditional counselings were completed 

timely with written extensions of no longer than 60 days. Twelve counselings were processed

through the SEC’s ADR program and were timely completed within 90 days. Of the 34 counselings

completed, 17 were resolved at the informal stage. In each of these counselings, the Agency provided

the regulatory-required notification to individuals of their various rights and responsibilities in the 

EEO process. This information was provided verbally during the initial counseling session and also

later in writing

In FY 2020, 16 new formal EEO complaints were filed under Part 1614—compared with 24 in FY 

2019. In all new formal complaints, the Agency issued acknowledgement letters. Of the new forma

complaints that were filed in FY 2020, the average length of time for issuing the acknowledgement 

letter increased following the loss of administrative support and delays caused by the pandemic. In

one instance, receipt of the formal complaint was delayed by several weeks due to the pandemic. In

addition, OEEO generally issued all Acceptance letters/Dismissal decisions within a reasonable time 

(e.g., 60 days) after receipt of the written EEO counselor’s repo

In FY 2020, OEEO conducted investigations of formal EEO complaints in a timely fashion. Of

the 15 investigations completed during FY 2020, one was untimely. (The agency processing a

conflict case on behalf of the SEC did not begin the investigation until after receipt of the hearing 

request; OEEO has enhanced mechanisms for overseeing conflict complaints processed by other 

federal agencies.) OEEO provides complainants with the regulatory-required “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
40 | EEO PROGRAM STATUS REPORT

In FY 2020, two Final Agency Decisions (no discrimination found) were issued. In FY 2020, the

discrimination bases alleged most frequently at the SEC were: reprisal (12), sex (nine), race (seven), 

age (five), and disability (five). For comparison purposes, according to the most recent EEOC

report available, EEOC’s Annual Report on the Federal Workforce for FY 2018, Complaint Tables 

(EEOC’s Annual Report), the top five bases in complaint allegations filed for FY 2018 were reprisal/

retaliation, age, disability—physical, sex—female, and race—Black/African American. In FY 2020,

the issues most frequently raised at the SEC were: terms/conditions of employment (11), non-sexual 

harassment (nine), assignment of duties (five), promotion/non-selection (two), and performance 

evaluation/appraisal (two). According to the EEOC’s Annual Report, the top five issues in complaint

allegations were harassment—non-sexual, disciplinary action, terms and conditions of employment, 

promotion/non-selection, and reasonable accommodation

As soon as OEEO receives notice that a complainant has requested an EEOC hearing before an 

Administrative Judge (AJ) or has filed an appeal of a final Agency action with EEOC’s OFO, OEEO 

uploads all documents to FedSEP (the EEOC’s online password-protected federal sector EEO 

portal). The SEC also timely issues Final Agency Orders following receipt of any EEOC AJ decision

and the associated hearings file

Compliance Indicator E.2—The Agency has a neutral EEO process.

OEEO carefully safeguards its neutrality and impartiality, which is critical to having an efficient 

and fair EEO complaint resolution process. OEEO neutrality ensures that employees and managers

know that the pre-complaint and investigation stages of the Part 1614 process are not adversarial, 

that OEEO will compile a neutral and impartial factual record, and that, when requested, OEEO 

will issue a final decision assessing the facts and law to determine whether or not one or more of the 

applicable employment discrimination laws have been violated

OEEO continues to emphasize its office’s independence and impartiality to ensure that all SEC 

staff understand the importance of OEEO independence. OEEO independence is prominent in the

office’s published communications and materials, and this message is relayed on OEEO’s intranet 

page and in this report. OEEO staff also reiterate this message in other routine briefings, trainings,

and meetings

Compliance Indicator E.3—The Agency has established and encouraged the 

widespread use of a fair alternative dispute resolution (ADR) program.

Consistent with MD-110 guidance, the SEC has a longstanding ADR program entitled Conflict to 

Resolution or C2R, which primarily uses mediation. Under its ADR policy and the C2R program,

the Commission is committed to resolving workplace disputes in an appropriate, fair, and efficient 

manner and to using alternative methods for resolving employment-related disputes where 

appropriate and feasible. The Agency’s ADR Policy makes clear that although ADR is voluntary

for EEO filers, supervisors and managers must participate in good faith if a filer elects ADR and 

OEEO authorizes its use. The SEC recognizes that resolving issues early and expeditiously helps

maintain a work environment that fosters open communication, trust, and engagement. Used
FISCAL YEAR 2020 | 41

properly in appropriate circumstances, ADR can provide faster, less expensive and contentious, 

and more productive results in eliminating workplace disputes, including claims of discrimination, 

harassment, and retaliation, as well as workstyle or personality conflicts that may arise. Thus, some

key objectives of the C2R program include resolving workplace conflicts at an early stage if possible, 

improving workplace communication and morale, and creating a more efficient EEO Program

OEEO promotes the benefits of ADR on the SEC’s intranet and in training materials, including 

through a mandatory ADR module for supervisors and a tip sheet entitled Top 10 Reasons to 

Consider ADR, both launched in FY 2019. OEEO continued to provide the tip sheet to employees

and management officials when ADR was approved in FY 2020. OEEO also quickly created a virtual structure for ADR to ensure that ADR remained viable in a mandatory telework environmen

The SEC allocated funding to use contract ADR professionals to resolve workplace disputes; in 

some instances, OEEO worked with the SEC Dispute Resolution Specialist to support facilitation 

efforts. Consistent with MD-110, the SEC’s COO—not the responsible management official

directly involved in the dispute—has settlement authority for EEO cases, including during the EEO 

counseling and ADR processes. OEEO works with OGC to ensure that an official with settlement

authority is accessible during the dispute resolution process

In FY 2020, OEEO processed a total of 34 informal complaints (informal complaints carried over 

from FY 2019 and new informal complaints initiated in FY 2020). Among these, the option to

pursue ADR in lieu of traditional EEO counseling was routinely explained to counselees. Through

C2R, OEEO conducted 14 mediations during both the formal and informal process; six or 

approximately 42.9% of these matters settled or resulted in the counselee not filing a formal

EEO complaint. Compared to FY 2019, resolution rates for informal and formal mediations

dropped slightly (45.5% in FY 2019 versus 42.9% in FY 2020) while participation rates increase

(11 mediations in FY 2019 versus 14 mediations in FY 2020). OEEO will continue to monitor

whether efforts to increase ADR participation and resolution rates are successful

Compliance Indicator E.4—The Agency has effective and accurate data collection 

systems in place to evaluate its EEO Program.

The SEC has systems in place to accurately collect, monitor, and analyze various sorts of data 

critical to a successful EEO Program:

n OEEO uses the Micropact iComplaints platform to track and analyze complaint activity, 

including the issues and bases of the complaints, the aggrieved individuals/complainants, 

and the alleged responsible management officials

n OHR uses the Department of Interior, Interior Business Center’s DataMart to store employee 

demographic data by sex, race, national origin, and disability status. This demographic

information is voluntarily supplied by employees who complete or update certain forms, 

including Selective Service registrations, SF-181, and SF-256
42 | EEO PROGRAM STATUS REPORT

n OHR uses USAJOBS to collect internal and external applicant flow data by sex, race, national 

origin, and disability status for all vacancies posted through USAJOBS

n The harassment prevention team in OEEO uses a SharePoint system to track incoming allegations of harassment. The system capabilities include the ability to attach relevant document

n OHR’s Reasonable Accommodation Program uses SEC Forms 2937 and 2938 to capture, track, 

and analyze processing of requests for reasonable accommodation or PAS

n OMWI and OHR track recruitment efforts through Microsoft Excel and similar tools

All data collected is treated in accordance with applicable federal law and SEC policies for data 

protection, including, but not limited to, the Privacy Act. Offices supporting the SEC’s EEO

Program share information, as necessary, in order to conduct assessments and drive enhancements 

to equality of opportunity at the Agency

Compliance Indicator E.5—The Agency identifies and disseminates significant trends 

and best practices in its EEO Program.

The SEC regularly monitors trends in its EEO Program to determine whether it is meeting its 

obligations under the workplace anti-discrimination laws. In preparing the Agency’s No FEAR Act

year-end report in FY 2020, OEEO examined data to identify potential problems, spotted trends, 

and developed action plans for the next fiscal year

As reported in the SEC’s FY 2020 No FEAR Act report, OEEO staff members have gained insights 

that have helped improve the SEC’s overall EEO Program, including the following

n Maintaining OEEO’s independence is indispensable to safeguarding the 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 law

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 processe

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

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
FISCAL YEAR 2020 | 43

n Raising awareness through sharing personal stories about words and conduct that could be 

perceived as offensive in the workplace can help reduce EEO complaints alleging harassment

OEEO will continue to monitor educational efforts to determine if this impact is sustained over 

the longer term

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. Reaching out 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 is applying the above experience and insights in planning its priorities. 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). In addition

to supporting the implementation of the SEC Strategic Plan, in FY 2020, OEEO: 

n Continued to process all informal and formal complaints and requests for ADR in compliance 

with 29 C.F.R. Part 1614 and EEOC MD-11

n Supported 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, revising the public website for accessibility and reasonable 

accommodation information, reviewing and updating SEC’s reasonable accommodation and 

Section 508 policies, and leading efforts to finalize complaint procedures related to accessibility 

issues under Sections 504 and 508 of the Rehabilitation Act; 

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

identified barriers; and 

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

innovative approaches to enhance equality of employment opportunity
44 | EEO PROGRAM STATUS REPORT

More generally, OEEO will continue to support the SEC in focusing on the following objectives 

during FY 2021: 

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

achieve greater program effectiveness; 

n Briefing senior leadership on the state of the EEO Program to reaffirm support for the program, 

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

the EEO Program; 

n Maintaining accuracy of EEO complaint data; 

n Leveraging internal communication channels to distribute EEO-related information and 

promoting communication of information and early intervention to help officials identify the 

issues and bases that may give rise to EEO complaints; 

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

from alleged violations of personnel policies and practices; 

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

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

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

of ADR; 

n Increasing employee awareness of EEO statutes; 

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

identify opportunities for improvement; and 

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

Consistent with these objectives, to identify and keep abreast of significant external EEO complaint 

processing trends and best practices, OEEO compares SEC data with data for similar size and 

mission-focused agencies using existing and available government wide federal sector reports

OEEO personnel also review new EEOC regulations, guidance, and case law updates (such as the 

EEOC’s Digest of EEO Law); monitor current development periodicals; and consult other external 

expert resources. In addition, the OEEO Director attends EEOC’s Quarterly EEO Director Meetings

to learn from other EEO directors and share innovative ideas. Similarly, OEEO staff take advantage

of OPM knowledge-sharing vehicles and network with EEO professionals in numerous other 

contexts (such as at annual Federal Dispute Resolution and EEOC EXCEL conferences). Staff also

participate in inter-agency EEO councils (such as the Small Agency Council EEODI Committee) 

and more informal cross-government task forces
FISCAL YEAR 2020 | 45

This concerted, sustained engagement with EEO peers and other colleagues help OEEO learn about 

and share EEO best practices. For instance, during FY 2020, OEEO staff led and/or participated in

ad-hoc inter-agency working groups formed to share best practices for implementing the EEOC’s 

new Section 501 Affirmative Action Regulations and preparing MD-715 reports. OEEO’s training

approach was shared even more broadly when OEEO presented a virtual training session at the 

national FDR Training in August 2020 to over 300 attendees. OEEO also met with EEOC’s OFO to

share information about the PPH program, and the outcome of those discussions is the participation 

of OEEO’s PPH staff in the EEOC’s Education Consortium and Speakers Bureau. The SEC

understands that OFO is considering building an experiential component to its own harassment 

prevention program

Essential Element F: Responsiveness and Legal Compliance

According to MD-715, federal agencies must:

n Ensure that they are in full compliance with the law, including EEOC regulations, orders, and 

other written instructions;

n Report Agency program efforts and accomplishments to EEOC and respond to EEOC directives 

and orders in accordance with EEOC instructions and time frames; and

n Ensure that management fully and timely complies with final EEOC orders for corrective action 

and relief in EEO matters

Compliance Indicator F.1—The Agency has processes in place to ensure timely 

and full compliance with EEOC Orders and settlement agreements.

The SEC has a system of management controls to ensure that its officials timely comply with all 

EEOC orders/directives, final Agency actions, and settlement agreements. OEEO compliance team

members are tasked with monitoring and facilitating compliance (working with OGC and other 

stakeholders) with all orders and directives issued by EEOC Administrative Judges (AJs) and the 

EEOC’s OFO, as well as with any final Agency action issued by OEEO, as applicable. The SEC’s

OGC monitors compliance with settlement terms

In addition, as discussed above, Senior Officers, managers, and supervisors are evaluated under 

the Leading People critical performance elements that are interpreted to require them to comply 

with settlements agreements and orders issued by the Agency (e.g., through OEEO final actions

including final decisions on EEO complaints), EEOC (e.g., by AJs or by OFO on administrativ

appeals), and EEO-related cases from the Merit Systems Protection Board, labor arbitrators, and 

the Federal Labor Relations Authority. Individuals who fail to adhere to these performance

standards would be held accountable accordingly through the performance management process

Relatedly, any SEC employee responsible for compliance with EEOC orders would be held 

accountable for poor work product and/or delays connected to compliance with such orders
46 | EEO PROGRAM STATUS REPORT

Compliance Indicator F.2—The Agency complies with the law, including EEOC 

regulations, management directives, orders, and other written instructions.

As a general matter, when an EEO complainant requests a hearing or files an appeal, OEEO staff 

will check FedSEP regularly to ascertain whether the matter has been docketed. Regardless of

docketing status, OEEO staff will upload the complaint file as prescribed by EEOC orders and/or 

established regulatory timeframes for use by the EEOC (either by an EEOC AJ as part of hearing 

proceedings or by OFO in adjudication of an appeal)

Throughout FY 2020, the SEC timely responded and fully complied with all EEOC orders issued 

as part of the hearings and/or appeals process, including an order to conduct a supplemental 

investigation, which was timely completed. Where necessary, the Commission promptly provides

EEOC with required documentation for completing compliance with any such orders

In any case involving an EEOC finding of discrimination that would not be the subject of an appeal 

by the Agency, OEEO compliance staff would work with OGC and other necessary stakeholders to 

ensure timely and full compliance and to promptly provide EEOC with any required documentation 

substantiating such compliance

Compliance Indicator F.3—The Agency reports to EEOC its program efforts and 

accomplishments.

The SEC regularly complies with regulatory requirements to submit or post the annual EEOC 

Form 462 Report and MD-715 Report, and quarterly and annual No FEAR Act reports. In

FY 2020, all annual reports were accurate and complete and submitted early or on time. Also

in FY 2020, OEEO posted all four quarterly No FEAR Act data reports on its public website, 

SEC.gov, on time (i.e., within 30 days after the end of each fiscal year quarter). OEEO a

developed protocols to publish the MD-715 reports while protecting privacy and published the 

FY 2017, FY 2018, and FY 2019 MD-715 Reports on its public website. OEEO aims to publish

future reports as expeditiously as possible

Workforce Analyses

The SEC analyzes workforce data to identify triggers that may require further inquiry regarding 

whether or not barriers to equal employment opportunity based on race, ethnicity, sex, or disability 

exist. The next sections provide a selected analysis of workforce data by ethnicity/race and gende

Part J, infra, provides analyses of workforce data by disability status

Within these workforce analyses, this report describes identified “triggers,” or observed differences 

in participation rates (i.e., the proportions of employees across the demographic groups) and/o

inclusion rates (i.e., the proportions of a total employee group found in a particular conditio

A “trigger” is a trend, difference, variance, outlier, or anomaly that suggests the need for further 

inquiry into a particular policy, practice, procedure, or condition. Statistics are only a starting point

for analysis that must consider the totality of the circumstances
FISCAL YEAR 2020 | 47

In many cases, triggers are evidenced through comparison of workforce data to civilian labor force 

participation rates. The EEO Tabulation, produced using the 2006 – 2010 American Community

Survey (ACS) survey data, is the most current primary external benchmark for conducting 

comparisons between the ethnicity/racial and sex composition of each employer’s workforce to 

its available labor market. For brevity, benchmark data from the 2006 – 2010 EEO Tabulation is

referred to as the 2010 civilian labor force (CLF) or for specific mission critical occupation (MCO) 

positions, the occupational civilian labor force (OCLF), in this report and accompanying workforce 

tables. Occupational comparisons are initially made using broad categories of civilian jobs that

do not differentiate between characteristics such as industry (e.g., finance versus health care) o

specialization (e.g., securities versus employment la

SEC’s Total Workforce

At the end of FY 2020, the SEC had 4,493 employees, 4,389 permanent and 104 temporary. Of the

4,389 permanent employees, there were 2,358 (53.73%) men and 2,031 (46.27%) women. T

SEC gained a total of 256 permanent employees, 137 (53.52%) men and 119 (46.48%) wom

In FY 2020, the SEC had a separation rate of less than four percent (141 separations for a turnover 

rate of 3.21%) of its total permanent workforce. The SEC aims to keep its turnover rate relativel

low, i.e., below eight percent per year. Of the 139 voluntary separations, seven were Hispanic 

Latino employees, 91 were White employees, 24 were Black or African American employees, and 

15 were Asian employees

Table A1 provides a comparison of the FY 2020 participation for each ethnicity/race and gender 

combination to the 2010 CLF. The participation of White female employees at the SEC shows the

largest difference at 8.35% points below their participation in the 2010 CLF. Hispanic or Latino me

and women show levels of difference that are about 2% points below their participation in the 2010 

CLF (Hispanic or Latino men at -1.93% points and Hispanic or Latino women at -2.15% point

Relative to other ethnicity/race and gender groups, the SEC’s permanent workforce has higher 

participation of Asian employees, both men and women, and Black or African American women

For these groups, the participation in the SEC’s permanent staff is 4.43% to 4.45% points highe

than that demographic group’s 2010 CLF participation. While these data suggest that participation

in the total SEC permanent workforce for these groups is higher than in the 2010 CLF, the specific 

analysis by occupation and pay grade is more nuanced. Additional detail about those groups

is shared later in this section through comparisons to occupational CLF and by pay grade or 

leadership level, infra
48 | EEO PROGRAM STATUS REPORT

SEC’s Mission Critical Occupations

This section discusses workforce analysis in each of the SEC’s five MCOs: attorney, accountant, 

securities compliance examiner, information technology management, and economist. Among

the SEC’s total permanent employees, there were 1,870 attorneys, 836 accountants, 345 

securities compliance examiners, 295 information technology (IT) management employees, and 

90 economists. For each MCO, selected analysis of current status in terms of participation and

inclusion by SK-levels, gains through external hiring and progress through competitive promotion 

of men, women, and minority group members are presented below. Detailed analysis of promotion

for PWD and PWTD is provided in Part J, infra. Background information on the analyses presented

provides the reader a basis for interpreting these selected analyses

Employee Gains and Career Progression

Information about employee gains from external hiring and progression through competitive 

promotion are key to assessing equal employment opportunity for the Agency’s MCO workforce

Detailed information on employee gains is found at workforce Table A6

Applicant Flow Data is an important tool used to examine the fairness and inclusiveness of 

recruitment efforts and career progression of the workforce. These data are available through

OPM’s USA Staffing© only for SEC vacancies posted on USAJOBS. The SEC uses USAJOBS for

most, but not all, of its hiring actions (although hiring into accountant and economist positions 

under the SEC’s Fellows authority and, in some cases, attorneys into the Excepted Service under 

5 C.F.R. § 213.3102(d) do not require public posting through USAJOBS, the SEC does proc

with public posting for a large number of vacancies even where such is not required). In FY 2020,

the SEC did not have a tool to capture and report on applicant data for hiring actions outside of 

USAJOBS

A few important notes about AFD help facilitate interpretation. First, selections designated within

AFD are tentative. AFD presented in various workforce tables show the demographic makeup for

all applications (note that one applicant may file multiple applications for the same vacancy, and 

each application is counted separately) from persons who self-identified and were: (1) qualified; 

(2) referred; or (3) tentatively selected for vacancies posted on USAJOBS that closed during 

FY 2020. Various hiring process steps, beyond a tentative selection decision, may impact success

in onboarding a new hire (e.g., suitability assessment or declination of offer). To help distingui

the data on hiring, the workforce data tables provide separate rows of information for all employees 

newly-hired and onboarded during the course of the fiscal year. Differences are observed in the

demographic statistics of those selected versus those hired and brought on board
FISCAL YEAR 2020 | 49

Second, applicants for external hiring are encouraged to voluntarily provide data on their gender, 

race/ethnicity, and disability as part of their USAJOBS profile. Because self-identification is not

required by USAJOBS and depends on applicants’ willingness to volunteer their demographic 

information, data should not be extrapolated from the group that voluntarily identified their 

demographics to the remaining applicants who did not

In FY 2019, OPM implemented a number of actions to help agencies in their analysis of AFD

OPM: (1) made information about appointment type (permanent or temporary) available for 

each vacancy; (2) created a variable so that agencies can more easily identify supervisory versus 

non-supervisory vacancies; and (3) changed AFD so that all applications submitted by the same 

applicant reflect a unique identifier, providing valuable data for agencies to analyze and identify 

demographic trends for successful and unsuccessful applicants. These actions provide some, but not

all, of the information needed to complete workforce data tables under the MD-715 2.0 design. I

particular, OPM’s USAStaffing system does not capture information about the interview stage of the 

hiring process, as such, these data are not reflected in Tables 6, 7, and 8. In addition, a system issue

in the audited USAStaffing results precludes the ability to distinguish which applicants were referred 

from those who were qualified, but not referred. As such, AFD regarding the referred stage should

be interpreted with caution

Analysis of internal competitive promotion is another area of interest in the SEC’s review of equal 

employment opportunity. To explore data related to promotional opportunity, unlike what was

done for current status of the total workforce and for each MCO, comparisons are made to the 

composition of the SEC’s overall workforce. In particular, EEOC instructs that agencies consider the

Relevant Applicant Pool (RAP) in benchmark comparisons for each occupation. The demographic

profile of the RAP represents more closely an attainable standard for workforce composition as the 

RAP for each MCO is based on the number of employees holding a qualifying occupation series

Data on the RAP for each MCO is provided in summary level in Table A6

As the SEC has continued to evaluate data on competitive promotion, it has learned that employees 

are less likely to self-identify their demographic information in AFD. To help ensure higher

quality analysis, data on internal competitive promotion augments AFD with an employee’s selfidentification data from the Agency’s Human Resource Information System (HRIS). The SEC has

encouraged employee self-identification for demographic information, particularly for disability 

status. To leverage the greater coverage of demographic data, progress through competitive

promotion is summarized and analyzed through a combination of AFD and internal HRIS 

records for employees on staff
50 | EEO PROGRAM STATUS REPORT

Pursuant to EEOC’s instruction, internal competitive promotion data include AFD for vacancies 

posted for internal SEC-only and Merit Promotion (MP) consideration. Other methods of

progressing to higher-graded positions are not captured. Employees in the competitive service

across the federal government are eligible to apply for MP postings. AFD for these vacancies does

not benefit from the additional demographic information available for SEC employees on staff

Summaries of these vacancy postings are, then, restricted to data available from AFD

Finally, the SEC’s fellows programs are an important pathway into MCOs. In FY 2020, the

SEC continued to post all fellows opportunities on USAJOBS. This enables better monitoring of

demographic data on fellows for MCOs

With this context, the following sections present available Applicant Flow Data for each MCO 

and for the SEC’s senior-graded and leadership positions. As a reminder, these data do not reflect

all applications—only those applications where the applicants provided demographic information

Attorneys

The current status, including gains through external hiring and internal competitive promotion 

of attorneys, is presented in Table A6. In FY 2020, among the 1,870 attorneys, there were

1,021 (54.60%) men, 849 (45.40%) women, and 429 (22.94%) minority group members. 

Agency hired 123 attorneys and promoted 40 attorneys

Gains, AFD for External Hiring: Attorneys (0905)

The SEC posted 38 vacancies through USAJOBS and made 27 selections for attorney positions

Of the 2,194 applicants who self-identified their demographic information (self-identified 

applicants), 1,359 (61.94%) were men and 835 (38.06%) were women. Twenty-seven of t

self-identified applicants were selected. Of the 27 selectees who self-identified, 15 were men and

12 were women. A difference between qualified applicants (62.76%) and new hires (48.78

(“new hires” refers to onboarded employees) was found for male employees. These results

should be interpreted with caution because a number of vacancies were open, continuous 

postings which do not generate demographic information in the audited AFD from USAStaffing 

and are not included as selections in the audited AFD for the fiscal year (only closed selections 

are included). Further, previous research indicates that open, continuous postings may result

in a different demographic profile. The Agency is in the process of conducting analysis on the

attorney occupation, discussed further in Part I of this report, infra

Progression, AFD for Internal Progression Competitive Promotion: Attorney (0905) 

The SEC received 311 applications for 36 attorney competitive promotion postings and 40 

selections. Of the 311 self-identified applicants, 291 qualified for promotion, 162 men and 129

women. Of those tentatively selected for the promotions, 24 were men and 16 women. Whit

males comprised 130 (44.67%) of the qualified applicants and received 18 (45.00%) of th

promotions. White females comprised 98 (33.68%) of the qualified applicants and received 1

(30.00%) of the selections. Asian females comprised 4.12% of qualified applicants and 2.

of selections. A further demographic breakdown by ethnicity/race and gender of the candidates

who applied for internal promotions is presented in Table A6
FISCAL YEAR 2020 | 51

Accountants

The current status, gains through external hiring, and competitive promotion of accountants 

is presented in Table A6. In FY 2020, among the 836 accountants, there were 474 (56.70%

men, 362 (43.30%) women, and 243 (29.07%) minority group members. The Agency hir

19 accountants and promoted five

Gains, AFD for External Hiring: Accountants (0510)

In FY 2020, the SEC received 361 self-identified applications through USAJOBS and made 

seven selections for accountant positions. Of the 361 applicants, 173 (47.92%) were mal

and 188 (52.08%) were female. No differences were found between the qualified applican

pool and new hires with respect to gender overall. However, differences between qualified

applicants and new hires were found for Black or African American males and females

Detailed demographics are reflected in Table A6

Progression, AFD for Internal Progression Competitive Promotion: Accountant (0510) 

The SEC received 323 self-identified applications for eight internal competitive promotion 

postings and five selections. Of the 323 applicants, 96 qualified (48 men and 48 women). I

FY 2020, female qualified applicants (50.00%) were above their Relevant Applicant Pool

(44.04%), and females received three (or 60%) of the five promotions. Therefore, no anomal

was found. However, differences between selections and qualified applicants were found for

Hispanic or Latino males and females, Black or African American males and females, and 

Asian males and females. The Agency is in the process of conducting analysis of competitive

promotions among women in the accounting occupation, discussed further in Part I of this 

report, infra

A more detailed analysis of men and women who hold positions in the attorney and accountant 

occupations, the Agency’s two largest MCOs, is presented later in this report, infra

Securities Compliance Examiners 

The current status and gains through competitive promotion and external hiring of securities 

compliance examiners is presented in Table A6. In FY 2020, among the 345 securities

compliance examiners who self-identified, there were 220 (63.77%) men, 125 (36.23%

women, and 120 (34.80%) minority group members. The Agency hired 22 securitie

compliance examiners (11 men and 11 women) and promoted ten

Gains, AFD for External Hiring: Securities Compliance Examiners (1831)

In FY 2020, the SEC received 41 applications on USAJOBS, and hired 22 securities compliance 

examiners. Of the 22 selectees who self-identified their demographics, 11 (50.00%) were men

and 11 (50.00%) were women. Differences were found between qualified applicants and ne

hires for Black or African American males and females, and Asian females. New hires for all other

demographic groups were at, close to, or above their representation among qualified applicants

See Table A6
52 | EEO PROGRAM STATUS REPORT

Progression, AFD for Internal Competitive Promotion: Securities Compliance Examiner (1831) 

The SEC received 63 applications for six postings and ten selections. Of the 63 self-identified

applicants (44 were men and 19 were women), 57 qualified (39 men and 18 women)

Differences between qualified applicants and selections were found for White males and Black 

or African American males. Selections for all other demographic groups were at, close to, or

above their representation among qualified applicants

Information Technology Management

The current status and gains through external hiring and competitive promotion of information 

technology (IT) management employees is presented in Table A6. In FY 2020, among the 295

self-identified applicants for IT management specialist positions, there were 217 (73.56%)

men, 78 (26.44%) women, and 167 (56.61%) minority group members. The Agency hired 

employees in IT management and promoted eight

Gains, AFD for External Hiring: Information Technology Management (2210)

In FY 2020, the SEC received 1,110 applications through USAJOBS and hired 25 information 

technology management specialists. Of the 1,110 self-identified applicants, 77.93% were me

and 22.07% were women. Differences between qualified applicants and new hires were foun

for women and Black or African American males. New hires for all other demographic groups

were at, close to, or above their representation among qualified applicants

Progression, AFD for Competitive Promotion: Information Technology Management (2210) 

The SEC received 652 self-identified applications (507 males and 145 females) for 11 

information technology management postings and eight selections. Of the 652 applicants,

375 qualified. Males represented 80.80% of qualified applicants (303 applicants) an

females represented 19.20% of qualified applicants (72 applicants). Differences between th

proportion of qualified applicants and selections were found for Hispanic females, White 

males and females, Black or African American males, and Asian females. Table A6 reflects the

demographic breakdown

Economists 

The current status of economists is presented in Table A6. In FY 2020, among the 90

economists at the SEC, there were 63 (70.00%) men, 27 (30.00%) women, and 3

(36.67%) minority group members. In FY 2020, the Agency hired six economists an

promoted two economists

Gains, AFD for External Hiring: Economists (0110)

In FY 2020, the SEC received 397 self-identified applications through USAJOBS, selected 

two economists (one Hispanic or Latino male, and one Black or African American male) and 

onboarded six economists. Of the 397 self-identified applicants, 70.53% were men and 29.4

were women. Men comprised 55.6% of the qualified applicants who were referred, and wome

represented 44.4% of the qualified applicants who were referred. Given the small number o

selections (two), it is impossible to draw any meaningful conclusions from these data. Table A6

reflects the demographic breakdown
FISCAL YEAR 2020 | 53

Progression, AFD for Competitive Promotion: Economists (0110) 

The SEC received seven applications for two postings and two selections. Of the four male

applicants who applied, two were deemed qualified, and one of these qualified applicants 

(a White male) was referred and selected. Of the three female applicants who applied, all

three were deemed qualified, and one of these applicants (a Hispanic or Latino female) was 

referred and selected. Given the small number of applicants (seven) and selections (two),

it is impossible to draw any meaningful conclusions from these data. Table A6 reflects the

demographic breakdown

Detailed Workforce Analysis for Attorneys and Accountants 

Accountants and attorneys comprised 61.65% of the SEC’s total permanent workforce. Male an

female SEC accountants and attorneys participated at levels at, close to, or above their benchmark 

in their respective occupations in the civilian labor force, or OCLF, except for the demographic 

groups of female accountants and male attorneys as shown in Table A6

Within the female accountant and male attorney groups, the participation rates of both White male 

attorneys and White female accountants at the end of FY 2020 are below their OCLF

White female accountants’ participation rate at the SEC (26.91%) is below the OCLF for White

female accountants of 44.23%. This result follows the same pattern as the overall participatio

rate of female accountants at the SEC (43.30%) compared to the OCLF for female accountants of

60.09%. This difference has been studied as part of the Agency’s barrier analysis progr

The participation rate for White male attorneys at the SEC (44.60%) is below the OCLF for White

male attorneys of 59.68%. Similar to the White female accountants, the difference for White mal

attorney participation mirrors the difference for the overall participation rate for male attorneys 

at the SEC (54.60%) compared to the OCLF for male attorneys of 66.70%. These differences a

under study as part of the Agency’s barrier analysis program

Senior Grade Levels from SK-13 to Senior Officer

The SEC conducts analysis on the participation of men, women, and minority group employees 

at various grade levels to understand equality of employment opportunity in the Agency’s career 

progression. Specifically, the SEC reviewed the participation of men, women, and minority group

members within the Agency’s grade levels equivalent to the senior grades in the General Schedule 

and Senior Executive Service. The SEC crosswalks the Agency’s alternative pay plan’s senior grade

levels to the General Schedule according to the following equivalencies: SES = SO and EX; GS-15 = 

SK-15, SK-17, AL-02, and AL-01; GS-14 = SK-14, SK-16, and AL-03; GS-13 = SK-13. The current

status, including gains through external hiring and internal competitive promotion, in senior grade 

levels is presented in Table A7. This section describes the results of those analyses by ethnicity/race

and gender. Analysis of career progression for persons with disabilities is described in Part J of this

report, infra
54 | EEO PROGRAM STATUS REPORT

To evaluate equality of employment opportunity for the current status and internal competitive 

promotion into senior grades at the SEC, unlike what was done for current status of the total 

workforce and for each MCO, comparisons are made to the composition of the SEC’s overall 

workforce. In particular, EEOC instructs that agencies consider two comparators when evaluating

participation in and promotional opportunity to their senior-graded or supervisory and management 

workforce, the Relevant Applicant Pool and the Upward Mobility Benchmark. Inclusion rates are

considered for these populations to assess whether employee groups are distributed in senior-graded 

and leadership level positions at rates similar to the overall population

Among senior grades as a whole, 43.25% of the positions are held by women and 56.75% by m

In comparison, the workforce comprising the Upward Mobility Benchmark is 44.88% women and

55.12% men. Minority group members hold 31.49% of positions in senior grades as compar

to 33.16% of employees participating in the Upward Mobility Benchmark. Additional detai

comparing the workforce composition of senior-graded and leadership positions is found in the next 

section. See Table A

As was true for MCO positions, a review of AFD for senior-graded and leadership level 

positions helps uncover the Agency’s success in attracting, recruiting, and hiring talent. Table A7

summarizes AFD for external hiring and internal promotion aggregated across all senior-graded 

positions. Data are presented on the ethnicity/race and gender of the applications submitted by,

deemed minimally qualified for, referred for consideration, tentatively selected, and onboarded for 

senior grade level positions

Gains, AFD for External Hiring: Senior Graded Positions

In FY 2020, the SEC received 4,587 self-identified applications through USAJOBS and hired 

207 employees for senior-graded positions. Of the 4,587 applicants, their diversity demographics

were 65.34% men and 34.66% women. Across the hiring phases, women’s participation amo

qualified and referred candidates remained similar to their participation in the applicant pool

However, a larger proportion of women (42.22%) were selected for senior grade level positions

than expected compared to their rate of qualification (33.43%). Among the 207 external applicant

who were eventually onboarded in FY 2020, 113 (54.59%) were men and 46 (45.41%) wer

women. See Table A

The participation of minority group members, contrary to what was true for women, declined 

across the hiring phases. Minority group members represented 56.11% of the self-identifie

external applicants and 37.20% of new hire

Progression, AFD for Internal Competitive Promotion: Senior Grade Promotions

The SEC received 3,880 self-identified applications for 109 senior grade level postings, and 106 

selections. The applicants were 55.93% men and 44.07% women. Among the 1,952 qualif

applicants, 483 (24.74%) White men qualified and 31 were tentatively selected (29.25

Female participation increased at the selection phase of the hiring process. Women represent

44.07% of the 3,880 self-identified applicants, 43.24% of the qualified applicant pool, 43.1

of referred applicants, and 48.11% (51) of the 106 candidates selected for promotio
FISCAL YEAR 2020 | 55

On the other hand, similar to what we saw for external hiring, 66.47% of self-identified

internal competitive promotion applicants were minority group members. Their participation

remained high in the qualified applicant pool (60.86%) and among referred applicants

(68.49%), yet 43.40% (46) of the candidates tentatively selected for promotion were minorit

group members. This result was primarily driven by a ten percentage point difference between

selections and the qualified applicant pool among Black or African American males (2.83% of

selections, 13.06% of qualified applicants), and a seven percentage point difference between

selections and the qualified applicant pool among Black or African American females (12.26%

of selections, 19.67% of qualified applicants). Table A7 reflects the demographic breakdo

Supervisors, Managers, and Executives 

In light of the critical importance of leadership to the Agency and to the workplace experience for 

employees across the organization, the following provides analysis of the workforce in the SEC’s 

leadership ranks, including evaluation of equal employment opportunity for career mobility among 

ethnic/racial and gender groups. The current status, gains through external hiring, and competitive

promotion in three leadership levels for supervisor, manager, and executive is presented in Table A8

This section summarizes results from those analyses

To understand these data, reviews of the relevant applicant pools or feeder positions and upward 

mobility benchmarks are made. As mentioned above, EEOC instructs agencies to consider two

metrics when evaluating their supervisory and management workforce, the Relevant Applicant Pool 

and the Leadership Upward Mobility Benchmark. The SEC offers the opportunity for employees in

any occupation to be promoted to the first level supervisor, the SK-17 manager level, or the Senior 

Officer executive level. Table A8 shows that, at the SEC, the eligible RAP gets larger at higher levels

of leadership

The Leadership Upward Mobility Benchmark provides a useful comparison for the demographic 

composition of leadership because that benchmark includes those occupations where a career path 

to leadership is established. The Leadership Upward Mobility Benchmark includes all employees

serving in occupations for which the Agency has established career paths to the SO ranks, without 

regard to SK-level. It includes only employees within occupations held by at least two percent (2%)

of SOs. This includes the Attorney (0905), Accountant (0510), Securities Compliance Examiner

(1831), IT Management (2210), Economist (0110), Miscellaneous Administration and Program 

Series (0301), and Program Management Series (0340) occupations

Table A8 provides selected workforce analysis for supervisor, manager, and executive positions by 

ethnicity/race and gender. Similar to the data presented for each MCO, at each leadership level,

data include the current status as of the end of the fiscal year, gains through external hiring, and 

progression through internal competitive promotion during the reporting period. Analysis of career

progression to leadership for persons with disabilities is described in Part J of this report, infra
56 | EEO PROGRAM STATUS REPORT

A summary of Table A8 shows that among supervisory and managerial levels as a whole, 39.22%

of positions are held by women and 60.78% by men. In comparison, the workforce comprisin

the Leadership Upward Mobility Benchmark is 44.00% women and 56.00% men. Minority gro

members hold 26.11% of positions in leadership as compared to 31.45% of minority employee

participating in the Leadership Upward Mobility Benchmark. Additional detail comparing the

workforce composition of senior-graded and leadership positions is found in Table A8

Detailed Analysis of Current Status and Trends over Time in the SO ranks

Due to its importance to Agency success, this section presents a more detailed analysis of the 

participation of women and minority employees in SO positions. The number of SOs at the SEC

decreased from FY 2016 to the end of FY 2020. Meanwhile, the representation of women among

SOs continued to trend upward. The participation of women among SOs was higher than the

representation of women among Senior Executives in the federal workforce. According to OPM’s

FedScope, in FY 2020, women made up 33.8% of Senior Executives in the federal workforce,

compared to 44.27% among the SEC’s SO populatio

As of the end of FY 2020, the proportion of minority SOs at the SEC remained below the 

FY 2020 participation rate of 20.9% among Senior Executive positions in the federal workforc

Since FY 2016, the participation rate of minority employees among SOs increased from 13.38% to

16.79%. From FY 2016 to FY 2020, the number of permanent staff Black or African American SO

increased by two from seven to nine, while the combined number of Asian SOs, Hispanic or Latino 

SOs, and those in other race/ethnicity groups increased by one, from twelve to thirteen

As was true for MCO positions, a review of AFD for leadership levels helps explore the Agency’s 

success in attracting, recruiting, and hiring talent in its leadership ranks. Table A8 summarizes AFD

for external hiring and internal promotion across leadership positions at the executive, manager, and 

supervisory levels

Gains, AFD for External Hiring: Leadership Levels

In FY 2020, the SEC received 617 self-identified applications through USAJOBS and made 18 

new hires for supervisory positions across all levels. Among the applicants were 420 (68.07%

men and 197 (31.93%) women. Eleven men, seven women, and five minority group member

were hired for managerial or supervisory positions. Table A8 provides the demographics of the

individuals who applied and self-identified for leadership positions, those who qualified, and the 

applicants who were tentatively selected

Progression, AFD for Internal Competitive Promotion: Leadership Levels

The SEC received 1,004 self-identified applications (61.65% from men and 38.35% fro

women) for 50 postings and 53 selections for supervisory or managerial positions. As was

shown in the senior grade level positions, women’s participation among applicants who applied, 

qualified, referred and were selected for promotion progressively increased from 41.64% of the

qualified applicant pool to 45.28% of those tentatively selected for promotion. Minority grou

member participation declined from 49.84% of the qualified applicant pool to 32.08% of thos

tentatively selected for promotion. Table A8 reflects the demographic breakdow
FISCAL YEAR 2020 | 57

Additional Detail on the Workforce Analysis for Senior Leadership and Senior 

Grade-Level Positions

The FY 2020 participation rates of men and women differ across the SEC’s supervisory and 

management ranks, with an unusual pattern shown in the first-level supervisor, as compared 

to the composition of the feeder or relevant applicant pool at lower SK-levels

Specifically, women represent 43.30% (1,177 employees) and men represent 56.70% (1,54

employees) at the GS-14 equivalent level. However, among first level supervisors, men make up

61.34% (219 employees) and women comprise 38.66% (138 employees) of the SK-15 workfor

Participation of women was lower in this first-level supervisor position than found in any other 

leadership level; there were 1.6 times as many male first-level supervisors as femal

By way of comparison, the participation rate of males is lower in higher leadership levels. At the

highest individual contributor level, SK-16, there is greater female participation. Although SK-16

employees are usually not supervisors, they are eligible to apply for manager and executive, SO, 

positions. There were a total of 550 permanent SK-16 employees in FY 2020; men accounted for

59.82% (329) and women accounted for 40.18% (221) of this level’s workforce compositi

The participation rates of men and women at the SK-17 manager level were distributed relatively 

similarly to the SK-16 employees. There were a total of 392 managers of whom 62.24% wer

men (244 employees) and 37.76% were women (148 employees

Within the total of 131 SOs, 55.73% are men (73 employees) and 44.27% are wome

(58 employees)

The participation rates for minority groups were lowest at the SK-16, SK-17, and SO levels, but the 

pattern of decline in the feeder pools varied for each minority group. Participation rates for Black

or African American women are highest in the feeder pool for SK-13 positions, and winnow down 

at each successive grade up to the SO level. The participation rate for Black or African American

women begins at 44.13% at the SK-12 level, declines to 24.53% at the SK-13 level, and 6.27% 

the SK-14 level. There is a slight increase at the SK-15 (typically first-line supervisor) level (7.16%)

and a winnowing down to 3.45% of SK-16 individual contributors, 4.85% of SK-17 managers, an

4.58% of Senior Officers. Similarly, the participation rate for Black or African American men begin

at 11.27% at the SK-12 level, declines to 8.00% at the SK-13 level, and 4.29% at the SK-14 le

There is a slight uptick at the SK-15 level (4.41%), and a winnowing down to 2.73% of SK-1

individual contributors, 2.04% of SK-17 managers, and 2.29% of S

Participation rates for Hispanic or Latino women are 4.23% at the SK-12 level, and winnow

down to 3.73% at the SK-13 level, 2.81% at the SK-14 level, 1.65% at the SK-15 level, 1.09%

the SK-16 level, 0.77% at the SK-17 level, and 0.00% at the SO level. Hispanic males were on

significantly different from their participation in the permanent workforce (3.24%) at the SK-16

level (1.27%). They were at or near their participation in the permanent workforce at the othe

senior grades
58 | EEO PROGRAM STATUS REPORT

Asian men were only significantly below their participation in the permanent workforce at the SO 

level. Asian men represented 1.53% of SOs, though they ranged from 5.87% to 8.26% in the fee

grades for Senior Officer positions (SK-14 through SK-17). A similar, but less pronounced pattern

emerged for Asian women. Asian women represented 3.05% of SOs, though they ranged fro

4.41% to 7.66% in the feeder grades for Senior Officer positions. See Tables A8 and 

Employee Recognition and Awards

In addition to analyzing workforce statistics, the SEC analyzes data on the distribution of 

discretionary cash and time-off awards to understand equal employment opportunity based 

on race, ethnicity, sex, and disability in these programs. Data presented on the distribution of

discretionary awards for this report has been refined to more closely examine discretionary awards 

of higher value. In the analysis below, data have been summarized to align with the SEC’s Employee

Recognition Program

The SEC’s Employee Recognition Program has defined two types of discretionary cash awards, On 

the Spot Awards, with a maximum limit of $1,000, and Special Act Awards, with an approval limit 

delegated to Division and Office leadership of $2,500. Special Act Awards between $2,500 and

$10,000 require additional approval by the COO or the Chairman. Similarly, time-off awards of at

least 40 hours are subject to that same additional approval. In FY 2020, no discretionary time-off

awards greater than 40 hours were distributed

In consideration of these process differences, data for discretionary cash and time off-awards in this 

section are summarized by collapsing across Table A9 categories. Data for two categories of timeoff awards are described: up to 10 hours, and 11 – 40 hours. Cash awards are summarized in fiv

categories: $500 and under; $501 – $999; $1,000 – $1,999; $2,000 – $2,999; and $3,000 or more

For ease of interpretation, the summary level data are presented in the section below by ethnicity/

race and gender. Summary analysis of awards by disability status are presented in Part J, infr

Time-Off Awards Summary by Ethnicity/Race and Gender

In reviewing the data on discretionary time-off awards, some general conclusions emerged. Men

and women were about equally likely to receive a low value (less than 10 hours) time-off award 

(49.88% men versus 50.12% for wome

As was found in prior years, White women were more likely to receive both lower and higher 

value time-off awards (participation rates of 30.48% and 29.88% for lower and higher valu

time-off awards) than would be expected given their overall workforce participation (25.73%

Approximately 30% of time-off awards distributed in both value categories were given to White 

women, compared to their participation on rolls at 25.73%. Asian women were less likely t

receive lower value time-off awards than expected (4.79% of awards were granted to Asian

women whereas they represent 6.39% of the workforce
FISCAL YEAR 2020 | 59

Black or African American men were less likely to receive a higher-value (11 to 40 hours) 

time-off award; they participated among higher value time-off award recipients at lower rates 

than their participation in the workforce (for Black or African American men, the overall 

participation was 4.61%, and participation for higher value time-off awards was 3.40%). F

Black or African American women, the overall participation was 10.84%, and participation for

larger time-off awards was 10.04

Cash Awards Summary by Ethnicity/Race and Gender

Discretionary cash awards to Black or African American men and women were concentrated 

at lower value levels ($500 or less) and tended to decrease at the highest cash award values

Inclusion rates for Black or African American men and women at cash values of less than 

$1,000 ranged from 19.71% to 26.97%, a relatively high range, while inclusion rates range

from 13.52% to 20.69% for White employees, Asian employees, and Hispanic or Latin

employees. In contrast, Black or African American employees experienced relatively lower

levels of inclusion in cash awards of $1,000 or more compared to other demographic groups

For cash awards of $1,000 – $1,999, 26.47% of Black or African American males received

an award, and 25.10% of Black or African American females received an award. In contrast

38.42% of White males and 36.94% of White females received an award of $1,000 – $1,9

Inclusion rates at the $2,000 – $2,999 levels for Black or African American males and females 

were about 5 percentage points lower than for White employees, and no Black or African 

American males received cash awards of $3,000 or more. See Table A9-

Hispanic or Latino and Asian employees experienced their highest inclusion rates at the $1,000 

– $1,999 cash value level, ranging from 29.31% to 36.30%. However, at the $2,000 – $2,9

level, Hispanic or Latino females had lower inclusion rates than all other demographic groups, 

at 2.59% (Hispanic or Latino males experienced higher inclusion than all other groups at the

$2,000 – $2,999 cash value level, at 13.38%). Asian males experienced 3.66% lower inclusi

than White males at the $2,000 – $2,999 cash value level (6.41% for Asian males compared to

10.07% for White males), and Asian females were 1.86% lower (at 8.21%). Asian employ

and Hispanic or Latino males had relatively low likelihoods of receiving cash awards of less 

than $1,000, with inclusion rates ranging from 13.38% to 15.7

As mentioned elsewhere in this report, discretionary cash and time-off awards were the focus 

of a barrier analysis study by OEEO over this reporting period. That analysis found that

organizational characteristics, such as grade and occupational series, account for some of 

the disparities in discretionary award distribution. At the same time, the analysis found that

disparities for Black or African American employees persisted after controlling for certain 

organizational characteristics, and it found disparities for Asian employees after controlling 

for such organizational characteristics. Part I of this report, infra, provides additional detail

about the analysis and opportunities for action to enhance equality of opportunity related to 

discretionary cash and time-off award distribution
60 | EEO PROGRAM STATUS REPORT

SUMMARY OF EEO PLAN OBJECTIVES PLANNED TO ELIMINATE 

IDENTIFIED BARRIERS OR CORRECT PROGRAM DEFICIENCIES

Accomplishments

The following provides an update and overview of activity completed by the SEC as part of its 

barrier analysis program and to correct previously-identified program deficiencies

Action Plans Implemented 

In FY 2020, OEEO continued to advance its barrier analysis and reporting functions. As described

in Compliance Indicators C.6, D.2 and D.3, supra, OEEO made progress towards conducti

two barrier analyses; briefed relevant incumbents, supervisors, and managers on analytic work; 

and continued work on monitoring actions and evaluation based on prior barrier analysis work

OEEO completed and shared results from formal program evaluation on the implementation of the 

Agency’s policy on screening and interviewing job candidates

OEEO also finalized the process for, and issued, the first formal transition of barrier analysis study 

results to the Agency’s COO for management action. In response, management identified specific

actions to implement to address OEEO recommendations to improve equality of opportunity for 

female applicants to MCO positions, as well as in the distribution of awards. Consistent with the

agreed-upon framework, the COO, relevant management officials, and the OEEO Director and 

staff, have started to meet to discuss the status of the SEC management’s action planning

In late FY 2020, the SEC—through the collaborative efforts of OEEO, OMWI, OHR, 

and Disability Interests Advisory Committee (DIAC)—hosted a fireside chat moderated by 

Commissioner Roisman and DIAC’s executive sponsor, which took place during the 2020 National 

Disability Employment Awareness Month. During this impactful session, Commissioner Roisman

led a discussion with senior leaders who self-identify as persons with a disability. The event included

discussion of each leader’s personal experiences and journey toward success, the benefits of 

leveraging the SEC’s reasonable accommodation program, and the value of relationships and 

strong supportive community

In addition, OEEO continued to expand functionality in its automated tool, Equal Employment 

Opportunity)—Analytic Tool (EEO-AT), that extracts, accurately codes, summarizes, and provides 

reporting on demographic information about employees and applicants for employment. The EEOAT’s flexible framework enabled both this year’s reporting and more in-depth analysis that forms the

basis for the barrier analysis work described above, and in Part I and Part J of this report, infra. The

additional work on EEO-AT (EEO-AT 2.0) required the re-allocation of substantial resources from

OEEO’s barrier analysis function in FY 2020. However, the investment made in the development

of EEO-AT 2.0 was required to prepare for changes in the MD-715 reporting framework, which is

required as part of this FY 2020 report
FISCAL YEAR 2020 | 61

Improving the Reasonable Accommodation Program

The new Reasonable Accommodation (RA) policy and related operating procedures (approved by 

the EEOC in August 2019), SECR 6-80, Reasonable Accommodation Program, replace the SEC’s 

resource guide, Disability Accommodation Procedures. The updated RA policy and operational

procedures align with recent updates made to the RA process and related program guidance, 

including requirements identified in the EEOC’s Section 501 regulations under the Rehabilitation 

Act of 1973. The Commission is finalizing these documents internally and will disseminate and

train appropriate staff on the revised policy and procedures (and forms). Through these documents,

the SEC seeks to ensure that employees and applicants know their right to receive a reasonable 

accommodation for disability-related limitations under the Rehabilitation Act, if needed, to perform 

the essential functions of their position, enjoy equal benefits and privileges of employment, and/

or apply for employment at the SEC. The operational guidance further explains: (a) stakeholder

responsibilities for the provision of reasonable accommodation; (b) how persons with disabilities 

may request accommodations; (c) how RA requests are processed and includes information about 

the interactive process; and (d) as applicable, how requestors may seek review of decisions when a 

request has been denied. In FY 2021, the SEC will post a 508-compliant version of these documents

on its public website at SEC.gov, as required under the new Section 501 Affirmative Action

Regulations, and to the internal interactive portal AskHR

In FY 2020, the SEC did not meet the goal of processing 90% of accommodation requests within the 

timeframe specified in the Agency’s policy. An explanation of challenges encountered and solutions

identified and/or implemented to satisfactorily address this compliance requirement follows

a. Challenges Encountered in FY 20

In FY 2020, the timeframe for processing RA requests was affected by a number of 

organizational, environmental, and business process changes. Organizationally, the Agency

maintained sufficient funding to acquire and implement approved accommodations for 

individuals with disabilities as reasonable accommodations, however, during this period, the 

Agency lost two key staff members with familiarity of the functions relative to processing 

requests for reasonable accommodation. Throughout most of FY 2019, the program was

adequately staffed with three full-time equivalents (FTE), until July 2019, when the program 

staffing level fell to two FTEs due to attrition. Since then, the Agency has pursued rigorous

staffing activities through competitive staffing and detail opportunities to regain adequate 

staffing levels to effectively administer the reasonable accommodation program. In FY 2020, the

program hired additional staff to administer the RA program and respond to the RA program 

requests increasing its staffing level by one FTE which include two federal employees (one staffer 

was detailed to another office from June to December 2020), and one contractor who provides 

administrative support, along with the Disability Program Officer (DPO) who also manages a 

portfolio of other HR programs
62 | EEO PROGRAM STATUS REPORT

In mid-March, personnel in SEC offices at Headquarters and in the 11 Regional Offices 

transitioned to mandatory telework due to COVID-19. These office closures prevented the

Agency from timely delivering and installing ergonomic equipment that was purchased prior 

to the Agency’s mandatory telework posture, thus impacting the timeliness of the 

accommodations provided

In an effort to support employees’ ability to do their jobs and maintain a high level of 

productivity, the SEC initiated frequent consultations with medical experts at the Federal 

Occupational and Health (FOH) to complete medical reviews of employees with a wide range 

of conditions. In FY 2020, requests to FOH were processed in 24.3 days, on average. Whi

timeliness of FOH opinions improved by 13.1% in FY 2020, other factors further impacted

the FOH process. The confidential nature of FOH services and federal Privacy Act and

Rehabilitation Act compliance requirements relative to the transmission of electronic health 

data resulted in FOH adjusting business processes and, at the same time, adapting to mandatory 

telework operating status as a result of the COVID-19 pandemic. The Agency experienced

additional delays in FOH’s ability to timely process and respond to medical review requests 

during the transition period

b. Solutions Identified and/or Implement

At the start of FY 2020, the Agency instituted several initiatives to mitigate barriers impacting 

reasonable accommodation program timeliness. The Agency experienced limited market

availability of certain ergonomic items (e.g., Adjustable Height Tables (AHT) desk-mounte

solace equipment) resulting in extended lead times in the acquisition process. The Agency

temporarily changed its vendor to meet SEC requirements. Also, the previous contractor

servicing the entire Agency changed local distributors, and manufacturer response time for the 

delivery and installation of equipment was impacted

In FY 2020, OHR identified opportunities to strengthen its manual tracking process, including, 

but not limited to, tracking timeliness for processing RA requests and meeting on a monthly 

basis with the CHCO to review and discuss timeliness and processing of all RA cases. During FY

2020, the SEC improved the processing timeliness of its RA and Temporary Medical Telework 

(TMT) programs from 74% in FY 2019 to 85% in FY 2020. Specifically, the SEC processed

104 RA requests, closed 98 of those requests, and met or exceeded processing timelines for 

73 requests at an average processing timeliness rate of 74% within 20 business days. The SEC

processed 38 RA requests for AHT, closed 34 AHT requests, and met or exceeded processing 

timelines for 27 of those requests at an average processing rate of 79% within 20 business days

Of the remaining 66 requests, the SEC met or exceeded timely processing standards for 74% of 

closed requests within 20 business days
FISCAL YEAR 2020 | 63

The SEC’s TMT program provides temporary telework to employees with short-term medical 

conditions that may not constitute a covered disability under the Rehabilitation Act of 1973 

when supervisory officials and the Disability Program Office determine that it is appropriate

The SEC provided temporary “interim” accommodations to assist employees with disabilities 

who had an immediate need for reasonable accommodations (e.g., while the employee requeste

medical documentation or to assess the effectiveness of the requested accommodation). The SEC

processed and closed 51 TMT requests and processed 98% of those requests timely. The Agency

intends to publish the revised TMT policy and operational procedures in calendar year 2021

The Agency will continue ongoing efforts to procure a new HR service delivery platform to 

automate the reasonable accommodation program case management process in FY 2021

The implementation of the system is expected to simplify case tracking, help identify systemic 

delays, improve customer service by allowing employees to request reasonable accommodations 

personally and privately, and address the timeliness standards set by the new SEC policy which 

increased the processing timeframe to 45 business days, absent undue hardship. Multiple

competing priorities delayed the implementation of the case management system in FY 

2020. During Q1 FY 2020, the Agency met with a potential vendor that included a system

demonstration of a Commercial Off-The-Shelf (COTS) product to identify a solution that 

complements the Agency’s reasonable accommodation program process and requirements in 

terms of system functionality, adaptability, and accessibility. To advance RA program maturity

and success, system requirements analyses are expected to be completed in calendar year 2021 

and full design and implementation of the system, which includes finalizing RA electronic system 

requirements, conducting user acceptance testing, and training the SEC workforce on the new 

interactive processing portal is expected in calendar year 2022

The SEC established new five-year contract vehicles for its Sign Language Interpretation and 

Ergonomic Furniture and Equipment Services. Implementation activities to establish a new

vendor for the Sign Language Interpretation Services remain underway with a 2021 target date

A new blanket purchase agreement (BPA) for the ergonomic program was established in FY 

2020 and will provide more efficient and timely acquisition of vendor services and products

Under the previous contractual arrangement, the vendor typically required a four- to six-week 

lead time for the manufacturing of the product. Then, the Agency worked with the vendor

to schedule coordinated delivery and installation of the product. This typically requires an

additional one to two weeks. Under the new contract, the vendor typically requires a fourweek lead time which includes delivery. With this arrangement, the Agency anticipates a twoweek improvement in its ability to provide employees the requested ergonomic furniture an

equipment. Items will continue to be shipped to the manufacturer installer’s warehouse with

delivery and installation scheduled by the Agency. Therefore, onsite storage of equipment in

Regional Offices is a non-issue. For Agency Headquarters offices, ergonomic furniture and

equipment will continue to be stocked in inventory on-site
64 | EEO PROGRAM STATUS REPORT

As a result of the COVID-19 pandemic, in March 2020, the Agency made incremental 

adjustments to its operations to include requiring telework in all offices, with limited exceptions

These office closures impacted the Agency’s ability to timely deliver and install ergonomic 

equipment that was purchased prior to the Agency’s mandatory telework posture. As a result

of the Agency’s mandatory telework posture, the Office of Human Resources modified its 

reasonable RA process to support SEC employees with disabilities at their authorized telework 

location. The SEC continued to provide reasonable accommodations to include Personal

Assistance Services reader and personal assistant services, assistive technology and equipment, 

and ergonomic equipment to Persons with Disabilities and Persons with Targeted Disabilities 

during the current mandatory telework status. The Agency shipped equipment that did not

require installation services (e.g., task chairs, monitors, mouse, keyboards, etc.) to employee

residences. Additionally, the Agency provided all employees with a one-time stipend of up

to $335.00 to help defray the costs of certain IT and telework expenses incurred during the

mandatory telework posture. Moreover, the SEC established interim workplace flexibilities such

as expanded work scheduling options to assist all employees with balancing work and personal 

obligations during the COVID-19 pandemic

Prior to COVID-19 and the transition of employees to mandatory telework, SEC employees 

already participated in a robust telework program where 98% of the workforce had an active 

telework agreement. Sixty-one percent of those agreements are for recurring telework schedules

and 39% are ad-hoc telework agreements. The SEC provides equipment for teleworking

individuals who meet certain criteria. The SEC continues to provide equipment for all employees

who telework three or more days each week and, as needed, for employees with disabilities 

authorized to telework as a reasonable accommodation

Improving Accessibility for Persons with Disabilities and Persons with 

Targeted Disabilities

The SEC updated its external website to ensure public accessibility of its reasonable accommodation 

procedures and personal assistance services guidance on the SEC.gov website for PWD and PWT

Also, the OHR Talent Acquisition Group (TAG) continues to assist newly-selected employees 

who self-identify as a PWD/PWTD to determine the accessibility options, if any, they may need, 

so that solutions can be identified and made available when the employees report for duty at the 

SEC. In FY 2020, the SEC published additional resource information for employees, supervisors,

and managers on its AskHR portal that provides a general overview and insight into its reasonable 

accommodation program process. Additional information about the status of these efforts are

provided in Part H and Part J of this report, infra

Year-over-year, the Agency continues to improve upon current business practices to ensure all 

information technology is accessible to internal and external parties, as mandated by Section 

508 of the Rehabilitation Act of 1973. In FY 2020, the Agency focused greater attention on

accessibility in the workplace. Specifically, the Agency worked to provide consistent, dedicated,

and timely support for information technology accessibility to the PWD and PWTD communities
FISCAL YEAR 2020 | 65

Additionally, the Agency continues ensuring that physical work environments remain compliant 

with procedures under Section 504 of the Rehabilitation Act and the Architectural Barriers Act

Updates include an explanation of the Rehabilitation Act and Architectural Barriers Act, informal 

processes for providing feedback about accessibility of facilities and technology to the SEC, contact 

information and specific complaint processes for filing a formal claim related to accessibility, and 

additional resources for individuals to enhance their learning on reasonable accommodations. A

SEC Administrative Regulation (SECR) and SEC Operating Procedures (SECOP) setting forth the 

complaint process related to Sections 504 and/or 508 and the Architectural Barriers Act will be 

posted on SEC.gov once finalized in FY 202

Periodic Training for Supervisors and Hiring Officials Related to the Hiring, Promotion, 

and Reasonable Accommodation of Individuals with Disabilities

In FY 2020, the SEC conducted general training for managers and supervisors on the Rehabilitation 

Act, their role and responsibilities in the reasonable accommodation process to include the 

interactive active process provision, and how to respond appropriately when an individual places 

them on notice of the need for reasonable accommodation. New managers and supervisors are

required to attend scheduled training to obtain in-depth overview for the provision of reasonable 

accommodation. This includes disseminating program-specific information during the New

Employee Orientation and through SECU’s CLTD 307 Fundamentals of Human Resources 

Management course offered by the Agency’s learning office

In FY 2020, the SEC conducted two separate CLTD 307 trainings which provides real-time, 

scenario-based specific illustrations for supervisors and managers to heighten their awareness of 

the: (1) Schedule A hiring authority; (2) SEC’s RA program; (3) TMT to ensure their awareness 

of their role in hiring and retaining employees with temporary or permanent disabilities; (4) types 

of requests made by employees with disabilities; and (5) roles and responsibilities with respect to 

the Agency’s reasonable accommodation program. This training was enhanced by the Disability

Program Office to ensure awareness of the SEC’s RA program process and related program 

guidance and regulations under the Rehabilitation Act of 1973 in the pandemic virtual environment

In-depth, situation-specific training was provided as-needed to individual managers who supervise 

employees with disabilities. Additional information about CLTD 307 is provided earlier in this

report, supra

Moreover, refresher training course offerings are readily available for employees and managers 

through the Agency’s SECU Learn Engage Achieve Platform (LEAP) that provides an effective 

overview of the Rehabilitation Act and the federal and SEC reasonable accommodation process

Finally, each hiring manager who requests to fill a position receives just-in-time training and 

guidance on Schedule A hiring from the assigned staffing specialist. The hiring checklist the staffing

specialists use includes a Schedule A section that is discussed in-depth during the one-on-one 

hiring conversation. The HR specialist trains the hiring manager on the various procedures of

the Schedule A hiring process and offers it as a course of action where applicable. The SEC will
66 | EEO PROGRAM STATUS REPORT

continue to provide training to supervisors and hiring officials to ensure that they are aware of their 

responsibilities with regard to hiring and supervising employees with disabilities. The training will

cover restrictions on questions related to medical information, Schedule A hiring authorities, SEC’s 

disability accommodation procedures, overlap between the Family Medical Leave Act and the 

Rehabilitation Act of 1973, and confidentiality requirements

Hiring and Accommodating Individuals with Disabilities

In FY 2020, the SEC continued to take steps to improve overall disability recruitment efforts

The SEC’s FY 2018 – 2019 Recruitment Strategy was extended into FY 2020 in an effort to 

accommodate additional hiring activities (the updated 2020 – 2022 Recruitment Strategy was 

finalized in FY 2020). In FY 2020, the SEC continued the following activities to support this

initiative related to hiring and accommodating individuals with disabilities:

n Continued the streamlined approach to the general hiring process by filtering external hiring 

requests through the Selective Placement Program Coordinator (SPPC) for further review. The

SPPC referred qualified applicants from the Schedule A database to hiring managers prior to or 

concurrently with the general staffing process

n Attended 17 in-person and virtual career events which allowed the SEC to maintain a recruitment 

presence and support efforts to build a pipeline for future employment

n Continued to distribute Schedule A recruitment materials via social media and professional 

organizations. The SEC hired 12 employees under the Schedule A hiring authority of which

[Redacted to protect privacy.] have a targeted disability

n Continued to work with selecting officials through training, meetings, and internal communications to encourage the use of special appointment authorities to recruit veterans with disabilities

n Continued to maintain partnerships with professional organizations and partnered with various 

professional associations across the Agency, such as the SEC Veterans Committee and the 

Disability Interests Advisory Committee

n Hosted two National Disability Employment Awareness Month celebrations—one celebration 

featured SEC senior leaders, and the other celebration featured leading experts in the areas of 

disability disclosure and identity in the workplace

n Hosted various outreach events in partnership with various SEC Employee Affinity Groups to 

include the DIAC and Women’s Committee that included a Fall Festival, Eyeglass Drive and the 

Annual May Meet-and-Greet which generated new members for the DIAC

n The Disability Program Officer is a co-chair and member of the Disability Interests Advisory 

Committee, thus strengthening the partnerships with stakeholders to include SEC program 

offices, NTEU, OMWI, DIAC, the PWD/PWTD communities, and other Employee Affinity 

Groups to identify sustainable actions to improve the Agency’s Diversity and Inclusion 

initiatives for PWD and PWTD. These actions promote further inclusion of these communities

and support their immediate and long-term needs when the Agency transitions back to a postpandemic office environment
FISCAL YEAR 2020 | 67

n Trained all new employees on Work-Life, RA, TMT, and leave programs to ensure awareness 

of various solutions or flexibilities for employees

n Processed 104 RA requests, of which 26 were requests for telework as a reasonable 

accommodation, as well as 51 TMT requests

n Continued to update OHR’s friendly, interactive portal, AskHR, on the SEC’s intranet. The

site provides employees with information about hiring, compensation and benefits, employee 

development, performance management, and disability programs to include the provision of 

reasonable accommodation among a number of other topics

Promoting Career Development and Advancement for Employees with Disabilities

In FY 2020, the EEOC conducted a technical evaluation of the SEC’s EEO and Disability 

Programs, and recommended, inter alia, that the SEC take additional steps to support employees 

with disabilities in career development and advancement opportunities, pursuant to 29 C.F

§ 1614.203(d)(1)(iii). The EEOC indicated that it expects the SEC to establish a comprehensiv

plan designed to ensure advancement opportunities for PWD, including, training and mentoring 

programs, career development opportunities, award programs, promotions, and similar programs 

focused on advancement of employees with disabilities. The EEOC also recommended that the SEC

ensure that a number of participants in the SEC’s Mentoring Program are employees with disabilities

In response to the EEOC’s recommendation, the SEC committed to reserve slots for employees with 

disabilities in the next cycle of the Mentoring Program as it transitions to a permanent program 

(with a target set for the 2022 mentee cohort). In addition, the SEC recognized that ensuring

advancement opportunities for PWD/PWTD remains an area of opportunity and has increased 

efforts to ensure full compliance with this regulation. In FY 2021, the SEC is launching a crossoffice working group comprised of subject matter experts in the Offices of the Chief Operating

Officer, Human Resources, Equal Employment Opportunity, and Minority and Women Inclusion 

which will consult with the Disability Interests Advisory Committee and other disability inclusion 

champions to drive a comprehensive plan related to advancement opportunities for PWD and 

PWTD. Enhanced marketing and possible tailoring of existing and developing SEC advancementrelated programs and creating new programs will be collectively explore

Agency EEO, Diversity and Inclusion, and Leadership Development Accomplishments

In FY 2020, the SEC achieved a number of accomplishments in the areas of EEO, diversity 

and inclusion, and leadership development, including, but not limited to, the accomplishments 

previously listed above, and more specifically, in the section below

Outreach and Recruitment of Diverse Talent

Under OMWI’s leadership, the SEC pursues a comprehensive strategy for building and 

maintaining a diverse workforce and fostering an inclusive workplace culture. A key component

of that strategy has been outreach and recruitment to develop and maintain a pipeline of 

diverse talent for future SEC employment. Though hiring remained limited during FY 2020,

the SEC participated in at least 21 diversity outreach and recruitment events; distributed job 
68 | EEO PROGRAM STATUS REPORT

advertisements to 347 recruitment sources; and used its partnerships with 20 professional 

associations, educational organizations, and institutions to inform diverse professionals and 

students about job vacancies and internships

OHR continued to take steps to ensure the SEC has a pipeline of talent in the disability and 

veteran community by:

n Continuing to leverage relationships with key organizations throughout FY 2020; 

n Launching a new marketing campaign entitled “I Am the SEC”, which highlights various 

occupations and SEC employees who bring a range of skill sets from diverse backgrounds 

as a means to attract prospective candidates including veterans and people with disabilities 

(available at: SEC.gov/news/sec-videos/i-am-sec)

n Attending several disability- and veteran-focused career fairs and events; and

n Strengthening partnerships with external and internal employee affinity groups, and the 

DIAC to bring awareness to SEC personnel regarding disability and veteran hiring initiatives

For example, the SEC continued to partner with the following organizations to expand its talent 

pipeline: Bender; American Association of People with Disabilities; American Association on 

Intellectual and Developmental Disabilities; American University Academic Support and Access 

Center; Campaign for Disability Employment; Deaf and Hard of Hearing Bar Association; 

Disability Support Services—University of Maryland; Disabled American Veterans; Disaboom; 

Office of Disability Employment Policy in the U.S. Department of Labor; Office of Disabilit

Services—George Mason University; Professionals with Disabilities; U.S. Business Leadershi

Network; and the Workforce Recruitment Program

Work-Life Programs

The SEC’s Work-Life Programs were instrumental in FY 2020 given the COVID pandemic. The

SEC continues to support its employees and their family members through an array of work-life 

programs that include the Employee Assistance Program, a fitness program, health and wellness 

units, an on-site child care facility, a child, adult and elder backup care program, and various 

opportunities to engage with experts to obtain guidance on better managing responsibilities and 

life events via WorkLife4You. The SEC further offered a large spectrum of services to support its

employees’ needs and life circumstances by offering 116 live webinars, seven supervisory-only 

webinars, and 63 health and wellness seminars
FISCAL YEAR 2020 | 69

Training and Leadership Development

The SEC provided numerous opportunities for employees to acquire the skills and certifications 

needed to succeed in their positions and to progress in their careers. SECU provided classroomstyle and e-Learning programs and offered an extensive array of learning opportunities in

technical areas (e.g., courses on Hedge Funds, Mutual Funds, and Credit Derivatives) as well a

in leadership development to SEC senior leaders and non-supervisory staff alike

The SECU College of Leadership and Team Development offerings are designed to promote 

leadership behaviors that support OCOO’s and OHR’s vision to promote respect, honor the 

dignity of all people, develop others and cultivate the creativity, growth and diversity of thought 

and experience for leaders at all organizational levels. Content incorporates multiple learning

formats so all SEC employees can successfully participate, including 508 compliant e-learning, 

virtual offerings and the availability of on-demand sign language interpreters. Varied training

formats provide SEC leaders with an equality of access to leadership development offerings, 

regardless of one’s learning style or location at Headquarters, one of the SEC’s 11 Regional 

Offices, or remote workers. From March 2020 until September 2020, all CLTD offerings

were converted or initially offered using highly-interactive and modified content to effectively 

impart learning virtually to engage adult learners with varying learning styles and needs during 

mandatory telework

Compliance Indicator B.5 above provides detailed information on leadership development

focused on specific levels of SEC leadership

Career Development Programs

Among the variety of learning and development offerings, the SEC offered the career development 

programs described below: Women in Leadership, Excellence in Government (EIG) Fellows, 

Aspiring Leaders, Upward Mobility, and the Career Advancement Program

Women in Leadership

The Women in Leadership program is offered under the auspices of the Brookings Institution

Each year, the SEC offers either managers or non-managerial staff the opportunity to participate 

in this leadership development program in a cohort format. One cohort is offered to SK-15

and SK-17 supervisors, while another cohort is offered to staff at the SK-14 and SK-16 levels

Through the Women in Leadership program, individuals from across federal agencies learn how 

to strengthen leadership qualities and explore key elements of senior leadership success while 

maintaining authenticity and balance. The learning objectives of this program include

n Building self-awareness of workplace behaviors (such as emotional intelligence, resiliency, 

and communication) and implementing self-directed strategies to promote continued 

leadership competency; 

n Promoting effective relationships and network-building; and

n Understanding individual leadership competency strengths and opportunities for 

development
70 | EEO PROGRAM STATUS REPORT

Excellence in Government Fellows Program

The EIG Fellows Program, coordinated by the Partnership for Public Service, strengthens 

the leadership skills of experienced federal employees through a combination of innovative 

coursework, best practices benchmarking, challenging action-learning projects, executive 

coaching, and government wide networking. During this competitively-based program, Fellows

remain in their full-time jobs, meet every six weeks, and spend approximately two days total in 

sessions. Fellows also devote up to five hours per week to their results project. This program i

offered to employees in the SK-14 to SK-17 (a mix of supervisory and non-supervisory) levels

In addition to activities with the Partnership for Public Service, SEC’s EIG Fellows attend 

facilitated cohort meetings at SEC Headquarters to share what they are learning and to explore 

how this information can be applied to improve organizational performance, workplace 

relationships, and productivity within the SEC

Aspiring Leaders

The Aspiring Leaders program is an interactive blended-learning program designed to 

strengthen the leadership and management skills of SEC non-supervisory (SK-13 and SK-14) 

employees. The learning objectives of the program include

n Applying critical leadership skills necessary for effective supervision;

n Understanding first-line management responsibilities as they relate to Human Resource 

Management, Developing People, and Building Effective Relationships; and

n Increasing self-awareness through guided self-assessments and feedback from 

course instructors

Upward Mobility Program

In August 2020, the SEC launched the Upward Mobility Program—Cohort 2020 and 

encouraged eligible employees to apply. Pursuant to the 2018 Collective Bargaining

Agreement between the SEC and NTEU, the Upward Mobility Program offers SEC 

employees in support staff positions the opportunity to expand their careers by competing 

for entry-level program specialist positions (series 301) starting at the SK-7 or SK-9 level 

and with promotion potential to the SK-12 level. These positions are open to all SEC

employees serving under a permanent appointment

This program includes two years of formal training designed to foster the success of 

participants. The training, developed by SEC University, includes tailored guidance and

mentoring for both the participants and their supervisors
FISCAL YEAR 2020 | 71

Career Advancement Program

In FY 2020, the SEC offered one employee the opportunity to participate in the Career 

Advancement Program (CAP) – a 12-month external professional development program geared 

toward mid-career professionals who aspire to senior leadership roles. CAP is conducted by

Management Leadership for Tomorrow (MLT), a nonprofit organization that aims to transform 

the career trajectories of diverse leaders by providing the skills, coaching and connections 

needed to accelerate their careers. CAP’s professional development journey includes realistic

business simulations, sustainable strategies and tools for professional growth and development 

and a cohort of peers representing various industries and functions

Mentoring Program

In FY 2020, based on the successful launch of the SEC’s pilot Mentoring Program in FY 2019, 

the Agency offered a second cohort of 30 employees an opportunity to participate in the SEC’s 

Mentoring Program. The registration process for this second cohort received overwhelming

interest among employees. On September 23, 2019, 103 employees registered interest in

participating in the second mentoring cohort, and 30 employees were paired with mentors 

across the Agency. This second offering started in October 2019 with an orientation session for

both mentors and mentees, and lasted for approximately eight months, ending with a Capstone 

celebration event on June 16, 2020. Throughout the Mentoring Program’s duration, employees

and their mentors engaged regularly to discuss career development among other topics. Formal

program events for both mentors and participants were scheduled quarterly and facilitated 

by OCOO and SECU experts. On a regular basis, the program managers in OCOO gathered

feedback from both mentees and mentors about the program’s efforts
72 | EEO PROGRAM STATUS REPORT

Training on EEO, Diversity & Inclusion, and Team Effectiveness

The SEC also provided training to employees and/or supervisors on the following:

n Diversity and Inclusion: SECU continues to work with OMWI to procure and support webbased and classroom training related to diversity and inclusion. In addition, SECU offers

non-conscious bias courses as requested for intact teams and within specific leadership 

programs (e.g., Aspiring Leaders) throughout the ye

n Team Effectiveness: SECU offers intact team training for supervisors/managers and their teams 

through a variety of team effectiveness workshops. These workshops are typically two-to-four

hours in length, can be taken individually to address a need or to learn about a specific topic 

or as part of a workshop series, or are custom-designed for a team to address their unique 

challenges and opportunities. The Team Effectiveness workshops available to organizations in

FY 2020 by SECU included: 

Communication Styles 

Workplace Trust 

Achieving Results 

Leading People 

Team Dynamics 

Emotional Intelligence

Leading with the Brain in Mind

Leadership Presence 

Understanding Your Personality at 

Work (Workplace Big 5 Assessment) 

DiSC Behavioral Styles 

Simple Strategies to Engage Employees 

Difficult Conversations (for supervisors 

and non-supervisors)

Conversational Intelligence
FISCAL YEAR 2020 | 73

CERTIFICATION OF ESTABLISHMENT 

OF CONTINUING EQUAL 

EMPLOYMENT OPPORTUNITY 

PROGRAMS (PART F)

EEOC FORM

715-01 

PART F

U.S. Equal Employment Opportunity Commission

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

CERTIFICATION of ESTABLISHMENT of CONTINUING

EQUAL EMPLOYMENT OPPORTUNITY PROGRAMS

I, Peter J. Henry, Director, OEEO/0905/SO-2, am the

(Insert name above) (Insert official title/series/grade above)

Principal EEO Director/Official for the U.S. Securities and Exchange Commission

(Insert Agency/Component Name above)

The Agency has conducted an annual self-assessment of Section 717 and Section 501 programs against the 

essential elements as prescribed by EEO MD-715. If an essential element was not fully compliant with the standards 

of EEO MD-715, a further evaluation was conducted and, as appropriate, EEO Plans for Attaining the Essential 

Elements of a Model EEO Program, are included with this Federal Agency Annual EEO Program Status Report.

The Agency has also analyzed its workforce profiles and is conducting barrier analyses aimed at detecting whether 

any management or personnel policy, procedure or practice is operating to disadvantage any group based on race, 

national origin, gender or disability. EEO Plans to Eliminate Identified Barriers, as appropriate, are included with this 

Federal Agency Annual EEO Program Status Report.

I certify that proper documentation of this assessment is in place and is being maintained for EEOC review upon 

request.

Signature of Principal EEO Director/Official Date

Certifies that this Federal Agency Annual EEO Program Status Report is in compliance with 

EEO MD-715.

Signature of Agency Head or Agency Head Designee Date

3/29/21

3/29/21
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FISCAL YEAR 2020 | 75

AGENCY EEO PLAN TO ATTAIN THE 

ESSENTIAL ELEMENTS OF A MODEL 

EEO PROGRAM (PART H)

Please describe the status of each plan that the agency has implemented to correct deficiencies in the 

EEO program

If the agency did not address any deficiencies during the reporting period, please check the box

STATEMENT OF MODEL PROGRAM ESSENTIAL ELEMENT DEFICIENCY

Section I: Agency’s Procedures for Reasonable Accommodation (RA)

Type of Program Deficiency Brief Description of Program Deficiency

Agency’s procedures for reasonable 

accommodation.

Currently, the SEC has not met the goal of processing 90% of accommodation requests within 

the time frame set forth in the Agency’s procedures for reasonable accommodation.

Objective(s) and Dates for EEO Plan 

Date 

Initiated 

(mm/dd/yyyy)

Objective

Target 

Date 

(mm/dd/yyyy)

Modified 

Date 

(mm/dd/yyyy)

Date 

Completed 

(mm/dd/yyyy)

10/01/2016 Establish a process that allows the SEC to 

confirm that 90% of accommodation requests 

are processed in compliance with the time 

frame identified in the SEC’s reasonable 

accommodation procedures.

09/30/2022

Responsible Official(s) 

Title Name

Performance Standards 

Address the Plan?

(Yes or No)

Chief Human Capital Officer, OHR Jamey McNamara Yes
76 | EEO PROGRAM STATUS REPORT

Planned Activities Toward Completion of Objective 

Target 

Date 

(mm/dd/yyyy)

Planned 

Activities

Sufficient 

Funding & 

Staffing? 

(Yes or No)

Modified Date 

From

(mm/dd/yyyy)

Completion 

Date 

(mm/dd/yyyy)

09/30/2021 In FY 2021, the Disability Program will implement 

new policy and procedural guidance. This guidance 

replaces the current resource guide Disability 

Accommodation Procedures with a new RA policy 

and related operating procedures, under SECR 

6-80, Reasonable Accommodation Program. The 

Commission is finalizing these documents internally 

and will disseminate and train appropriate staff on 

the revised policy and procedures (and forms), and 

post a 508-compliant version of these documents 

on its internal interactive portal AskHR and on its 

public website at SEC.gov, as required under the 

new Section 501 Affirmative Action Regulations.

Yes 09/30/2019

09/30/2022 In FY 2021, the Agency will engage in an 

acquisition process to procure a new HR service 

delivery platform to automate the reasonable 

accommodation program case management 

process. System requirements analyses are 

expected to be completed in FY 2021; full design 

and implementation of an automated RA system 

is expected in FY 2022. The implementation of 

the system will enable the SEC to address the 

timeliness standards set by the new SEC RA policy.

Yes, subject 

to funding 

availability

09/30/2019

09/30/2022 This system will also allow the SEC to assess 

and analyze trends that occur in the Agency that 

warrant increased outreach and education efforts 

with managers and/or employees.

Yes, subject 

to funding 

availability

09/30/2019
FISCAL YEAR 2020 | 77

Report of Accomplishments

Fiscal Year Accomplishments

FY 2020 In FY 2019, the Agency revised its Reasonable Accommodation Policy and related Operating Procedures. These 

revised documents were approved by the EEOC in a letter dated August 22, 2019.

The SEC replaced the current resource guide, Disability Accommodation Procedures, with a new RA policy and 

related operating procedures under SECR 6-80, Reasonable Accommodation Program. The Commission is 

finalizing these documents internally and will disseminate and train appropriate staff on the revised policy and 

procedures (and forms), and post a 508-compliant version of these documents on its public website at SEC.gov, 

as required under the new Section 501 Affirmative Action Regulations and its internal interactive portal AskHR in 

FY 2021. These policy and operating procedure documents ensure that employees and applicants know their right 

to receive a reasonable accommodation for disability-related limitations under the Rehabilitation Act, if needed, to 

perform the essential functions of their position, enjoy equal benefits and privileges of employment, or apply for a 

job at the SEC. The operational guidance further explains stakeholder responsibilities for the provision of reasonable 

accommodation, how persons with disabilities may request accommodations, how such requests are processed 

and includes information about the interactive process, and, as applicable, and how requestors may seek review 

of decisions when a request has been denied. 

As reported in the SEC’s FY 2019 MD-715 Report, the SEC did not meet the goal of processing 90% of 

accommodation requests within the timeframe specified in the Agency’s policy. 

The Office of Human Resources (OHR) identified opportunities to strengthen its manual tracking process. OHR 

tracks timeliness for processing RA requests and meets on a monthly basis with the CHCO to review and discuss 

timeliness and processing of all RA cases. During FY 2020, the SEC improved the processing timeliness of its 

Reasonable Accommodation (RA) and Temporary Medical Telework (TMT) programs from 74% in FY 2019 to 85% 

in FY 2020. Specifically, the SEC processed 104 RA requests, closed 98 of those requests, and met or exceeded 

processing timelines for 73 requests at an average processing timeliness rate of 74% within 20 business days. The 

SEC processed 38 RA requests for Adjustable Height Tables (AHT), closed 34 AHT requests, and met or exceeded 

processing timelines for 27 of those requests at an average processing rate of 79% within 20 business days. Of 

the remaining 66 requests, the SEC met or exceeded timely processing standards for 74% of closed requests. 

Notwithstanding this, the SEC provides temporary “interim” accommodations to assist employees with disabilities 

who have an immediate need for reasonable accommodations due to extenuating circumstances (e.g., while in 

pursuit of medical documentation or to assess the effectiveness of a requested accommodation). 

The timeframe for processing RA requests in FY 2020 was affected by a number of organizational, environmental, 

and business process changes. Organizationally, the Agency maintained sufficient funding to acquire and implement 

approved accommodations for individuals with disabilities as reasonable accommodations; however, the Agency 

experienced significant attrition of two key staff members with familiarity with the functions relative to processing 

requests for reasonable accommodation during this period. 

Throughout most of FY 2019, the program was adequately staffed with three FTEs. In July 2019, the program 

staffing level fell to two FTEs due to attrition. Since then, the Agency has ensued rigorous staffing activities through 

competitive staffing and detail opportunity procedures to regain adequate staffing levels to effectively administer 

the reasonable accommodation program. In FY 2020, the program hired additional staff to administer the RA 

program and respond to the RA program requests increasing its staffing level by one FTE which include two federal 

employees (one staffer was detailed to another office from June to December 2020), and one contractor who 

provides administrative support, along with the Disability Program Officer who also manages a diverse portfolio of 

other HR programs. 

The SEC initiated frequent consultations with medical experts at the Federal Occupational and Health (FOH) to 

complete medical reviews of employees with a wide range of conditions in an effort to improve their ability to do their 

jobs and maintain a high level of productivity; in FY 2020, requests to FOH were processed in 24.3 days on average. 

While timeliness of FOH opinions improved by 13.1% in FY 2020, environmental factors further impacted the 

FOH process. The confidential nature of FOH services and federal Privacy Act and Rehabilitation Act compliance 

requirements relative to the transmission of electronic health data resulted in FOH adjusting business processes 

and change to mandatory telework operating status as a result of the COVID-19 pandemic. Thus, the Agency 

experienced additional delays in FOH’s ability to timely process and respond to medical review requests during 

the transition period. 

Continued on the next page
78 | EEO PROGRAM STATUS REPORT

Fiscal Year Accomplishments

FY 2020 At the start of FY 2020, the Agency instituted several initiatives to mitigate barriers impacting reasonable 

accommodation program timeliness. The Agency experienced limited production of certain ergonomic items (e.g., 

AHT desk-mounted solace equipment) resulting in extended lead times in the acquisition process and promulgated 

the Agency temporarily changing its vendor to meet Agency requirements. Also, the local distributor for the previous 

contractor servicing the entire Agency changed, and manufacturer response time for the delivery and installation of 

equipment was impacted. 

The SEC established new five-year contract vehicles for its Sign Language Interpretation and Ergonomic Furniture 

and Equipment Services. Implementation of new vendor for the Sign Language Interpretation Services remain 

underway and is scheduled for FY 2021. A new blanket purchase agreement for the ergonomic program was 

established in FY 2020 and will provide more efficient and timely acquisition of vendor services and products. Under 

the previous contractual arrangement, the vendor typically required a 4 – 6 week lead time for the manufacturing of 

the product. The Agency would then work with the vendor to schedule the coordinated delivery and installation of the 

product—this typically required an additional 1 – 2 weeks. Under the new contract, the vendor typically requires a 

4-week lead time which includes delivery. With this arrangement, the Agency anticipates a 2-week improvement in 

its ability to implement the ergonomic furniture and equipment. Items will continue to be shipped to the manufacturer 

installer’s warehouse and delivery and installation will be scheduled by the Agency. Therefore, onsite storage of 

equipment in Regional Offices is a non-issue. For Agency Headquarters offices, ergonomic furniture and equipment 

will continue to be stocked in inventory on-site. 

As a result of the COVID-19 pandemic, in March 2020, the Agency made incremental adjustments to its operations 

to include requiring telework in all offices, with limited exceptions. These office closures prevented the Agency 

from timely delivering and installing ergonomic equipment that was purchased prior to the Agency’s mandatory 

telework posture. Notwithstanding this, the SEC continued to provide reasonable accommodations to include PAS 

reader and personal assistant services, assistive technology and equipment, and ergonomic equipment to Persons 

with Disabilities (PWDs) and Persons with Targeted Disabilities (PWTDs) during the current mandatory telework 

status. The Agency shipped equipment that required non-installation services (e.g., task chairs, monitors, mouse, 

keyboards, etc.) to employees’ residence. Additionally, the Agency provided employees with a one-time stipend of 

up to $335.00 to help defray the costs of certain IT and telework expenses incurred during the mandatory telework 

posture. Moreover, the Agency established interim workplace flexibilities with additional work scheduling options to 

assist employees with balancing work and personal obligations during the COVID-19 pandemic. 

The SEC updated its external website to ensure public accessibility of its reasonable accommodation procedures 

and personal assistance services guidance on the SEC.gov website for Persons with Disabilities and Persons with 

Targeted Disabilities. Also, efforts to engage with the OHR Talent Acquisition Group continue to assist newly-selected 

employees who self-identity themselves as PWD or PWTD to determine what accessibility options, if any, they may 

need, so that solutions can be identified and made available when the employee reports for duty at the SEC. In FY 

2021, the SEC published additional resource information for employees, supervisors, and managers on its AskHR

portal that provides a general overview and insight into its reasonable accommodation program process. Additional 

information about the status of these efforts are provided in Part J of this report, infra.

In FY 2020, the SEC conducted general training for managers and supervisors on the Rehabilitation Act, their 

role and responsibilities in the reasonable accommodation process to include the interactive active process 

provision, and how to respond appropriately when an individual puts them on notice of the need for reasonable 

accommodation. New managers and supervisors are required to attend scheduled training to obtain in-depth 

overview for the provision of reasonable accommodation. This includes disseminating program-specific information 

during the New Employee Orientation and through the CLTD 307 Fundamentals of Human Resources Management

course offered by the Agency’s learning office, SECU. The CLTD 307 training provides real-time, scenario-based 

specific illustrations for supervisors and managers to heighten awareness about the RA program, details general 

characteristics by type of requests made by employees with disabilities and clarifies assumptions about roles and 

responsibilities with respect to the Agency’s reasonable accommodation program. Moreover, refresher training 

course offerings are readily available for employees and managers through the Agency’s SECU learning platform 

(LEAP) that provides an effective overview of the Rehabilitation Act of 1973, the Americans with Disabilities Act, and 

the federal and SEC reasonable accommodation process.

Continued on the next page
FISCAL YEAR 2020 | 79

Fiscal Year Accomplishments

FY 2020 The Agency continues to improve upon current business practices to ensure all information technology is 

accessible to internal and external parties, as mandated by the Section 508 of the Rehabilitation Act of 1973. In FY 

2020, the Agency focused greater attention on accessibility in the workplace. Specifically, the Agency worked to 

provide consistent, dedicated, and timely support for information technology accessibility to the PWD and PWTD 

communities. Additionally, the Agency continues ensuring that physical work environments remain compliant with 

procedures under Section 504 of the Rehabilitation Action and the Architectural Barriers Act. Updates include an 

explanation of the Rehabilitation Act and Architectural Barriers Act, informal processes for providing feedback about 

accessibility of facilities and technology to SEC, contact information and specific complaint processes for filing a 

formal claim related to accessibility, and additional resources for individuals to learn more. An SEC Administrative 

Regulation and Operating Procedures setting forth the complaint process related to Sections 504 and/or 508 and 

the Architectural Barriers Act will be finalized in FY 2021, and will be posted on SEC.gov thereafter.

Meanwhile, the Agency will continue ongoing efforts to procure a new HR service delivery platform to automate the 

reasonable accommodation program case management process in FY 2021. The implementation of the system is 

expected to simplify case tracking, help identify systemic delays, improve customer service by allowing employees 

to request reasonable accommodations personally and privately, and address the timeliness standards set by the 

new SEC policy which increased the processing timeframe to 45 business days, absent undue hardship. Multiple 

competing priorities delayed the implementation of the case management system in FY 2020. During Q1 FY 2020, 

the Agency met with a potential vendor that included a system demonstration of a Commercial Off-The-Shelf product 

to identify a solution that complements the Agency’s reasonable accommodation program process and requirements 

in terms of system functionality, adaptability, and accessibility. To advance RA program maturity and success, system 

requirements analyses are expected to be completed in calendar year 2021 and full design and implementation of 

the system which includes finalizing RA electronic system requirements, conducting user acceptance testing, and 

training the SEC workforce on the new interactive processing portal is expected in calendar year 2022. 

The SEC’s TMT program provides temporary telework to employees with short-term medical conditions that 

may not constitute a covered disability under the Rehabilitation Act of 1973 when supervisory officials and the 

Disability Program Office determine that it is appropriate. The Agency intends to publish the revised TMT policy 

and operational procedures in calendar year 2021. 
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FISCAL YEAR 2020 | 81

AGENCY EEO PLAN TO ELIMINATE 

IDENTIFIED BARRIER (PART I)

Please describe the status of each plan that the agency implemented to identify possible barriers in 

policies, procedures, or practices for employees and applicants by race, ethnicity, and gender

If the agency did not conduct barrier analysis during the reporting period, please check the box

STATEMENT OF CONDITION THAT WAS A TRIGGER FOR 

A POTENTIAL BARRIER 

Section I: Analysis of Discretionary Cash and Time-off Awards

Source of the Trigger Specific Workforce Data Table Narrative Description of Trigger

Analysis of discretionary cash and time-off 

awards data

Table A9 The distribution of discretionary cash 

and time-off awards, in both the number 

and amount, show differences for specific 

demographic groups, including men, 

women, employees in specific race 

and ethnic groups, and employees 

with disabilities.

In FY 2014, females were given more timeoff awards than males (approximately 52% 

to females and 48% to males) and males 

received more cash awards (between 

51% and 55%) than females. For cash 

awards of $501 or more, males received 

an average award of $1,580 while females 

received an average award of $1,422. 

Members of some minority groups received 

lower cash awards compared to other 

demographic groups.

Cash awards in FY 2014 for individuals 

with disabilities were, on average, $1,120.
82 | EEO PROGRAM STATUS REPORT

EEO Group(s) Affected by Trigger 

EEO Group

All Men X

All Women X

Hispanic or Latino Males X

Hispanic or Latino Females X

White Males X

White Females X

Black or African American Males X

Black or African American Females X

Asian Males X

Asian Females X

Native Hawaiian or Other Pacific Islander Males X

Native Hawaiian or Other Pacific Islander Females X

American Indian or Alaska Native Males X

American Indian or Alaska Native Females X

Two or More Races Males X

Two or More Races Females X
FISCAL YEAR 2020 | 83

Barrier Analysis Process 

Sources of Data Source Reviewed?

(Yes or No) Identify Information Collected

Workforce Data Tables Yes Workforce data tables, especially Tables A13 and B13 from the 

FY 2012 – FY 2017 MD-715 reports.

Complaint Data (Trends) Yes EEO complaints filed between FY 2012 – FY 2017 where the distribution 

of awards was an issue raised.

Grievance Data (Trends) Yes Grievances filed between FY 2013 – FY 2017 on actions related to 

discretionary cash and time-off awards.

Findings from Decisions 

(e.g., EEO, Grievance, MSPB, 

Anti-Harassment Processes)

No Not applicable.

Climate Assessment Survey 

(e.g., FEVS)

Yes Employee survey data from the Agency’s FEVS on indices and items 

related to recognition and awards.

Workplace Experience Survey responses related to recognition 

and awards.

Exit Interview Data Yes Employee survey data from the Agency’s exit survey to understand 

the relationship between awards and retention.

Focus Groups Yes Group interviews with regional leadership that included discussion of 

awards and recognition practices and procedure.

Interviews Yes Interviews with subject matter experts in OHR and the Office of 

Financial Management.

Individual interviews with Division and Office leaders that included 

discussion of their awards and recognition practices.

Reports (e.g., Congress, 

EEOC, MSPB, GAO, OPM)

Yes Reports from the Agency’s Office of Inspector General (OIG), OHR, and 

from the Government Accountability Office (GAO) detailing prior analyses 

of personnel management practices, including those related to employee 

recognition and awards.

Other (Please Describe) Yes Distribution of discretionary time-off and cash awards documented in the 

Federal Personnel Payroll System from FY 2013 – FY 2017.

Status of Barrier Analysis Process 

Barrier Analysis Process Completed?

(Yes or No)

Barrier(s) Identified?

(Yes or No)

Yes No
84 | EEO PROGRAM STATUS REPORT

Statement of Identified Barrier(s)

Barrier Name* (required) Description of Policy, Procedure, or Practice

Analyses of discretionary cash and time-off awards Based on data summarized in this study, OEEO identified 

opportunities to improve awards distribution practices for both 

discretionary cash and time-off awards. OEEO worked with 

leadership across the Commission to support action in the 

following areas:

• Institute review and monitoring for who receives awards;

• Reduce constraints for when discretionary awards are 

distributed;

• Expand the criteria for what contributions are considered for 

award; and

• Provide management support for how to submit and review 

awards.

Objective(s) and Dates for EEO Plan 

Objective

Date 

Initiated 

(mm/dd/yyyy)

Target 

Date 

(mm/dd/yyyy)

Sufficient 

Funding & 

Staffing?

(Yes or No)

Modified 

Date From 

(mm/dd/yyyy)

Date 

Completed 

(mm/dd/yyyy)

Identify and present action 

options for Agency consideration 

to help address observed group 

differences in the Agency’s 

employee recognition program.

Agency leadership provided 

their response and plans for 

actions supporting the employee 

recognition program in response 

to this study’s results during 

FY 2020. 

All planned actions toward the 

objectives of this study have 

been completed. This study is 

now closed.

03/16/2016 09/30/2020 Yes 01/31/2020 7/16/2020

Responsible Official(s) 

Title Name

Performance Standards 

Address the Plan?

(Yes or No)

Director, OEEO Peter J. Henry Yes

Chief Human Capital Officer, OHR Jamey McNamara Yes
FISCAL YEAR 2020 | 85

Planned Activities Toward Completion of Objective 

Target 

Date 

(mm/dd/yyyy)

Planned 

Activities

Modified Date

From

(mm/dd/yyyy)

Completion 

Date 

(mm/dd/yyyy)

09/30/2020 See the SEC’s FY 2019 MD-715 Report for planned and completed 

activities in prior years.

OEEO will begin to design an evaluation plan to monitor results based on 

the work completed on this study.

01/31/2020 7/16/2020

Report of Accomplishments 

Fiscal Year Accomplishments

FY 2020 During FY 2020, the SEC completed all planned actions for this study. Agency leadership provided their response 

and plans for actions supporting the employee recognition program in response to this study’s results during FY 2020. 

This study is now closed. 

To support closing out this study, OEEO consulted with OHR and other Agency leaders on:

• Options for on-demand reporting or dashboard capability that could provide more or improved reporting to 

whom, when, and for what performance behaviors awards are distributed. An agency-wide reporting tool is 

currently under development.

• Identifying and defining additional actions in response to this study. Increased reporting, monitoring, and review 

have been implemented in several Divisions and Offices.

• The results and applicability of this study to processes for discretionary cash and time-off awards distribution 

and related employee recognition program elements. 

• Defining a plan and approach for ongoing monitoring of defined actions.

OEEO will continue to monitor actions taken in response to this study through data and analysis of discretionary 

awards distribution.
86 | EEO PROGRAM STATUS REPORT

STATEMENT OF CONDITION THAT WAS A TRIGGER FOR 

A POTENTIAL BARRIER

Section II: Analysis of the Accounting Occupation

Source of the Trigger Specific Workforce Data Table Narrative Description of Trigger

Analysis by gender in the accounting 

occupation 

Table A6 The participation rate of women in 

accounting positions at the Agency is lower 

than expected based on their availability; 

this condition may be impacted at different 

stages of the employment life cycle, i.e., 

recruitment, selection, development, and 

retention of accountants.

In FY 2014, female accountants at the 

SEC, and in particular, White female 

accountants, had participation rates lower 

than the OCLF (over 16 percentage points). 

The White female accountant OCLF is 

44.23%, whereas White females comprised 

27.52% of the SEC’s accountants.

EEO Group(s) Affected by Trigger 

EEO Group

All Men

All Women X

Hispanic or Latino Males

Hispanic or Latino Females X

White Males

White Females X

Black or African American Males

Black or African American Females X

Asian Males

Asian Females X

Native Hawaiian or Other Pacific Islander Males

Native Hawaiian or Other Pacific Islander Females X

American Indian or Alaska Native Males

American Indian or Alaska Native Females X

Two or More Races Males

Two or More Races Females X
FISCAL YEAR 2020 | 87

Barrier Analysis Process 

Sources of Data Source Reviewed?

(Yes or No) Identify Information Collected

Workforce Data Tables Yes Workforce data tables and participation rates for women in the accounting 

occupation from FY 2013 – FY 2019.

Applicant flow, new hire, and competitive promotion data from FY 2013 – 

FY 2019 for the accounting occupation.

Benchmark data available from the Census Bureau that provide more detail 

into the participation of women in the civilian labor force.

Complaint Data (Trends) Yes EEO complaint activity filed between FY 2012 – FY 2017 identifying any 

trends in complaints filed by applicants or employees in the accountant 

occupation.

Grievance Data (Trends) Yes Grievances filed by accountants between FY 2013 and FY 2018.

Findings from Decisions 

(e.g., EEO, Grievance, MSPB, 

Anti-Harassment Processes) 

No Not applicable.

Climate Assessment Survey 

(e.g., FEVS)

Yes Federal Employee Viewpoint Survey (FEVS) data on indices and items 

related to recruiting, hiring, promotion, training and career development.

Employees’ responses to a Workplace Experience Survey conducted at 

the SEC during FY 2018 regarding recruiting, hiring, career development, 

promotion, recognition, and retention.

Exit Interview Data Yes Employee survey data from the Agency’s exit survey to better understand 

the reasons for voluntary separation.

Focus Groups Yes Focus group interviews with Regional Office leaders about the procedures 

and practices for career development, promotion, recognition, and retention 

of accountants.

Focus group interviews with employees in the accounting occupational 

series, including employees at Headquarters, regional staff, supervisors or 

other members of management, and members of the bargaining unit.

Focus group discussions and idea-generation sessions with representatives 

of the various Divisions and Offices that employ accountants for purposes of 

identifying action options toward improvement.

Interviews Yes Interviews with subject matter experts in OHR, SECU, and OMWI about 

recruitment, hiring, and career development for accountants at the Agency.

Interviews with Diversity and Inclusion leadership at the “Big Four” public 

accounting firms (i.e., Deloitte, EY, KPMG, and PwC).

Individual interviews with Agency leaders at Headquarters about the 

procedures and practices for career development, promotion, recognition, 

and retention of accountants.

Reports (e.g., Congress, 

EEOC, MSPB, GAO, OPM)

Yes Data definitions and potential benchmark information from the Census 

Bureau and OPM defining population data for the accountant occupation 

in the civilian labor force and the federal workforce.
88 | EEO PROGRAM STATUS REPORT

Sources of Data Source Reviewed?

(Yes or No) Identify Information Collected

Other (Please Describe) Yes Records related to employee telework schedules and usage from 

FY 2013 – FY 2019.

Pay scales and compensation levels among the Agency’s encumbered 

grade levels in the accountant occupational series.

Position descriptions and vacancy announcements for the job of accountant.

Training records from SF-182 on requests for internal and external training 

submitted by SEC accountants through the learning management system.

More than 300 resumes submitted during FY 2015 by applicants for 

accountant vacancies.

Written policies and formally established procedures affecting the 

employment of women, and in particular, the employment of women in 

accountant positions.

Research literature, collective bargaining agreement language, and reports 

to better understand career development, promotion, retention, or recruiting 

and hiring processes for the accounting occupation.

Information about best practices in recruiting women in accounting in the 

federal government and private industry.

Status of Barrier Analysis Process 

Barrier Analysis Process Completed?

(Yes or No)

Barrier(s) Identified?

(Yes or No)

No No

Statement of Identified Barrier(s)

Barrier Name* (required) Description of Policy, Procedure, or Practice

Analysis of women in accounting On the basis of the analytic work conducted, OEEO did not 

identify any specific barriers for women in the accounting 

occupation. OEEO’s analysis suggests the following will have 

measurable impact on support for the career development of 

women in the accounting occupation:

• Evaluate and consider changes to workforce structure that 

may limit available career development opportunities; 

• Design programs, communication, and outreach focused on 

encouraging accountants to seek career development and 

promotion; and 

• Continue work on changing attitudes toward, and support 

for, flexible work arrangements among both individual 

contributors and supervisors of accountants.
FISCAL YEAR 2020 | 89

Objective(s) and Dates for EEO Plan 

Objective

Date 

Initiated 

(mm/dd/yyyy)

Target 

Date 

(mm/dd/yyyy)

Sufficient 

Funding & 

Staffing?

(Yes or No)

Modified 

Date From 

(mm/dd/yyyy)

Date 

Completed 

(mm/dd/yyyy)

As of September 30, 2018, the 

following areas were identified 

for further analysis and review:

• Processes for the 

career development and 

promotion of accountants; 

and 

• Career progression and 

workforce planning within 

the SEC’s accountant 

occupation.

The SEC will consider these 

action opportunities and develop 

an action plan to help foster 

equal employment opportunity.

03/01/2017 5/31/2021 Yes 06/30/2020

Responsible Official(s) 

Title Name

Performance Standards 

Address the Plan?

(Yes or No)

Director, OEEO Peter J. Henry Yes

Chief Human Capital Officer, OHR Jamey McNamara Yes

Director, OMWI Pamela Gibbs Yes

Planned Activities Toward Completion of Objective 

Target Date 

(mm/dd/yyyy)

Planned 

Activities

Modified Date

From 

(mm/dd/yyyy)

Completion 

Date 

(mm/dd/yyyy)

05/31/2020 Compile and share results from interviews and focus groups conducted 

with Accountant incumbents.

8/6/2020

06/30/2020 Update analyses with FY 2019 workforce data and FY 2020 qualitative 

data collection.

9/2/2020

10/31/2020 The SEC will begin to identify actions as appropriate to help foster equal 

employment opportunity.

04/30/2020 9/18/2020

12/31/2020 OEEO will begin to design an evaluation plan to monitor results based on 

the work completed on this study.

06/19/2020

04/30/2021 Briefings for Division and Office leadership for the accountant workforce.

05/31/2021 OEEO Director initiates project close out and transition to ongoing 

monitoring.
90 | EEO PROGRAM STATUS REPORT

Report of Accomplishments 

Fiscal Year Accomplishments

FY 2020 During FY 2020, OEEO completed data collection, integration, and interpretation of summary analyses for this 

study. In FY 2021, OEEO will share with stakeholders the results of this study, including the identified opportunities 

for action to support female accountants at the Agency. 

The following provides detail about this analytic work.

Insights gained from qualitative and quantitative analyses conducted during FY 2019 suggested the need to better 

understand an incumbent’s decision to seek promotion. OEEO extended the study’s timeline into FY 2020 to 

incorporate expanded data collection and analysis on: 

• An employee’s decision to seek and apply for competitive promotion within the accounting occupation and 

across occupational series among regional staff in the National Examination Program;

• The use and support for flexible working arrangements for accountants, particularly under the SEC’s telework 

program; and

• Organizational structures and changes in the Agency’s accounting workforce at different SK levels that 

impacted the availability of career mobility over time.

To gather additional data on the areas listed above, OEEO:

• Hosted idea-generation sessions with business management office representatives from Divisions and Offices 

who employ accountants to suggest lawful and practical opportunities for action.

• Collaborated with national representatives from the NTEU to solicit participation in and conduct focus group 

sessions with incumbent accountants during February and March of 2020;

• Conducted sessions with accountant incumbents in positions not covered by the SEC’s collective bargaining 

agreement; and 

• Conducted a total of 11 focus group sessions with 66 SEC accountants, representing different SK-levels, 

participating from Headquarters and Regional Offices.

OEEO hosted seven read-out sessions describing results from the focus group sessions to which all incumbent 

accountants were invited. 

Directly resulting from the data and information shared during the focus group sessions, OEEO refined this 

study’s analytic research questions to: 1) explore the timing of changes to telework schedules relative to an 

employee’s application for promotion; 2) consider the close connection between securities compliance examiners 

and accountants within the National Examination Program; and 3) assess more specifically the differences noted 

from focus group discussion in the employee experience between the National Examination Program versus 

National Enforcement Program among regional staff, a construct that was not sufficiently addressed in prior 

analysis from 2019.

Based on the newly-gained insights about promotion, career decisions, and opportunities for action, OEEO compiled 

a research summary of the analyses conducted and results obtained as part of this study. In FY 2021, the research 

summary will be shared with Agency leadership as part of transitioning the study for management action.
FISCAL YEAR 2020 | 91

STATEMENT OF CONDITION THAT WAS A TRIGGER FOR 

A POTENTIAL BARRIER 

Section III: Analysis of the Attorney Occupation

Source of the Trigger Specific Workforce Data Table Narrative Description of Trigger

Analysis of male attorneys Table A6 The participation rate of men in attorney 

positions at the Agency is lower than 

expected based on their availability in 

the attorney OCLF; this condition may 

be impacted at different stages of the 

employment life cycle, i.e., recruitment, 

selection, development, and retention of 

male attorneys.

Male attorneys at the SEC had participation 

rates lower than the OCLF (by 9.10 

percentage points) in FY 2014. Male 

attorneys comprised 66.70% of the 

OCLF and 57.60% of the SEC’s 

attorney workforce.

EEO Group(s) Affected by Trigger 

EEO Group

All Men X

All Women

Hispanic or Latino Males X

Hispanic or Latino Females

White Males X

White Females

Black or African American Males X

Black or African American Females

Asian Males X

Asian Females

Native Hawaiian or Other Pacific Islander Males X

Native Hawaiian or Other Pacific Islander Females

American Indian or Alaska Native Males X

American Indian or Alaska Native Females

Two or More Races Males X

Two or More Races Females
92 | EEO PROGRAM STATUS REPORT

Barrier Analysis Process 

Sources of Data Source Reviewed?

(Yes or No) Identify Information Collected

Workforce Data Tables Yes Workforce data tables and participation rates from FY 2012 – FY 2019 

to review the participation rates for men in the total workforce and in the 

attorney occupation.

Available applicant flow data for attorney hiring from FY 2012 – FY 2019.

Complaint Data (Trends) Yes EEO Complaints filed between FY 2016 and FY 2020.

Grievance Data (Trends) Yes Grievances filed by attorneys between FY 2014 and FY 2018.

Findings from Decisions 

(e.g., EEO, Grievance, MSPB, 

Anti-Harassment Processes) 

No Not applicable.

Climate Assessment Survey 

(e.g., FEVS)

Yes Federal Employee Viewpoint Survey data on indices and items related to 

recruiting, hiring, promotion, training, and career development.

Employees’ responses to a survey conducted by a vendor in July 2014 

regarding promotions at the SEC.

Employees’ responses to a Workplace Experience Survey conducted at 

the SEC during FY 2018 regarding recruiting, hiring, career development, 

promotion, recognition, and retention.

Exit Interview Data Yes Employee data for the Agency’s exit survey to better understand the 

reasons for the voluntary separation among attorneys.

Focus Groups No

Interviews Yes Interviews with subject matter experts in OHR and OMWI.

Reports (e.g., Congress, 

EEOC, MSPB, GAO, OPM)

Yes Audit reports regarding personnel management at the SEC based on 

research from GAO.

Data definitions and potential benchmark information from the Census 

Bureau and OPM defining population data for the attorney occupation in the 

civilian labor force and the federal workforce.

Other (Please Describe) Yes Attorney position descriptions by grade level and across Divisions/Offices. 

Vacancy announcements posted on USAJOBS. 

Attorney demographic trends in private law practice, in particular, large law 

firms, and as in-house counsel. 

Literature and reports published by, among others, the National Association 

of Legal Placement and the American Bar Association to better understand 

recruiting, hiring/lateral hiring, training, and promotion processes and 

practices at private law firms.

Reports published by, among others, the American Bar Association, 

Minority Corporate Counsel Association, and Institute for Inclusion in the 

Legal Profession about best practices in recruiting and retaining attorneys, 

particularly, minority male attorneys in the federal government and law firms. 

Research from scientific journals related to factors influencing separation 

among male and female attorneys, incentives to move into the private 

sector, and the role of public versus private sector compensation levels 

versus work/life balance in producing differential retention rates by gender 

among attorneys. 
FISCAL YEAR 2020 | 93

Status of Barrier Analysis Process 

Barrier Analysis Process Completed?

(Yes or No)

Barrier(s) Identified?

(Yes or No)

No No

Statement of Identified Barrier(s)

Barrier Name* (required) Description of Policy, Procedure, or Practice

Analysis of male attorneys No barrier has yet been identified

Objective(s) and Dates for EEO Plan 

Objective

Date 

Initiated 

(mm/dd/yyyy)

Target 

Date 

(mm/dd/yyyy)

Sufficient 

Funding & 

Staffing?

(Yes or No)

Modified 

Date From 

(mm/dd/yyyy)

Date 

Completed 

(mm/dd/yyyy)

Investigate processes across 

the employment life cycle for 

men in the attorney occupation 

to determine any areas needing 

improvement and begin 

developing action plans to 

help foster equal employment 

opportunity. 

07/15/2017 09/30/2022 Yes 10/31/2021

Responsible Official(s) 

Title Name

Performance Standards 

Address the Plan?

(Yes or No)

Director, OEEO Peter J. Henry Yes

Chief Human Capital Officer, OHR Jamey McNamara Yes
94 | EEO PROGRAM STATUS REPORT

Planned Activities Toward Completion of Objective

Target Date 

(mm/dd/yyyy)

Planned 

Activities

Modified 

Date From

(mm/dd/yyyy

Completion 

Date 

(mm/dd/yyyy)

09/30/2020 OEEO will begin to conduct quantitative analysis of new hire and 

separations data to inform barrier analysis.

1/1/2020

03/01/2021 OEEO will begin to conduct quantitative analysis of promotions data to 

inform barrier analysis.

11/1/2020

11/01/2021 OEEO will begin integrating and interpreting quantitative and qualitative 

data, trends across year, root causes, and identified triggers to establish 

evidence for any areas in need of improvement.

01/01/2021

01/31/2022 The SEC will begin to identify actions as appropriate to help foster equal 

employment opportunity.

04/30/2021

04/18/2022 OEEO will begin conducting briefings for Division and Office leadership 

for the attorney workforce.

8/31/2021

07/30/2022 OEEO Director initiates project close out and transition to ongoing 

monitoring.

10/31/2021

09/30/2022 OEEO will begin to design an evaluation plan to monitor results based 

on the work completed on this study.

10/30/2021

Report of Accomplishments 

Fiscal Year Accomplishments

FY 2020 The following provides detail about analytic work OEEO conducted in FY 2020 in support of this analysis:

• Interviewed subject matter expert in OHR regarding recruitment of attorneys;

• Analyzed data regarding new hires, promotions, and separations of attorneys;

• Identified additional promotions data analysis to be conducted, including trends by race, age, and disability 

status;

• Reviewed records documenting applicant flow and selection decisions for specific attorney vacancy postings;

• Integrated original research from scientific journals related to factors influencing separation among male 

and female attorneys, incentives to move into the private sector, and the roles of public versus private sector 

compensation levels versus work/life balance in producing differential retention rates by gender among 

attorneys; and 

• Produced regression analysis on the selection process among attorney new hires.
FISCAL YEAR 2020 | 95

SPECIAL PROGRAM PLAN FOR 

THE RECRUITMENT, HIRING, 

ADVANCEMENT, AND RETENTION OF 

PERSONS WITH DISABILITIES (PART J)

To capture agencies’ affirmative action plan for persons with disabilities (PWD) and persons with 

targeted disabilities (PWTD), EEOC regulations (29 C.F.R. § 1614.203(e)) and MD-715 requ

agencies to describe how their plan will improve the recruitment, hiring, advancement, and retention 

of applicants and employees with disabilities. All agencies, regardless of size, must complete this Part

of the MD-715 report

SECTION I: EFFORTS TO REACH REGULATORY GOALS

EEOC regulations (29 C.F.R. § 1614.203(d)(7)) require agencies to establish specific numeri

goals for increasing the participation of persons with reportable and targeted disabilities in the 

federal government

1. Using the goal of 12% as the benchmark, does your Agency have a trigger involving PWD by

grade level cluster in the permanent workforce? If “yes”, describe the trigger(s) in the text box

a. Cluster GS-1 to GS-10 (PWD) Yes 0 No X

b. Cluster GS-11 to SES (PWD) Yes X No 0

The following background information is provided to assist the reader in reviewing 

this report:

n This report presents separate results for both persons with disabilities (PWD) and 

persons with targeted disabilities (PWTD) employed, or seeking employment, with the 

Securities and Exchange Commission (SEC). As required by the U.S. Equal Employme

Opportunity Commission (EEOC), the analysis and report reflect the participation 

of persons with (targeted) disabilities in two different “clusters”—Cluster GS-1 to 

GS-10, and Cluster GS-11 to SES (Senior Officer-equivalent for the SEC). The clusters

are calculated based on the locality adjusted salary specified in the revised regulations 

implementing Section 501 of the Rehabilitation Act of 1973. As a point of reference,

in FY 2020, the locality adjusted salary of a GS-11, step 1, in the Washington, DC area 

was $72,030

Continued on the next page
96 | EEO PROGRAM STATUS REPORT

n The EEOC has established numerical goals for the employment and utilization of 

persons with disabilities (12%) and persons with targeted disabilities (2%) for each of 

the two clusters. The SEC’s goal is to meet and exceed these relevant benchmarks for

PWD and PWTD for each cluster

n As in prior years, and consistent with EEOC regulations, the SEC included permanent 

and temporary employees hired under authorities that take disability into account as 

PWD under the relevant hiring authority. Permanent and temporary employees who

did not self-identify on standard form 256 (SF-256) as having a disability but whose 

personnel record indicates they received veterans’ preference (e.g., CPS – preferenc

based on compensable service-connected disability of 30% or more) are included in the 

total PWD workforce data tables. Similarly, permanent and temporary employees not

self-identified on SF-256 but whose personnel record documents that they were hired or 

converted into the competitive service under Schedule A, part u (5 C.F.R. § 213.3102

Appointment of persons with intellectual disabilities, severe physical disabilities, or 

psychiatric disabilities) are included in the total PWD workforce for purposes of 

utilization analysis

n This action added 41 permanent employees to the PWD workforce data. The workforce

data tables included with this report and the analyses described below reflect this 

change. Prior year data for such employees was updated for compariso

For employees with salaries below a GS-11, step 1, the Agency achieved the numerical goal 

for PWD participation; 53.33% of employees in this cluster were PWD compared to the

12% benchmark

For employees with locality adjusted salaries above a GS-11, step 1, the Agency did not 

achieve the required numerical goal, as 8.62% of employees in this cluster were PWD

compared to the 12% benchmark. While the numerical goal was not achieved, the current

participation rate represents an increase of 2.27 percentage points since the end of FY 201

Between FY 2015 and FY 2020, the participation of PWD in the total workforce increased 

from 6.57% to 8.70%; participation increased in both the lower and higher salary cluste
FISCAL YEAR 2020 | 97

2. Using the goal of 2% as the benchmark, does your Agency have a trigger involving PWTD by

grade level cluster in the permanent workforce? If “yes”, describe the trigger(s) in the text box

a. Cluster GS-1 to GS-10 (PWTD) Yes X No 0

b. Cluster GS-11 to SES (PWTD) Yes 0 No X

The SEC did not achieve the numerical goal established for PWTD in the lower salary cluster 

during FY 2020. In the lower salary cluster, none of the 16 permanent employees are PWT

The reason this trigger occurred in the lower salary cluster was because PWTD moved into 

the higher salary cluster in FY 2020. However, the numerical goal for PWTD among higher

salaried employees remains six one hundredths of a percent below the goal: 1.94% of higher

salaried employees are PWTD

3. Describe how the Agency has communicated the numerical goals to the hiring managers

and/or recruiters

In FY 2020, the SEC’s Office of Human Resources (OHR) developed an updated 2020 

– 2022 Recruitment Strategy (Recruitment Strategy) which describes the support and 

collaboration necessary from senior leadership, the Office of Equal Employment Opportunity 

(OEEO), and Office of Minority and Women Inclusion (OMWI) to recruit a diverse candidate 

base. The Recruitment Strategy specifically states that the SEC’s objective is to “Increase

workforce representation for people with disabilities and people with targeted disabilities.”

The Recruitment Strategy identified two goals towards this objective: (1) build a pipeline of 

qualified Schedule A applicants; and (2) improve veteran recruitment efforts. Specific strategies

and tasks in the plan for recruitment explain how this objective will be accomplished

For particular hiring actions, OHR continues to address special hiring authorities, including 

Schedule A, in conversations with hiring managers to reinforce progress toward achieving 

numerical goals. A checklist is used by OHR Staffing specialists when vacant positions

are identified to ensure hiring managers understand all their options for filling positions, 

including using Schedule A and veterans’ hiring authorities for those applicants with a 

service-connected disability of 30% or more

More generally, the hiring goals for PWTD (i.e., 2% of the total workforce) are communicated to hiring managers during quarterly Office of Human Resources Steering Committe

meetings. Additionally, metrics for disability hiring are published monthly and at the end of

the year by the SEC’s Office of the Chief Operating Officer (OCOO). The overall percentage

of employees who are PWTD is posted in the Diversity Dashboard sponsored by OMWI and 

the SEC’s Diversity Council

Continued on the next page
98 | EEO PROGRAM STATUS REPORT

To augment these information sources, OHR continues to provide the Human Capital 

Reporting & Analytics (HCRA) dashboard. The HCRA provides, among other key human

capital metrics, aggregate data on the disability status for self-identified PWD and PWTD

A series of data filters enable leaders to understand employee gains and losses within their 

particular Division or Office for specific occupations, grades, and duty stations. OHR uses

this information to support Human Capital strategic planning

Throughout FY 2020 and particularly during National Disability Employment Awareness 

Month in October 2019 and October 2020, the Agency hosted events that focused on 

inclusion of persons with a disability. As described later, these events were often sponsored

and/or hosted by the Disability Interests Advisory Committee (DIAC). In opening and/or

closing remarks, leaders noted the Agency’s goals for recruiting and hiring PWTD, frequently 

mentioning the high value such employees bring to the Agency’s mission
FISCAL YEAR 2020 | 99

SECTION II: MODEL DISABILITY PROGRAM

Pursuant to 29 C.F.R. §1614.203(d)(1), agencies must ensure sufficient staff, training and resour

to recruit and hire persons with disabilities and persons with targeted disabilities, administer 

the reasonable accommodation program and special emphasis program, and oversee any other 

disability hiring and advancement program the Agency has in place

Plan to Provide Sufficient & Competent Staffing for the Disability Program

1. Has the Agency designated sufficient qualified personnel to implement its disability program

during the reporting period? If “no”, describe the Agency’s plan to improve the staffing for the 

upcoming year

Yes X No 0

The Agency designated sufficient talent acquisition resources and FTE to Special Programs 

classification, recruitment, and staffing in support of the disability program

2. Identify all staff responsible for implementing the Agency’s disability employment program by the

office, staff employment status, and responsible official

Disability Program Task

Number of Full-Time Equivalent Staff 

by Employment Status

Responsible Official

Full Time Part Time (Name, Title, Office, Email)

Collateral 

Duty

Processing applications from PWD 

and PWTD 

13 0 0 Kai Petty, Lead HR Specialist

Office of Human Resources

pettyka@sec.gov

Answering questions from the public 

about hiring authorities that take 

disability into account

13 0 0 Kai Petty, Lead HR Specialist

Office of Human Resources

pettyka@sec.gov

Processing reasonable 

accommodation requests from 

applicants and employees

2 0 0 Dia Gonsalves, 

Disability Program Officer 

Office of Human Resources

gonsalvesd@sec.gov

Section 508 Compliance 1 0 0 Sharvon Jones, Governance Branch,

Office of Information Technology

jonessh@sec.gov

Architectural Barriers Act Compliance 0 0 3 Ray Ferrari, RA, LEED AP, Architect, 

Office of Support Operations (OSO)-Office 

of Building Operations (OBO) 

FerrariR@sec.gov

Jinhee Kim, RA, LEED AP, Architect,

OSO-OBO 

KimJin@sec.gov

Carla Hairston; NCIDQ, COEE, Space 

Management Specialist OSO-OBO

HairstonC@sec.gov

Special Emphasis Program for PWD 

and PWTD

4 0 0 Xiya Li, Branch Chief

Office of Human Resources

lixiy@sec.gov

Kai Petty, Lead HR Specialist

Office of Human Resources

pettyka@sec.gov
100 | EEO PROGRAM STATUS REPORT

3. Has the Agency provided disability program staff with sufficient training to carry out their

responsibilities during the reporting period? If “yes”, describe the training that disability 

program staff have received. If “no”, describe the training planned for the upcoming yea

Yes X No 0

Staff received on-the-job training from the Disability Program Officer and the full-time 

Reasonable Accommodation Coordinator and periodically attended training programs 

and reviewed recent case law to stay current with developments in this area. The Disability

Program Officer completed courses specific to recruiting, accommodating disabilities, 

hiring, and retaining PWD and PWTD via OPM’s HR University and the SEC’s Learning 

Management System, LEAP, in addition to the general training received

More generally, all of the SEC’s HR specialists have completed training courses related to 

staffing and placement offered by the USDA Graduate School or OPM and through various 

other platforms. The Agency’s training and development office also offers learning options

that include processing applications for PWD and PWTD. The Agency will continue these

practices in the future

Changes are planned in line with implementation of requirements and recommendations 

under Section 501 of the Rehabilitation Act. Those changes will require more focused and

specific training for both HR specialists and disability program staff on related policy and 

procedures post implementation

Plan to Ensure Sufficient Funding for the Disability Program

1. Has the Agency provided sufficient funding and other resources to successfully implement the

disability program during the reporting period? If “no”, describe the Agency’s plan to ensure all 

aspects of the disability program have sufficient funding and other resources

Yes X No 0

The Agency was resourced adequately during the reporting period to successfully implement 

the disability program
FISCAL YEAR 2020 | 101

SECTION III: PLAN TO RECRUIT AND HIRE INDIVIDUALS WITH 

DISABILITIES

Pursuant to 29 C.F.R. § 1614.203(d)(1)(i) and (ii), agencies must establish a plan to increase 

recruitment and hiring of individuals with disabilities. The questions below are designed to identify

outcomes of the Agency’s recruitment program plan for PWD and PWTD

Plan to Identify Job Applicants with Disabilities

1. Describe the programs and resources the Agency uses to identify job applicants with disabilities,

including individuals with targeted disabilities

OHR continued to take steps toward improving the participation of PWD and PWTD in 

applicant pools. Since focusing on these efforts under OHR’s 2018 – 2019 Recruitment

Strategy, the SEC has realized an increase in the overall representation of people with 

disabilities through effective recruitment and outreach efforts that identify the Agency as 

an employer of choice

Despite the mandatory telework posture due to the COVID-19 pandemic, the Agency 

maintained a strong recruitment presence in FY 2020, and attended 15 in-person and virtual 

career fairs and events supporting efforts in building pipelines for future employment

The SEC is committed to being a model employer for people with disabilities. The SEC

streamlined the approach to the general hiring process using the Schedule A hiring authority 

for persons with disabilities. This streamlined approach required all external hiring requests

be filtered through the Selective Placement Program Coordinator (SPPC) for review. The

SPPC referred qualified applicants to hiring managers prior to or concurrently with the 

general staffing process. OHR will continue to leverage the DIAC for recruitment resources

and assistance. Further, OHR will continue to retain and review applications from people

with disabilities for future openings and will conduct targeted outreach to connect with 

qualified candidates by collaborating with community-based partners such as nonprofit 

organizations, national and local disability organizations, and federally-funded state and 

local employment programs
102 | EEO PROGRAM STATUS REPORT

2. Pursuant to 29 C.F.R. § 1614.203(a)(3), describe the Agency’s use of hiring authorities 

take disability into account (e.g., Schedule A) to recruit PWD and PWTD for positions in th

permanent workforce

The Agency uses a variety of available resources that support hiring through Schedule A and 

other hiring authorities that take disability into account

The SPPC receives notifications and newsletters from the following groups and transmits 

information to OHR staff engaged in recruiting:

n EARN—Employer Assistance Resource Network: askearn.or

n JAN—Job Accommodation Network: askjan.or

n ODEP—Office of Disability Employment Policy, Department Of Labor: 

dol.gov/odep

n OWF—Operation Warfighter Program: warriorcare.dodlive.mil/carecoordinatio

operation-warfighter/

3. When individuals apply for a position under a hiring authority that takes disability into account

(e.g., Schedule A), explain how the Agency (1) determines if the individual is eligible fo

appointment under such authority and (2) forwards the individual’s application to the relevant 

hiring officials with an explanation of how and when the individual may be appointed

The following describes two procedures for processing applications under the Schedule 

A hiring authority for persons with disabilities, one used in response to a specific vacancy 

posting and the other for unsolicited Schedule A applications

1. The Office of Human Resources processes Schedule A applications in response to a Job 

Opportunity Announcement (JOA).

Applicants who wish to be considered for a specific vacancy under the Schedule A hiring 

authority must submit the appropriate documentation when applying for a current open 

JOA. The SEC defers to the OPM-identified appropriate documentation. Application

are reviewed by HR specialists to determine if the applicant is minimally qualified as 

identified in the JOA. If the applicant is minimally qualified, that individual is referred to

the hiring manager on a separate certificate of eligible candidates. HR specialists provide

written guidance to hiring managers via email that explains how Schedule A applicants 

can be selected once the certificate has been issued

Continued on the next page
FISCAL YEAR 2020 | 103

2. The Office of Human Resources also processes unsolicited Schedule A applications.

Applicants who wish to be considered under the Schedule A hiring authority, outside 

the process for a specific vacancy posting, must submit the appropriate documentation 

as identified by OPM with their application. The Special Programs Manager will

proactively contact the prospective applicant if the individual did not submit the 

required documentation. The application will not be processed until the appropriate

documentation is received

Resumes submitted directly to the Special Programs Manager are reviewed to determine 

the potential job series the applicant may be suitable for based on the knowledge, skills, 

and abilities identified on the applicant’s resume. Building a pool of qualified candidates is

important to the SEC; as such, the Agency has developed a Schedule A Resume Database

The SEC process for hiring starts with a Staffing Action Request Form (SARF) submitted 

by the hiring manager. When a SARF is received by OHR, the Special Programs Manager

compiles a certificate of eligible candidates from the database per the job series and refers 

candidates to hiring managers. In some cases, the Special Programs Manager conducts

a one-on-one consultation with the hiring manager to discuss the certificate of eligible 

candidates, as appropriate

The SEC’s administrative regulations on its Veterans Employment Program provides 

instruction for hiring veterans with disabilities and was last updated in January 2017

The Agency’s administrative regulations are available upon request

4. Has the Agency provided training to all hiring managers on the use of hiring authorities that take

disability into account (e.g., Schedule A)? If “yes”, describe the type(s) of training and frequen

If “no”, describe the Agency’s plan to provide this training

Yes X No 0 N/A 0

In FY 2020, periodic training occurred with each hiring manager who requested to fill a 

position. The hiring checklist used by the staffing specialists contains a section on Schedule

A that is discussed in-depth during the one-on-one hiring conversation between the staffing 

specialist and the hiring manager. The specialist trains the hiring manager on the various procedures of the Schedule A hiring process and offers it as a course of action where applicabl

In FY 2020, the Agency successfully hired nine veterans with a service-connected disability 

directly into the competitive service. DIAC and the Disability Program Office will continue to

promote among hiring managers the successful use of Schedule A hiring to support the SEC’s 

Recruitment Strategy and Affirmative Action Plan for People with Disabilities
104 | EEO PROGRAM STATUS REPORT

Plan to Establish Contacts with Disability Employment Organizations

1. Describe the Agency’s efforts to establish and maintain contacts with organizations that assist

PWD, including PWTD, in securing and maintaining employment

The SEC’s Special Programs Manager continued to maintain established partnerships with 

organizations that assist PWD and PWTD in securing and maintaining employment. The

Special Programs Manager updated the SEC’s list of affinity organizations to maintain 

contact and foster relationships for recruitment events and candidate sourcing. The SEC

continued to leverage the Operation Warfighter Program (OWF) during FY 2020. OWF

is an internship program created by the Department of Defense that matches qualified 

wounded, ill, and injured service members with non-funded federal internships for them to 

gain valuable work experience during recovery and rehabilitation. The SEC plans to finalize

program policies and procedures for implementation agency-wide in FY 2021

The Special Programs Manager also maintains an ongoing relationship with the SEC’s DIAC 

and the Veterans Committee, members of which help support the Agency’s efforts to recruit 

PWD and PWTD

In addition, the Agency continued work to strengthen partnerships with stakeholders to 

include SEC program offices, the National Treasury Employees Union (NTEU), OMWI, 

DIAC, and employee affinity groups to identify sustainable actions to improve the Agency’s 

Diversity and Inclusion initiatives for the PWD and PWTD communities. These actions

will promote greater inclusion of the PWD and PWTD communities in the SEC workforce 

and will support their immediate and long-term needs when the Agency transitions back 

to normal work posture post the COVID-19 pandemic. The DIAC and OHR continue to

work collaboratively with SEC program offices and employee affinity groups to improve 

workplace diversity for the PWD and PWTD communities
FISCAL YEAR 2020 | 105

Progression Towards Goals (Recruitment and Hiring) 

1. Using the goals of 12% for PWD and 2% for PWTD as the benchmarks, do triggers exist for

PWD and/or PWTD among the new hires in the permanent workforce? If “yes”, please describe 

the triggers below

a. New Hires for Permanent Workforce (PWD) Yes X No 0

b. New Hires for Permanent Workforce (PWTD) Yes X No 0

In FY 2020, the Agency hired 256 permanent employees, of which PWD and PWTD 

represented 7.03% and 0.78%, respectively, of all new hires in FY 2020. As such, t

Agency did not achieve the numerical goals of 2% participation of PWTD and 12% 

participation of PWD among permanent new hires. See Table B

2. Using the qualified applicant pool as the benchmark, do triggers exist for PWD and/or PWTD

among the new hires for any of the mission-critical occupations (MCO)? If “yes”, please describe 

the triggers below

a. New Hires for MCO (PWD) Yes X No 0

b. New Hires for MCO (PWTD) Yes X No 0

In FY 2020, the SEC hired and onboarded a total of 256 permanent staff employees

Among these newly-hired staff members were 195 persons in MCO positions as follows: 

123 attorneys; 19 accountants; 22 securities compliance examiners; 25 IT management 

specialists; and 6 economists. Seven of those 195 (3.59%) of newly-onboarded MC

permanent staff were PWD

As a preliminary matter, differences may be observed in comparing the demographic statistics 

of the qualified applicant pool (QAP), selections, and new hires onboarded. Reasons for

these differences vary. Some newly-hired staff applied for a vacancy posted in the prior fiscal

year or may have elected not to volunteer demographic information. In addition, in FY

2020, one division posted open continuous announcements for which the applicant flow 

data do not fall into a specific fiscal year based on the close dates of the postings. Triggers

comparing the composition of PWD and PWTD in applicant flow versus new hire data 

should be interpreted with these differences in mind. Continued on the next pag
106 | EEO PROGRAM STATUS REPORT

Triggers were observed for PWD in the hiring of permanent staff attorneys, accountants, IT 

management specialists, and economists as follows: 

n PWD represent 3.25% of the 123 newly-hired attorneys—below their participation rate

of 5.16% in the qualified applicant pool (QAP

n For IT management, 4.00% of new hires were PWD, below their representation in the

QAP (13.30%

n No PWD were hired for any of the six economist positions although 28 PWD were in 

the QAP (5.30%

n On the other hand, PWD represent 5.26% of newly-hired accountants, above their

participation rate in the qualified applicant pool (2.37%

n Triggers were also observed for PWTD in the attorney, IT management, accountant, 

and economist occupations

n For attorneys, the QAP for PWTD was 1.19%; no PWTD (0.00%) were hired a

permanent staff attorneys

n Forty-six PWTD were in the QAP (2.93%) for IT management, and no PWTD were

hired (0.00%

n Fourteen PWTD were in the QAP (2.65%) for economist positions, and no PWTD

were hired

n One PWTD was found in the QAP for accountants (0.34%), and no PWTD were hire

n For securities compliance examiner vacancies posted in FY 2020, no PWD or PWTD 

were found in the QAP. Thus, none were hire
FISCAL YEAR 2020 | 107

3. Using the relevant applicant pool as the benchmark, do triggers exist for PWD and/or PWTD

among the qualified internal applicants for any of the mission-critical occupations (MCO)? If 

“yes”, please describe the triggers below

a. Qualified Applicants for MCO (PWD) Yes X No 0

b. Qualified Applicants for MCO (PWTD) Yes X No 0

In the FY 2020 data, differences were identified in the participation of PWD in the qualified 

internal applicants for competitive promotions as compared to the relevant applicant pool 

(RAP) within four of the SEC’s MCOs, i.e., attorney, accountant, securities complianc

examiner, and IT management. Differences were also identified between the RAP and QAP

for PWTD within the internal competitive promotion data for the MCOs of attorney, 

accountant, securities compliance examiner, and IT management

The RAP was defined for each MCO based on the number of employees holding a 

qualifying occupation series and in the SK-levels encumbered at the Agency between 

SK-11 and SK-16. Specifically, for attorneys, the RAP included all employees in the 0905

series. For accountants, the RAP included all employees in the 0510 series. For securitie

compliance examiners, the RAP included all employees in the 1831 and the 0501, 

Financial Administration and Program series. For the information technology management

occupation, the RAP included all employees in the 2210 series, and for the economist 

occupation, the RAP included all employees in the 0110 series

For attorneys, the Agency observed a difference between the RAP and qualified internal 

applicants for both PWD and PWTD. The RAP for PWD was 5.36%, and PWD represente

2.75% of the qualified internal applicants. The RAP for PWTD was 1.10%, and PW

were 0.00% of the qualified internal applicants for attorney

For accountants, the Agency did not observe a difference between the RAP and qualified 

internal applicants among PWD or PWTD

For securities compliance examiners, the Agency observed a difference between the RAP and 

qualified internal applicants for PWD, but not for PWTD. The RAP for PWD was 7.04%

and PWD represented 3.51% of the qualified internal applicant

For IT management, the Agency did not observe a difference between the RAP and qualified 

internal applicants for PWD or PWTD

For economists, the Agency observed differences between the RAP and qualified internal 

applicants for PWD and PWTD. The RAP was 2.53% PWD, and there were no PW

among qualified internal applicants. The RAP for PWTD was 1.27%, and there were n

PWTD among qualified internal applicants
108 | EEO PROGRAM STATUS REPORT

4. Using the qualified applicant pool as the benchmark, do triggers exist for PWD and/or PWTD

among employees promoted to any of the mission-critical occupations (MCO)? If “yes”, please 

describe the triggers below

a. Promotions for MCO (PWD) Yes X No 0

b. Promotions for MCO (PWTD) Yes X No 0

The selection data indicate a difference for PWD in the IT management occupations, but no 

differences were observed for selections across the attorney, accountant, securities compliance 

examiner, or economist occupations. Among IT management specialists, the QAP for PWD

was 2.23%, and no PWD were represented among selection

The selection data also indicate a difference for PWTD in the accountant and IT 

management occupations, but no differences were observed for selections across the 

attorney, securities compliance examiner, or economist occupations. Among IT management

specialists, the QAP for PWTD was 14.76% PWD, and no PWTD were selected. Amon

accountants, the QAP for PWTD was 4.88%, and no PWTD were selecte
FISCAL YEAR 2020 | 109

SECTION IV: PLAN TO ENSURE ADVANCEMENT OPPORTUNITIES FOR 

EMPLOYEES WITH DISABILITIES 

Pursuant to 29 C.F.R. §1614.203(d)(1)(iii), agencies are required to provide sufficient advancem

opportunities for employees with disabilities. Such activities might include specialized training and

mentoring programs, career development opportunities, awards programs, promotions, and similar 

programs that address advancement. In this section, agencies should identify, and provide data on

programs designed to ensure advancement opportunities for employees with disabilities

Advancement Program Plan

1. Describe the Agency’s plan to ensure PWD, including PWTD, have sufficient opportunities

for advancement

To promote equal employment opportunity, the Agency takes a number of steps to 

ensure that opportunities for advancement are open and available to all in the workforce, 

including PWD and PWTD. The following describes efforts to promote opportunities

for advancement

n Information about training, the Agency’s Mentoring Program, and career development opportunities is widely shared with the workforce via SEC Today which is the 

SEC’s daily newsletter published agency-wide

n OHR maintains a user-friendly, interactive portal, AskHR, on the SEC’s intranet, 

which provides employees with information about hiring, compensation, and 

benefits, employee development, performance management, and disability 

accommodations, among a number of other topics

n The Chief Human Capital Officer (CHCO) is an active member of the SEC Veterans 

Committee, which hosts a website that includes information concerning veterans’ 

benefits, to include a link to the Feds Hire Vets website that highlights special hiring 

authorities for veterans

n DIAC regularly communicates with its membership, which includes PWD and 

PWTD, about its own activities, other events, developmental opportunities, and job 

postings or support available to the workforce. These more targeted communications

help ensure that PWD and PWTD are aware of the available options and any 

processes for requesting participation or enrollment

Continued on the next page
110 | EEO PROGRAM STATUS REPORT

In addition to these ongoing efforts, in FY 2020, the SEC made steady progress to address 

recommendations by the EEOC (through its technical assistance review) to improve the 

SEC’s EEO and Disability Programs. These improvements, which were commended by

the EEOC, included: issuing compliant reasonable accommodation procedures; posting 

reasonable accommodation procedures on the SEC’s external website; posting personal 

assistance services procedures on the SEC’s external website; and posting Section 504 and 

508 of the Rehabilitation Act and Architectural Barriers Act notices on the SEC’s external 

website. The SEC continues to focus on enhancements with respect to advancement

opportunities for persons with disabilities. On February 12, 2021, the SEC submitted its

compliance report to the EEOC related to the ongoing deficiencies

Career Development Opportunities

1. Please describe the career development opportunities that the Agency provides to its employee

The SEC provides numerous opportunities for employees to acquire the skills and 

certifications needed to succeed in their technical positions and to progress in their careers

Classroom-style and e-Learning programs offer an extensive array of learning opportunities 

in technical areas (e.g., courses on Hedge Funds, Mutual Funds, and Credit Derivatives

etc.), as well as in leadership development, to SEC senior leaders and non-supervisory staff

alike. Among the variety of learning and development offerings, the SEC offers the five career

development training programs highlighted below. Data on participation in these programs is

captured along with other training program data in Section IV below

n The Women in Leadership Program is offered once a year under the auspices of the 

Brookings Institution. Each year, the SEC provides either managers (SK-15 and SK-17

supervisors) or non-managerial staff (SK-14 and SK-16 levels) the opportunity to 

participate in this leadership development program. Program participants from across

federal agencies learn how to strengthen leadership qualities and explore key elements 

of senior leadership success while maintaining authenticity and balance

n The EIG Fellows Program, coordinated by the Partnership for Public Service, 

strengthens the leadership skills of experienced federal employees through a combination 

of innovative coursework, best practices benchmarking, challenging action-learning 

projects, executive coaching, and government-wide networking. This program is offered

to SEC employees in the SK-14 to SK-17 (a mix of supervisory and non-supervisory) 

levels. SEC’s EIG Fellows attend facilitated sessions at SEC Headquarters to share

what they are learning and to explore how this information can be applied to improve 

organizational performance, workplace relationships, and productivity

Continued on the next page
FISCAL YEAR 2020 | 111

n The Aspiring Leaders Program is an interactive blended-learning program designed to 

strengthen the leadership and management skills of SEC non-supervisory (SK-13 and 

SK-14) employees. The program covers: critical leadership skills for effective supervision;

first-line management responsibilities; understanding government policy, process, and 

regulations relevant to management; and increasing self-awareness through guided selfassessments and feedback

n The Career Advancement Program (CAP) is a 12-month external professional 

development program geared toward mid-career professionals who aspire to senior 

leadership roles. CAP is conducted by Management Leadership for Tomorrow (MLT),

a nonprofit organization that aims to transform the career trajectories of diverse leaders 

by providing them the skills, coaching, and connections needed to accelerate their 

careers. CAP’s professional development journey includes realistic business simulations,

sustainable strategies and tools for professional growth and development and a cohort of 

peers representing various industries and functions

n The Upward Mobility Program offers SEC employees in support staff positions the 

opportunity to expand their careers by competing for entry-level program specialist 

positions (series 301) starting at the SK-7 or SK-9 level and with promotion potential 

to the SK-12 level. These positions are open to all SEC employees serving under a

permanent appointment. This program includes two years of formal training designed

to foster the success of participants. The training, developed by SEC University, includes

tailored guidance and mentoring for both the participants and their supervisors

In addition to the formal career development programs referenced above, the Agency 

encourages employees, including PWD and PWTD, to pursue leadership development 

through a variety of program offerings, including both individual coaching and an agencywide mentoring program. In FY 2020, 71 SEC employees engaged in coaching with an

external coach. Due to confidentiality considerations, the SEC does not track demographic

information for the employees engaged in coaching opportunities. Non-supervisory

offerings developed for leaders without formal authority included: Managing Yourself in 

the Virtual Environment and Building Effective Relationship Networks (this latter course 

is designed to enhance relationship-building and maintain effective relationships for SEC 

leaders at all levels)

In FY 2020, the SEC initiated the development of the Senior Officer (SO) Cohort Program, 

which places an agency-wide emphasis on ensuring that SO applicants across the Agency 

have the leadership skills needed to excel in an SO position. The program will improve the

process for identifying and selecting future leaders by creating a centralized, agency-wide 

selection program that initially screens candidates on essential leadership competencies in 

a fair and legally-compliant manner. OHR’s Human Capital Strategy Group is developin

Continued on the next page
112 | EEO PROGRAM STATUS REPORT

the SO Cohort Program with a high level of rigor to ensure it provides a standardized, fair, 

and legally-compliant approach for selecting SOs. Special advisors from OEEO and OMWI

provided technical assistance so that program materials and processes emphasize and support 

fairness, diversity, and inclusion. In FY 2021 OHR will launch a communication campaign

to educate SEC employees on the program and create awareness, specifically emphasizing 

that the program offers an inclusive, open opportunity to advance for those employees 

willing to self-develop in the leadership skills targeted by this program

In FY 2020, the Agency launched the second offering of the SEC Mentoring Program 

which was advertised SEC wide. On September 23, 2019, 103 employees registered interest

in participating in the second mentoring cohort. On a first-come, first-serve basis, 30

participants were accepted into the Mentoring Program and matched with volunteer mentors 

with deep technical expertise and/or leadership experience. The SEC held an orientation

session for both mentors and mentees on October 28 and 29, 2019. Thereafter, the SEC held

formal events facilitated by the Office of the Chief Operating Officer and SEC University 

experts each quarter throughout FY 2020 (these career development events were offered 

virtually once SEC personnel transitioned to full-time telework due to the pandemic) to 

help guide the mentoring relationship toward success. The second cohort of the Mentoring

Program celebrated its Capstone event in June 2020

In FY 2020, the EEOC conducted a technical evaluation of the SEC’s EEO and 

Disability Programs, and recommended, inter alia, that the SEC develop and implement 

a comprehensive plan to support employees with disabilities in career development and 

advancement opportunities, pursuant to 29 C.F.R. § 1614.203(d)(1)(iii). Specifically,

EEOC recommended that the SEC ensure that a number of participants in its mentoring 

program be PWD and PWTD

In response to the EEOC’s feedback, the SEC committed to reserving a number of slots in the 

next cycle of the Mentoring Program as it transitions to a permanent program (with a target 

set for the 2022 mentee cohort). In addition, the SEC recognized that ensuring advancement

opportunities for PWD and PWTD remains an area of opportunity and has increased efforts 

to ensure full compliance with this regulation

In FY 2021, the SEC is launching a cross-office working group comprised of subject 

matter experts in the Offices of the Chief Operating Officer, Human Resources, Equal 

Employment Opportunity, and Minority and Women Inclusion which will consult with 

the Disability Interests Advisory Committee and other disability inclusion champions to 

drive a comprehensive plan related to advancement opportunities for PWD and PWTD

Enhanced marketing and possible tailoring of existing and developing SEC advancementrelated programs and creating new programs will be collectively explored. Participation

among PWD and PWTD in the Agency’s existing career development opportunities is 

provided below
FISCAL YEAR 2020 | 113

2. In the table below, please provide the data for career development opportunities that require

competition and/or supervisory recommendation/approval to participate

Career Development Opportunities1

Total Participants PWD PWTD

Applicants 

(#)

Selectees 

(#)

Applicants 

(%)

Selectees 

(%)

Applicants 

(%)

Selectees 

(%)

Internship Programs 526 [Redacted 

to protect 

privacy.] 

7.79% 33.33% 2.85% 33.33%

Fellowship Programs 165 17 0.61% 0.00% 0.61% 0.00%

Mentoring Programs 93 30 13.98% 13.33% 3.23% 3.33%

Coaching Programs NA NA NA NA NA NA

Training Programs 727 727 11.00% 11.00% 2.06% 2.06%

Detail Programs 65 13 6.15% 0.00% 1.54% 0.00%

Other Career Development Programs NA NA NA NA NA NA

Notes to help the reader understand the data above:

1 The SEC’s Mentoring Program was open for registration to all employees. Mentees were selected on a first-come, first-served basis. 

 Due to confidentiality considerations, the SEC does not track demographic information for employees engaged in coaching programs.

 Training Programs data show demographic data for all permanent employees’ registrations for training in LEAP and completed training 

opportunities during FY 2020. There is no competition for training class registration. All eligible employees who register or apply are 

invited or selected to complete the training course. Applicant and selectee participation records are thus identical. These Applicant 

registration and Selectee participation records may include more than one training opportunity per employee, representing both 

mandatory and elective courses. Therefore, the total registration and participation data exceed the total number of employees. 

 Detail Programs summarize information only for Temporary Promotions announced by the Agency for competitive selection. These data 

do not reflect detail opportunities that do not include a change to the employee’s personnel record, e.g., a detail to a job in the same pay 

grade and location.

 The SEC does not currently have “Other Career Development Programs.” 

3. Do triggers exist for PWD among the applicants and/or selectees for any of the career

development programs? (The appropriate benchmarks are the relevant applicant pool for the 

applicants and the applicant pool for selectees.) If “yes”, describe the trigger(s) in the text bo

a. Applicants (PWD) Yes X No 0

b. Selections (PWD) Yes X No 0

From the Career Development Opportunities table in Section IV above, data on the 

participation of PWD and PWTD in applications and selections for various programs 

were reviewed

For the internship program, 7.79% of applicants were PWD and PWD were 33.33% o

selections. As selections had a substantially higher percentage of PWD than the percentage

of PWD among applicants, there was no trigger for internships

Continued on the next page
114 | EEO PROGRAM STATUS REPORT

Within the Agency’s Mentoring Program (selections were on a first-come, first-served basis), 

the Agency found no evidence of a trigger in the participation rate among those who applied 

for the Mentoring Program (i.e., applicants) as compared to participation of PWD in th

permanent workforce (8.70%). PWD represent 13.98% of those employees who express

interest in the Mentoring Program and 13.33% of those selected for mentoring. Th

participation rate of PWD among those selected to participate in the Mentoring Program 

for FY 2020 almost approximates those that express interest in the training program

Aggregate PWD participation in training programs approved on standard form 182 

through the Agency’s learning management system, LEAP, exceeds their participation on 

rolls: 11.00% of training requiring separate approval on SF-182 were completed by PWD,

compared to 8.70% of permanent employees who are PWD. No trigger was found fo

applications or selections

Data about detailed employees show evidence of differences disadvantaging PWD among 

those who applied for details and among those selected. While 8.70% of permanen

staff were PWD, 6.15% of applicants for temporary promotion were PWD. None of th

applicants were selected

For other Career Development Opportunities, demographic data specific to disability status 

are not captured or maintained. The Agency will continue to offer such programming and

focus communication efforts to encourage participation of PWD and PWTD as described 

above, supra
FISCAL YEAR 2020 | 115

4. Do triggers exist for PWTD among the applicants and/or selectees for any of the career development programs identified? (The appropriate benchmarks are the relevant applicant pool for

applicants and the applicant pool for selectees.) If “yes”, describe the trigger(s) in the text bo

a. Applicants (PWTD) Yes X No 0

b. Selections (PWTD) Yes X No 0

From the Career Development Opportunities table in Section IV above, data on the participation of PWTD in various programs were reviewed for equality of employment opportunity 

in the applications and selections for these programs

Similar to the PWD data for the Agency’s economist and accountant Fellows programs combined, the Agency noted a difference between the participation of PWTD among (external) 

applicants for these programs and eventual selections for positions. While 0.61% of applicants were PWTD, none of the Fellows hired (0.00%) were P

For the internship program, 2.85% of applicants were PWTD, and PWTD were 33.33% o

selections. As selections had a substantially higher percentage of PWTD than the percentage

of PWTD among applicants, there was no trigger for internships

Within the Agency’s Mentoring Program, the participation rate for PWTD among applicants 

(3.23%) exceeded the percentage of PWTD among permanent staff (1.91%). Thus, no trigger was found among applicants. The participation of PWTD among employees selected 

mentoring in FY 2020 (3.33%) approximated the participation rate of PWTD in the permanent workforce. Thus, no trigger was found among selectio

No evidence of a trigger was found among applicants or selections in the training program

In the aggregate, training records show that PWTD participated in training programs 

approved on SF-182 through LEAP at rates slightly above their participation on rolls; 2.06%

of training opportunities requiring special approval were completed by PWTD, compared to 

1.91% of PWTD permanent employee

Data about Detailed employees show evidence of a difference disadvantaging PWTD among 

those who applied for Temporary Promotion and among those selected. While 1.54% o

applicants for temporary promotion were PWTD, PWTD represent 1.91% of permanent

staff employees. No PWTD were selecte
116 | EEO PROGRAM STATUS REPORT

Awards

1. Using the inclusion rate as the benchmark, does your Agency have a trigger involving PWD and

or PWTD for any level of the time-off awards, bonuses, or other incentives? If “yes”, please 

describe the trigger(s) in the text box

a. Awards, Bonuses, & Incentives (PWD) Yes X No 0

b. Awards, Bonuses, & Incentives (PWTD) Yes X No 0

The EEOC has suggested that agencies consider awards distribution based on inclusion 

rates, the degree to which each employee group is distributed across workforce indicators, e.g.

awarded or separated. This analysis requires aggregating data to the person level. Employee

who received at least one award in any particular award category are counted once

Aggregated data enables inclusion to be calculated as the proportion for all PWD and PWTD 

who received each type or category of award. One employee can and often does receive more

than one award in a year. One employee is represented more than once if he or she received

more than one award in that category

The inclusion rate for PWD was calculated by comparing the number and percent of 

employees with disabilities who received at least one award in each applicable program 

element to the number and percent of employees without a disability (this category combines 

persons with no disability and those who did not identify as having a disability) who received 

at least one award in each applicable program element

The inclusion rate for PWTD was calculated by comparing the number and percent of 

employees with targeted disabilities who received at least one award in each applicable 

program element to the number and percent of employees without a targeted disability 

(this category combines persons with no disability, those who did not identify as having a 

disability, and those with a disability that is not targeted) who received at least one award in 

each applicable program element

The Agency did not find a trigger in the distribution of time-off awards at any level (less than 

10 hours or 10 – 40 hours)

For cash awards, the Agency found a trigger for PWD for cash awards of $2,000 – $2,999

There were no triggers for PWD at any other cash award level

Continued on the next page
FISCAL YEAR 2020 | 117

For cash awards at the $2,000 – $2,999 level, the inclusion rate for PWD was 7.10%,

and the inclusion rate for people with no disability was 8.74

The Agency found triggers for PWTD at the cash award levels of $500 and under, 

$1,000 – $1,999, and $2,000 – $2,999

For cash awards of $500 and under, the inclusion rate for PWTD was 16.47%, and the

inclusion rate for people with no targeted disability was 18.75%. For cash awards o

$1,000 – $1,999, the inclusion rate for PWTD was 28.24%, and the inclusion rate for

people with no targeted disability was 35.28%. For cash awards of $2,000 – $2,999, th

inclusion rate for PWTD was 5.88%, and the inclusion rate for people with no targeted

disability was 8.66

The Agency has researched the observed differences in the distribution of discretionary 

awards, made recommendations, and is actively monitoring them as part of our barrier 

analysis program

2. Using the inclusion rate as the benchmark, does your Agency have a trigger involving PWD and

or PWTD for quality step increases or performance-based pay increases? If “yes”, please describe 

the trigger(s) in the text box

a. Pay Increases (PWD) Yes 0 No X

b. Pay Increases (PWTD) Yes 0 No X

The Agency did not have a trigger for PWD or PWTD for performance-based pay increases

3. If the Agency has other types of employee recognition programs, are PWD and/or PWTD

recognized disproportionately less than employees without disabilities? (The appropriate 

benchmark is the inclusion rate.) If “yes”, describe the employee recognition program and

relevant data in the text box

a. Other Types of Recognition (PWD) Yes 0 No 0 N/A X

b. Other Types of Recognition (PWTD) Yes 0 No 0 N/A X

In FY 2020, the Agency did not offer other formal recognition programs for which 

demographic data, including disability status, are captured in the human resource data 

systems. The Agency recognizes the value of recognition to support PWD and PWTD in

the workforce; trigger analysis is not conducted for programs such as the SEC Honorary 

Awards program or any of the several honors programs offered by Division Directors
118 | EEO PROGRAM STATUS REPORT

Promotions

1. Does your Agency have a trigger involving PWD among the qualified internal applicants and/or

selectees for promotions to the senior grade levels? (The appropriate benchmarks are the relevant 

applicant pool for qualified internal applicants and the qualified applicant pool for selectees.) For

non-GS pay plans, please use the approximate senior grade levels. If “yes”, describe the trigger(s)

in the text box

a. SES

Qualified Internal Applicants (PWD) Yes X No 0

Internal Selections (PWD) Yes 0 No X

b. Grade GS-15

Qualified Internal Applicants (PWD) Yes 0 No X

Internal Selections (PWD) Yes 0 No X

c. Grade GS-14

Qualified Internal Applicants (PWD) Yes 0 No X

Internal Selections (PWD) Yes X No 0

d. Grade GS-13

Qualified Internal Applicants (PWD) Yes 0 No X

Internal Selections (PWD) Yes 0 No X

The SEC crosswalks the Agency’s SK alternative pay plan’s senior grade levels to the General 

Schedule according to the following equivalencies: SES = SO and EX; GS-15 = SK-15 and 

SK-17; GS-14 = SK-14 and SK-16; GS-13 = SK-13. We note that the relevant applicant pools

(RAP) for the SK grade equivalencies of the GS-14 and GS-15 levels combine data across 

SK-grade levels. This combination was made to conform analyses to the format provided,

though the actual RAPs for the individual SK-levels differ

We reviewed FY 2020 data to assess whether triggers exist with regard to promotions to 

senior grade levels. Of 1,952 qualified internal applications for senior grade level positions,

363 (18.60%) were submitted by PWD. There was a difference between qualified applicant

(5.81%) and the RAP (7.00%) at the SES equivalent level. There were no triggers identifi

among qualified internal applicants to the GS-15, GS-14, or GS-13 equivalent senior grades

Among internal selections, a difference was observed at the GS-14 equivalent level, but not 

the SES, GS-15 or GS-13 equivalent levels. Of the 106 selections for internal promotions

to senior grade levels, 13.21% were PWD, which is lower than their availability in the

QAP at 18.60%. This difference was primarily driven by the GS-14 equivalent level. P

represented 15.91% of selections at the GS-14 equivalent level, while they were 21.97% o

qualified applicants
FISCAL YEAR 2020 | 119

2. Does your Agency have a trigger involving PWTD among the qualified internal applicants and/or

selectees for promotions to the senior grade levels? (The appropriate benchmarks are the relevant 

applicant pool for qualified internal applicants and the qualified applicant pool for selectees.) For

non-GS pay plans, please use the approximate senior grade levels. If “yes”, describe the trigger(s)

in the text box

a. SES

Qualified Internal Applicants (PWTD) Yes X No 0

Internal Selections (PWTD) Yes 0 No X

b. Grade GS-15

Qualified Internal Applicants (PWTD) Yes 0 No X

Internal Selections (PWTD) Yes 0 No X

c. Grade GS-14

Qualified Internal Applicants (PWTD) Yes 0 No X

Internal Selections (PWTD) Yes 0 No X

d. Grade GS-13

Qualified Internal Applicants (PWTD) Yes X No 0

Internal Selections (PWTD) Yes X No 0

Applying the same comparisons to PWTD described previously, the Agency presents 

information on trigger identification for PWTD in promotions to senior grade levels. Of

1,952 qualified internal applications for senior grade level positions, 50 (2.56%) were

submitted by PWTD, and 3.77% of selections were PWT

Differences were observed in the qualified applicant pools for the SES and GS-13 equivalent 

senior grade levels and among selectees at the GS-13 equivalent level. The following presents

data for each grade level

At the SES equivalent, SO, grade level, the RAP was 1.44% PWTD, and the participation

among qualified internal applicants of PWTD was 0.00%. No selections for SO position

were PWTD as there were no PWTD in the qualified applicant pool

At the GS-15 equivalent level, qualified internal applicants (1.87%) exceeded the RAP (1.43

At this level, selections among PWTD (2.27%) exceeded qualified applicants (1.87

At the GS-14 equivalent level, the RAP was 1.55% while 2.58% of the qualified interna

applicants were PWTD. Selections among PWTD (6.82%) exceeded the qualified applican

pool (2.58%

At the GS-13 equivalent level, the Agency observed a difference involving PWTD among 

qualified internal applicants. The RAP was 5.63%, and the participation of PWTD amon

qualified internal applicants was 4.32%. None of the PWTD qualified internal applicant

were selected
120 | EEO PROGRAM STATUS REPORT

3. Using the qualified applicant pool as the benchmark, does your Agency have a trigger involving

PWD among the new hires to the senior grade levels? For non-GS pay plans, please use the 

approximate senior grade levels. If “yes”, describe the trigger(s) in the text bo

a. New Hires to SES (PWD) Yes X No 0

b. New Hires to GS-15 (PWD) Yes X No 0

c. New Hires to GS-14 (PWD) Yes 0 No X

d. New Hires to GS-13 (PWD) Yes X No 0

The Agency presents information on trigger identification for PWD new hires to senior 

grade levels. Among the 256 newly-hired staff members in FY 2020 were 207 persons hired

into senior grade level positions: five SOs, 11 into GS-15 equivalent positions, 105 into 

GS-14 equivalent positions, and 86 into GS-13 equivalent positions. Sixteen of those 207

(7.73%) newly-hired permanent staff in senior grade levels identified as PWD. The followin

evaluates participation of PWD in each senior grade equivalent level

The QAP summarizes data where the applicant self-identified with a disability and qualified 

for the position. Data describe vacancies for permanent positions with the SEC that were

posted in USAJOBS with a closing date during the fiscal year, and new hires onboarded 

during the course of the fiscal year—some of whom applied for a vacancy posted prior to 

the start of the fiscal year and some who were onboarded from open, continuous postings

Differences may be observed in the demographic statistics of those selected versus those 

onboarded as new hires. Triggers comparing the composition of PWD and PWTD (see

Question 5 immediately below) in applicant flow versus new hire data should be interpreted 

with these differences in mind

At the SES equivalent level, the QAP was 1.67% PWD, and none of the five newly-hired

permanent SOs identified as PWD

At the GS-15 equivalent level, the QAP was 10.94% PWD, and 9.09% of the 11 newlyhired permanent staff for those positions identified as P

At the GS-14 equivalent levels, the QAP was 8.76% PWD, and 9.52% of the 105 newlyhired permanent staff were P

At the GS-13 equivalent level, the QAP was 11.69% PWD, while 5.81% of the 86 new hire

to GS-13 equivalent positions identified as PWD
FISCAL YEAR 2020 | 121

4. Using the qualified applicant pool as the benchmark, does your Agency have a trigger involving

PWTD among the new hires to the senior grade levels? For non-GS pay plans, please use the 

approximate senior grade levels. If “yes”, describe the trigger(s) in the text bo

a. New Hires to SES (PWTD) Yes 0 No X

b. New Hires to GS-15 (PWTD) Yes X No 0

c. New Hires to GS-14 (PWTD) Yes X No 0

d. New Hires to GS-13 (PWTD) Yes X No 0

The Agency presents information on trigger identification for PWTD new hires to senior grade 

levels. The participation rate for PWTD was 0.9

The Agency found triggers in participation of PWTD between qualified applicants and new 

hires at the GS-13, GS-14, and GS-15 equivalent levels. The Agency did not have a trigger at

the SES equivalent level because no PWTD were found among the qualified applicants for SES/

SO positions, thus no trigger was identified at that level

More detail about each senior grade level follows in descending order by level

At the GS-15 equivalent level, the QAP was 2.13%; no newly-hired staff members were

PWTD (0.00%

At the GS-14 equivalent level, the QAP was 2.98% PWTD; 1.90% of the newly-hired GS-1

equivalent staff were PWTD

At the GS-13 equivalent level, the QAP was 3.96% PWTD, no newly-hired staff members

were PWTD (0.00%
122 | EEO PROGRAM STATUS REPORT

5. Does your Agency have a trigger involving PWD among the qualified internal applicants and/or

selectees for promotions to supervisory positions? (The appropriate benchmarks are the relevant 

applicant pool for qualified internal applicants and the qualified applicant pool for selectees.) If

“yes”, describe the trigger(s) in the text box

a. Executives

Qualified Internal Applicants (PWD) Yes 0 No X

Internal Selections (PWD) Yes 0 No X

b. Managers

Qualified Internal Applicants (PWD) Yes 0 No X

Internal Selections (PWD) Yes X No 0

c. Supervisors

Qualified Internal Applicants (PWD) Yes 0 No X

Internal Selections (PWD) Yes X No 0

The SEC cross-walked the Agency’s alternative pay plan supervisory levels to the Executive, 

Manager, and Supervisor levels according to the following equivalencies: Executives 

= SO; Managers = SK-17 and the supervisory Administrative Law Judges in pay plan 

Administrative Law (AL); and Supervisors = employees or positions at SK-levels below 

SK-17 who hold supervisory status. The Agency notes that, similar to the senior grade level

equivalencies, the relevant applicant pools for supervisory levels at the Agency combine data 

across multiple SK levels. This combination was made to conform analyses to the format

provided, though the actual RAPs for the specific leadership levels differ

FY 2020 data are relevant for assessing whether triggers exist with regard to promotions to 

supervisory or managerial positions. Among the promotions in FY 2020 were 58 persons

promoted to a leadership position at the supervisor, manager, or executive level: 10 SOs, 

22 managers, and 26 supervisors. The following evaluates participation of PWD in each

leadership level

For the executive, manager, and supervisor levels, there were no differences to the 

disadvantage of PWD in the qualified internal applicant pool compared to the RAP

For executives, the Agency did not have a trigger involving internal selections. The qualified

applicant pool was 4.46% PWD, and selections were 10.00% P

For managers, the Agency had a trigger involving internal selections. The qualified applicant

pool was 10.13%, and selections were 4.55% P

For supervisors, the Agency also had a trigger involving internal selections. The qualified

applicant pool was 14.45%, and selections were 11.54% P
FISCAL YEAR 2020 | 123

6. Does your Agency have a trigger involving PWTD among the qualified internal applicants and/or

selectees for promotions to supervisory positions? (The appropriate benchmarks are the relevant 

applicant pool for qualified internal applicants and the qualified applicant pool for selectees.) If

“yes”, describe the trigger(s) in the text box

a. Executives

Qualified Internal Applicants (PWTD) Yes X No 0

Internal Selections (PWTD) Yes 0 No X

b. Managers

Qualified Internal Applicants (PWTD) Yes 0 No X

Internal Selections (PWTD) Yes X No 0

c. Supervisors

Qualified Internal Applicants (PWTD) Yes 0 No X

Internal Selections (PWTD) Yes 0 No X

The Agency presents information on trigger identification for PWTD internal promotions 

to supervisory positions. None of the 38 promotions were PWTD. The following evaluate

participation of PWTD in each leadership level

For Executives, there was a difference between the participation of PWTD in the qualified 

internal applicant pool compared to the RAP. There were no qualified applicants and the

relevant applicant pool was 1.54% PWTD. There was no trigger for selections. No PW

were selected, as there were no qualified applicants

For Managers, there was no difference between the participation of PWTD in the qualified 

internal applicant pool compared to the RAP. The RAP was 1.13% PWTD and 1.2

of the qualified internal applicants were PWTD. The Agency identified a difference in

participation for PWTD involving internal selections. No PWTD were selected, while PWTD

were 1.27% of the qualified applicant poo

For Supervisors, no triggers were identified among qualified internal applicants or selections
124 | EEO PROGRAM STATUS REPORT

7. Using the qualified applicant pool as the benchmark, does your Agency have a trigger involving

PWD among the selectees for new hires to supervisory positions? If “yes”, describe the trigger(s) 

in the text box

a. New Hires for Executives (PWD) Yes X No 0

b. New Hires for Managers (PWD) Yes X No 0

c. New Hires for Supervisors (PWD) Yes 0 No X

The Agency presents information on trigger identification for PWD new hires into leadership 

positions, after assessing whether differences exist with regard to applicants and new hires in 

supervisory positions for PWD (this question) and PWTD (see the next question)

A difference was found in FY 2020 new hire data for PWD at the executive and manager 

levels. No trigger was found at the supervisor leve

Among the 256 newly-hired staff members in FY 2020 were 18 persons hired into leadership 

positions: five SOs, two SK-17 managers, and 11 supervisors below SK-17. [Redacted to

protect privacy.] newly-hired permanent staff in leadership positions identified as PWD. The

following evaluates participation of PWD in each leadership level

For executives, the QAP was 1.00% PWD, and none of the five newly-hired permanent

executives identified as PWD

For managers, the QAP was 4.92% PWD, and neither of the two newly-hired managers

identified as PWD

For supervisors, the QAP was 12.78%, and 18.18% PWD were newly-hired into [Redacte

to protect privacy.] supervisory positions
FISCAL YEAR 2020 | 125

8. Using the qualified applicant pool as the benchmark, does your Agency have a trigger involving

PWTD among the selectees for new hires to supervisory positions? If “yes”, describe the trigger(s) 

in the text box

a. New Hires for Executives (PWTD) Yes 0 No X

b. New Hires for Managers (PWTD) Yes 0 No X

c. New Hires for Supervisors (PWTD) Yes X No 0

No differences were found in the new hire data for PWTD at the executive or manager 

levels, but a difference was found at the supervisor level

For executives, no PWTD (0.00%) were found in the qualified applicant pool, so there was

no opportunity to observe a trigger. No PWTD were onboarded or selected as new hires for

executive positions in FY 2020

For managers, no PWTD (0.00%) were found in the qualified applicant pool, so there was

no opportunity to observe a trigger. No PWTD were onboarded or selected as new hires for

manager positions in FY 2020

None of the 11 (0.00%) newly-hired permanent staff in supervisor positions identified as

PWTD. The QAP was 1.94% [Redacted to protect privacy
126 | EEO PROGRAM STATUS REPORT

SECTION V: PLAN TO IMPROVE RETENTION OF PERSONS 

WITH DISABILITIES 

To be a model employer for persons with disabilities, agencies must have policies and programs in 

place to retain employees with disabilities. In this section, agencies should: (1) analyze workforce

separation data to identify barriers to retaining employees with disabilities; (2) describe efforts to 

ensure accessibility of technology and facilities; and (3) provide information on the reasonable 

accommodation program and workplace personal assistance services

Voluntary and Involuntary Separations

1. In this reporting period, did the Agency convert all eligible Schedule A employees with a disability

into the competitive service after two years of satisfactory service (5 C.F.R. § 213.3102(u)(6)(i

If “no”, please explain why the Agency did not convert all eligible Schedule A employees

Yes X No 0 N/A 0

The SEC maintains discretion on conversions to a career or career-conditional appointment 

among employees on Schedule A appointments. As a general practice, those Schedule A

employees who were not converted voluntarily accepted a new Schedule A appointment 

within the Agency. During FY 2020, [Redacted to protect privacy.] employees were

converted to the competitive service under the Schedule A hiring authority within two years 

of their most recent Schedule A appointment. [Redacted to protect privacy.] employees are

currently serving on their most recent Schedule A appointments that were processed within 

the past two years. [Redacted to protect privacy.] employees hired in FY 2019 are serving on

an initial Schedule A appointment, and [Redacted to protect privacy.] staff members were 

newly-hired under Schedule A during FY 2020. A review of records for other Schedule A

employees, who were hired or transferred to the SEC and remain on rolls at the close of FY 

2020, confirms that all were converted to the competitive service within two years of their 

most recent Schedule A appointment
FISCAL YEAR 2020 | 127

2. Using the inclusion rate as the benchmark, did the percentage of PWD among voluntary

and involuntary separations exceed that of persons without disabilities? If “yes”, describe 

the trigger below

a. Voluntary Separations (PWD) Yes 0 No X

b. Involuntary Separations (PWD) Yes 0 No X

Data from Table B1 on voluntary and involuntary separations by disability were used to 

calculate the inclusion rates. Inclusion rates were calculated as the number of PWD who

separated among all PWD in the workforce, compared to the same proportion among 

persons with no disability (this category is combined with those who did not self-identify 

as having a disability)

The Agency did not have a trigger for voluntary or involuntary separations in FY 2020. The

inclusion rate on voluntary separations was lower for PWD (3.07%) than for persons with

no disability (3.68%). Likewise, the inclusion rate on involuntary separations was lower fo

PWD (0.00%) than for persons with no disability (0.05

3. Using the inclusion rate as the benchmark, did the percentage of PWTD among voluntary and

involuntary separations exceed that of persons without targeted disabilities? If “yes”, describe 

the trigger below

a. Voluntary Separations (PWTD) Yes 0 No X

b. Involuntary Separations (PWTD) Yes 0 No X

Using data from Table B1, the inclusion rates were calculated as the number of PWTD who 

separated among all PWTD in the workforce, compared to that same proportion among 

persons with no disability (this group also includes those who did not self-identify as having 

a disability and those with a disability that is not targeted)

The Agency did not have a trigger for voluntary or involuntary separations in FY 2020. The

inclusion rate on voluntary separations was lower for PWTD (2.33%) than for persons with

no disability (3.68%). Likewise, the inclusion rate on involuntary separations was lower fo

PWTD (0.00%) than for persons with no disability (0.05
128 | EEO PROGRAM STATUS REPORT

4. If a trigger exists involving the separation rate of PWD and/or PWTD, please explain why they

left the Agency using exit interview results and other data sources

Not applicable. The Agency did not have a trigger with respect to separations for PWD or

PWTD in FY 2020

Accessibility of Technology and Facilities

Pursuant to 29 C.F.R. § 1614.203(d)(4), federal agencies are required to inform applicants 

employees of their rights under Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. § 794(b

concerning the accessibility of Agency technology, and the Architectural Barriers Act of 1968 (42 

U.S.C. § 4151-4157) concerning the accessibility of Agency facilities. In addition, agencies are requi

to inform individuals where to file complaints if other agencies are responsible for a violation

1. Please provide the internet address on the Agency’s public website for its notice explaining

employees’ and applicants’ rights under Section 508 of the Rehabilitation Act, including a 

description of how to file a complaint

Information specific to the accessibility of SEC facilities and technology under Sections 504 

and 508 of the Rehabilitation Act is not currently consolidated into one specific notice or 

resource. Such information can be gathered from a variety of sources, including 17 C.

§§ 200.601 to 200.670, Enforcement of Nondiscrimination on the Basis of Handica

in Programs or Activities Conducted by the Securities and Exchange Commission (SEC 

504 regulations), SEC Administrative Regulation 24-10 (SECR 24-10), Information 

and Communication Technology (ICT) Section 508/Accessibility Program, and SEC 

Administrative Regulation 11-3 (SECR 11-3), Leasing Program

Information about the SEC’s Accessibility/Disability Program is posted on SEC.gov:

SEC.gov/disability/sec_access.htm and SEC.gov/accessibility/sec-accommodationprocedures

Continued on the next page
FISCAL YEAR 2020 | 129

The SEC recently updated the Accessibility page of SEC.gov with applicable complaint-filing

procedures under both Sections 504 and 508 of the Rehabilitation Act and the Architectural 

Barriers Act. Updates included an explanation of the Rehabilitation Act and Architectural

Barriers Act, informal processes for providing feedback about accessibility of facilities and 

technology to SEC, contact information and specific complaint processes for filing a formal 

claim related to accessibility, and additional resources for individuals to learn more. An SEC

Administrative Regulation (SECR) and SEC Operating Procedures (SECOP) setting forth the 

complaint process related to Sections 504 and/or 508 and the Architectural Barriers Act will 

be finalized in FY 2021, and will be posted on SEC.gov thereafte

Every SEC vacancy announcement posted to USAJOBS includes information about obtaining 

accommodations, including alternative methods to apply. The name of SEC’s Special

Programs Manager serving as the Selective Placement Program Coordinator is posted on 

OPM’s website. OHR has built a separate page providing more in-depth information about

hiring PWD (SEC.gov/ohr/sec-disability-program-page.html). This page includes a link 

an online form (SEC.gov/forms/ada4applicants#no-back) for requesting accommodations

in the technology-enabled job application process and information on alternate methods for 

contacting the Disability Program at the SEC

The SEC also currently posts information on how to file an EEO complaint under, inter alia, 

Section 501 of the Rehabilitation Act at SEC.gov/eeoinfo/eeocomplaints.h

2. Please provide the internet address on the Agency’s public website for its notice explaining

employees’ and applicants’ rights under the Architectural Barriers Act, including a description 

of how to file a complaint

Information is posted on SEC.gov: SEC.gov/disability/sec_access.htm. This page contains 

required notice explaining employees’ and applicants’ rights under the Architectural Barriers 

Act, including how to file a complaint
130 | EEO PROGRAM STATUS REPORT

3. Describe any programs, policies, or practices that the Agency has undertaken, or plans on

undertaking over the next fiscal year, designed to improve accessibility of Agency facilities 

and/or technology

The SEC continues to improve upon current practices in place to ensure all Information 

and Communication Technology (ICT) is accessible to internal and external parties, as 

mandated by the Rehabilitation Act of 1973. The Agency’s testing and validation process

includes dedicated resources, testing tools, documented test processes, and a remediation 

process. The majority of ICT products and tools are tested before they are deployed. Upo

completion of testing, project teams are notified of the defects and are instructed to submit, 

for approval, a Remediation Plan, indicating a definitive timeline in which the vendor will 

make the respective product 508-compliant

The Office of Public Affairs has been instrumental in educating SEC staff on the guidelines 

and importance of Section 508 of the Rehabilitation Act. Training courses have been

offered, as well as “how to” videos that inform staff of the process with making electronic 

information technologies accessible to all parties. Further, all Agency Contracting Officer

Representatives (CORs) were required to complete Section 508 training in FY 2020

The Office of Information Technology will be active in supporting the SEC Administrative 

Regulation that defines roles and responsibilities of SEC staff to address formal Section 

508 Complaint Procedures related to accessibility of IT programs and services
FISCAL YEAR 2020 | 131

Reasonable Accommodation Program

Pursuant to 29 C.F.R. § 1614.203(d)(3), agencies must adopt, post on their public website, 

make available to all job applicants and employees, reasonable accommodation procedures

1. Please provide the average time frame for processing initial requests for reasonable

accommodations during the reporting period. (Please do not include previously approved

requests with repetitive accommodations, such as interpreting services.

The SEC established a reasonable accommodation (RA) processing timeline of 20 business 

days from the day of request to fulfillment, absent extenuating circumstances. Excluding

the provision of adjustable height tables (AHTs), in FY 2020, 74% of initial requests for 

accommodation were processed within 20 business days

The timeframe for processing RA requests in FY 2020 was affected by a number of 

organizational, environmental, and business process changes that impacted the Agency’s ability 

to meet timeliness goal. Organizationally, the Agency maintained sufficient funding to acquire

and implement approved accommodations for individuals with disabilities. At the end of FY

2019, the Agency experienced significant attrition of two key staff members with familiarity 

with the functions relative to processing requests for reasonable accommodation during this 

period. Since then, the Agency has ensued rigorous staffing activities through competitive

staffing and detail opportunity procedures to regain adequate staffing levels to effectively 

administer the reasonable accommodation program. In FY 2020, the program hired additional

staff to administer the RA program and respond to the RA program requests increasing its 

staffing level by one full-time equivalent (FTE) which include two federal employees (one 

staffer was on detail to another office from June to December 2020), and one contractor who 

provides administrative support for the RA program, along with the Disability Program Officer 

who also manages a diverse portfolio of other HR programs

At the start of FY 2020, the Agency instituted several initiatives to mitigate barriers impacting 

reasonable accommodation timeliness. The limited production of certain ergonomic items

(e.g., AHT desk-mounted solace equipment) resulted in extended lead time and required tha

the Agency temporarily change its vendor to meet the Agency’s requirements. Also, the local

distributor for the previous vendor servicing the entire Agency changed and manufacturer 

response time for the delivery and installation of equipment was impacted. In March 2020, as

a result of the COVID-19 pandemic, the Agency instituted mandatory telework agency-wide, 

with limited exceptions. This prevented the Agency from delivering and installing ergonomic

equipment that was purchased prior to the mandatory telework posture

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132 | EEO PROGRAM STATUS REPORT

Notwithstanding this, the SEC continued to provide reasonable accommodations to 

include PAS reader and personal assistant services, assistive technology and equipment, and 

ergonomic equipment to PWDs and PWTDs during the current mandatory telework status

The Agency provided non-installation equipment (e.g., task chairs, monitors, keyboards

etc.) to employees’ residences. Additionally, the Agency provided employees with a onetime stipend of up to $335.00 to help defray the costs of certain IT and telework expens

incurred during the mandatory telework posture. Moreover, the Agency established interim

workplace flexibilities with additional work scheduling options to assist employees with 

balancing work and personal obligations during the COVID-19 pandemic

In FY 2020, the SEC initiated the procurement process to establish new contract vehicles 

via five-year blanket purchase agreements (BPA) for its Sign Language Interpretation and 

Ergonomic Furniture and Equipment Services. Implementation of the new vendor for the

Sign Language Interpretation Services remains underway and is scheduled for FY 2021

A new BPA for the ergonomic program was established in FY 2020 and will provide 

more efficient and timely acquisition of vendor services and products. Under the previous

contractual arrangement, the vendor typically required a 4 – 6 week lead time for the 

manufacturing of the product. After this time, the Agency works with the vendor to schedule

coordinated delivery and installation of the product. This typically requires an additional

1 – 2 weeks. Under the new contract, the vendor typically requires a 4-week lead time which

includes delivery. With this arrangement, the Agency anticipates a 2-week improvement

in its ability to implement the ergonomic furniture and equipment. Furthermore, items

will continue to be shipped to the manufacturer installer’s warehouse and delivery and 

installation will be scheduled by the Agency. Therefore, onsite storage of equipment in

Regional Offices is a non-issue. For Agency Headquarters offices, ergonomic furniture and

equipment will continue to be stocked in inventory

The SEC initiated frequent consultations with medical experts at the Federal Occupational 

and Health (FOH) to complete medical reviews of employees with a wide range of 

conditions in an effort to improve their ability to do their jobs and maintain a high level of 

productivity. In FY 2020, requests to FOH were processed in 24.3 days on average. Whi

timeliness of FOH opinions improved by 13.1% in FY 2020, environmental factors further

impacted the Agency’s overall timeliness. Specifically, the impact of the ongoing COVID-19

pandemic affected the procurement process for the purchase of items for employees with 

disabilities and delayed scheduled installation of assistive technology and ergonomic 

equipment throughout the SEC

Continued on the next page
FISCAL YEAR 2020 | 133

The Agency will continue ongoing efforts to procure a new HR service delivery platform 

to automate the reasonable accommodation program case management process in FY 

2021. The implementation of the system is expected to simplify case tracking, help identify

systemic delays, improve customer service by allowing employees to request reasonable 

accommodations personally and privately, and address the timeliness standards set by the 

new SEC policy which increased the processing timeframe to 45 business days, absent undue 

hardship. Multiple competing priorities delayed the implementation of the case management

system in FY 2020. During Q1 FY 2020, the Agency met with a potential vendor that

included a system demonstration of a Commercial Off-The-Shelf (COTS) product to identify 

a solution that complements the Agency’s reasonable accommodation program process and 

requirements in terms of system functionality, adaptability, and accessibility. To advance RA

program maturity and success, system requirements analyses are expected to be completed 

in calendar year 2021 and full design and implementation of the system, which includes 

finalizing RA electronic system requirements, conducting user acceptance testing, and 

training the SEC workforce on the new interactive processing portal is expected in calendar 

year 2022

In the meantime, a more structured set of processes and procedures were developed and used 

in FY 2020 for capturing data related to processing RA requests. The time frame for processing initial requests for RA during FY 2020 was 21.5 days; RA requests, excluding AHT wer

processed in 26.7 days; and requests for AHTs were processed in 11.5 days, respective

2. Describe the effectiveness of the policies, procedures, or practices to implement the Agency’s

reasonable accommodation program. Some examples of an effective program include timely

processing requests, timely providing approved accommodations, conducting training for 

managers and supervisors, and monitoring accommodation requests for trends

The interactive portal, AskHR, on the Agency’s intranet provides employees with 

information about reasonable accommodation and the processes for making requests. To

support employees in making such a request, the Agency will replace the resource guide 

Disability Accommodation Procedures with a new RA policy and operational procedures in 

FY 2021. This new guidance will be available on the interactive portal for everyone involved

in the accommodations process. It explains how persons with disabilities should request

accommodations, how requests are processed, and, as applicable, how requestors may seek 

review of decisions where a request has been denied

Continued on the next page
134 | EEO PROGRAM STATUS REPORT

The SEC provides temporary accommodations to employees with short-term medical 

conditions even when the condition does not constitute a covered disability when supervisory 

officials and the Disability Program Office decide that it is appropriate to do so. In FY 2020,

the SEC processed 51 Temporary Medical Telework (TMT) requests, processed 104 RA 

requests, of which 26 were requests for telework as a reasonable accommodation

All new SEC managers participate in mandatory training regarding the reasonable 

accommodation process as part of the CLTD 307 Fundamentals of Human Resource 

Management training. Additionally, the SEC’s New Employee Orientation includes a

presentation on the following programs and processes: RA, TMT, Telework, and Leave 

(i.e., annual/sick, advance leave, FMLA, etc.). This information is included in the 

Employee Handbook and made available on the AskHR portal

The Agency will continue ongoing efforts to procure a new HR service delivery platform 

to automate the reasonable accommodation program case management process in FY 

2021. The implementation of the system is expected to simplify case tracking, help identify

systemic delays, improve customer service by allowing employees to request reasonable 

accommodations personally and privately, and address the timeliness standards set by the 

new SEC policy which increased the processing timeframe to 45 business days, absent undue 

hardship. To advance RA program maturity and success, system requirements analyses

are expected to be completed in calendar year 2021 and full design and implementation of 

the system which includes finalizing RA electronic system requirements, conducting user 

acceptance testing, and training the SEC workforce on the new interactive processing portal 

is expected in calendar year 2022

Additionally, OHR continues to find ways to strengthen the current manual tracking process, 

including tracking timeliness for processing RA requests, and meeting on a monthly basis 

with the CHCO to review and discuss timeliness and processing of all RA cases. The Agency

will continue its efforts to implement the business requirements for the electronic case 

management system

Requests and information relative to Personal Assistance Services remain available on the 

AskHR interactive portal. The SEC intends to publish in FY 2021 the new RA policy and

operational procedures approved by the EEOC (in August 2019). During FY 2020, the

Agency continued the review of the electronic case management system’s business requirements, the new policy, and related procedural changes that support RA for employees and 

applicants for employment. Furthermore, changes to RA procedures will likely necessitate

updates to training, job aids, notices, and other information sources in FY 2021 and beyond
FISCAL YEAR 2020 | 135

Personal Assistance Services Allowing Employees to Participate 

in the Workplace

Pursuant to 29 C.F.R. § 1614.203(d)(5), federal agencies, as an aspect of affirmative action, 

required to provide personal assistance services (PAS) to employees who need them because of a 

targeted disability, unless doing so would impose an undue hardship on the Agency

1. Describe the effectiveness of the policies, procedures, or practices to implement the PAS

requirement. Some examples of an effective program include timely processing requests for

PAS, timely providing approved services, conducting training for managers and supervisors, 

and monitoring PAS requests for trends

In FY 2019, the Agency revised its Reasonable Accommodation Policy and related Operating 

Procedures. This guidance replaces the current resource guide Disability Accommodation

Procedures with a new RA policy and related operating procedures to include information 

related to PAS, under SECR 6-80, Reasonable Accommodation Program. The Commission

is finalizing these documents internally and will disseminate and train appropriate staff 

on the revised policy and procedures (and forms), and post a 508-compliant version of 

these documents on its public website at SEC.gov in FY 2021, as required under the new

Section 501 Affirmative Action Regulations. In early FY 2021, the SEC published additional

resource information for employees, supervisors, and managers on its AskHR portal that 

provides a general overview and insight into its reasonable accommodation program process

The SECR 6-80 Reasonable Accommodation Program Policy and operating procedures 

includes information regarding the process for requesting PAS, the process for determining 

whether such services are required, and the process for denying PAS requests when it would 

pose an undue hardship to the Agency. Program provisions for requesting and providing

decision on PAS reasonable accommodation requests are the same as the process for 

reasonable accommodation described in the new policy and related operating procedures 

and on the SEC public and internal websites. The SEC continues to use the SEC Form 2943

Request for Personal Assistance Services to capture requests, and data obtained by this form 

will provide the RA program critical information that may be used to understand program 

adoption and effectiveness going forward

The SEC has a contract in place to support employees with targeted disabilities needing PAS 

services. In FY 2020, the SEC did not receive or process any requests (new or modifications)

for PAS services. Consequently, the employee utilization rate remains at the FY 2019 leve

The Agency will continue to monitor its current contract for personal assistant and reader 

services to ensure the consistent delivery of health care services and will enhance the level of 

support as required

Continued on the next page
136 | EEO PROGRAM STATUS REPORT

During FY 2020, the Agency conducted general training for managers and supervisors on 

the Rehabilitation Act, their role and responsibilities in the reasonable accommodation 

process to include the interactive process provision, and how to respond appropriately 

when an individual places them on notice of the need for reasonable accommodation. New

managers and supervisors are required to attend scheduled training to obtain in-depth 

overview for the provision of reasonable accommodation. This includes disseminating

program-specific information during the New Employee Orientation and through the 

College of Leadership & Team Development (CLTD 307) Fundamentals of Human 

Resources (HR) Management course offered by the Agency’s learning office, SEC 

University. The CLTD 307 training provides real-time, scenario-based specific illustrations

for supervisors and managers to heighten awareness about RA programs, details general 

characteristics of available accommodations typically requested by employees with 

disabilities (e.g., PAS) and clarifies assumptions about roles and responsibilities with respec

to the Agency’s reasonable accommodation program. Moreover, refresher training course

offerings are readily available for employees and managers through the Agency’s SECU 

learning platform, Learn Engage Achieve Platform (LEAP); the training provides an effective 

overview of the Rehabilitation Act, Americans with Disabilities Act, and the federal and SEC 

reasonable accommodation process
FISCAL YEAR 2020 | 137

SECTION VI: EEO COMPLAINT AND FINDINGS DATA

EEO Complaint Data Involving Harassment

1. During the last fiscal year, did a higher percentage of PWD file a formal EEO complaint alleging

harassment, as compared to the government-wide average? 

Yes 0 No X N/A 0

2. During the last fiscal year, did any complaints alleging harassment based on disability status result

in a finding of discrimination or a settlement agreement?

Yes X No 0 N/A 0

3. If the Agency had one or more findings of discrimination alleging harassment based on disability

status during the last fiscal year, please describe the corrective measures taken by the Agency

During FY 2020, the Agency did not have any findings of discrimination alleging harassment 

based on disability status. Two formal complaints that included allegations of harassment

based on disability were settled

EEO Complaint Data Involving Reasonable Accommodation

1. During the last fiscal year, did a higher percentage of PWD file a formal EEO complaint alleging

failure to provide a reasonable accommodation, as compared to the government-wide average?

Yes 0 No X N/A 0

2. During the last fiscal year, did any complaints alleging failure to provide reasonable

accommodation result in a finding of discrimination or a settlement agreement?

Yes X No 0 N/A 0

3. If the Agency had one or more findings of discrimination involving the failure to provide a

reasonable accommodation during the last fiscal year, please describe the corrective measures 

taken by the Agency

During FY 2020, the Agency did not have any findings of discrimination involving the failure 

to provide reasonable accommodation. Three formal complaints that included allegations

involving the failure to provide reasonable accommodations resulted in settlement agreements
138 | EEO PROGRAM STATUS REPORT

SECTION VII: IDENTIFICATION AND REMOVAL OF BARRIERS

Element D of MD-715 requires agencies to conduct a barrier analysis when a trigger suggests 

that a policy, procedure, or practice may be impeding the employment opportunities of a protected 

EEO group

1. Has the Agency identified any barriers (policies, procedures, and/or practices) that affect

employment opportunities for PWD and/or PWTD? 

Yes 0 No X

2. Has the Agency established a plan to correct the barrier(s) involving PWD and/or PWTD

Yes 0 No 0 N/A X

3. Identify each trigger and plan to remove the barrier(s), including the identified barrier(s),

objective(s), responsible official(s), planned activities, and, where applicable, accomplishments

Analyses of Persons with Disability and Targeted Disability in the Workforce

STATEMENT OF CONDITION THAT WAS A TRIGGER FOR A POTENTIAL BARRIER:

Provide a brief narrative describing the condition at issue. 

How was the condition recognized as a potential barrier?

There was a lower-than-expected participation rate of Persons with Targeted Disabilities (PWTD) in the total workforce and in promotions 

to higher level positions when this study was initiated based on data from FY 2014. The participation rate of PWTD in the SEC’s workforce 

was less than 1% in FY 2014 based on the then-current Standard Form 256 (SF-256) Self Identification of Disability. Participation of 

PWTD in the permanent workforce has increased based on the revised categories reflected in the new October 2016 version of the 

SF-256 to 2.02% in FY 2018.

In FY 2018 data, the participation rate of Persons with Disabilities (PWD) in the total permanent workforce and among higher salaried 

employees as documented in responses to earlier sections is below the goal of 12% established by Section 501 of the Rehabilitation Act. 

The participation rate of higher salaried employees is 8.64%. 

Participation of PWD, and sometimes PWTD, among new hires and internal competitive promotions to mission critical, senior grade level, 

and leadership positions and among those who were selected for career development is below their availability in the relevant or qualified 

applicant pools. 

In contrast, the participation rate of PWD among those separating from the Agency in both FY 2017 and FY 2018 exceeded that expected 

based on their participation in the total workforce and in comparison to persons with no disability.
FISCAL YEAR 2020 | 139

Source of the Trigger Specific Workforce Data Table 

Workforce Data Table (if so identify the table) Table B1 and employment lifecycle data

EEO Complaint(s)

Grievance(s)

Climate Assessment Survey

Exit Interview(s)

Anecdotal

Other 

EEO Group(s) Affected by Trigger 

EEO Group

Persons with Disability X

Persons with Targeted Disability X

Barrier Analysis Process 

Source of the Trigger

Source 

Reviewed?

(Yes or No)

Identify Information Collected

Workforce Data Tables Yes Workforce data tables and participation rates for PWD and 

PWTD from FY 2011 – FY 2018.

Demographic information related to retention for separated and 

on rolls PWD.

Complaint Data (Trends) Yes EEO complaint activity filed between FY 2012 – FY 2017 to 

identify any trends in complaints filed by PWD or PWTD.

Climate Assessment Survey (e.g., FEVS) Yes Federal Employee Viewpoint Survey data to compare responses 

from persons with disabilities to those with no disability.

Responses from PWD and PWTD to a Workplace Experience 

Survey conducted at the SEC during FY 2018.

Exit Interview Data Yes Responses provided by PWD to the Agency’s exit survey data 

from FY 2016 through FY 2018.

Focus Groups No

Interviews Yes Interviews with subject matter experts in OHR and OMWI 

and subject matter experts in disabled student service offices 

at Gallaudet University and Rochester Institute of Technology.

Interviews with the managers of PWD involuntarily 

separated during FY 2018 to uncover any preventable 

reasons for separation.

Reports (e.g., Congress, EEOC, MSPB, GAO, 

OPM)

Yes Reports and regulations related to the employment of PWD and 

PWTD in the federal workforce offered by OPM, EEOC, DOL/

ODEP, EARN, and other agencies and supporting organizations.
140 | EEO PROGRAM STATUS REPORT

Source of the Trigger

Source 

Reviewed?

(Yes or No)

Identify Information Collected

Other (Please Describe) Yes Laws and federally mandated hiring and promotions policies, 

practices, and procedures applicable to recruitment and 

retention of persons with disabilities.

The Agency’s hiring and promotions policies, practices, and 

procedures applicable to people with disabilities, including 

those with targeted disabilities.

Selection case files (hiring and promotions) from FY 2014 and 

FY 2015.

Research literature, collective bargaining agreement language, 

and reports to better understand career development, 

promotion, retention, and recruiting and hiring processes related 

to PWD and PWTD.

Information about best practices in recruiting PWD in the federal 

government and private industry.

Status of Barrier Analysis Process 

Barrier Analysis Process Completed?

(Yes or No)

Barrier(s) Identified?

(Yes or No)

Yes No

Statement of Identified Barrier(s) 

Barrier Name* (required) Description of Policy, Procedure, or Practice

No barrier was identified. While the Agency has not identified specific policies, practices, 

or procedures that represent a “barrier that affects employment 

opportunity for PWD or PWTD,” representatives of OEEO and OHR 

agreed to take action toward enhancing equal employment opportunity 

for persons with (targeted) disabilities in the following areas:

• Develop and implement policies and procedures specific to the 

recruitment, hiring, advancement, and retention of persons with 

disabilities and persons with targeted disabilities that are aligned 

with the federal government wide flexibilities and requirements for 

affirmative action;

• Enhance consistency and structure in the posting, screening, and 

interview processes for selection; and

• Create awareness on the part of hiring managers and subject 

matter experts (or others involved in the Agency’s recruitment and 

selection processes) about the requirements for, and flexibilities 

available under, government wide programs supporting PWD and 

the affirmative action plan for PWTD; and employment programs, 

especially reasonable accommodation and disability programs, 

supportive of PWD and PWTD.
FISCAL YEAR 2020 | 141

Objective(s) and Dates for EEO Plan 

Date 

Initiated

(mm/dd/yyyy)

Target 

Date

(mm/dd/yyyy)

Sufficient 

Staffing & 

Funding

(Yes or No)

Modified 

Date From

(mm/dd/yyyy)

Date 

Completed

(mm/dd/yyyy)

Objective

10/01/2015 10/31/2020 Yes 09/30/2020 11/30/2020 The objective of these efforts will 

be to continue to implement action 

plans developed to address the 

experience of PWTD and expand 

those plans to cover PWD in line 

with the revised EEOC regulations. 

Additional action will focus on:

• Analysis of quantitative and 

qualitative data, including 

employee perceptions 

among the population of 

PWD and PWTD;

• Implementing the recommended and required 

actions under Section 501 

of the Rehabilitation Act 

of 1973;

• Implementing, as feasible, 

revisions to the workforce 

data tables presenting 

information on PWD and 

PWTD, as per instruction 

from EEOC; and

• Reviewing and updating 

agreed-upon action plans 

to address the broader 

population of PWD and 

PWTD and/or to cover 

Section 501 regulatory 

changes.

Responsible Official(s) 

Title Name

Performance Standards 

Address the Plan? 

(Yes or No)

Chief Human Capital Officer, OHR Jamey McNamara Yes

Director, OEEO Peter J. Henry Yes
142 | EEO PROGRAM STATUS REPORT

Planned Activities toward Completion of Objective 

Target 

Date

(mm/dd/yyyy)

Planned 

Activities

Sufficient 

Staffing & 

Funding

(Yes or No)

Modified 

Date From

(mm/dd/yyyy)

Completion 

Date

(mm/dd/yyyy)

11/30/2017 OEEO will conduct a Workplace Experience Survey

of the Agency workforce to explore employee 

perceptions among the population of PWD and 

PWTD as well as those without disabilities on, 

among other topics, the recruitment, hiring, 

promotion, recognition, and retention of talent.

Yes 11/6/2017

01/31/2018 The Agency will establish a cross-functional working 

group with representatives from OEEO and OHR to 

develop action plans and implement required and 

recommended activity under Section 501 of the 

Rehabilitation Act of 1973.

Yes 11/02/2017

03/31/2019 OEEO will gather data to determine the reasons 

for removal of PWD by reviewing data on file 

from any specific EEO activity and interviewing 

the supervisors of PWD who were involuntarily 

separated in FY 2017 and FY 2018.

Yes 3/31/2019

10/31/2020 OEEO will implement feasible changes to the 

workforce data tables providing information on 

PWD and PWTD in collaboration with a contracted 

service provider.

Yes 09/30/2019 11/30/2020
FISCAL YEAR 2020 | 143

Report of Accomplishments 

Fiscal Year Accomplishments

FY 2020 All planned actions toward the objective defined in this section are complete. This particular study is now closed.

During FY 2020, OEEO completed the work to design and implement changes to the workforce data tables under 

EEOC’s instruction to federal agencies for workforce analysis. Revised tables that required significant manual 

intervention were included in the Agency’s FY 2019 MD-715 Report. 

In parallel with developing and submitting the FY 2019 MD-715 Report, OEEO worked to improve the functionality 

and design of its equal employment opportunity—analytic tool (EEO-AT). These improvements added automation 

and standardized structure to the processing of workforce data tables, significantly reducing the workload 

associated with preparing workforce data tables, including those presenting information on persons with disabilities. 

Tool development was completed near the close of the fiscal year. User testing and resolution were completed in 

late October and early November. The improved EEO-AT II was used to generate and verify information presented 

in this report, including extensive analysis of persons with disability and persons with targeted disability shared in 

other sections of this report, supra. A fully functional set of analyses are now available. Technical documentation of 

analytic methods, data definitions, and standard operating procedures for this tool will continue in FY 2021. 

During FY 2020, OEEO and the SEC also completed the following actions in support of the SEC’s Affirmative 

Action Plan for the Recruitment, Hiring, Advancement and Retention of Persons with Disabilities in the workforce.

• The Disability Interests Advisory Committee took action through the Employment Lifecycle subcommittee 

focused on member interests. To inform this action, OEEO shared information with this subcommittee about 

the Agency’s PWD workforce, led group exercises to uncover and define opportunities to expand support 

for PWD, and provided the resulting suggestions for action by DIAC members, by other supporting process 

owners in OHR and Office of Support Operations, and by Agency leadership in general.

• During FY 2020, the Diversity Council and the SEC Chairman solicited input from each EAG to inform 

Agency response to observed differences in the employee experience from FEVS data. DIAC’s suggestions 

for concrete action for the Diversity Council were informed by OEEO’s prior barrier analysis work and the 

data-driven insights from the Employee Lifecycle subcommittee described above. DIAC’s contribution, in 

turn, informed specific near and longer term initiatives, which notably captured and called out actions to 

enhance equality of opportunity for the Agency’s disability community.

• In late FY 2020, OEEO worked with OMWI, OHR, and DIAC on plans for a fireside chat hosted by 

Commissioner Roisman and DIAC’s executive sponsor, which took place during the 2020 National Disability 

Employment Awareness Month. During this impactful session, Commissioner Roisman led a discussion with 

senior leaders who self-identify as persons with a disability. The discussion included: personal disclosure 

in connection with the OEEO-led UN-covering Taskforce initiative, an overview of each leader’s personal 

experiences and journey toward success, and the value of relationships and strong supportive community. 

The session design and format conform to OEEO’s research-based suggestions for strong senior leader 

support and modeling disability inclusion.

• The Agency focused greater attention on accessibility in the workplace. Specifically, the SEC continues to 

provide consistent, dedicated, and timely support for information technology accessibility to the PWD and 

PWTD communities.

• The Agency’s RA Program office continues to engage with the OHR, Talent Acquisition Group to assist 

newly-selected employees who self-identity themselves as PWD or PWTD to determine the accessibility 

options, if any, they may need so that solutions can be identified and made available when the employee 

reports for duty at the SEC.

• The Agency conducted scenario-based training with specific illustrations for supervisors and managers to 

heighten their awareness about the Rehabilitation Act and the SEC’s RA program and provides general 

characteristics of available accommodations (offerings such as PAS) typically requested by employees 

with disabilities. The training also clarifies assumptions about roles and responsibilities with respect to the 

Agency’s reasonable accommodation program.

• The Agency updated its external website to ensure public accessibility of its reasonable accommodation 

procedures and personal assistance services guidance on the SEC.gov website for PWD and PWTD.

• The Agency published additional resource information for employees, supervisors, and managers on the 

Agency’s interactive internal portal, AskHR, which provides a general overview and insight into its reasonable 

accommodation program process.

• The Agency strengthened partnerships with stakeholders to include SEC program offices, NTEU, OMWI, 

DIAC, and employee affinity groups to identify sustainable actions to improve the Agency’s Diversity and 

Inclusion initiatives for the PWD and PWTD communities.

• The Agency continued to provide reasonable accommodations to include PAS reader and personal assistant 

services, assistive technology and equipment, and ergonomic equipment to PWDs and PWTDs during 

the current mandatory telework status. The Agency provided non-installation equipment (e.g., task chairs, 

monitors, keyboards) to employees at their place of residence.
144 | EEO PROGRAM STATUS REPORT

4. Please explain the factor(s) that prevented the Agency from timely completing any of the

planned activities

During FY 2020, OEEO completed the work to design and implement changes to the 

workforce data tables under EEOC’s instruction to federal agencies for workforce analysis

A fully functional tool to generate workforce data tables is now available. All planned

actions toward the objective defined in this section are complete

This study is now closed

5. For the planned activities that were completed, please describe the actual impact of those

activities toward eliminated the barrier

Actions defined for this objective are now complete. This particular study is now close

Additional exploration and analysis supporting the SEC’s Affirmative Action Plan for 

Persons with Disabilities will be considered under the prioritization framework for 

inclusion in the SEC’s research agenda

As described in other sections above, after a steady increase in participation over the 

past several years, the Agency achieved the goals established under Section 501 of the 

Rehabilitation Act for both PWTD and PWD at the lower salary levels. Because of the

relatively small size of the PWD and PWTD populations, small changes in workforce 

participation, year over year, can have large impacts on the observed rates of change

Nonetheless, the SEC notes the following indications of growth within this employee 

population. From FY 2013 to FY 2020

n The permanent workforce of PWTD experienced net growth of 14 persons or 19.44%,

which outpaces the 12.83% net growth in the total permanent workforce over that same

time period. Participation of PWTD in the total permanent workforce rose from 1.81

to 1.91%. PWTD, among higher salaried employees, increased from 1.54% to 1

n The permanent PWD workforce experienced net growth of 168 persons or 75.34

Participation of PWD rose from 5.14% in the total workforce to 8.70% and fro

4.93% to 8.62% among higher salaried employe

Trend data over time revealed that increased participation resulted from greater selfidentification based on employee resurveys, changes to categories defining PWD, and a 

general increase in the proportion of SEC staff in higher salaried jobs. OEEO will continue

to monitor the PWD and PWTD workforce participation for signs of continued or 

accelerated growth and consider effects of underreporting on these statistics
FISCAL YEAR 2020 | 145

6. If the planned activities did not correct the trigger(s) and/or barrier(s), please describe how the

Agency intends to improve the plan for the next fiscal year

Triggers from the original study of PWTD continue to require focused attention toward 

improvement. Starting in FY 2016 and through FY 2019, representatives of OEEO and

OHR initiated and completed actions intended to address the recommendations to improve 

employment opportunities for PWTD. These actions were completed in FY 201

This study of Persons with Targeted Disabilities is now closed
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FISCAL YEAR 2020 | 147

ATTACHMENT 1.

SEC ORGANIZATIONAL CHART Commissioner Commissioner Chairman Office of the Chairman Commissioner Commissioner Enforcement Corporation

Finance

Investment

Management

Economic and

Risk Analysis

Trading and

Markets

Administrative

Law Judges

Advocate for

Small Business

Capital Formation

Chief

Accountant

Chief

Operating

Officer

Credit

Ratings

Equal

Employment

Opportunity

Compliance

Inspections and

Examinations

Ethics

Counsel

General

Counsel

Inspector

General

International

Affairs

Investor

Advocate

Investor

Education and

Advocacy

Legislative and

Intergovernmental

Affairs

Minority and

Women

Inclusion

Municipal

Securities

Public

Affairs Secretary

Acquisitions EDGAR Business Office

Financial

Management

Human

Resources

Information

Technology

Support

Operations

Atlanta

Regional Office

Boston

Regional Office

Chicago

Regional Office

Denver

Regional Office

Fort 

Worth

Regional Office

Los Angeles

Regional Office

Miami

Regional Office

New York

Regional Office

Philadelphia

Regional Office

Salt Lake

Regional Office

San Francisco

Regional Office
148 | EEO PROGRAM STATUS REPORT

SEC’S ORGANIZATIONAL STRUCTURE

The SEC’s leadership includes a Chairman and four Commissioners located at the SEC’s 

Headquarters in Washington, DC

The SEC consists of five presidentially-appointed Commissioners with staggered five-year terms

One of the Commissioners is designated by the President as the Chairman of the Commission—

the Commission’s chief executive. The Agency’s functional responsibilities are organized into five

Divisions and 25 Offices, each of which is headquartered in Washington, DC. The Commission’s

staff is located in Washington, DC, and 11 Regional Offices throughout the country. Divisions and

Offices include:

Five Divisions:

n Corporation Finance

n Enforcement

n Economic and Risk Analysis

n Investment Management

n Trading and Markets

Twenty-five Offices:

n Acquisitions

n Administrative Law Judges

n Advocate for Small Business 

Capital Formation

n Chairman

n Chief Accountant

n Chief Operating Officer

n Compliance Inspections and Examinations

n Credit Ratings

n EDGAR Business Office

n Equal Employment Opportunity

n Ethics Counsel

n Financial Management

n General Counsel

n Human Resources

n Information Technology

n Inspector General

n International Affairs

n Investor Advocate

n Investor Education and Advocacy

n Legislative and Intergovernmental Affairs

n Minority and Women Inclusion

n Municipal Securities

n Public Affairs

n Secretary

n Support Operations
FISCAL YEAR 2020 | 149

The SEC’s Regional Offices report to both the Division of Enforcement and the Office of 

Compliance Inspections and Examinations and operate within the authority of the Commission

n Atlanta Regional Office

n Boston Regional Office

n Chicago Regional Office

n Denver Regional Office

n Fort Worth Regional Office

n Los Angeles Regional Office

n Miami Regional Office

n New York Regional Office

n Philadelphia Regional Office

n Salt Lake Regional Office

n San Francisco Regional Office

U.S. SECURITIES AND EXCHANGE COMMISSION 

HEADQUARTERS AND REGIONAL OFFICES

Los Angeles 

Regional Office

Southern California,* Arizona, 

Guam, Hawaii, Nevada

SEC Headquarters San Francisco 

Regional Office

Northern California,* 

Alaska, Idaho, Montana, 

Oregon, Washington 

Salt Lake 

Regional Office

Utah

Denver 

Regional Office

Colorado, Kansas 

(Exam Program), 

Nebraska, New Mexico, 

North Dakota, South 

Dakota, Wyoming

Fort Worth 

Regional Office

Texas, Arkansas, 

Kansas, Oklahoma

Chicago 

Regional Office

Illinois, Indiana, Iowa, 

Kentucky, Michigan, 

Minnesota, Missouri, 

Ohio, Wisconsin

Boston Regional Office

Massachusetts, Connecticut, 

Maine, New Hampshire, 

Rhode Island, Vermont 

Atlanta Regional Office

Georgia, Alabama, North Carolina, 

South Carolina, Tennessee

Miami Regional Office

Florida, Louisiana, Mississippi, 

Puerto Rico, U.S. Virgin Islands 

New York

Regional Office

New York, New Jersey

Philadelphia 

Regional Office

Pennsylvania, Delaware, 

District of Columbia, Maryland, 

Virginia, West Virginia

* Northern California includes ZIP codes 93600 and above, and 93200–93299

Southern California includes ZIP codes 93599 and below, except 93200–93299
150 | EEO PROGRAM STATUS REPORT

ATTACHMENT 2. EQUAL 

EMPLOYMENT OPPORTUNITY POLICY Equal Employment Opportunity Policy

Our success in accomplishing the SEC’s mission of protecting investors, maintaining fair, 

orderly, and efficient markets, and facilitating capital formation depends on you and 

your commitment to being fully engaged in what we do. As Chairman of the SEC, I am 

committed to a work environment that helps to achieve this goal—a work environment 

that is respectful, inclusive, and allows you to contribute to the best of your ability.

For this reason and because it is the right thing to do, we must all strongly support our nation’s 

equal employment opportunity (EEO) laws. These laws apply to the SEC’s personnel policies, 

practices, and procedures, including but not limited to: recruitment, hiring, promotion, separation, 

performance evaluation, training and career development, assignment of duties, details, reassignment, 

compensation, awards, and benefits. EEO laws protect all employees, applicants for employment, and 

former employees from discrimination on the basis of race, color, sex (which is not limited to conduct 

that is sexual in nature and includes pregnancy, gender identity, sexual orientation, and transgender 

status), age (40 and older), religion, national origin, disability, genetic information or parental status. 

Each of us must support an individual’s right, without fear of retaliation, to (1) participate in the 

EEO process and (2) oppose employment practices which are perceived as discriminatory in the 

workplace. We can all contribute to making the SEC a model EEO employer by ensuring that 

discrimination, harassment, and retaliation are simply not tolerated. We must also seek to resolve 

workplace disputes at the earliest opportunity; to do otherwise would undermine the collegial and 

respectful environment that we expect at the SEC.

All employees must fully participate in investigations into allegations of discrimination, harassment 

and/or retaliation and may use a reasonable amount of work time to do so. Managers and supervisors 

must also participate in the alternative dispute resolution program for resolving EEO allegations, 

Conflict2Resolution (C2R), when the use of C2R is approved by the EEO Director or Deputy Director.

If you believe you have been subjected to discrimination, harassment, or retaliation in violation of 

federal EEO laws or SEC policy, please contact the Office of Equal Employment Opportunity (OEEO) 

within 45 calendar days of the employment action you believe to be discriminatory, harassing, or 

retaliatory to preserve your right to participate in the formal EEO complaint process. You can reach 

OEEO by email at OEEO@sec.gov, telephone (202) 551-6040, fax (202) 772-9316, or in person (SPIII, 

Suite 2900) to allege discrimination and/or obtain additional information regarding your EEO rights 

and responsibilities. TTY users should call the Federal Relay Service at (800) 877-8339 to be connected 

with OEEO. The SEC’s No FEAR Act notice and The Exchange provide additional information.

Thank you for your continued efforts to make the promise of equal employment opportunity a reality.

JAY CLAYTON

DATE

June 23, 2020
FISCAL YEAR 2020 | 151

ATTACHMENT 3.

SEC STRATEGIC PLAN

FY 2018—FY 2022

The Agency Strategic Plan can be found at www.SEC.gov/strategic-pl
152 | EEO PROGRAM STATUS REPORT

ATTACHMENT 4. POLICY ON 

PREVENTING HARASSMENT (PPH)

As Chairman of the SEC, I am committed to a work environment that is respectful, inclusive, and allows you to deliver maximum 

performance in support of the SEC’s mission. Harassment is absolutely prohibited because it is wrong, negatively impacts our 

collegial work environment, and undermines our mission.

The SEC prohibits harassment on each of the following equal employment opportunity (EEO) bases: race, color, sex (which is not 

limited to conduct that is sexual in nature and includes pregnancy, gender identity, sexual orientation, and transgender status), age 

(40 and older), religion, national origin, disability, genetic information, parental status or in retaliation for engaging in protected EEO 

activity. Harassing conduct against or by any employee, intern, contractor, or applicant for employment has no place at the SEC and 

will not be tolerated.

The SEC will address and put an immediate end to conduct—whether verbal, written, or physical—of which it is aware that is offensive 

(i.e., degrading, derogatory, or demeaning) or unwelcome on any EEO basis before it rises to the level of illegal harassment. EEObased harassment may be illegal where: (1) enduring the conduct is a condition of continued employment or is the basis of a decision 

affecting the terms, conditions, or privileges of employment; or (2) the conduct is sufficiently severe or pervasive to create a hostile 

work environment. Lack of intent to offend does not excuse inappropriate conduct. Immediate and appropriate corrective and 

disciplinary action will be recommended when it is determined that harassment has occurred.

Among other things, the Policy on Preventing Harassment (PPH) prohibits the use of SEC equipment or networks to access or 

distribute material that is offensive on any of the bases listed above, including, but not limited to, sexually explicit, pornographic, 

sexist, racist, or homophobic material, or material that is offensive to a religious belief. Unwelcome sexual advances, requests for 

sexual favors, and other verbal or physical harassment of a sexual nature should never occur at the SEC. In addition, some personal 

relationships (romantic or otherwise) involving SEC employees—particularly between managers/supervisors and their subordinates—

may raise EEO-based harassment concerns. Such relationships may create perceptions of favoritism by other employees that lead 

to allegations of an EEO-based hostile work environment. Consensual relationships, once they end, may also give rise to claims that 

the relationships were not consensual or that continued overtures have become offensive or unwelcome. A supervisor who has 

a romantic or sexual relationship with a subordinate employee, or with an individual when the supervisor has a role in a selection 

process for a position or in conferring other employment benefits for that individual, must notify his or her supervisor immediately.

The PPH and its operating procedures (SECOP-27-1) apply in places where SEC employees, interns, and on-site contractors work, and 

at SEC-sanctioned activities and events, including those outside of the workplace. The PPH prohibits the use of social media (e.g., 

Twitter, Tumblr, Facebook, LinkedIn, Instagram, Flickr, etc.) to engage in harassment covered by this policy.

Reporting Harassment

Those who believe they are victims of harassment, or are otherwise aware of conduct that is offensive or unwelcome on an EEO basis, 

are encouraged to report the conduct immediately, preferably within three business days from the date of the alleged incident, to the 

Office of EEO (OEEO) and/or any SEC manager/supervisor.

To report harassment or to obtain more information on the SEC’s PPH, EEO Policy, or other EEO-related matters, please contact 

OEEO by email at HarassmentConcerns@sec.gov, telephone (202) 551-6040, fax (202) 772-9316, or in person (SPIII, Suite 2900). 

OEEO will accept and process anonymous allegations to the extent possible. Additional information is also available on The Exchange. 

TTY users should call the Federal Relay Service at (800) 877-8339 to be connected with OEEO.

Reporting Responsibility of Managers and Supervisors

Managers/supervisors must immediately contact OEEO upon learning of conduct that might be inconsistent with the PPH. Failure to 

do so may result in disciplinary or other corrective action.

Harassment Inquiry

SEC management in coordination with the Offices of General Counsel, Human Resources, and/or OEEO, as appropriate, will conduct 

a prompt, thorough, and impartial inquiry into conduct that may violate the PPH. All SEC employees must fully participate in any 

such inquiry. As part of this inquiry: (1) the rights and obligations under the PPH will be explained to the involved parties and (2) the 

behavior considered objectionable will be explained to the alleged harasser who will be instructed to stop the behavior immediately. 

Retaliation Prohibited

The SEC will not tolerate retaliation against anyone who reports harassing conduct or cooperates with or participates in any inquiry 

into alleged harassing conduct.

PPH Inquiry Versus EEO Complaint

A harassment inquiry conducted pursuant to the PPH is separate from, and may be conducted at the same time as, a related EEO 

complaint processed under Equal Employment Opportunity Commission regulations set forth in 29 C.F.R. Pt. 1614. An inquiry under 

the PPH process does not satisfy an individual’s responsibility to initiate EEO counseling within 45 calendar days of an act of alleged 

discrimination or retaliation under the EEO complaint process, should the individual choose to pursue an EEO complaint. If a person 

files an EEO complaint alleging harassment, the SEC’s harassment prevention team will be notified.

Confidentiality

Information provided to SEC officials in connection with a harassment inquiry conducted pursuant to the PPH will be kept confidential 

to the extent possible and will be shared only on a need-to-know basis or as required by law. Unauthorized disclosure of confidential 

information may result in disciplinary action.

Thank you for your continued efforts to make the SEC a workplace that is inclusive, respectful, and free of harassment.

DATE JAY CLAYTON

Policy on Preventing Harassment (PPH)

June 23, 2020
FISCAL YEAR 2020 | 153

ATTACHMENT 5.

REPRESENTATIVE SAMPLE OF 

CHAIRMAN CLAYTON’S

COMMUNICATIONS TO STAFF ON 

EEO AND DIVERSITY & INCLUSION

ATTACHMENT 5: REPRESENTATIVE SAMPLE OF CHAIRMAN 

CLAYTON’S COMMUNICATIONS TO STAFF ON EEO AND 

DIVERSITY & INCLUSION 

DATE EEO and D&I CONTENT

12/18/20 Provided an update on the SEC’s diversity, inclusion and opportunity efforts. Request that SEC staff 

continue to be leaders in thought and action and lead by example. 

12/11/20 Highlighted the SEC’s 10/19/20 First Generation Professionals Panel Discussion on Resilience and 

Grit in Times of Crisis and Uncertainty featuring SEC Commissioners Allison H. Lee and Elad 

Roisman, and FDIC Chairman Jelena McWilliams.

12/10/20 Reported that the SEC met or exceeded its highest scores since 2012 in the 2020 FEVS survey’s key 

indices, and saw significant gains in items related to, inter alia, diversity, inclusion and opportunity, 

and fairness. 

12/4/20 Highlighted a December meeting of the Asset Management Advisory Committee, where topics of 

discussion included how to improve diversity and inclusion within the asset management industry 

and the financial services sector.

11/20/20 Highlighted the November 23, 2020, “Women of Color Entrepreneurs on Being Powerful Voices for 

Access to Capital” event, hosted by the SEC’s Office of the Advocate for Small Business and the Los 

Angeles and Atlanta Regional Offices. 

11/16/20 Underscored that no ongoing work is more important to Chairman Clayton than the SEC’s efforts in 

diversity, inclusion and opportunity. The Chairman requested that SEC staff “continue to give 

people, all people, new people, people who have been here for decades, a chance to do their best. 

It will make each of us better and all of us an even better team.”

11/12/20 Highlighted the discussion of the SEC’s work on diversity, inclusion and opportunity in the SEC’s

Annual Financial Report as an integral part of the SEC’s value-add commitment to its mission. 

8/12/20 Provided updates on the SEC’s efforts, internally and externally, on D&I and Opportunity, including

the: (1) approval of the SEC’s Diversity and Inclusion Strategic Plan; (2) new position of Senior 

Policy Advisor on Diversity and Inclusion; (3) launch of the Un.Covering Task Force to promote 

inclusion in the workplace; (4) launch of manager training on conscious equity; (5) focused efforts 

on bringing more diverse perspectives in the public-facing and mission-oriented work of the 

Commission by providing platforms to highlight the experiences of African American women in 

venture capital and minority underrepresentation in the asset management industry; and (6) SEC 

independent advisory committees to consider diversity and inclusion in their membership, their 

areas of expertise and their events. Identified near-term and longer-term initiatives the SEC would 

pursue to improve agency culture and enhance internal and external opportunity.

6/1/20 Acknowledged the pain suffered by colleagues of color, in particular, African Americans, when 

confronting video recordings and images of institutional racism [as evidenced by the death of 

Messieurs George Floyd and Ahmaud Arbery]. Highlighted the importance of individually and 

collectively addressing racism and institutional barriers. 

1/20/20 Noted in the celebration of Martin Luther King, Jr., Day, Dr. King’s message that social justice was a 

matter of law AND economics. Encouraged the SEC to be mindful of Dr. King’s message and strive 

to expand access and opportunity to financial markets to underserved communities. Announced 

the draft of the SEC’s inaugural Diversity and Inclusion Plan and encouraged staff to provide 

feedback on the plan.
154 | EEO PROGRAM STATUS REPORT

ATTACHMENT 6.

REASONABLE ACCOMMODATION 

AND PERSONAL ASSISTANCE

SERVICES PROCEDURES

To review the SEC’s reasonable accommodation and personal assistance service procedures, please 

visit www.SEC.gov/ohr/sec-disabilityprogram-page.h
FISCAL YEAR 2020 | 155

ATTACHMENT 7.

SEC’S ALTERNATIVE DISPUTE 

RESOLUTION CONFLICT TO 

RESOLUTION PROCEDURES

U.S. Securities and Exchange Commission

Policy Statement

EQUAL EMPLOYMENT OPPORTUNITY DISPUTE RESOLUTION POLICY STATEMENT

U.S. Securities and Exchange Commission OEEO #2019-1 

Office of Equal Employment Opportunity March 2019

Washington, DC 20549

1. Purpose

This statement sets forth the policy of the U.S. Securities and Exchange Commission (SEC) related to the 

use of alternative dispute resolution (ADR) to resolve equal employment opportunity (EEO) disputes. 

2. Authorities and Related Guidance

Administrative Dispute Resolution Act of 1990

Administrative Dispute Resolution Act of 1996

29 C.F.R. Part 1614

Equal Employment Opportunity Commission (EEOC) Management Directive (MD) 110 (MD-110)

SEC Equal Employment Opportunity Policy

SEC’s Alternative Dispute Resolution Policy Statement (Aug. 5, 2008)

OEEO, Conflict-to-Resolution, Standard Operating Procedures (Chapter 3)

OEEO, Conflict-to-Resolution, Frequently Asked Questions

3. Effective Date

This policy statement is effective immediately. All prior policy statements issued by the Office of Equal 

Employment Opportunity (OEEO) related to ADR are rescinded.

4. Policy

The SEC is committed to resolving workplace disputes as soon as practicable. The SEC supports the use 

of ADR as a means of resolving employment-related disputes where appropriate and feasible. 

OEEO offers a Conflict-to-Resolution Program (C2R or C2R Program) that provides an opportunity to 

resolve disputes alleging employment discrimination. Used properly in appropriate circumstances, ADR

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

that include claims of workplace discrimination. The C2R Program is governed by the core principles of 

fairness and flexibility as set forth in EEOC’s MD-110 and SEC’s Alternative Dispute Resolution Policy 

Statement. 

OEEO through its C2R Program offers ADR to employees, former employees, contract personnel, and 

applicants for employment who have entered the EEO process with the SEC’s EEO Office. OEEO will 

offer ADR to participants in the EEO process unless the OEEO Director or Deputy Director determines it 

is not appropriate under the circumstances. The OEEO Director or Deputy Director will authorize ADR

1 
156 | EEO PROGRAM STATUS REPORT

on a case-by-case basis by assessing the totality of the circumstances and factors surrounding the 

matter. 

The C2R Program provides a neutral, third-party ADR professional that assists participants—through open 

and honest dialogue—to focus on areas of commonality and interest to resolve workplace issues. The ADR

technique generally available through the C2R Program is mediation; other techniques may be made 

available by OEEO depending on the circumstances. The expectation is that all participants in ADR through 

C2R will listen, be heard, and work together towards a resolution that supports positive working 

relationships that best serve the SEC’s primary mission of protecting the nation’s investors. 

Supervisors and managers must participate in ADR through C2R to resolve EEO disputes when approved. 

All participants are expected to participate in the C2R Program promptly, in good faith, and with due 

respect for the confidentiality of the matters discussed. 

5. Training

Managers and supervisors must take the training course Conflict2Resolution (C2R) – Using Alternative 

Dispute Resolution to Resolve EEO Concerns, which is available in LEAP, SEC’s e-learning platform, upon 

hire or promotion into a supervisory position. Information about ADR is also included in the mandatory 

CLD 307 course (Fundamentals of Human Resource Management) for supervisors and managers. 

All employees, contractors, and interns are strongly encouraged to take the C2R training course before 

participating in ADR through the C2R Program. 

6. Evaluation

OEEO asks all participants in the C2R Program for voluntary feedback about their experience. OEEO will 

assess this feedback to determine how the C2R Program might be made more efficient and achieve 

increasingly better results.

7. Additional Information

For more information on the C2R Program, please contact OEEO at:

(202) 551-6040 (Phone)

1-800-877-8339 (TTY: Use Federal Relay Service)

(202) 772-9316 (Fax)

_________________________________

Peter Henry, Director, OEEO 

March 5, 2019

Date

2
FISCAL YEAR 2020 | 157

ATTACHMENT 8.

POLICY MEMORANDUM: STANDARDS 

FOR EEO, WORKFORCE DIVERSITY, 

AND WORKPLACE INCLUSION

Relevant policies are attached for reference. The Joint Standards on Diversity Policies and Practices is

available on the SEC website: www.SEC.gov/rules/policy/2015/34-75050.
158 | EEO PROGRAM STATUS REPORT

ATTACHMENT 9.

FY 2020 OMWI SPECIAL 

OBSERVANCES AND EVENTS

Attachment 9: FY 2020 Programs for Special Observances and 

Other Events Celebrating Affinity Groups1

Program and Speaker

Hispanic Heritage Month (September 15-October 15)2

 “Fighting for Citizenship: A Literary History of Latinos in the U.S. Armed Forces” – presentation by 

guest speaker, John Alba Cutler, Associate Professor of English, Associate Chair of the Department 

of English, and faculty member of the Latina & Latino Studies Program; program sponsored by

HALO. (CHRO, October 2019)

 “COVID and its Impact on the Hispanic Community and Hispanic-Owned Small Businesses” – panel 

discussion hosted by HALO to go with the 2020 theme of Hispanic Heritage month: “Hispanic 

Americans: A History of Serving Our Nation;” moderated by Chairman Jay Clayton and featuring 

panelists Maxeme “Max” Tuchman, CEO and co-founder of Caribu, and the first Latina to raise $1 

million using Regulation Crowdfunding; Ramiro Cavazos, president and CEO of the U.S. Hispanic 

Chamber of Commerce; and Guillermo Aviles Mendoza, senior adviser of the Office of the Assistant 

Secretary for Health at the U.S. Department of Health and Human Services. (HQ, October 2020)

Disability Awareness Month (October)

 “Disability, Disclosure and Identity in the Workplace” – presentation by University of Maryland 

professor, Jennifer Wessel, and Ph.D. candidate, Sara Barth, on their research in the area of 

disability studies, with a focus on the disclosure of psychological and physical disabilities in the 

workplace; program sponsored by DIAC. (HQ, October 2019)

Native American Heritage Month (November)

 “More Than a Word” – documentary film screening and discussion from Native American 

filmmakers, John and Kenn Little, analyzing the National Football League team in Washington and 

its controversial name, and discussing related issues; program sponsored by the American Indian 

Heritage Committee. (HQ, November 2019)

 1 Some Employee Affinity Group events occurred outside of Special Observance months in FY 2020 and are noted 

accordingly.

2 Hispanic Heritage Month straddles two fiscal years. 
FISCAL YEAR 2020 | 159

Program and Speaker

Veterans Day Commemoration (November)

 “Celebrating your Service: Financial Readiness Conversation and Veterans Expo” – program

featuring guest speaker, Colonel James Tuite of the U.S. Army’s “Old Guard” who joined Chairman

Jay Clayton, SEC colleagues, Joshua Reese, Gregory Bockin, and Brad Voorhees, who have served in 

foreign wars and the combat theater, Dr. Reginald McRae, psychologist who treats veterans for 

combat-related mental impairments and C. Thomas Long, Ph.D., expert on D-Day; program 

sponsored by Veterans Committee. (HQ, November 2019)

African American History Month (February)

 “After Selma” – documentary film screening and discussion on the history of voter suppression and 

the need to challenge it in order to preserve democracy and equality for all; program sponsored by 

the AAC and OMWI. (HQ, February 2020)

 “Experiences and Outlook: A Candid Conversation on Diversity and Inclusion” – Panel discussion on 

the importance of mentoring and the need to have tough conversations about race and 

opportunities; moderated by Chairman Jay Clayton and featuring Harold Ford, Jr., former U.S. 

Congressman from Tennessee and Jack “Rusty” O’Kelley, III, Co-Leader at Russell Reynolds 

Associates; program sponsored by the AAC and OMWI. (HQ, February 2020)

 “Fireside Chat with the Honorable Arlander Keys” – presentation by former magistrate judge for 

the U.S. District Court for the Northern District of Illinois on growing up in segregated Jim Crow 

Mississippi, fighting for civil and voter rights, and working on the federal bench; program 

sponsored by the AAC. (CHRO, February 2020)

 “History of Voting Rights in America” – presentation by Debo P. Adegbile, a partner in the 

Government and Regulatory Litigation Group of WilmerHale and co-chairman of the firm’s antidiscrimination practice group; program sponsored by the AAC. (NYRO, February 2020)

Women’s History Month (March)

 “Fireside Chat with Jessie Liu” – presentation by former U.S. Attorney for the District of Columbia, 

and Chairman Jay Clayton on a range of topics, including diversity and inclusion in the workplace, 

mentoring and sponsoring others, work-life balance, and potential bias in hiring and promoting 

women; program sponsored by the Women’s Committee. (HQ, March 2020)

 “Entrepreneurship Without Borders” – presentation by guest speaker, Christine Souffrant Ntim, an 

award-winning Haitian American entrepreneur, who shared her experience as a globally 

recognized expert in startup ecosystems for emerging markets; program sponsored by the 

Women’s Committee and AAC. (PLRO, May 2020)
160 | EEO PROGRAM STATUS REPORT

Program and Speaker

Asian American Pacific Islander Month (May)

 “Unity as an Empowering Force” – featuring speaker, S.P. Kothari, the SEC’s Chief Economist and 

Director of the Division of Economic and Risk Analysis and moderated by Commissioner Hester M. 

Peirce, on his receipt of the Padma Shri Award (one of the highest civilian awards issued by the 

Indian government), the COVID-19 pandemic compared to the 2008 Great Recession, his favorite 

economist, and his personal experience and views on diversity and inclusion. Colleagues from the 

Commodities Future Trading Commission were invited to attend; program sponsored by the AAPI 

Committee. (HQ, May 2020)

 “Poignant Recollections from World War II Internment Camps” – virtual chat with Japanese 

internment camp survivors, Betty and JR Morita, on memories of their lives before, during, and 

after their time in the camps; moderated by CHRO Regional Director Joel Levin; program sponsored 

by the AAPI Committee. (CHRO, May 2020)

Caribbean American Heritage Month (June)

 Event with keynote speaker Jamaica-born and based Lisandra Rickards, founder and CEO of Soul 

Career, a coaching company that helps executives, professionals and entrepreneurs discover their 

life’s work, lead authentically and build powerful legacies, who discussed how she is now using her 

experience working at firms and companies in the United States to train executives and 

entrepreneurs in the Caribbean to build their businesses; moderated by John Moses; program 

sponsored by the CAHC and OMWI. (HQ, June 2020)

Lesbian, Gay, Bisexual and Transgender (LGBT) Pride Month (June)

 “Fireside chat on Personal Reflections on Allyship at the SEC” – opening remarks by Chairman Jay 

Clayton and presentations by Robert Marchman, Senior Policy Advisor on Diversity and Inclusion, 

and Jorge Tenreiro, Senior Trial Counsel NYRO; program sponsored by the Pride Alliance. (HQ, June 

2020)

 “Becoming an LGBT Ally” – presentation by guest speaker, Brian Bond, executive director of PFLAG, 

who discussed how non-LGBT colleagues can be allies in the workplace for their LGBT co-workers; 

opening remarks by Commissioner Elad Roisman and introduction by Lori Schock, director of the 

SEC’s Office of Investor Education and Advocacy; program sponsored by the Pride Alliance. (HQ, June 

2020)

 “The Danger of Hiding Who You Are” by Morgana Bailey – a TED Talk Tuesday event featuring 

viewing and discussion of the TED Talk; program sponsored by the Pride Alliance and OMWI, with 

guest hosts David Cohen, attorney in the Office of Market Intelligence, Division of Enforcement, and 

Julie Preuitt, senior special advisor in the Office of International Affairs. (HQ, June 2020)

Source: Office of Minority and Women Inclusion
FISCAL YEAR 2020 | 161

ATTACHMENT 10. 

WORKFORCE DATA TABLES

The SEC’s workforce data tables are attached

The SEC previously submitted the FY 2020 462 Report to the EEOC
162 | EEO PROGRAM STATUS REPORT TABLE A1: TOTAL WORKFORCE—DISTRIBUTION BY RACE/ETHNICITY AND SEX PAY PERIODS 201922 TO 202021 EMPLOYMENT TENURE TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female CLF (2010)

% 100% 51.86% 48.14% 5.17% 4.79% 38.33% 34.03% 5.49% 6.53% 1.97% 1.93% 0.07% 0.07% 0.55% 0.53% 0.26% 0.28%

TOTAL WORKFORCEPrior FY # 4,365 2,348 2,017 134 112 1,719 1,132 205 475 273 270 0 2 12 5 5 21

% 100% 53.79% 46.21% 3.07% 2.57% 39.38% 25.93% 4.70% 10.88% 6.25% 6.19% 0.00% 0.05% 0.27% 0.11% 0.11% 0.48%

Current FY # 4,493 2,417 2,076 144 118 1,764 1,157 207 487 288 287 0 1 10 6 4 20

% 100% 53.79% 46.21% 3.20% 2.63% 39.26% 25.75% 4.61% 10.84% 6.41% 6.39% 0.00% 0.02% 0.22% 0.13% 0.09% 0.45%

Difference # 128 69 59 10 6 45 25 2 12 15 17 0 -1 -2 1 -1 -1Ratio Change

% 0.00% 0.00% 0.00% 0.13% 0.06% -0.12% -0.18% -0.09% -0.04% 0.16% 0.20% 0.00% -0.03% -0.05% 0.02% -0.02% -0.03%

Net Change

% 2.93% 2.94% 2.93% 7.46% 5.36% 2.62% 2.21% 0.98% 2.53% 5.49% 6.30% 0.00% -50.00% -16.67% 20.00% -20.00% -4.76%

EMPLOYEE GAINSTOTALNEW HIRES

# 293 162 131 12 10 115 65 11 29 24 25 0 0 0 1 0 1% 100% 55.29% 44.71% 4.10% 3.41% 39.25% 22.18% 3.75% 9.90% 8.19% 8.53% 0.00% 0.00% 0.00% 0.34% 0.00% 0.34%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 163

TABLE A1: TOTAL WORKFORCE—DISTRIBUTION BY RACE/ETHNICITY AND SEXPAY PERIODS 201922 TO 202021 continued

EMPLOYMENT TENURE

TOTAL Hispanic or Latino White

Black or African 

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native Two or More Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

EMPLOYEE LOSSESInvoluntary

# 2 2 0 0 0 0 0 2 0 0 0 0 0 0 0 0 0% 100% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Reduction in Force

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Removal

# 2 2 0 0 0 0 0 2 0 0 0 0 0 0 0 0 0% 100% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Voluntary

# 163 90 73 3 4 68 42 7 17 10 10 0 0 1 0 1 0% 100% 55.21% 44.79% 1.84% 2.45% 41.72% 25.77% 4.29% 10.43% 6.13% 6.13% 0.00% 0.00% 0.61% 0.00% 0.61% 0.00%

Resignation

# 62 34 28 1 1 26 12 2 7 4 8 0 0 0 0 1 0% 100% 54.84% 45.16% 1.61% 1.61% 41.94% 19.35% 3.23% 11.29% 6.45% 12.90% 0.00% 0.00% 0.00% 0.00% 1.61% 0.00%

Retirement

# 75 41 34 2 2 35 23 2 8 1 1 0 0 1 0 0 0% 100% 54.67% 45.33% 2.67% 2.67% 46.67% 30.67% 2.67% 10.67% 1.33% 1.33% 0.00% 0.00% 1.33% 0.00% 0.00% 0.00%

Other

# 26 15 11 0 1 7 7 3 2 5 1 0 0 0 0 0 0% 100% 57.69% 42.31% 0.00% 3.85% 26.92% 26.92% 11.54% 7.69% 19.23% 3.85% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTALSeparations

# 165 92 73 3 4 68 42 9 17 10 10 0 0 1 0 1 0% 100% 55.76% 44.24% 1.82% 2.42% 41.21% 25.45% 5.45% 10.30% 6.06% 6.06% 0.00% 0.00% 0.61% 0.00% 0.61% 0.00%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
164 | EEO PROGRAM STATUS REPORT TABLE A1: TOTAL WORKFORCE—DISTRIBUTION BY RACE/ETHNICITY AND SEX PAY PERIODS 201922 TO 202021 continued EMPLOYMENT TENURE TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female PERMANENT Prior FY # 4,266 2,294 1,972 133 110 1,674 1,099 204 473 266 264 0 1 12 5 5 20

% 100% 53.77% 46.23% 3.12% 2.58% 39.24% 25.76% 4.78% 11.09% 6.24% 6.19% 0.00% 0.02% 0.28% 0.12% 0.12% 0.47%

Current FY # 4,389 2,358 2,031 142 116 1,717 1,127 204 482 281 280 0 1 10 6 4 19

% 100% 53.73% 46.27% 3.24% 2.64% 39.12% 25.68% 4.65% 10.98% 6.40% 6.38% 0.00% 0.02% 0.23% 0.14% 0.09% 0.43%

Difference # 123 64 59 9 6 43 28 0 9 15 16 0 0 -2 1 -1 -1Ratio Change

% 0.00% -0.04% 0.05% 0.12% 0.06% -0.12% -0.08% -0.13% -0.11% 0.17% 0.19% 0.00% 0.00% -0.05% 0.02% -0.03% -0.04%

Net Change

% 2.88% 2.79% 2.99% 6.77% 5.45% 2.57% 2.55% 0.00% 1.90% 5.64% 6.06% 0.00% 0.00% -16.67% 20.00% -20.00% -5.00%

EMPLOYEE GAINSPermanent New Hires

# 256 137 119 11 10 95 59 11 25 20 23 0 0 0 1 0 1% 100% 53.52% 46.48% 4.30% 3.91% 37.11% 23.05% 4.30% 9.77% 7.81% 8.98% 0.00% 0.00% 0.00% 0.39% 0.00% 0.39%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 165

TABLE A1: TOTAL WORKFORCE—DISTRIBUTION BY RACE/ETHNICITY AND SEXPAY PERIODS 201922 TO 202021 continued

EMPLOYMENT TENURE

TOTAL Hispanic or Latino White

Black or African 

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

EMPLOYEE LOSSESInvoluntary

# 2 2 0 0 0 0 0 2 0 0 0 0 0 0 0 0 0

% 100% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Reduction in Force

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Removal

# 2 2 0 0 0 0 0 2 0 0 0 0 0 0 0 0 0

% 100% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Voluntary

# 139 75 64 3 4 56 35 7 17 7 8 0 0 1 0 1 0

% 100% 53.96% 46.04% 2.16% 2.88% 40.29% 25.18% 5.04% 12.23% 5.04% 5.76% 0.00% 0.00% 0.72% 0.00% 0.72% 0.00%

Resignation

# 47 25 22 1 1 18 8 2 7 3 6 0 0 0 0 1 0

% 100% 53.19% 46.81% 2.13% 2.13% 38.30% 17.02% 4.26% 14.89% 6.38% 12.77% 0.00% 0.00% 0.00% 0.00% 2.13% 0.00%

Retirement

# 75 41 34 2 2 35 23 2 8 1 1 0 0 1 0 0 0

% 100% 54.67% 45.33% 2.67% 2.67% 46.67% 30.67% 2.67% 10.67% 1.33% 1.33% 0.00% 0.00% 1.33% 0.00% 0.00% 0.00%

Other

# 17 9 8 0 1 3 4 3 2 3 1 0 0 0 0 0 0

% 100% 52.94% 47.06% 0.00% 5.88% 17.65% 23.53% 17.65% 11.76% 17.65% 5.88% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTALSeparations

# 141 77 64 3 4 56 35 9 17 7 8 0 0 1 0 1 0

% 100% 54.61% 45.39% 2.13% 2.84% 39.72% 24.82% 6.38% 12.06% 4.96% 5.67% 0.00% 0.00% 0.71% 0.00% 0.71% 0.00%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
166 | EEO PROGRAM STATUS REPORT TABLE A1: TOTAL WORKFORCE—DISTRIBUTION BY RACE/ETHNICITY AND SEX PAY PERIODS 201922 TO 202021 continued EMPLOYMENT TENURE TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female TEMPORARY Prior FY # 99 54 45 1 2 45 33 1 2 7 6 0 1 0 0 0 1

% 100% 54.55% 45.45% 1.01% 2.02% 45.45% 33.33% 1.01% 2.02% 7.07% 6.06% 0.00% 1.01% 0.00% 0.00% 0.00% 1.01%

Current FY # 104 59 45 2 2 47 30 3 5 7 7 0 0 0 0 0 1

% 100% 56.73% 43.27% 1.92% 1.92% 45.19% 28.85% 2.88% 4.81% 6.73% 6.73% 0.00% 0.00% 0.00% 0.00% 0.00% 0.96%

Difference # 5 5 0 1 0 2 -3 2 3 0 1 0 -1 0 0 0 0

Ratio Change

% 0% 2.18% -2.19% 0.91% -0.10% -0.26% -4.49% 1.87% 2.79% -0.34% 0.67% 0.00% -1.01% 0.00% 0.00% 0.00% -0.05%

Net Change

% 5.05% 9.26% 0.00% 100% 0.00% 4.44% -9.09% 200.00% 150.00% 0.00% 16.67% 0.00% -100.00% 0.00% 0.00% 0.00% 0.00%

EMPLOYEE GAINSTemporary New Hires

# 37 25 12 1 0 20 6 0 4 4 2 0 0 0 0 0 0

% 100% 67.57% 32.43% 2.70% 0.00% 54.05% 16.22% 0.00% 10.81% 10.81% 5.41% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 167

TABLE A1: TOTAL WORKFORCE—DISTRIBUTION BY RACE/ETHNICITY AND SEXPAY PERIODS 201922 TO 202021 continued

EMPLOYMENT TENURE

TOTAL Hispanic or Latino White

Black or African 

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

EMPLOYEE LOSSESInvoluntary

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Reduction in Force

# 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Removal

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Voluntary

# 24 15 9 0 0 12 7 0 0 3 2 0 0 0 0 0 0

% 100% 62.50% 37.50% 0.00% 0.00% 50.00% 29.17% 0.00% 0.00% 12.50% 8.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Resignation

# 15 9 6 0 0 8 4 0 0 1 2 0 0 0 0 0 0

% 100% 60.00% 40.00% 0.00% 0.00% 53.33% 26.67% 0.00% 0.00% 6.67% 13.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Retirement

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Other

# 9 6 3 0 0 4 3 0 0 2 0 0 0 0 0 0 0

% 100% 66.67% 33.33% 0.00% 0.00% 44.44% 33.33% 0.00% 0.00% 22.22% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTALSeparations

# 24 15 9 0 0 12 7 0 0 3 2 0 0 0 0 0 0

% 100% 62.50% 37.50% 0.00% 0.00% 50.00% 29.17% 0.00% 0.00% 12.50% 8.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
168 | EEO PROGRAM STATUS REPORT TABLE A2: REGIONAL OFFICES AND HEADQUARTERS—DISTRIBUTION BY RACE/ETHNICITY AND SEX PERMANENT WORKFORCE—PAY PERIOD 202021 REGIONAL STAFF PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female CLF (2010)

% 100% 51.86% 48.14% 5.17% 4.79% 38.33% 34.03% 5.49% 6.53% 1.97% 1.93% 0.07% 0.07% 0.55% 0.53% 0.26% 0.28%

TOTALWORKFORCE

# 4,389 2,358 2,031 142 116 1,717 1,127 204 482 281 280 0 1 10 6 4 19% 100% 53.73% 46.27% 3.24% 2.64% 39.12% 25.68% 4.65% 10.98% 6.40% 6.38% 0.00% 0.02% 0.23% 0.14% 0.09% 0.43%

HQ # 2,803 1,471 1,332 74 63 1,046 705 153 375 188 170 0 1 8 3 2 15

% 100% 52.48% 47.52% 2.64% 2.25% 37.32% 25.15% 5.46% 13.38% 6.71% 6.06% 0.00% 0.04% 0.29% 0.11% 0.07% 0.54%

NYRO # 374 201 173 15 13 156 105 5 26 25 28 0 0 0 0 0 1

% 100% 53.74% 46.26% 4.01% 3.48% 41.71% 28.07% 1.34% 6.95% 6.68% 7.49% 0.00% 0.00% 0.00% 0.00% 0.00% 0.27%

CHRO # 228 138 90 5 5 117 57 6 20 10 8 0 0 0 0 0 0

% 100% 60.53% 39.47% 2.19% 2.19% 51.32% 25.00% 2.63% 8.77% 4.39% 3.51% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

LARO # 160 82 78 9 7 44 37 3 14 25 20 0 0 0 0 1 0

% 100% 51.25% 48.75% 5.63% 4.38% 27.50% 23.13% 1.88% 8.75% 15.63% 12.50% 0.00% 0.00% 0.00% 0.00% 0.63% 0.00%

BRO # 152 85 67 2 5 70 46 5 4 8 12 0 0 0 0 0 0

% 100% 55.92% 44.08% 1.32% 3.29% 46.05% 30.26% 3.29% 2.63% 5.26% 7.89% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

PLRO # 127 76 51 4 3 58 38 8 6 6 4 0 0 0 0 0 0

% 100% 59.84% 40.16% 3.15% 2.36% 45.67% 29.92% 6.30% 4.72% 4.72% 3.15% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

FWRO # 108 61 47 2 2 49 37 7 6 3 1 0 0 0 0 0 1

% 100% 56.48% 43.52% 1.85% 1.85% 45.37% 34.26% 6.48% 5.56% 2.78% 0.93% 0.00% 0.00% 0.00% 0.00% 0.00% 0.93%

SFRO # 123 61 62 4 3 38 25 2 7 15 24 0 0 1 2 1 1

% 100% 49.59% 50.41% 3.25% 2.44% 30.89% 20.33% 1.63% 5.69% 12.20% 19.51% 0.00% 0.00% 0.81% 1.63% 0.81% 0.81%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 169

TABLE A2: REGIONAL OFFICES AND HEADQUARTERS—DISTRIBUTION BY RACE/ETHNICITY AND SEX PERMANENT WORKFORCE—PAY PERIOD 202021 continued

REGIONAL STAFFPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African 

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

ARO

# 99 60 39 5 1 43 20 11 15 1 1 0 0 0 1 0 1% 100% 60.61% 39.39% 5.05% 1.01% 43.43% 20.20% 11.11% 15.15% 1.01% 1.01% 0.00% 0.00% 0.00% 1.01% 0.00% 1.01%

MIRO

# 100 59 41 22 11 34 13 3 9 0 8 0 0 0 0 0 0% 100% 59.00% 41.00% 22.00% 11.00% 34.00% 13.00% 3.00% 9.00% 0.00% 8.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

DRO

# 98 56 42 0 2 55 37 0 0 0 3 0 0 1 0 0 0% 100% 57.14% 42.86% 0.00% 2.04% 56.12% 37.76% 0.00% 0.00% 0.00% 3.06% 0.00% 0.00% 1.02% 0.00% 0.00% 0.00%

SLRO

# 17 8 9 0 1 7 7 1 0 0 1 0 0 0 0 0 0% 100% 47.06% 52.94% 0.00% 5.88% 41.18% 41.18% 5.88% 0.00% 0.00% 5.88% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
170 | EEO PROGRAM STATUS REPORT TABLE A3: OCCUPATIONAL CATEGORIES—DISTRIBUTION BY RACE/ETHNICITY AND SEX PERMANENT WORKFORCE—PAY PERIOD 202021 OCCUPATIONAL CATEGORIES PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female 1. Management Executives

# 131 73 58 5 0 63 46 3 6 2 4 0 1 0 0 0 1% 100% 55.73% 44.27% 3.82% 0.00% 48.09% 35.11% 2.29% 4.58% 1.53% 3.05% 0.00% 0.76% 0.00% 0.00% 0.00% 0.76%

Managers

# 389 241 148 12 3 197 106 8 19 23 20 0 0 1 0 0 0% 100% 61.95% 38.05% 3.08% 0.77% 50.64% 27.25% 2.06% 4.88% 5.91% 5.14% 0.00% 0.00% 0.26% 0.00% 0.00% 0.00%

Supervisors

# 357 219 138 19 7 154 82 16 30 30 18 0 0 0 0 0 1% 100% 61.34% 38.66% 5.32% 1.96% 43.14% 22.97% 4.48% 8.40% 8.40% 5.04% 0.00% 0.00% 0.00% 0.00% 0.00% 0.28%

TOTALMANAGEMENT

# 877 533 344 36 10 414 234 27 55 55 42 0 1 1 0 0 2% 100% 60.78% 39.22% 4.10% 1.14% 47.21% 26.68% 3.08% 6.27% 6.27% 4.79% 0.00% 0.11% 0.11% 0.00% 0.00% 0.23%

2. Professional 

Workers

# 3,345 1,784 1,561 104 95 1,285 850 159 363 224 232 0 0 8 5 4 16% 100% 53.33% 46.67% 3.11% 2.84% 38.42% 25.41% 4.75% 10.85% 6.70% 6.94% 0.00% 0.00% 0.24% 0.15% 0.12% 0.48%

3. Technical 

Workers and Technologists

# 3 3 0 0 0 3 0 0 0 0 0 0 0 0 0 0 0% 100% 100% 0.00% 0.00% 0.00% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 171

TABLE A3: OCCUPATIONAL CATEGORIES—DISTRIBUTION BY RACE/ETHNICITY AND SEXPERMANENT WORKFORCE—PAY PERIOD 202021 continued

OCCUPATIONAL CATEGORIESPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African 

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

4. Sales Workers

# 2 1 1 0 1 1 0 0 0 0 0 0 0 0 0 0 0

% 100% 50.00% 50.00% 0.00% 50.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

5. Administrative 

Support Workers

# 151 30 121 1 10 10 40 16 63 2 6 0 0 1 1 0 1

% 100% 19.87% 80.13% 0.66% 6.62% 6.62% 26.49% 10.60% 41.72% 1.32% 3.97% 0.00% 0.00% 0.66% 0.66% 0.00% 0.66%

6. Skilled Craft 

and Repair Workers

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

7. Operative and 

Transportation Operative Workers

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

8. Laborers

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

9. Service 

Workers

# 11 7 4 1 0 4 3 2 1 0 0 0 0 0 0 0 0

% 100% 63.64% 36.36% 9.09% 0.00% 36.36% 27.27% 18.18% 9.09% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
172 | EEO PROGRAM STATUS REPORT TABLE A4P: PARTICIPATION RATES WITHIN GRADES BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202021 SK, SO, AND RELATED GRADES PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female SK-02 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 % 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% SK-03 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 % 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% SK-04 # 2 1 1 0 0 1 0 0 1 0 0 0 0 0 0 0 0 % 100% 50.00% 50.00% 0.00% 0.00% 50.00% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% SK-05 # 2 1 1 0 0 0 0 1 1 0 0 0 0 0 0 0 0 % 100% 50.00% 50.00% 0.00% 0.00% 0.00% 0.00% 50.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% SK-06 # 6 2 4 0 0 1 1 1 3 0 0 0 0 0 0 0 0 % 100% 33.33% 66.67% 0.00% 0.00% 16.67% 16.67% 16.67% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-07

# 43 7 36 1 3 3 10 3 21 0 2 0 0 0 0 0 0% 100% 16.28% 83.72% 2.33% 6.98% 6.98% 23.26% 6.98% 48.84% 0.00% 4.65% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-08

# 19 0 19 0 1 0 2 0 14 0 1 0 0 0 0 0 1% 100% 0.00% 100% 0.00% 5.26% 0.00% 10.53% 0.00% 73.68% 0.00% 5.26% 0.00% 0.00% 0.00% 0.00% 0.00% 5.26%

SK-09

# 30 7 23 0 2 2 5 4 13 1 1 0 0 0 0 0 2% 100% 23.33% 76.67% 0.00% 6.67% 6.67% 16.67% 13.33% 43.33% 3.33% 3.33% 0.00% 0.00% 0.00% 0.00% 0.00% 6.67%

SK-10

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-11

# 92 27 65 4 11 15 13 6 37 2 4 0 0 0 0 0 0

% 100% 29.35% 70.65% 4.35% 11.96% 16.30% 14.13% 6.52% 40.22% 2.17% 4.35% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-12

# 213 53 160 0 9 23 40 24 94 5 13 0 0 1 1 0 3

% 100% 24.88% 75.12% 0.00% 4.23% 10.80% 18.78% 11.27% 44.13% 2.35% 6.10% 0.00% 0.00% 0.47% 0.47% 0.00% 1.41%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 173

TABLE A4P: PARTICIPATION RATES WITHIN GRADES BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued

SK, SO, AND RELATED GRADESPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

SK-13

# 375 170 205 15 14 93 76 30 92 28 22 0 0 3 1 1 0

% 100% 45.33% 54.67% 4.00% 3.73% 24.80% 20.27% 8.00% 24.53% 7.47% 5.87% 0.00% 0.00% 0.80% 0.27% 0.27% 0.00%

SK-14

# 2,168 1,212 956 78 61 883 583 93 136 152 166 0 0 3 2 3 8

% 100% 55.90% 44.10% 3.60% 2.81% 40.73% 26.89% 4.29% 6.27% 7.01% 7.66% 0.00% 0.00% 0.14% 0.09% 0.14% 0.37%

SK-15

# 363 230 133 20 6 164 84 16 26 30 16 0 0 0 0 0 1

% 100% 63.36% 36.64% 5.51% 1.65% 45.18% 23.14% 4.41% 7.16% 8.26% 4.41% 0.00% 0.00% 0.00% 0.00% 0.00% 0.28%

SK-16

# 550 329 221 7 6 268 160 15 19 37 31 0 0 2 2 0 3

% 100% 59.82% 40.18% 1.27% 1.09% 48.73% 29.09% 2.73% 3.45% 6.73% 5.64% 0.00% 0.00% 0.36% 0.36% 0.00% 0.55%

SK-17

# 392 244 148 12 3 200 106 8 19 23 20 0 0 1 0 0 0

% 100% 62.24% 37.76% 3.06% 0.77% 51.02% 27.04% 2.04% 4.85% 5.87% 5.10% 0.00% 0.00% 0.26% 0.00% 0.00% 0.00%

All Other(Non-SK, Non-SO)

# 3 2 1 0 0 1 1 0 0 1 0 0 0 0 0 0 0% 100% 66.67% 33.33% 0.00% 0.00% 33.33% 33.33% 0.00% 0.00% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Senior Officer

# 131 73 58 5 0 63 46 3 6 2 4 0 1 0 0 0 1

% 100% 55.73% 44.27% 3.82% 0.00% 48.09% 35.11% 2.29% 4.58% 1.53% 3.05% 0.00% 0.76% 0.00% 0.00% 0.00% 0.76%

Permanent Workforce

# 4,389 2,358 2,031 142 116 1,717 1,127 204 482 281 280 0 1 10 6 4 19% 100% 53.73% 46.27% 3.24% 2.64% 39.12% 25.68% 4.65% 10.98% 6.40% 6.38% 0.00% 0.02% 0.23% 0.14% 0.09% 0.43%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
174 | EEO PROGRAM STATUS REPORT TABLE A5P: PARTICIPATION RATES WITHIN SALARY RANGES BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202021 SALARY RANGE PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female Permanent Workforce

# 4,389 2,358 2,031 142 116 1,717 1,127 204 482 281 280 0 1 10 6 4 19% 100% 53.73% 46.27% 3.24% 2.64% 39.12% 25.68% 4.65% 10.98% 6.40% 6.38% 0.00% 0.02% 0.23% 0.14% 0.09% 0.43%

$20,001 – $30,000 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$30,001 – $40,000 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$40,001 – $50,000 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$50,001 – $60,000 # 2 1 1 0 0 1 0 0 1 0 0 0 0 0 0 0 0

% 100% 50.00% 50.00% 0.00% 0.00% 50.00% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$60,001 – $70,000 # 9 6 3 0 0 3 1 2 2 1 0 0 0 0 0 0 0

% 100% 66.67% 33.33% 0.00% 0.00% 33.33% 11.11% 22.22% 22.22% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$70,001 – $80,000 # 22 6 16 1 2 2 5 3 8 0 1 0 0 0 0 0 0

% 100% 27.27% 72.73% 4.55% 9.09% 9.09% 22.73% 13.64% 36.36% 0.00% 4.55% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$80,001 – $90,000 # 52 10 42 1 4 5 11 4 25 0 2 0 0 0 0 0 0

% 100% 19.23% 80.77% 1.92% 7.69% 9.62% 21.15% 7.69% 48.08% 0.00% 3.85% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$90,001 – $100,000 # 39 8 31 0 2 5 4 2 20 1 2 0 0 0 0 0 3

% 100% 20.51% 79.49% 0.00% 5.13% 12.82% 10.26% 5.13% 51.28% 2.56% 5.13% 0.00% 0.00% 0.00% 0.00% 0.00% 7.69%

$100,001 – $110,000 # 51 12 39 2 4 3 5 6 29 1 1 0 0 0 0 0 0

% 100% 23.53% 76.47% 3.92% 7.84% 5.88% 9.80% 11.76% 56.86% 1.96% 1.96% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$110,001 – $120,000 # 79 26 53 2 8 16 11 4 29 3 4 0 0 1 0 0 1

% 100% 32.91% 67.09% 2.53% 10.13% 20.25% 13.92% 5.06% 36.71% 3.80% 5.06% 0.00% 0.00% 1.27% 0.00% 0.00% 1.27%

$120,001 – $130,000 # 97 37 60 3 3 19 20 9 29 5 7 0 0 1 0 0 1

% 100% 38.14% 61.86% 3.09% 3.09% 19.59% 20.62% 9.28% 29.90% 5.15% 7.22% 0.00% 0.00% 1.03% 0.00% 0.00% 1.03%

Notes: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 175

TABLE A5P: PARTICIPATION RATES WITHIN SALARY RANGES BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued

SALARY RANGEPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

$130,001 – $140,000

# 147 57 90 6 8 30 35 13 40 7 5 0 0 1 0 0 2% 100% 38.78% 61.22% 4.08% 5.44% 20.41% 23.81% 8.84% 27.21% 4.76% 3.40% 0.00% 0.00% 0.68% 0.00% 0.00% 1.36%

$140,001 – $150,000

# 183 91 92 8 9 64 41 11 26 8 16 0 0 0 0 0 0% 100% 49.73% 50.27% 4.37% 4.92% 34.97% 22.40% 6.01% 14.21% 4.37% 8.74% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$150,001 – $160,000

# 201 98 103 6 6 65 40 10 33 16 21 0 0 0 2 1 1% 100% 48.76% 51.24% 2.99% 2.99% 32.34% 19.90% 4.98% 16.42% 7.96% 10.45% 0.00% 0.00% 0.00% 1.00% 0.50% 0.50%

$160,001 – $170,000

# 201 99 102 5 4 63 45 16 34 14 17 0 0 0 1 1 1% 100% 49.25% 50.75% 2.49% 1.99% 31.34% 22.39% 7.96% 16.92% 6.97% 8.46% 0.00% 0.00% 0.00% 0.50% 0.50% 0.50%

$170,001 – $180,000

# 185 92 93 7 5 69 43 10 31 6 13 0 0 0 0 0 1% 100% 49.73% 50.27% 3.78% 2.70% 37.30% 23.24% 5.41% 16.76% 3.24% 7.03% 0.00% 0.00% 0.00% 0.00% 0.00% 0.54%

$180,001 and Greater

# 3,121 1,815 1,306 101 61 1,372 866 114 175 219 191 0 1 7 3 2 9% 100% 58.15% 41.85% 3.24% 1.95% 43.96% 27.75% 3.65% 5.61% 7.02% 6.12% 0.00% 0.03% 0.22% 0.10% 0.06% 0.29%

Notes: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
176 | EEO PROGRAM STATUS REPORT TABLE A5P: PARTICIPATION RATES WITHIN SALARY RANGES BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202021 continued SALARY RANGE PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female $180,001 – $190,000 # 216 134 82 8 3 93 52 9 11 24 15 0 0 0 0 0 1 % 100% 62.04% 37.96% 3.70% 1.39% 43.06% 24.07% 4.17% 5.09% 11.11% 6.94% 0.00% 0.00% 0.00% 0.00% 0.00% 0.46% $190,001 – $200,000 # 246 131 115 10 9 96 56 7 28 16 21 0 0 1 0 1 1 % 100% 53.25% 46.75% 4.07% 3.66% 39.02% 22.76% 2.85% 11.38% 6.50% 8.54% 0.00% 0.00% 0.41% 0.00% 0.41% 0.41% $200,001 – $210,000 # 287 173 114 13 10 117 71 22 19 20 14 0 0 1 0 0 0 % 100% 60.28% 39.72% 4.53% 3.48% 40.77% 24.74% 7.67% 6.62% 6.97% 4.88% 0.00% 0.00% 0.35% 0.00% 0.00% 0.00% $210,001 – $220,000 # 850 481 369 26 15 356 248 38 46 58 56 0 0 2 1 1 3 % 100% 56.59% 43.41% 3.06% 1.76% 41.88% 29.18% 4.47% 5.41% 6.82% 6.59% 0.00% 0.00% 0.24% 0.12% 0.12% 0.35% $220,001 – $230,000 # 333 171 162 13 15 127 105 10 18 21 23 0 0 0 0 0 1 % 100% 51.35% 48.65% 3.90% 4.50% 38.14% 31.53% 3.00% 5.41% 6.31% 6.91% 0.00% 0.00% 0.00% 0.00% 0.00% 0.30%

$230,001 – $240,000 

# 325 203 122 11 2 155 77 9 18 27 22 0 0 1 2 0 1% 100% 62.46% 37.54% 3.38% 0.62% 47.69% 23.69% 2.77% 5.54% 8.31% 6.77% 0.00% 0.00% 0.31% 0.62% 0.00% 0.31%

$240,001 – $250,000 

# 173 109 64 5 1 88 51 3 5 13 6 0 0 0 0 0 1% 100% 63.01% 36.99% 2.89% 0.58% 50.87% 29.48% 1.73% 2.89% 7.51% 3.47% 0.00% 0.00% 0.00% 0.00% 0.00% 0.58%

$250,001 – $260,000 

# 585 350 235 13 6 284 173 13 25 38 31 0 0 2 0 0 0% 100% 59.83% 40.17% 2.22% 1.03% 48.55% 29.57% 2.22% 4.27% 6.50% 5.30% 0.00% 0.00% 0.34% 0.00% 0.00% 0.00%

$260,001 – $270,000 

# 105 62 43 2 0 55 33 3 5 2 3 0 1 0 0 0 1% 100% 59.05% 40.95% 1.90% 0.00% 52.38% 31.43% 2.86% 4.76% 1.90% 2.86% 0.00% 0.95% 0.00% 0.00% 0.00% 0.95%

$270,001 – $280,000 

# 1 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0% 100% 100% 0.00% 0.00% 0.00% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$280,001 – $290,000 

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$290,001-$300,000

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$300,001 andGreater

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Notes: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 177

TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202021

SK, SO, AND RELATED GRADESPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

0905 General AttorneyOccupational CLF % 100% 66.70% 33.30% 2.52% 1.85% 59.68% 26.68% 2.13% 2.60% 1.82% 1.74% 0.02% 0.01% 0.31% 0.23% 0.22% 0.18%SK-09

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-10

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-11

# 5 3 2 0 0 3 1 0 0 0 1 0 0 0 0 0 0% 100% 60.00% 40.00% 0.00% 0.00% 60.00% 20.00% 0.00% 0.00% 0.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-12

# 12 7 5 0 1 6 2 1 0 0 2 0 0 0 0 0 0% 100% 58.33% 41.67% 0.00% 8.33% 50.00% 16.67% 8.33% 0.00% 0.00% 16.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-13

# 62 31 31 2 3 24 20 1 4 4 3 0 0 0 1 0 0

% 100% 50.00% 50.00% 3.23% 4.84% 38.71% 32.26% 1.61% 6.45% 6.45% 4.84% 0.00% 0.00% 0.00% 1.61% 0.00% 0.00%

SK-14

# 1,000 540 460 29 28 420 317 34 43 56 68 0 0 1 1 0 3

% 100% 54.00% 46.00% 2.90% 2.80% 42.00% 31.70% 3.40% 4.30% 5.60% 6.80% 0.00% 0.00% 0.10% 0.10% 0.00% 0.30%

SK-15

# 86 45 41 2 1 39 32 2 3 2 4 0 0 0 0 0 1

% 100% 52.33% 47.67% 2.33% 1.16% 45.35% 37.21% 2.33% 3.49% 2.33% 4.65% 0.00% 0.00% 0.00% 0.00% 0.00% 1.16%

SK-16

# 384 209 175 4 4 181 129 8 16 16 22 0 0 0 2 0 2

% 100% 54.43% 45.57% 1.04% 1.04% 47.14% 33.59% 2.08% 4.17% 4.17% 5.73% 0.00% 0.00% 0.00% 0.52% 0.00% 0.52%

SK-17

# 239 142 97 8 1 122 73 2 10 10 13 0 0 0 0 0 0

% 100% 59.41% 40.59% 3.35% 0.42% 51.05% 30.54% 0.84% 4.18% 4.18% 5.44% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

All Other(Non-SK, Non-SO)

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Senior Officer

# 82 44 38 2 0 39 33 2 2 1 3 0 0 0 0 0 0

% 100% 53.66% 46.34% 2.44% 0.00% 47.56% 40.24% 2.44% 2.44% 1.22% 3.66% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTAL Population

# 1,870 1,021 849 47 38 834 607 50 78 89 116 0 0 1 4 0 6

% 100% 54.60% 45.40% 2.51% 2.03% 44.60% 32.46% 2.67% 4.17% 4.76% 6.20% 0.00% 0.00% 0.05% 0.21% 0.00% 0.32%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
178 | EEO PROGRAM STATUS REPORT TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202021 continued SK, SO, AND RELATED GRADES PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female Internal Competitive Promotions1 Job Series of Vacancy: General Attorney (0905) Relevant Pool2 % 100% 53.91% 46.09% 2.39% 2.39% 43.45% 32.34% 2.97% 4.26% 5.04% 6.46% 0.00% 0.00% 0.06% 0.26% 0.00% 0.39% TOTAL Postings # 36 TOTAL Applications Received

# 311 177 134 7 9 142 101 9 11 17 12 0 0 2 0 0 1

% 100% 56.91% 43.09% 2.25% 2.89% 45.66% 32.48% 2.89% 3.54% 5.47% 3.86% 0.00% 0.00% 0.64% 0.00% 0.00% 0.32%

Qualified # 291 162 129 6 8 130 98 8 10 16 12 0 0 2 0 0 1

% 100% 55.67% 44.33% 2.06% 2.75% 44.67% 33.68% 2.75% 3.44% 5.50% 4.12% 0.00% 0.00% 0.69% 0.00% 0.00% 0.34%

Referred # 44 26 18 1 0 19 14 1 2 5 1 0 0 0 0 0 1

% 100% 59.09% 40.91% 2.27% 0.00% 43.18% 31.82% 2.27% 4.55% 11.36% 2.27% 0.00% 0.00% 0.00% 0.00% 0.00% 2.27%

Selected # 40 24 16 1 0 18 12 1 2 4 1 0 0 0 0 0 1

% 100% 60.00% 40.00% 2.50% 0.00% 45.00% 30.00% 2.50% 5.00% 10.00% 2.50% 0.00% 0.00% 0.00% 0.00% 0.00% 2.50%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 202021 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding an occupational series that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020,including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully onboarded.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 179

TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202021 continued

SK, SO, AND RELATED GRADESPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

New HiresGeneral Attorney (0905): In FY 2020 Applicant Flow Data, 27 attorney external applications were marked selected.TOTAL Postings # 38VoluntarilyIdentified

# 2,194 1,359 835 126 83 878 424 200 204 136 116 2 2 10 2 7 4% 100% 61.94% 38.06% 5.74% 3.78% 40.02% 19.33% 9.12% 9.30% 6.20% 5.29% 0.09% 0.09% 0.46% 0.09% 0.32% 0.18%

Qualified of those Identified

# 1,939 1,217 722 117 74 789 379 166 166 128 97 2 1 8 2 7 3

% 100% 62.76% 37.24% 6.03% 3.82% 40.69% 19.55% 8.56% 8.56% 6.60% 5.00% 0.10% 0.05% 0.41% 0.10% 0.36% 0.15%

Referred of those Qualified

# 301 182 119 17 6 134 68 8 21 23 24 0 0 0 0 0 0

% 100% 60.47% 39.53% 5.65% 1.99% 44.52% 22.59% 2.66% 6.98% 7.64% 7.97% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected of those Referred3

# 27 15 12 0 0 12 6 1 4 2 2 0 0 0 0 0 0

% 100% 55.56% 44.44% 0.00% 0.00% 44.44% 22.22% 3.70% 14.81% 7.41% 7.41% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

0905 General Attorney Onboarded4

# 123 60 63 2 5 50 39 1 7 7 10 0 0 0 1 0 1

% 100% 48.78% 51.22% 1.63% 4.07% 40.65% 31.71% 0.81% 5.69% 5.69% 8.13% 0.00% 0.00% 0.00% 0.81% 0.00% 0.81%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 202021 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding an occupational series that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020,including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully onboarded.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
180 | EEO PROGRAM STATUS REPORT TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202021 continued SK, SO, AND RELATED GRADES PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female 0510 Accountant Occupational CLF % 100% 39.91% 60.09% 2.19% 3.93% 31.79% 44.23% 2.49% 5.66% 3.06% 5.49% 0.02% 0.06% 0.19% 0.43% 0.17% 0.29% SK-09 # 1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 % 100% 0.00% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% SK-10 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 % 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% SK-11 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 % 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% SK-12 # 5 3 2 0 0 2 1 0 0 1 1 0 0 0 0 0 0 % 100% 60.00% 40.00% 0.00% 0.00% 40.00% 20.00% 0.00% 0.00% 20.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-13

# 8 3 5 1 0 1 3 0 1 1 1 0 0 0 0 0 0% 100% 37.50% 62.50% 12.50% 0.00% 12.50% 37.50% 0.00% 12.50% 12.50% 12.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-14

# 595 310 285 21 21 237 168 24 37 27 57 0 0 1 1 0 1

% 100% 52.10% 47.90% 3.53% 3.53% 39.83% 28.24% 4.03% 6.22% 4.54% 9.58% 0.00% 0.00% 0.17% 0.17% 0.00% 0.17%

SK-15

# 107 80 27 4 1 63 20 3 4 10 2 0 0 0 0 0 0

% 100% 74.77% 25.23% 3.74% 0.93% 58.88% 18.69% 2.80% 3.74% 9.35% 1.87% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-16

# 57 36 21 0 1 30 16 3 0 3 3 0 0 0 0 0 1

% 100% 63.16% 36.84% 0.00% 1.75% 52.63% 28.07% 5.26% 0.00% 5.26% 5.26% 0.00% 0.00% 0.00% 0.00% 0.00% 1.75%

SK-17

# 55 38 17 1 0 31 14 1 0 4 3 0 0 1 0 0 0

% 100% 69.09% 30.91% 1.82% 0.00% 56.36% 25.45% 1.82% 0.00% 7.27% 5.45% 0.00% 0.00% 1.82% 0.00% 0.00% 0.00%

All Other(Non-SK, Non-SO)

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Senior Officer

# 8 4 4 0 0 4 3 0 1 0 0 0 0 0 0 0 0% 100% 50.00% 50.00% 0.00% 0.00% 50.00% 37.50% 0.00% 12.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTAL Population

# 836 474 362 27 23 368 225 31 44 46 67 0 0 2 1 0 2

% 100% 56.70% 43.30% 3.23% 2.75% 44.02% 26.91% 3.71% 5.26% 5.50% 8.01% 0.00% 0.00% 0.24% 0.12% 0.00% 0.24%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 181

TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202021 continued

SK, SO, AND RELATED GRADESPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

Internal Competitive Promotions1Job Series of Vacancy: Accounting (0510)Relevant Pool2 % 100% 55.96% 44.04% 3.37% 2.98% 43.13% 26.94% 3.89% 5.44% 5.44% 8.29% 0.00% 0.00% 0.13% 0.13% 0.00% 0.26%TOTAL Postings # 8TOTALApplications Received

# 323 164 159 31 19 48 29 47 73 37 36 0 0 1 1 0 1

% 100% 50.77% 49.23% 9.60% 5.88% 14.86% 8.98% 14.55% 22.60% 11.46% 11.15% 0.00% 0.00% 0.31% 0.31% 0.00% 0.31%

Qualified

# 96 48 48 7 3 16 10 13 25 11 9 0 0 1 0 0 1

% 100% 50.00% 50.00% 7.29% 3.13% 16.67% 10.42% 13.54% 26.04% 11.46% 9.38% 0.00% 0.00% 1.04% 0.00% 0.00% 1.04%

Referred

# 86 43 43 7 3 14 9 12 22 9 8 0 0 1 0 0 1

% 100% 50.00% 50.00% 8.14% 3.49% 16.28% 10.47% 13.95% 25.58% 10.47% 9.30% 0.00% 0.00% 1.16% 0.00% 0.00% 1.16%

Selected

# 5 2 3 0 0 2 2 0 1 0 0 0 0 0 0 0 0% 100% 40.00% 60.00% 0.00% 0.00% 40.00% 40.00% 0.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 202021 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding an occupational series that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020,including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully onboarded.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
182 | EEO PROGRAM STATUS REPORT TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202021 continued SK, SO, AND RELATED GRADES PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female New Hires Accounting (0510): In FY 2020 Applicant Flow Data, 7 accountant external applications were marked selected.2 TOTAL Postings # 9 Voluntarily Identified

# 361 173 188 21 17 70 47 56 83 26 39 0 0 0 0 0 2

% 100% 47.92% 52.08% 5.82% 4.71% 19.39% 13.02% 15.51% 22.99% 7.20% 10.80% 0.00% 0.00% 0.00% 0.00% 0.00% 0.55%

Qualified of those Identified

# 208 108 100 12 6 48 28 33 46 15 20 0 0 0 0 0 0

% 100% 51.92% 48.08% 5.77% 2.88% 23.08% 13.46% 15.87% 22.12% 7.21% 9.62% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Referred of those Qualified

# 41 22 19 2 0 13 13 5 2 2 4 0 0 0 0 0 0

% 100% 53.66% 46.34% 4.88% 0.00% 31.71% 31.71% 12.20% 4.88% 4.88% 9.76% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected of those Referred3

# 7 3 4 1 0 2 3 0 0 0 1 0 0 0 0 0 0% 100% 42.86% 57.14% 14.29% 0.00% 28.57% 42.86% 0.00% 0.00% 0.00% 14.29% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

0510 Accounting Onboarded4

# 19 10 9 1 1 8 3 0 1 1 4 0 0 0 0 0 0% 100% 52.63% 47.37% 5.26% 5.26% 42.11% 15.79% 0.00% 5.26% 5.26% 21.05% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 202021 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding an occupational series that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020,including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully onboarded.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 183

TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued

SK, SO, AND RELATED GRADESPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

1831 Securities Compliance ExaminingOccupational CLF % 100% 54.75% 45.25% 3.06% 3.65% 44.11% 28.34% 3.57% 8.71% 3.69% 3.96% 0.00% 0.00% 0.08% 0.31% 0.24% 0.27%SK-09

# 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1% 100% 0.00% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 100%

SK-10

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-11

# 9 5 4 0 2 4 1 0 0 1 1 0 0 0 0 0 0% 100% 55.56% 44.44% 0.00% 22.22% 44.44% 11.11% 0.00% 0.00% 11.11% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-12

# 5 2 3 0 1 1 0 0 1 1 1 0 0 0 0 0 0% 100% 40.00% 60.00% 0.00% 20.00% 20.00% 0.00% 0.00% 20.00% 20.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-13

# 17 5 12 1 1 4 4 0 3 0 4 0 0 0 0 0 0% 100% 29.41% 70.59% 5.88% 5.88% 23.53% 23.53% 0.00% 17.65% 0.00% 23.53% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-14

# 175 113 62 9 1 81 35 7 10 15 15 0 0 0 0 1 1

% 100% 64.57% 35.43% 5.14% 0.57% 46.29% 20.00% 4.00% 5.71% 8.57% 8.57% 0.00% 0.00% 0.00% 0.00% 0.57% 0.57%

SK-15

# 61 41 20 5 1 28 13 0 3 8 3 0 0 0 0 0 0

% 100% 67.21% 32.79% 8.20% 1.64% 45.90% 21.31% 0.00% 4.92% 13.11% 4.92% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-16

# 41 31 10 1 0 25 6 1 1 4 3 0 0 0 0 0 0

% 100% 75.61% 24.39% 2.44% 0.00% 60.98% 14.63% 2.44% 2.44% 9.76% 7.32% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-17

# 36 23 13 2 1 15 8 2 2 4 2 0 0 0 0 0 0

% 100% 63.89% 36.11% 5.56% 2.78% 41.67% 22.22% 5.56% 5.56% 11.11% 5.56% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

All Other(Non-SK, Non-SO)

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Senior Officer

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTALPopulation

# 345 220 125 18 7 158 67 10 20 33 29 0 0 0 0 1 2

% 100% 63.77% 36.23% 5.22% 2.03% 45.80% 19.42% 2.90% 5.80% 9.57% 8.41% 0.00% 0.00% 0.00% 0.00% 0.29% 0.58%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
184 | EEO PROGRAM STATUS REPORT TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202021 continued SK, SO, AND RELATED GRADES PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female Internal Competitive Promotions1 Job Series of Vacancy: Securities Compliance Examining (1831) Relevant Pool2 % 100% 60.41% 39.59% 4.99% 2.05% 42.82% 19.65% 3.52% 9.68% 8.80% 7.92% 0.00% 0.00% 0.00% 0.00% 0.29% 0.29% TOTAL Postings # 6 TOTAL Applications Received

# 63 44 19 1 0 32 16 4 1 7 2 0 0 0 0 0 0% 100% 69.84% 30.16% 1.59% 0.00% 50.79% 25.40% 6.35% 1.59% 11.11% 3.17% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Qualified # 57 39 18 1 0 28 16 3 1 7 1 0 0 0 0 0 0

% 100% 68.42% 31.58% 1.75% 0.00% 49.12% 28.07% 5.26% 1.75% 12.28% 1.75% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Referred # 10 6 4 0 0 4 4 0 0 2 0 0 0 0 0 0 0

% 100% 60.00% 40.00% 0.00% 0.00% 40.00% 40.00% 0.00% 0.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected # 10 6 4 0 0 4 4 0 0 2 0 0 0 0 0 0 0

% 100% 60.00% 40.00% 0.00% 0.00% 40.00% 40.00% 0.00% 0.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 202021 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding an occupational series that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020,including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully onboarded.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 185

TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202021 continued

SK, SO, AND RELATED GRADESPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

New HiresSecurities Compliance Examining (1831): In FY 2020 Applicant Flow Data, 2 external securities compliance examiner application was marked selected.TOTAL Postings # 2VoluntarilyIdentified

# 41 24 17 2 1 13 6 5 4 4 6 0 0 0 0 0 0% 100% 58.54% 41.46% 4.88% 2.44% 31.71% 14.63% 12.20% 9.76% 9.76% 14.63% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Qualified of those Identified

# 20 10 10 1 0 6 3 2 3 1 4 0 0 0 0 0 0% 100% 50.00% 50.00% 5.00% 0.00% 30.00% 15.00% 10.00% 15.00% 5.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Referred of those Qualified

# 20 10 10 1 0 6 3 2 3 1 4 0 0 0 0 0 0% 100% 50.00% 50.00% 5.00% 0.00% 30.00% 15.00% 10.00% 15.00% 5.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected of those Referred3

# 2 0 2 0 0 0 1 0 1 0 0 0 0 0 0 0 0% 100% 0.00% 100% 0.00% 0.00% 0.00% 50.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1831 Securities Compliance Examining Onboarded4

# 22 11 11 1 3 7 3 0 2 3 3 0 0 0 0 0 0% 100% 50.00% 50.00% 4.55% 13.64% 31.82% 13.64% 0.00% 9.09% 13.64% 13.64% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 202021 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding an occupational series that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020,including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully onboarded.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
186 | EEO PROGRAM STATUS REPORT TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202021 continued SK, SO, AND RELATED GRADES PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female 2210 Information Technology Management Occupational CLF % 100% 70.36% 29.64% 5.39% 2.17% 52.21% 20.89% 6.61% 4.50% 5.14% 1.55% 0.10% 0.05% 0.53% 0.29% 0.38% 0.18% SK-09 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 % 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% SK-10 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 % 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% SK-11 # 2 1 1 0 0 1 0 0 1 0 0 0 0 0 0 0 0 % 100% 50.00% 50.00% 0.00% 0.00% 50.00% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% SK-12 # 3 1 2 0 0 0 0 1 2 0 0 0 0 0 0 0 0

% 100% 33.33% 66.67% 0.00% 0.00% 0.00% 0.00% 33.33% 66.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-13

# 88 58 30 5 1 26 7 10 16 15 6 0 0 1 0 1 0

% 100% 65.91% 34.09% 5.68% 1.14% 29.55% 7.95% 11.36% 18.18% 17.05% 6.82% 0.00% 0.00% 1.14% 0.00% 1.14% 0.00%

SK-14

# 120 94 26 11 2 40 9 12 8 30 7 0 0 0 0 1 0

% 100% 78.33% 21.67% 9.17% 1.67% 33.33% 7.50% 10.00% 6.67% 25.00% 5.83% 0.00% 0.00% 0.00% 0.00% 0.83% 0.00%

SK-15

# 44 31 13 4 0 14 6 4 4 9 3 0 0 0 0 0 0

% 100% 70.45% 29.55% 9.09% 0.00% 31.82% 13.64% 9.09% 9.09% 20.45% 6.82% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-16

# 23 20 3 0 0 12 1 1 1 6 1 0 0 1 0 0 0

% 100% 86.96% 13.04% 0.00% 0.00% 52.17% 4.35% 4.35% 4.35% 26.09% 4.35% 0.00% 0.00% 4.35% 0.00% 0.00% 0.00%

SK-17

# 11 9 2 0 0 8 1 0 1 1 0 0 0 0 0 0 0% 100% 81.82% 18.18% 0.00% 0.00% 72.73% 9.09% 0.00% 9.09% 9.09% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

All Other(Non-SK, Non-SO)

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Senior Officer

# 4 3 1 0 0 2 1 1 0 0 0 0 0 0 0 0 0% 100% 75.00% 25.00% 0.00% 0.00% 50.00% 25.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTALPopulation

# 295 217 78 20 3 103 25 29 33 61 17 0 0 2 0 2 0

% 100% 73.56% 26.44% 6.78% 1.02% 34.92% 8.47% 9.83% 11.19% 20.68% 5.76% 0.00% 0.00% 0.68% 0.00% 0.68% 0.00%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 187

TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202021 continued

SK, SO, AND RELATED GRADESPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

Internal Competitive Promotions1Job Series of Vacancy: Information Technology Management (2210)Relevant Pool2 % 100% 73.21% 26.79% 7.14% 1.07% 33.21% 8.21% 10.00% 11.43% 21.43% 6.07% 0.00% 0.00% 0.71% 0.00% 0.71% 0.00%TOTAL Postings # 11TOTALApplications Received

# 652 507 145 51 18 138 38 109 47 203 40 0 0 4 1 2 1

% 100% 77.76% 22.24% 7.82% 2.76% 21.17% 5.83% 16.72% 7.21% 31.13% 6.13% 0.00% 0.00% 0.61% 0.15% 0.31% 0.15%

Qualified

# 375 303 72 30 8 80 22 53 19 135 22 0 0 3 1 2 0

% 100% 80.80% 19.20% 8.00% 2.13% 21.33% 5.87% 14.13% 5.07% 36.00% 5.87% 0.00% 0.00% 0.80% 0.27% 0.53% 0.00%

Referred

# 357 288 69 30 8 74 20 48 19 131 21 0 0 3 1 2 0

% 100% 80.67% 19.33% 8.40% 2.24% 20.73% 5.60% 13.45% 5.32% 36.69% 5.88% 0.00% 0.00% 0.84% 0.28% 0.56% 0.00%

Selected

# 8 7 1 3 0 0 0 1 1 3 0 0 0 0 0 0 0% 100% 87.50% 12.50% 37.50% 0.00% 0.00% 0.00% 12.50% 12.50% 37.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 202021 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding an occupational series that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020,including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully onboarded.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
188 | EEO PROGRAM STATUS REPORT TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202021 continued SK, SO, AND RELATED GRADES PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female New Hires Information Technology Management (2210): In FY 2020 Applicant Flow Data, 4 information technology management external applications were marked selected. TOTAL Postings # 9 Voluntarily Identified

# 1,110 865 245 93 23 240 40 269 123 248 52 1 0 7 1 7 6

% 100% 77.93% 22.07% 8.38% 2.07% 21.62% 3.60% 24.23% 11.08% 22.34% 4.68% 0.09% 0.00% 0.63% 0.09% 0.63% 0.54%

Qualified of those Identified

# 1,094 851 243 91 23 236 40 264 121 245 52 1 0 7 1 7 6

% 100% 77.79% 22.21% 8.32% 2.10% 21.57% 3.66% 24.13% 11.06% 22.39% 4.75% 0.09% 0.00% 0.64% 0.09% 0.64% 0.55%

Referred of those Qualified

# 116 87 29 8 3 20 8 29 14 27 3 1 0 2 0 0 1

% 100% 75.00% 25.00% 6.90% 2.59% 17.24% 6.90% 25.00% 12.07% 23.28% 2.59% 0.86% 0.00% 1.72% 0.00% 0.00% 0.86%

Selected of those Referred3

# 4 3 1 0 1 0 0 1 0 2 0 0 0 0 0 0 0% 100% 75.00% 25.00% 0.00% 25.00% 0.00% 0.00% 25.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

2210 Information Technology Management Onboarded4

# 25 21 4 4 0 9 1 2 1 6 2 0 0 0 0 0 0% 100% 84.00% 16.00% 16.00% 0.00% 36.00% 4.00% 8.00% 4.00% 24.00% 8.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 202021 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding an occupational series that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020,including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully onboarded.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 189

TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued

SK, SO, AND RELATED GRADESPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

0110 EconomistOccupational CLF % 100% 67.07% 32.93% 3.34% 1.85% 55.79% 25.20% 2.84% 2.66% 4.46% 3.02% 0.00% 0.05% 0.47% 0.13% 0.18% 0.02%SK-09

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-10

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-11

# 1 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 100% 0.00% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-12

# 3 2 1 0 0 1 1 1 0 0 0 0 0 0 0 0 0% 100% 66.67% 33.33% 0.00% 0.00% 33.33% 33.33% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-13

# 14 9 5 1 1 4 1 3 0 1 3 0 0 0 0 0 0% 100% 64.29% 35.71% 7.14% 7.14% 28.57% 7.14% 21.43% 0.00% 7.14% 21.43% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-14

# 42 30 12 0 1 23 6 0 0 6 5 0 0 1 0 0 0

% 100% 71.43% 28.57% 0.00% 2.38% 54.76% 14.29% 0.00% 0.00% 14.29% 11.90% 0.00% 0.00% 2.38% 0.00% 0.00% 0.00%

SK-15

# 1 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0% 100% 100% 0.00% 0.00% 0.00% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-16

# 18 13 5 1 0 8 4 1 0 2 1 0 0 1 0 0 0% 100% 72.22% 27.78% 5.56% 0.00% 44.44% 22.22% 5.56% 0.00% 11.11% 5.56% 0.00% 0.00% 5.56% 0.00% 0.00% 0.00%

SK-17

# 9 6 3 0 1 6 2 0 0 0 0 0 0 0 0 0 0% 100% 66.67% 33.33% 0.00% 11.11% 66.67% 22.22% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

All Other(Non-SK, Non-SO)

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Senior Officer

# 2 1 1 0 0 0 0 0 0 1 1 0 0 0 0 0 0% 100% 50.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 50.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTALPopulation

# 90 63 27 3 3 43 14 5 0 10 10 0 0 2 0 0 0

% 100% 70.00% 30.00% 3.33% 3.33% 47.78% 15.56% 5.56% 0.00% 11.11% 11.11% 0.00% 0.00% 2.22% 0.00% 0.00% 0.00%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
190 | EEO PROGRAM STATUS REPORT TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202021 continued SK, SO, AND RELATED GRADES PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female Internal Competitive Promotions1 Job Series of Vacancy: Economist (0110) Relevant Pool2 % 100% 70.89% 29.11% 3.80% 2.53% 46.84% 15.19% 6.33% 0.00% 11.39% 11.39% 0.00% 0.00% 2.53% 0.00% 0.00% 0.00% TOTAL Postings # 2 TOTAL Applications Received

# 7 4 3 0 2 3 1 0 0 1 0 0 0 0 0 0 0% 100% 57.14% 42.86% 0.00% 28.57% 42.86% 14.29% 0.00% 0.00% 14.29% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Qualified # 5 2 3 0 2 2 1 0 0 0 0 0 0 0 0 0 0

% 100% 40.00% 60.00% 0.00% 40.00% 40.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Referred # 2 1 1 0 1 1 0 0 0 0 0 0 0 0 0 0 0

% 100% 50.00% 50.00% 0.00% 50.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected # 2 1 1 0 1 1 0 0 0 0 0 0 0 0 0 0 0

% 100% 50.00% 50.00% 0.00% 50.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 202021 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding an occupational series that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020,including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully onboarded.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 191

TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued

SK, SO, AND RELATED GRADESPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

New HiresEconomist (0110): In FY 2020 Applicant Flow Data, 2 economist external applications were marked selected.2TOTAL Postings # 8VoluntarilyIdentified

# 397 280 117 30 16 134 35 54 16 59 50 0 0 0 0 3 0

% 100% 70.53% 29.47% 7.56% 4.03% 33.75% 8.82% 13.60% 4.03% 14.86% 12.59% 0.00% 0.00% 0.00% 0.00% 0.76% 0.00%

Qualified of those Identified

# 348 242 106 23 13 119 32 49 14 48 47 0 0 0 0 3 0

% 100% 69.54% 30.46% 6.61% 3.74% 34.20% 9.20% 14.08% 4.02% 13.79% 13.51% 0.00% 0.00% 0.00% 0.00% 0.86% 0.00%

Referred of those Qualified

# 45 25 20 3 4 10 3 4 1 8 12 0 0 0 0 0 0

% 100% 55.56% 44.44% 6.67% 8.89% 22.22% 6.67% 8.89% 2.22% 17.78% 26.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected of those Referred3

# 2 2 0 1 0 0 0 1 0 0 0 0 0 0 0 0 0% 100% 100% 0.00% 50.00% 0.00% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

0110 Economist Onboarded4

# 6 4 2 1 0 2 1 1 0 0 1 0 0 0 0 0 0% 100% 66.67% 33.33% 16.67% 0.00% 33.33% 16.67% 16.67% 0.00% 0.00% 16.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 202021 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding an occupational series that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020,including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully onboarded.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
192 | EEO PROGRAM STATUS REPORT TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 SENIOR GRADE LEVEL WORKFORCE PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female Upward Mobility Benchmark 100% 55.12% 44.88% 3.23% 2.50% 40.91% 25.95% 4.12% 9.27% 6.55% 6.60% 0.00% 0.03% 0.20% 0.13% 0.10% 0.40% GS Equivalent Senior Grade Levels TOTAL Senior Grades

# 3,979 2,258 1,721 137 90 1,671 1,055 165 298 272 259 0 1 9 5 4 13% 100% 56.75% 43.25% 3.44% 2.26% 42.00% 26.51% 4.15% 7.49% 6.84% 6.51% 0.00% 0.03% 0.23% 0.13% 0.10% 0.33%

Internal Competitive Promotions1Total All Senior Grade LevelsTOTAL Postings # 109TOTALApplications Received

# 3,880 2,170 1,710 255 176 852 449 583 843 433 190 2 2 21 16 24 34% 100% 55.93% 44.07% 6.57% 4.54% 21.96% 11.57% 15.03% 21.73% 11.16% 4.90% 0.05% 0.05% 0.54% 0.41% 0.62% 0.88%

Qualified # 1,952 1,108 844 111 75 483 281 255 384 235 82 0 0 11 6 13 16

% 100% 56.76% 43.24% 5.69% 3.84% 24.74% 14.40% 13.06% 19.67% 12.04% 4.20% 0.00% 0.00% 0.56% 0.31% 0.67% 0.82%

Referred # 1,482 843 639 97 63 305 162 223 331 197 63 0 0 8 6 13 14

% 100% 56.88% 43.12% 6.55% 4.25% 20.58% 10.93% 15.05% 22.33% 13.29% 4.25% 0.00% 0.00% 0.54% 0.40% 0.88% 0.94%

Selected # 106 55 51 8 4 31 29 3 13 12 4 0 0 0 0 1 1

% 100% 51.89% 48.11% 7.55% 3.77% 29.25% 27.36% 2.83% 12.26% 11.32% 3.77% 0.00% 0.00% 0.00% 0.00% 0.94% 0.94%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each GS-equivalent grade level. During FY 2020, no career development programs were offered meeting the 

table’s definition.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 193

TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued

SENIOR GRADE LEVEL WORKFORCEPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

New HiresTOTAL All Senior Grade LevelsTOTAL Postings # 77VoluntarilyIdentified

# 4,587 2,997 1,590 323 151 1,418 595 656 524 563 298 3 2 18 7 16 13% 100% 65.34% 34.66% 7.04% 3.29% 30.91% 12.97% 14.30% 11.42% 12.27% 6.50% 0.07% 0.04% 0.39% 0.15% 0.35% 0.28%

Qualified of those Identified

# 3,868 2,575 1,293 269 121 1,222 508 545 403 506 243 3 1 15 7 15 10% 100% 66.57% 33.43% 6.95% 3.13% 31.59% 13.13% 14.09% 10.42% 13.08% 6.28% 0.08% 0.03% 0.39% 0.18% 0.39% 0.26%

Referred of those Qualified

# 558 357 201 39 9 192 98 51 44 72 49 1 0 2 0 0 1

% 100% 63.98% 36.02% 6.99% 1.61% 34.41% 17.56% 9.14% 7.89% 12.90% 8.78% 0.18% 0.00% 0.36% 0.00% 0.00% 0.18%

Selected of those Referred3

# 45 26 19 2 1 15 10 3 5 6 3 0 0 0 0 0 0

% 100% 57.78% 42.22% 4.44% 2.22% 33.33% 22.22% 6.67% 11.11% 13.33% 6.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTAL ONBOARDED4

# 207 113 94 10 7 79 51 9 16 15 18 0 0 0 1 0 1

% 100% 54.59% 45.41% 4.83% 3.38% 38.16% 24.64% 4.35% 7.73% 7.25% 8.70% 0.00% 0.00% 0.00% 0.48% 0.00% 0.48%

Career Development ProgramsCareer Development Programs for All Senior Grade Level JobsSlots5 # 0Applied

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Participants

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each GS-equivalent grade level. During FY 2020, no career development programs were offered meeting the 

table’s definition.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
194 | EEO PROGRAM STATUS REPORT TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued SENIOR GRADE LEVEL WORKFORCE PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female SES Equivalent Senior Grade Levels Exec SES Equivalent

# 131 73 58 5 0 63 46 3 6 2 4 0 1 0 0 0 1

% 100% 55.73% 44.27% 3.82% 0.00% 48.09% 35.11% 2.29% 4.58% 1.53% 3.05% 0.00% 0.76% 0.00% 0.00% 0.00% 0.76%

Internal Competitive Promotions1SES EquivalentRelevant Pool2 % 100% 58.02% 41.98% 3.37% 2.19% 43.62% 26.86% 3.80% 5.76% 6.97% 6.71% 0.00% 0.00% 0.17% 0.12% 0.09% 0.35%TOTAL Postings # 11TOTALApplications Received

# 178 128 50 13 5 59 27 24 8 30 8 0 1 2 0 0 1% 100% 71.91% 28.09% 7.30% 2.81% 33.15% 15.17% 13.48% 4.49% 16.85% 4.49% 0.00% 0.56% 1.12% 0.00% 0.00% 0.56%

Qualified # 86 62 24 8 1 33 19 8 2 12 2 0 0 1 0 0 0

% 100% 72.09% 27.91% 9.30% 1.16% 38.37% 22.09% 9.30% 2.33% 13.95% 2.33% 0.00% 0.00% 1.16% 0.00% 0.00% 0.00%

Referred # 50 37 13 6 0 12 11 7 1 11 1 0 0 1 0 0 0

% 100% 74.00% 26.00% 12.00% 0.00% 24.00% 22.00% 14.00% 2.00% 22.00% 2.00% 0.00% 0.00% 2.00% 0.00% 0.00% 0.00%

Selected # 9 4 5 3 0 1 4 0 1 0 0 0 0 0 0 0 0

% 100% 44.44% 55.56% 33.33% 0.00% 11.11% 44.44% 0.00% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each GS-equivalent grade level. During FY 2020, no career development programs were offered meeting the 

table’s definition.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 195

TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued

SENIOR GRADE LEVEL WORKFORCEPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

New HiresSES Equivalent Grade LevelTOTAL Postings # 8VoluntarilyIdentified

# 122 74 48 6 3 45 23 10 12 13 9 0 0 0 0 0 1

% 100% 60.66% 39.34% 4.92% 2.46% 36.89% 18.85% 8.20% 9.84% 10.66% 7.38% 0.00% 0.00% 0.00% 0.00% 0.00% 0.82%

Qualified of those Identified

# 60 33 27 2 2 21 15 2 5 8 5 0 0 0 0 0 0

% 100% 55.00% 45.00% 3.33% 3.33% 35.00% 25.00% 3.33% 8.33% 13.33% 8.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Referred of those Qualified

# 38 18 20 2 1 13 11 0 3 3 5 0 0 0 0 0 0

% 100% 47.37% 52.63% 5.26% 2.63% 34.21% 28.95% 0.00% 7.89% 7.89% 13.16% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected of those Referred3

# 3 0 3 0 0 0 2 0 1 0 0 0 0 0 0 0 0% 100% 0.00% 100% 0.00% 0.00% 0.00% 66.67% 0.00% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Exec Onboarded4

# 5 4 1 0 0 4 1 0 0 0 0 0 0 0 0 0 0% 100% 80.00% 20.00% 0.00% 0.00% 80.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Career Development ProgramsCareer Development Programs for SES Equivalent JobsSlots5 # 0

Applied

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Participants

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each GS-equivalent grade level. During FY 2020, no career development programs were offered meeting the 

table’s definition.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
196 | EEO PROGRAM STATUS REPORT TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued SENIOR GRADE LEVEL WORKFORCE PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female GS-15 Equivalent Senior Grade Levels GS-15 Equivalent # 755 474 281 32 9 364 190 24 45 53 36 0 0 1 0 0 1

% 100% 62.78% 37.22% 4.24% 1.19% 48.21% 25.17% 3.18% 5.96% 7.02% 4.77% 0.00% 0.00% 0.13% 0.00% 0.00% 0.13%

Internal Competitive Promotions1GS-15 EquivalentRelevant Pool2 % 100% 57.48% 42.52% 3.41% 2.37% 42.68% 26.84% 4.02% 5.87% 7.11% 6.91% 0.00% 0.00% 0.16% 0.13% 0.10% 0.39%TOTAL Postings # 39TOTALApplications Received

# 826 491 335 38 27 227 125 94 139 125 33 0 0 5 3 2 8

% 100% 59.44% 40.56% 4.60% 3.27% 27.48% 15.13% 11.38% 16.83% 15.13% 4.00% 0.00% 0.00% 0.61% 0.36% 0.24% 0.97%

Qualified # 536 301 235 20 12 155 105 48 88 75 24 0 0 2 1 1 5

% 100% 56.16% 43.84% 3.73% 2.24% 28.92% 19.59% 8.96% 16.42% 13.99% 4.48% 0.00% 0.00% 0.37% 0.19% 0.19% 0.93%

Referred # 310 172 138 17 9 61 43 38 69 54 11 0 0 1 1 1 5

% 100% 55.48% 44.52% 5.48% 2.90% 19.68% 13.87% 12.26% 22.26% 17.42% 3.55% 0.00% 0.00% 0.32% 0.32% 0.32% 1.61%

Selected # 44 25 19 3 1 18 13 0 2 4 2 0 0 0 0 0 1

% 100% 56.82% 43.18% 6.82% 2.27% 40.91% 29.55% 0.00% 4.55% 9.09% 4.55% 0.00% 0.00% 0.00% 0.00% 0.00% 2.27%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each GS-equivalent grade level. During FY 2020, no career development programs were offered meeting the 

table’s definition.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 197

TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued

SENIOR GRADE LEVEL WORKFORCEPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

New HiresGS-15 Equivalent Grade LevelTOTAL Postings # 11Voluntarily Identified

# 495 346 149 40 9 153 59 81 57 66 24 0 0 4 0 2 0

% 100% 69.90% 30.10% 8.08% 1.82% 30.91% 11.92% 16.36% 11.52% 13.33% 4.85% 0.00% 0.00% 0.81% 0.00% 0.40% 0.00%

Qualified of those Identified

# 329 240 89 20 2 112 45 51 25 53 17 0 0 3 0 1 0

% 100% 72.95% 27.05% 6.08% 0.61% 34.04% 13.68% 15.50% 7.60% 16.11% 5.17% 0.00% 0.00% 0.91% 0.00% 0.30% 0.00%

Referred of those Qualified

# 59 35 24 3 0 21 16 4 2 7 6 0 0 0 0 0 0

% 100% 59.32% 40.68% 5.08% 0.00% 35.59% 27.12% 6.78% 3.39% 11.86% 10.17% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected of those Referred3

# 3 1 2 1 0 0 2 0 0 0 0 0 0 0 0 0 0% 100% 33.33% 66.67% 33.33% 0.00% 0.00% 66.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

GS-15 Onboarded4

# 11 5 6 2 1 3 4 0 1 0 0 0 0 0 0 0 0% 100% 45.45% 54.55% 18.18% 9.09% 27.27% 36.36% 0.00% 9.09% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Career Development ProgramsCareer Development Programs for SK 15 – 17Relevant Pool2 % 100% 58.02% 41.98% 3.37% 2.19% 43.62% 26.86% 3.80% 5.76% 6.97% 6.71% 0.00% 0.00% 0.17% 0.12% 0.09% 0.35%Slots5 # 0Applied

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Participants

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each GS-equivalent grade level. During FY 2020, no career development programs were offered meeting the 

table’s definition.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
198 | EEO PROGRAM STATUS REPORT TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued SENIOR GRADE LEVEL WORKFORCE PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female GS-14 Equivalent Senior Grade Levels GS-14 Equivalent # 2,718 1,541 1,177 85 67 1,151 743 108 155 189 197 0 0 5 4 3 11

% 100% 56.70% 43.30% 3.13% 2.47% 42.35% 27.34% 3.97% 5.70% 6.95% 7.25% 0.00% 0.00% 0.18% 0.15% 0.11% 0.40%

Internal Competitive Promotions1GS-14 EquivalentRelevant Pool2 % 100% 55.47% 44.53% 3.89% 2.79% 39.23% 25.57% 4.78% 8.74% 7.23% 7.02% 0.00% 0.00% 0.21% 0.10% 0.14% 0.31%TOTAL Postings # 47TOTALApplications Received

# 2,164 1,196 968 150 107 456 244 349 468 213 119 1 1 13 9 14 20% 100% 55.27% 44.73% 6.93% 4.94% 21.07% 11.28% 16.13% 21.63% 9.84% 5.50% 0.05% 0.05% 0.60% 0.42% 0.65% 0.92%

Qualified # 1,006 600 406 67 41 253 132 153 179 112 43 0 0 7 3 8 8

% 100% 59.64% 40.36% 6.66% 4.08% 25.15% 13.12% 15.21% 17.79% 11.13% 4.27% 0.00% 0.00% 0.70% 0.30% 0.80% 0.80%

Referred # 814 491 323 58 35 190 84 133 157 97 38 0 0 5 3 8 6

% 100% 60.32% 39.68% 7.13% 4.30% 23.34% 10.32% 16.34% 19.29% 11.92% 4.67% 0.00% 0.00% 0.61% 0.37% 0.98% 0.74%

Selected # 44 24 20 2 2 12 10 3 6 6 2 0 0 0 0 1 0

% 100% 54.55% 45.45% 4.55% 4.55% 27.27% 22.73% 6.82% 13.64% 13.64% 4.55% 0.00% 0.00% 0.00% 0.00% 2.27% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each GS-equivalent grade level. During FY 2020, no career development programs were offered meeting the 

table’s definition.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 199

TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued

SENIOR GRADE LEVEL WORKFORCEPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

New HiresGS-14 Equivalent Grade LevelsTOTAL Postings # 51VoluntarilyIdentified

# 3,360 2,154 1,206 224 124 1,066 460 440 379 398 226 2 2 12 6 12 9% 100% 64.11% 35.89% 6.67% 3.69% 31.73% 13.69% 13.10% 11.28% 11.85% 6.73% 0.06% 0.06% 0.36% 0.18% 0.36% 0.27%

Qualified of those Identified

# 2,923 1,917 1,006 202 106 947 400 379 304 365 182 2 1 10 6 12 7% 100% 65.58% 34.42% 6.91% 3.63% 32.40% 13.68% 12.97% 10.40% 12.49% 6.23% 0.07% 0.03% 0.34% 0.21% 0.41% 0.24%

Referred of those Qualified

# 347 231 116 26 6 135 61 23 20 46 29 0 0 1 0 0 0

% 100% 66.57% 33.43% 7.49% 1.73% 38.90% 17.58% 6.63% 5.76% 13.26% 8.36% 0.00% 0.00% 0.29% 0.00% 0.00% 0.00%

Selected of those Referred3

# 32 21 11 0 1 13 5 3 2 5 3 0 0 0 0 0 0

% 100% 65.63% 34.38% 0.00% 3.13% 40.63% 15.63% 9.38% 6.25% 15.63% 9.38% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

GS-14 Onboarded4

# 105 62 43 4 1 40 24 8 5 10 12 0 0 0 0 0 1

% 100% 59.05% 40.95% 3.81% 0.95% 38.10% 22.86% 7.62% 4.76% 9.52% 11.43% 0.00% 0.00% 0.00% 0.00% 0.00% 0.95%

Career Development ProgramsCareer Development Programs for SK 13 – 14Relevant Pool2 % 100% 56.16% 43.84% 3.47% 2.52% 40.74% 26.13% 4.46% 7.90% 7.15% 6.80% 0.00% 0.00% 0.23% 0.14% 0.12% 0.35%Slots5 # 0Applied

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Participants

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each GS-equivalent grade level. During FY 2020, no career development programs were offered meeting the 

table’s definition.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
200 | EEO PROGRAM STATUS REPORT TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued SENIOR GRADE LEVEL WORKFORCE PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female GS-13 Equivalent Senior Grade Levels GS-13 Equivalent # 375 170 205 15 14 93 76 30 92 28 22 0 0 3 1 1 0

% 100% 45.33% 54.67% 4.00% 3.73% 24.80% 20.27% 8.00% 24.53% 7.47% 5.87% 0.00% 0.00% 0.80% 0.27% 0.27% 0.00%

Internal Competitive Promotions1GS-13 EquivalentRelevant Pool2 % 100% 24.88% 75.12% 0.00% 4.23% 10.80% 18.78% 11.27% 44.13% 2.35% 6.10% 0.00% 0.00% 0.47% 0.47% 0.00% 1.41%TOTAL Postings # 12TOTALApplications Received

# 712 355 357 54 37 110 53 116 228 65 30 1 0 1 4 8 5

% 100% 49.86% 50.14% 7.58% 5.20% 15.45% 7.44% 16.29% 32.02% 9.13% 4.21% 0.14% 0.00% 0.14% 0.56% 1.12% 0.70%

Qualified # 324 145 179 16 21 42 25 46 115 36 13 0 0 1 2 4 3

% 100% 44.75% 55.25% 4.94% 6.48% 12.96% 7.72% 14.20% 35.49% 11.11% 4.01% 0.00% 0.00% 0.31% 0.62% 1.23% 0.93%

Referred # 308 143 165 16 19 42 24 45 104 35 13 0 0 1 2 4 3

% 100% 46.43% 53.57% 5.19% 6.17% 13.64% 7.79% 14.61% 33.77% 11.36% 4.22% 0.00% 0.00% 0.32% 0.65% 1.30% 0.97%

Selected # 9 2 7 0 1 0 2 0 4 2 0 0 0 0 0 0 0

% 100% 22.22% 77.78% 0.00% 11.11% 0.00% 22.22% 0.00% 44.44% 22.22% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each GS-equivalent grade level. During FY 2020, no career development programs were offered meeting the 

table’s definition.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 201

TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued

SENIOR GRADE LEVEL WORKFORCEPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

New HiresGS-13 Equivalent Grade LevelTOTAL Postings # 7VoluntarilyIdentified

# 610 423 187 53 15 154 53 125 76 86 39 1 0 2 1 2 3

% 100% 69.34% 30.66% 8.69% 2.46% 25.25% 8.69% 20.49% 12.46% 14.10% 6.39% 0.16% 0.00% 0.33% 0.16% 0.33% 0.49%

Qualified of those Identified

# 556 385 171 45 11 142 48 113 69 80 39 1 0 2 1 2 3

% 100% 69.24% 30.76% 8.09% 1.98% 25.54% 8.63% 20.32% 12.41% 14.39% 7.01% 0.18% 0.00% 0.36% 0.18% 0.36% 0.54%

Referred of those Qualified

# 114 73 41 8 2 23 10 24 19 16 9 1 0 1 0 0 1

% 100% 64.04% 35.96% 7.02% 1.75% 20.18% 8.77% 21.05% 16.67% 14.04% 7.89% 0.88% 0.00% 0.88% 0.00% 0.00% 0.88%

Selected of those Referred3

# 7 4 3 1 0 2 1 0 2 1 0 0 0 0 0 0 0% 100% 57.14% 42.86% 14.29% 0.00% 28.57% 14.29% 0.00% 28.57% 14.29% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

GS-13 Onboarded4

# 86 42 44 4 5 32 22 1 10 5 6 0 0 0 1 0 0

% 100% 48.84% 51.16% 4.65% 5.81% 37.21% 25.58% 1.16% 11.63% 5.81% 6.98% 0.00% 0.00% 0.00% 1.16% 0.00% 0.00%

Career Development ProgramsCareer Development Programs for SK 13 – 14Relevant Pool2 % 100% 36.20% 63.80% 2.68% 5.07% 18.73% 18.87% 9.01% 33.24% 5.07% 5.63% 0.00% 0.00% 0.56% 0.28% 0.14% 0.70%Slots5 # 0Applied

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Participants

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 9/30/2020. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each GS-equivalent grade level. During FY 2020, no career development programs were offered meeting the 

table’s definition.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
202 | EEO PROGRAM STATUS REPORT TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 LEADERSHIP LEVEL WORKFORCE PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female Benchmark 100% 56.00% 44.00% 3.27% 2.41% 41.97% 26.58% 3.95% 7.82% 6.54% 6.68% 0.00% 0.03% 0.19% 0.14% 0.08% 0.35% Leadership Levels TOTAL Management

# 877 533 344 36 10 414 234 27 55 55 42 0 1 1 0 0 2

% 100% 60.78% 39.22% 4.10% 1.14% 47.21% 26.68% 3.08% 6.27% 6.27% 4.79% 0.00% 0.11% 0.11% 0.00% 0.00% 0.23%

Internal Competitive Promotions1TOTAL Leadership LevelsTOTAL Postings # 50TOTALApplications Received

# 1,004 619 385 51 32 286 152 118 147 155 41 0 1 7 3 2 9

% 100% 61.65% 38.35% 5.08% 3.19% 28.49% 15.14% 11.75% 14.64% 15.44% 4.08% 0.00% 0.10% 0.70% 0.30% 0.20% 0.90%

Qualified # 622 363 259 28 13 188 124 56 90 87 26 0 0 3 1 1 5

% 100% 58.36% 41.64% 4.50% 2.09% 30.23% 19.94% 9.00% 14.47% 13.99% 4.18% 0.00% 0.00% 0.48% 0.16% 0.16% 0.80%

Referred # 360 209 151 23 9 73 54 45 70 65 12 0 0 2 1 1 5

% 100% 58.06% 41.94% 6.39% 2.50% 20.28% 15.00% 12.50% 19.44% 18.06% 3.33% 0.00% 0.00% 0.56% 0.28% 0.28% 1.39%

Selected # 53 29 24 6 1 19 17 0 3 4 2 0 0 0 0 0 1

% 100% 54.72% 45.28% 11.32% 1.89% 35.85% 32.08% 0.00% 5.66% 7.55% 3.77% 0.00% 0.00% 0.00% 0.00% 0.00% 1.89%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on. The number onboarded may not equal the number selected from a vacancy posted during the fiscal year 

because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each leadership level. During FY 2020, no career development programs were offered meeting the table’s definition.Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 203

TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued

LEADERSHIP LEVEL WORKFORCEPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

New HiresTOTAL All Leadership LevelsTOTAL Postings # 19VoluntarilyIdentified

# 617 420 197 46 12 198 82 91 69 79 33 0 0 4 0 2 1

% 100% 68.07% 31.93% 7.46% 1.94% 32.09% 13.29% 14.75% 11.18% 12.80% 5.35% 0.00% 0.00% 0.65% 0.00% 0.32% 0.16%

Qualified of those Identified

# 389 273 116 22 4 133 60 53 30 61 22 0 0 3 0 1 0

% 100% 70.18% 29.82% 5.66% 1.03% 34.19% 15.42% 13.62% 7.71% 15.68% 5.66% 0.00% 0.00% 0.77% 0.00% 0.26% 0.00%

Referred of those Qualified

# 97 53 44 5 1 34 27 4 5 10 11 0 0 0 0 0 0

% 100% 54.64% 45.36% 5.15% 1.03% 35.05% 27.84% 4.12% 5.15% 10.31% 11.34% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected of those Referred3

# 6 1 5 1 0 0 4 0 1 0 0 0 0 0 0 0 0% 100% 16.67% 83.33% 16.67% 0.00% 0.00% 66.67% 0.00% 16.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTAL LEADERSHIPONBOARDED4

# 18 11 7 2 1 8 5 1 1 0 0 0 0 0 0 0 0% 100% 61.11% 38.89% 11.11% 5.56% 44.44% 27.78% 5.56% 5.56% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Career Development ProgramsCareer Development Programs for All Leadership JobsSlots5 # 0Applied

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Participants

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on. The number onboarded may not equal the number selected from a vacancy posted during the fiscal year 

because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each leadership level. During FY 2020, no career development programs were offered meeting the table’s definition.Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
204 | EEO PROGRAM STATUS REPORT TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued LEADERSHIP LEVEL WORKFORCE PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female Executive Level Executive # 131 73 58 5 0 63 46 3 6 2 4 0 1 0 0 0 1

% 100% 55.73% 44.27% 3.82% 0.00% 48.09% 35.11% 2.29% 4.58% 1.53% 3.05% 0.00% 0.76% 0.00% 0.00% 0.00% 0.76%

SK-17 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

All Other(Non-SK, Non-SO)

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Senior Officer # 131 73 58 5 0 63 46 3 6 2 4 0 1 0 0 0 1

% 100% 55.73% 44.27% 3.82% 0.00% 48.09% 35.11% 2.29% 4.58% 1.53% 3.05% 0.00% 0.76% 0.00% 0.00% 0.00% 0.76%

Internal Competitive Promotions1ExecutiveRelevant Pool2 % 100% 61.95% 38.05% 3.08% 0.77% 50.64% 27.25% 2.06% 4.88% 5.91% 5.14% 0.00% 0.00% 0.26% 0.00% 0.00% 0.00%TOTAL Postings # 11TOTALApplications Received

# 178 128 50 13 5 59 27 24 8 30 8 0 1 2 0 0 1

% 100% 71.91% 28.09% 7.30% 2.81% 33.15% 15.17% 13.48% 4.49% 16.85% 4.49% 0.00% 0.56% 1.12% 0.00% 0.00% 0.56%

Qualified # 86 62 24 8 1 33 19 8 2 12 2 0 0 1 0 0 0

% 100% 72.09% 27.91% 9.30% 1.16% 38.37% 22.09% 9.30% 2.33% 13.95% 2.33% 0.00% 0.00% 1.16% 0.00% 0.00% 0.00%

Referred # 50 37 13 6 0 12 11 7 1 11 1 0 0 1 0 0 0

% 100% 74.00% 26.00% 12.00% 0.00% 24.00% 22.00% 14.00% 2.00% 22.00% 2.00% 0.00% 0.00% 2.00% 0.00% 0.00% 0.00%

Selected # 9 4 5 3 0 1 4 0 1 0 0 0 0 0 0 0 0

% 100% 44.44% 55.56% 33.33% 0.00% 11.11% 44.44% 0.00% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on. The number onboarded may not equal the number selected from a vacancy posted during the fiscal year 

because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each leadership level. During FY 2020, no career development programs were offered meeting the table’s definition.Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 205

TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued

LEADERSHIP LEVEL WORKFORCEPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

New HiresExecutive Vacancy LevelTOTAL Postings # 8Voluntarily Identified

# 122 74 48 6 3 45 23 10 12 13 9 0 0 0 0 0 1

% 100% 60.66% 39.34% 4.92% 2.46% 36.89% 18.85% 8.20% 9.84% 10.66% 7.38% 0.00% 0.00% 0.00% 0.00% 0.00% 0.82%

Qualified of those Identified

# 60 33 27 2 2 21 15 2 5 8 5 0 0 0 0 0 0

% 100% 55.00% 45.00% 3.33% 3.33% 35.00% 25.00% 3.33% 8.33% 13.33% 8.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Referred of those Qualified

# 38 18 20 2 1 13 11 0 3 3 5 0 0 0 0 0 0

% 100% 47.37% 52.63% 5.26% 2.63% 34.21% 28.95% 0.00% 7.89% 7.89% 13.16% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected of those Referred3

# 3 0 3 0 0 0 2 0 1 0 0 0 0 0 0 0 0% 100% 0.00% 100% 0.00% 0.00% 0.00% 66.67% 0.00% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Executive Onboarded4

# 5 4 1 0 0 4 1 0 0 0 0 0 0 0 0 0 0% 100% 80.00% 20.00% 0.00% 0.00% 80.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Career Development ProgramsCareer Development Programs for Executive LevelsRelevant Pool2 % 100% 56.78% 43.22% 3.43% 2.34% 41.79% 26.22% 4.21% 7.59% 7.02% 6.63% 0.00% 0.00% 0.23% 0.13% 0.10% 0.31%Slots5 # 0

Applied

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Participants

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on. The number onboarded may not equal the number selected from a vacancy posted during the fiscal year 

because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each leadership level. During FY 2020, no career development programs were offered meeting the table’s definition.Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
206 | EEO PROGRAM STATUS REPORT TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued LEADERSHIP LEVEL WORKFORCE PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female Manager Level Manager # 389 241 148 12 3 197 106 8 19 23 20 0 0 1 0 0 0

% 100% 61.95% 38.05% 3.08% 0.77% 50.64% 27.25% 2.06% 4.88% 5.91% 5.14% 0.00% 0.00% 0.26% 0.00% 0.00% 0.00%

SK-17 # 389 241 148 12 3 197 106 8 19 23 20 0 0 1 0 0 0

% 100% 61.95% 38.05% 3.08% 0.77% 50.64% 27.25% 2.06% 4.88% 5.91% 5.14% 0.00% 0.00% 0.26% 0.00% 0.00% 0.00%

All Other(Non-SK, Non-SO)

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Senior Officer # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Internal Competitive Promotions1ManagerRelevant Pool2 % 100% 61.69% 38.31% 5.35% 1.97% 43.38% 23.10% 4.51% 7.89% 8.45% 5.07% 0.00% 0.00% 0.00% 0.00% 0.00% 0.28%TOTAL Postings # 19TOTALApplications Received

# 249 169 80 11 6 98 50 20 10 38 13 0 0 2 1 0 0

% 100% 67.87% 32.13% 4.42% 2.41% 39.36% 20.08% 8.03% 4.02% 15.26% 5.22% 0.00% 0.00% 0.80% 0.40% 0.00% 0.00%

Qualified # 212 143 69 9 2 84 46 16 9 32 11 0 0 2 1 0 0

% 100% 67.45% 32.55% 4.25% 0.94% 39.62% 21.70% 7.55% 4.25% 15.09% 5.19% 0.00% 0.00% 0.94% 0.47% 0.00% 0.00%

Referred # 86 68 18 7 1 26 9 14 4 20 3 0 0 1 1 0 0

% 100% 79.07% 20.93% 8.14% 1.16% 30.23% 10.47% 16.28% 4.65% 23.26% 3.49% 0.00% 0.00% 1.16% 1.16% 0.00% 0.00%

Selected # 20 14 6 0 1 11 3 0 0 3 2 0 0 0 0 0 0

% 100% 70.00% 30.00% 0.00% 5.00% 55.00% 15.00% 0.00% 0.00% 15.00% 10.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on. The number onboarded may not equal the number selected from a vacancy posted during the fiscal year 

because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each leadership level. During FY 2020, no career development programs were offered meeting the table’s definition.Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 207

TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued

LEADERSHIP LEVEL WORKFORCEPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

New HiresManager Vacancy LevelTOTAL Postings # 7VoluntarilyIdentified

# 279 181 98 31 7 78 35 43 39 27 17 0 0 1 0 1 0

% 100% 64.87% 35.13% 11.11% 2.51% 27.96% 12.54% 15.41% 13.98% 9.68% 6.09% 0.00% 0.00% 0.36% 0.00% 0.36% 0.00%

Qualified of those Identified

# 114 75 39 11 0 37 22 13 7 14 10 0 0 0 0 0 0

% 100% 65.79% 34.21% 9.65% 0.00% 32.46% 19.30% 11.40% 6.14% 12.28% 8.77% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Referred of those Qualified

# 38 21 17 3 0 11 11 3 2 4 4 0 0 0 0 0 0

% 100% 55.26% 44.74% 7.89% 0.00% 28.95% 28.95% 7.89% 5.26% 10.53% 10.53% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected of those Referred3

# 3 1 2 1 0 0 2 0 0 0 0 0 0 0 0 0 0% 100% 33.33% 66.67% 33.33% 0.00% 0.00% 66.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Manager Onboarded4

# 2 1 1 0 0 1 1 0 0 0 0 0 0 0 0 0 0% 100% 50.00% 50.00% 0.00% 0.00% 50.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Career Development ProgramsCareer Development Programs for ManagersRelevant Pool2 % 100% 58.02% 41.98% 3.37% 2.19% 43.62% 26.86% 3.80% 5.76% 6.97% 6.71% 0.00% 0.00% 0.17% 0.12% 0.09% 0.35%Slots5 # 0

Applied

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Participants

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on. The number onboarded may not equal the number selected from a vacancy posted during the fiscal year 

because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each leadership level. During FY 2020, no career development programs were offered meeting the table’s definition.Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
208 | EEO PROGRAM STATUS REPORT TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued LEADERSHIP LEVEL WORKFORCE PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female Supervisor Level Supervisor # 357 219 138 19 7 154 82 16 30 30 18 0 0 0 0 0 1

% 100% 61.34% 38.66% 5.32% 1.96% 43.14% 22.97% 4.48% 8.40% 8.40% 5.04% 0.00% 0.00% 0.00% 0.00% 0.00% 0.28%

SK-09 # 1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0

% 100% 0.00% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-10 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-11 # 1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0

% 100% 0.00% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-12 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-13 # 8 2 6 0 1 2 2 0 2 0 1 0 0 0 0 0 0

% 100% 25.00% 75.00% 0.00% 12.50% 25.00% 25.00% 0.00% 25.00% 0.00% 12.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-14 # 10 4 6 0 0 3 3 1 2 0 1 0 0 0 0 0 0

% 100% 40.00% 60.00% 0.00% 0.00% 30.00% 30.00% 10.00% 20.00% 0.00% 10.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-15 # 337 213 124 19 6 149 77 15 24 30 16 0 0 0 0 0 1

% 100% 63.20% 36.80% 5.64% 1.78% 44.21% 22.85% 4.45% 7.12% 8.90% 4.75% 0.00% 0.00% 0.00% 0.00% 0.00% 0.30%

SK-16 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on. The number onboarded may not equal the number selected from a vacancy posted during the fiscal year 

because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each leadership level. During FY 2020, no career development programs were offered meeting the table’s definition.Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 209

TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued

LEADERSHIP LEVEL WORKFORCEPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

Internal Competitive Promotions1SupervisorRelevant Pool2 % 100% 52.07% 47.93% 3.37% 3.05% 36.25% 25.36% 5.33% 11.68% 6.71% 7.29% 0.00% 0.00% 0.25% 0.15% 0.15% 0.40%TOTAL Postings # 20TOTALApplications Received

# 577 322 255 27 21 129 75 74 129 87 20 0 0 3 2 2 8

% 100% 55.81% 44.19% 4.68% 3.64% 22.36% 13.00% 12.82% 22.36% 15.08% 3.47% 0.00% 0.00% 0.52% 0.35% 0.35% 1.39%

Qualified

# 324 158 166 11 10 71 59 32 79 43 13 0 0 0 0 1 5

% 100% 48.77% 51.23% 3.40% 3.09% 21.91% 18.21% 9.88% 24.38% 13.27% 4.01% 0.00% 0.00% 0.00% 0.00% 0.31% 1.54%

Referred

# 224 104 120 10 8 35 34 24 65 34 8 0 0 0 0 1 5

% 100% 46.43% 53.57% 4.46% 3.57% 15.63% 15.18% 10.71% 29.02% 15.18% 3.57% 0.00% 0.00% 0.00% 0.00% 0.45% 2.23%

Selected

# 24 11 13 3 0 7 10 0 2 1 0 0 0 0 0 0 1% 100% 45.83% 54.17% 12.50% 0.00% 29.17% 41.67% 0.00% 8.33% 4.17% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 4.17%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on. The number onboarded may not equal the number selected from a vacancy posted during the fiscal year 

because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each leadership level. During FY 2020, no career development programs were offered meeting the table’s definition.Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
210 | EEO PROGRAM STATUS REPORT TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued LEADERSHIP LEVEL WORKFORCE PERMANENT TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female New Hires Supervisor Vacancy Level TOTAL Received # 4 Voluntarily Identified

# 216 165 51 9 2 75 24 38 18 39 7 0 0 3 0 1 0

% 100% 76.39% 23.61% 4.17% 0.93% 34.72% 11.11% 17.59% 8.33% 18.06% 3.24% 0.00% 0.00% 1.39% 0.00% 0.46% 0.00%

Qualified of those Identified

# 215 165 50 9 2 75 23 38 18 39 7 0 0 3 0 1 0

% 100% 76.74% 23.26% 4.19% 0.93% 34.88% 10.70% 17.67% 8.37% 18.14% 3.26% 0.00% 0.00% 1.40% 0.00% 0.47% 0.00%

Referred of those Qualified

# 21 14 7 0 0 10 5 1 0 3 2 0 0 0 0 0 0

% 100% 66.67% 33.33% 0.00% 0.00% 47.62% 23.81% 4.76% 0.00% 14.29% 9.52% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected of those Referred3

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Supervisor Onboarded4

# 11 6 5 2 1 3 3 1 1 0 0 0 0 0 0 0 0% 100% 54.55% 45.45% 18.18% 9.09% 27.27% 27.27% 9.09% 9.09% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on. The number onboarded may not equal the number selected from a vacancy posted during the fiscal year 

because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each leadership level. During FY 2020, no career development programs were offered meeting the table’s definition.Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 211

TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202021 continued

LEADERSHIP LEVEL WORKFORCEPERMANENT

TOTAL

Hispanic or 

Latino White

Black or African

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

Career Development ProgramsCareer Development Programs for SupervisorsRelevant Pool2 % 100% 56.16% 43.84% 3.47% 2.52% 40.74% 26.13% 4.46% 7.90% 7.15% 6.80% 0.00% 0.00% 0.23% 0.14% 0.12% 0.35%Slots5 # 0Applied

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Participants

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USAStaffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2020 (i.e., between 10/1/2019 and 9/30/2020). Internal Competitive 

Promotions data includes vacancies posted for internal SEC-only and Merit Promotion (MP) government-wide consideration following EEOC instruction. Other methods of progressing to higher graded positions are not presented.

2 The Relevant Pool includes all employees holding a grade level that would qualify them for the position posted.3 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2020 including those who chose not to voluntarily self-identify their race, 

ethnicity, or gender. As such, the number selected may exceed the number selected of those referred.

4 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on. The number onboarded may not equal the number selected from a vacancy posted during the fiscal year 

because some new hires applied during a prior fiscal year and some vacancy selections may not materialize into new hires successfully Onboarded.

5 Slots shows the total number of available training slots for career development programs targeted each leadership level. During FY 2020, no career development programs were offered meeting the table’s definition.Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USAStaffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202021, downloaded on 11/12/2020
212 | EEO PROGRAM STATUS REPORT TABLE A9-1: EMPLOYEE RECOGNITION AND AWARDS—PARTICIPATION BY RACE/ETHNICITY AND SEX— FY 2020 (10/1/2019 THROUGH 9/30/2020) AWARDS Permanent TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female Time-Off Awards Time-Off Awards: 1 – 10 hours TOTAL Time-Off Awards Given # 1,670 833 837 50 40 608 509 98 196 76 80 0 0 1 3 0 9 % 100% 49.88% 50.12% 2.99% 2.40% 36.41% 30.48% 5.87% 11.74% 4.55% 4.79% 0.00% 0.00% 0.06% 0.18% 0.00% 0.54% TOTAL Hours 10,923 5,572 5,351 297 237 4,067 3,325 672 1,220 528 492 0 0 8 15 0 62 Average Hours 7 7 6 6 6 7 7 7 6 7 6 0 0 8 5 0 7 Time-Off Awards: 11 – 20 hours

TOTAL Time-OffAwards Given

# 766 376 390 25 35 274 207 27 88 47 53 0 0 2 1 1 6% 100% 49.09% 50.91% 3.26% 4.57% 35.77% 27.02% 3.52% 11.49% 6.14% 6.92% 0.00% 0.00% 0.26% 0.13% 0.13% 0.78%

TOTAL Hours 12,074 5,910 6,164 402 548 4,296 3,268 424 1,394 740 846 0 0 32 16 16 92Average Hours 16 16 16 16 16 16 16 16 16 16 16 0 0 16 16 16 15Time-Off Awards: 21 – 30 hoursTOTALTime-OffAwards Given

# 349 155 194 12 16 113 119 11 31 19 27 0 0 0 1 0 0% 100% 44.41% 55.59% 3.44% 4.58% 32.38% 34.10% 3.15% 8.88% 5.44% 7.74% 0.00% 0.00% 0.00% 0.29% 0.00% 0.00%

TOTAL Hours 8,425 3,745 4,680 288 384 2,733 2,868 264 750 460 654 0 0 0 24 0 0Average Hours 24 24 24 24 24 24 24 24 24 24 24 0 0 0 24 0 0

Notes: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 213

TABLE A9-1: EMPLOYEE RECOGNITION AND AWARDS—PARTICIPATION BY RACE/ETHNICITY AND SEX—FY 2020 (10/1/2019 THROUGH 9/30/2020) continued

AWARDSPermanent

TOTAL

Hispanic or 

Latino White

Black or African 

American Asian

Native 

Hawaiian or 

Other Pacific 

Islander

American 

Indian or Alaska 

Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

Time-Off Awards: 31 – 40 hoursTOTALTime-OffAwards Given

# 90 44 46 3 2 29 34 3 2 9 7 0 0 0 1 0 0% 100% 48.89% 51.11% 3.33% 2.22% 32.22% 37.78% 3.33% 2.22% 10.00% 7.78% 0.00% 0.00% 0.00% 1.11% 0.00% 0.00%

TOTAL Hours 3,112 1,502 1,610 96 71 991 1,193 96 71 319 243 0 0 0 32 0 0Average Hours 35 34 35 32 36 34 35 32 36 35 35 0 0 0 32 0 0Time-Off Awards: 41 + hoursTOTALTime-OffAwards Given

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTAL Hours 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0Average Hours 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0Time-Off Awards: 11 – 40 hoursTOTALTime-OffAwards Given

# 1,205 575 630 40 53 416 360 41 121 75 87 0 0 2 3 1 6% 100% 47.72% 52.28% 3.32% 4.40% 34.52% 29.88% 3.40% 10.04% 6.22% 7.22% 0.00% 0.00% 0.17% 0.25% 0.08% 0.50%

TOTAL Hours 23,611 11,157 12,454 786 1,003 8,020 7,329 784 2,215 1,519 1,743 0 0 32 72 16 92Average Hours 20 19 20 20 19 19 20 19 18 20 20 0 0 16 24 16 15

Notes: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
214 | EEO PROGRAM STATUS REPORT TABLE A9-1: EMPLOYEE RECOGNITION AND AWARDS—PARTICIPATION BY RACE/ETHNICITY AND SEX— FY 2020 (10/1/2019 THROUGH 9/30/2020) continued AWARDS Permanent TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female Cash Awards Cash Awards: $500 and Under TOTAL Cash Awards Given

# 981 528 453 23 33 390 248 68 117 45 50 0 0 2 0 0 5

% 100% 53.82% 46.18% 2.34% 3.36% 39.76% 25.28% 6.93% 11.93% 4.59% 5.10% 0.00% 0.00% 0.20% 0.00% 0.00% 0.51%

TOTALAmount $400,098 $214,586 $185,512 $9,075 $13,430 $159,122 $101,146 $27,714 $46,927 $18,025 $21,679 $0 $0 $650 $0 $0 $2,330Average Amount $408 $406 $410 $395 $407 $408 $408 $408 $401 $401 $434 $0 $0 $325 $0 $0 $466Cash Awards: $501 to $999TOTALCashAwards Given

# 859 448 411 19 21 332 224 45 119 48 44 0 0 4 1 0 2% 100% 52.15% 47.85% 2.21% 2.44% 38.65% 26.08% 5.24% 13.85% 5.59% 5.12% 0.00% 0.00% 0.47% 0.12% 0.00% 0.23%

TOTAL Amount $638,096 $334,155 $303,941 $14,720 $15,450 $246,593 $165,329 $33,694 $87,485 $36,134 $33,277 $0 $0 $3,014 $900 $0 $1,500Average Amount $743 $746 $740 $775 $736 $743 $738 $749 $735 $753 $756 $0 $0 $754 $900 $0 $750Cash Awards: $1,000 to $1,999TOTALCashAwards Given

# 1,751 988 763 52 38 756 482 61 130 113 105 0 0 6 4 0 4% 100% 56.42% 43.58% 2.97% 2.17% 43.18% 27.53% 3.48% 7.42% 6.45% 6.00% 0.00% 0.00% 0.34% 0.23% 0.00% 0.23%

TOTALAmount $2,210,772 $1,246,603 $964,169 $67,644 $46,250 $960,328 $616,893 $71,938 $156,617 $139,943 $135,166 $0 $0 $6,750 $4,993 $0 $4,250Average Amount $1,263 $1,262 $1,264 $1,301 $1,217 $1,270 $1,280 $1,179 $1,205 $1,238 $1,287 $0 $0 $1,125 $1,248 $0 $1,063

Notes: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 215

TABLE A9-1: EMPLOYEE RECOGNITION AND AWARDS—PARTICIPATION BY RACE/ETHNICITY AND SEX—FY 2020 (10/1/2019 THROUGH 9/30/2020) continued

AWARDSPermanent

TOTAL

Hispanic or 

Latino White

Black or African 

American Asian

Native 

Hawaiian or 

Other Pacific 

Islander

American 

Indian or Alaska 

Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

Cash Awards: $2,000 to $2,999

TOTALCashAwards Given

# 401 239 162 20 3 183 112 11 23 25 23 0 0 0 0 0 1% 100% 59.60% 40.40% 4.99% 0.75% 45.64% 27.93% 2.74% 5.74% 6.23% 5.74% 0.00% 0.00% 0.00% 0.00% 0.00% 0.25%

TOTAL Amount $907,491 $542,233 $365,258 $43,006 $6,250 $416,493 $254,379 $23,414 $50,704 $59,320 $51,925 $0 $0 $0 $0 $0 $2,000Average Amount $2,263 $2,269 $2,255 $2,150 $2,083 $2,276 $2,271 $2,129 $2,205 $2,373 $2,258 $0 $0 $0 $0 $0 $2,000

Cash Awards: $3,000 or More

TOTALCashAwards Given

# 39 20 19 2 0 16 12 0 5 2 2 0 0 0 0 0 0% 100% 51.28% 48.72% 5.13% 0.00% 41.03% 30.77% 0.00% 12.82% 5.13% 5.13% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTALAmount $143,423 $71,248 $72,175 $8,500 $0 $54,748 $46,196 $0 $18,579 $8,000 $7,400 $0 $0 $0 $0 $0 $0Average Amount $3,678 $3,562 $3,799 $4,250 $0 $3,422 $3,850 $0 $3,716 $4,000 $3,700 $0 $0 $0 $0 $0 $0

Other AwardsPerformance Based Pay Increase

TOTALPerf BasedAward

# 4,150 2,232 1,918 130 105 1,634 1,073 193 459 261 257 0 1 10 5 4 18% 100% 53.78% 46.22% 3.13% 2.53% 39.37% 25.86% 4.65% 11.06% 6.29% 6.19% 0.00% 0.02% 0.24% 0.12% 0.10% 0.43%

TOTALBenefit $27,593,539 $15,224,438 $12,369,101 $881,612 $631,843 $11,131,442 $7,227,037 $1,249,623 $2,631,574 $1,869,056 $1,719,551 $0 $7,524 $65,382 $35,209 $27,323 $116,363Average Benefit $6,649 $6,821 $6,449 $6,782 $6,018 $6,812 $6,735 $6,475 $5,733 $7,161 $6,691 $0 $7,524 $6,538 $7,042 $6,831 $6,465

Notes: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
216 | EEO PROGRAM STATUS REPORT TABLE A9-2: EMPLOYEE RECOGNITION AND AWARDS—INCLUSION WITHIN THE PERMANENT WORKFORCE BY RACE/ETHNICITY AND SEX—FY 2020 (10/1/2019 THROUGH 9/30/2020) AWARDS Permanent TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female Time-Off Awards Time-Off Awards: 1 – 10 hours TOTAL Awarded Time-Off # 1,189 598 591 31 27 442 356 61 140 63 61 0 0 1 1 0 6 Inc. 27.09% 25.36% 29.10% 21.83% 23.28% 25.74% 31.59% 29.90% 29.05% 22.42% 21.79% 0.00% 0.00% 10.00% 16.67% 0.00% 31.58% TOTAL Hours Awarded 10,923 5,572 5,351 297 237 4,067 3,325 672 1,220 528 492 0 0 8 15 0 62 Avg. Hours per Emp. 9 9 9 10 9 9 9 11 9 8 8 0 0 8 15 0 10 Time-Off Awards: 11 – 20 hours

TOTALAwardedTime-Off

# 697 346 351 24 32 249 185 26 79 45 48 0 0 1 1 1 6

Inc. 15.88% 14.67% 17.28% 16.90% 27.59% 14.50% 16.42% 12.75% 16.39% 16.01% 17.14% 0.00% 0.00% 10.00% 16.67% 25.00% 31.58%

TOTAL Hours Awarded 12,074 5,910 6,164 402 548 4,296 3,268 424 1,394 740 846 0 0 32 16 16 92

Avg. Hours per Emp. 17 17 18 17 17 17 18 16 18 16 18 0 0 32 16 16 15

Time-Off Awards: 21 – 30 hoursTOTALAwardedTime-Off

# 324 140 184 11 16 101 110 11 30 17 27 0 0 0 1 0 0

Inc. 7.38% 5.94% 9.06% 7.75% 13.79% 5.88% 9.76% 5.39% 6.22% 6.05% 9.64% 0.00% 0.00% 0.00% 16.67% 0.00% 0.00%

TOTAL Hours Awarded 8,425 3,745 4,680 288 384 2,733 2,868 264 750 460 654 0 0 0 24 0 0

Avg. Hours per Emp. 26 27 25 26 24 27 26 24 25 27 24 0 0 0 24 0 0

Notes: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 217

TABLE A9-2: EMPLOYEE RECOGNITION AND AWARDS—INCLUSION WITHIN THE PERMANENT WORKFORCE BY RACE/ETHNICITY AND SEX—FY 2020 (10/1/2019 THROUGH 9/30/2020) continued

AWARDSPermanent

TOTAL Hispanic or Latino White

Black or African 

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

Time-Off Awards: 31 – 40 hoursTOTALAwardedTime-Off

# 85 41 44 3 2 26 32 3 2 9 7 0 0 0 1 0 0Inc. 1.94% 1.74% 2.17% 2.11% 1.72% 1.51% 2.84% 1.47% 0.41% 3.20% 2.50% 0.00% 0.00% 0.00% 16.67% 0.00% 0.00%

TOTAL Hours Awarded 3,112 1,502 1,610 96 71 991 1,193 96 71 319 243 0 0 0 32 0 0Avg. Hours per Emp. 37 37 37 32 36 38 37 32 36 35 35 0 0 0 32 0 0Time-Off Awards: 41 + hoursTOTALAwardedTime-Off

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0Inc. 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTAL Hours per Emp. 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0Avg. Hours per Emp. 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0Time-Off Awards: 11 – 40 hoursTOTALAwardedTime-Off

# 1,054 506 548 38 46 363 309 38 107 65 77 0 0 1 3 1 6Inc. 24.01% 21.46% 26.98% 26.76% 39.66% 21.14% 27.42% 18.63% 22.20% 23.13% 27.50% 0.00% 0.00% 10.00% 50.00% 25.00% 31.58%

TOTAL Hours Awarded 23,611 11,157 12,454 786 1,003 8,020 7,329 784 2,215 1,519 1,743 0 0 32 72 16 92Avg. Hours per Emp. 22 22 23 21 22 22 24 21 21 23 23 0 0 32 24 16 15

Notes: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
218 | EEO PROGRAM STATUS REPORT TABLE A9-2: EMPLOYEE RECOGNITION AND AWARDS—INCLUSION WITHIN THE PERMANENT WORKFORCE BY RACE/ETHNICITY AND SEX—FY 2020 (10/1/2019 THROUGH 9/30/2020) continued AWARDS Permanent TOTAL Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or More Races All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female Cash Awards Cash Awards: $500 and Under TOTAL Awarded Cash # 821 446 375 20 24 331 207 55 95 38 44 0 0 2 0 0 5 Inc. 18.71% 18.91% 18.46% 14.08% 20.69% 19.28% 18.37% 26.96% 19.71% 13.52% 15.71% 0.00% 0.00% 20.00% 0.00% 0.00% 26.32% TOTAL Cash Awarded $400,098 $214,586 $185,512 $9,075 $13,430 $159,122 $101,146 $27,714 $46,927 $18,025 $21,679 $0 $0 $650 $0 $0 $2,330 Avg. Cash per Emp. $487 $481 $495 $454 $560 $481 $489 $504 $494 $474 $493 $0 $0 $325 $0 $0 $466 Cash Awards: $501 to $999

TOTALAwardedCash

# 792 413 379 19 19 307 204 41 113 43 40 0 0 3 1 0 2Inc. 18.05% 17.51% 18.66% 13.38% 16.38% 17.88% 18.10% 20.10% 23.44% 15.30% 14.29% 0.00% 0.00% 30.00% 16.67% 0.00% 10.53%

TOTAL Cash Awarded $638,096 $334,155 $303,941 $14,720 $15,450 $246,593 $165,329 $33,694 $87,485 $36,134 $33,277 $0 $0 $3,014 $900 $0 $1,500Avg. Cash per Emp. $806 $809 $802 $775 $813 $803 $810 $822 $774 $840 $832 $0 $0 $1,005 $900 $0 $750Cash Awards: $1,000 to $1,999TOTALAwardedCash

# 1,542 870 672 49 34 659 416 54 121 102 93 0 0 6 4 0 4Inc. 35.13% 36.90% 33.09% 34.51% 29.31% 38.38% 36.91% 26.47% 25.10% 36.30% 33.21% 0.00% 0.00% 60.00% 66.67% 0.00% 21.05%

TOTAL Cash Awarded $2,210,772 $1,246,603 $964,169 $67,644 $46,250 $960,328 $616,893 $71,938 $156,617 $139,943 $135,166 $0 $0 $6,750 $4,993 $0 $4,250Avg. Cash per Emp. $1,434 $1,433 $1,435 $1,380 $1,360 $1,457 $1,483 $1,332 $1,294 $1,372 $1,453 $0 $0 $1,125 $1,248 $0 $1,063

Notes: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 219

TABLE A9-2: EMPLOYEE RECOGNITION AND AWARDS—INCLUSION WITHIN THE PERMANENT WORKFORCE BY RACE/ETHNICITY AND SEX—FY 2020 (10/1/2019 THROUGH 9/30/2020) continued

AWARDSPermanent

TOTAL Hispanic or Latino White

Black or African 

American Asian

Native Hawaiian 

or Other Pacific 

Islander

American Indian 

or Alaska Native

Two or More 

Races

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

Cash Awards: $2,000 to $2,999

TOTALAwardedCash

# 378 221 157 19 3 173 108 11 22 18 23 0 0 0 0 0 1Inc. 8.61% 9.37% 7.73% 13.38% 2.59% 10.08% 9.58% 5.39% 4.56% 6.41% 8.21% 0.00% 0.00% 0.00% 0.00% 0.00% 5.26%

TOTAL Cash Awarded $907,491 $542,233 $365,258 $43,006 $6,250 $416,493 $254,379 $23,414 $50,704 $59,320 $51,925 $0 $0 $0 $0 $0 $2,000Avg. Cash per Emp. $2,401 $2,454 $2,326 $2,263 $2,083 $2,407 $2,355 $2,129 $2,305 $3,296 $2,258 $0 $0 $0 $0 $0 $2,000Cash Awards: $3,000 or MoreTOTALAwardedCash

# 39 20 19 2 0 16 12 0 5 2 2 0 0 0 0 0 0Inc. 0.89% 0.85% 0.94% 1.41% 0.00% 0.93% 1.06% 0.00% 1.04% 0.71% 0.71% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTAL Cash Awarded $143,423 $71,248 $72,175 $8,500 $0 $54,748 $46,196 $0 $18,579 $8,000 $7,400 $0 $0 $0 $0 $0 $0Avg. Cash per Emp. $3,678 $3,562 $3,799 $4,250 $0 $3,422 $3,850 $0 $3,716 $4,000 $3,700 $0 $0 $0 $0 $0 $0Other AwardsPerformance Based Pay IncreaseTOTALAwardedPerf. Based

# 4,150 2,232 1,918 130 105 1,634 1,073 193 459 261 257 0 1 10 5 4 18Inc. 94.55% 94.66% 94.44% 91.55% 90.52% 95.17% 95.21% 94.61% 95.23% 92.88% 91.79% 0.00% 100% 100% 83.33% 100% 94.74%

TOTAL Perf. Based $27,593,539 $15,224,438 $12,369,101 $881,612 $631,843 $11,131,442 $7,227,037 $1,249,623 $2,631,574 $1,869,056 $1,719,551 $0 $7,524 $65,382 $35,209 $27,323 $116,363Avg. Benefit per Emp. $6,649 $6,821 $6,449 $6,782 $6,018 $6,812 $6,735 $6,475 $5,733 $7,161 $6,691 $0 $7,524 $6,538 $7,042 $6,831 $6,465PermanentWorkforce

# 4,389 2,358 2,031 142 116 1,717 1,127 204 482 281 280 0 1 10 6 4 19% 100% 53.73% 46.27% 3.24% 2.64% 39.12% 25.68% 4.65% 10.98% 6.40% 6.38% 0.00% 0.02% 0.23% 0.14% 0.09% 0.43%

Notes: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
220 | EEO PROGRAM STATUS REPORT TABLE B1: TOTAL WORKFORCE—DISTRIBUTION BY DISABILITY [OPM FORM 256 SELF-IDENTIFICATION CODES] PAY PERIODS 201922 TO 202021

EMPLOYMENT 

TENURE

TOTAL

No Disability [05]

Not Identified [01]

Disability 

[02-03, 06-99]

1 Other PWD

Total PWD

PWTD

Developmental 

Disability [02]

Traumatic Brain 

Injury [03]

Deaf or Serious 

Difficulty Hearing [19]

Blind or Serious 

Difficulty Seeing [20]

Missing Extremities 

[31]

Significant Mobility 

Impairment [40]

Partial or Complete 

Paralysis [60]

Epilepsy or Other 

Seizure Disorders 

[82]

Intellectual Disability 

[90]

Significant Psychiatric 

Disorder [91]

Dwarfism [92]

Significant 

Disfigurement [93]

TOTAL WORKFORCEPrior FY # 4,365 3,776 212 336 41 377 85 0 1 38 8 3 5 6 3 1 16 1 3

% 100% 86.51% 4.86% 7.70% 0.94% 8.64% 1.95% 0.00% 0.02% 0.87% 0.18% 0.07% 0.11% 0.14% 0.07% 0.02% 0.37% 0.02% 0.07%

Current FY # 4,493 3,879 223 343 48 391 86 0 1 38 7 3 5 6 3 0 19 1 3

% 100% 86.33% 4.96% 7.63% 1.07% 8.70% 1.91% 0.00% 0.02% 0.85% 0.16% 0.07% 0.11% 0.13% 0.07% 0.00% 0.42% 0.02% 0.07%

Difference # 128 103 11 7 7 14 1 0 0 0 -1 0 0 0 0 -1 3 0 0Ratio Change

% 0.00% -0.18% 0.10% -0.07% 0.13% 0.06% -0.04% 0.00% 0.00% -0.02% -0.02% 0.00% 0.00% -0.01% 0.00% -0.02% 0.05% 0.00% 0.00%

Net Change

% 2.93% 2.73% 5.19% 2.08% 17.07% 3.71% 1.18% 0.00% 0.00% 0.00% -12.50% 0.00% 0.00% 0.00% 0.00% -100.00% 18.75% 0.00% 0.00%

1 “Other PWD” include employees, who did not self-identify on SF-256, and who were coded on Veterans’ Preference for hiring as “CPS—preference based on a compensable service-connected disability of 30% or 

more” or were hired or converted into the competitive service under Schedule A(u).

2 Schedule A Employees in the permanent workforce are those currently serving under an appointment type covered by Schedule A(u). Employees previously converted to the permanent workforce are not counted.Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 221

TABLE B1: TOTAL WORKFORCE—DISTRIBUTION BY DISABILITY [OPM FORM 256 SELF-IDENTIFICATION CODES] PAY PERIODS 201922 TO 202021 continued

EMPLOYMENT 

TENURE

TOTAL

No Disability [05]

Not Identified [01]

Disability 

[02-03, 06-99] 1 Other PWD

Total PWD

PWTD

Developmental 

Disability [02]

Traumatic Brain 

Injury [03]

Deaf or Serious 

Difficulty Hearing [19]

Blind or Serious 

Difficulty Seeing [20]

Missing Extremities 

[31]

Significant Mobility 

Impairment [40]

Partial or Complete 

Paralysis [60]

Epilepsy or Other 

Seizure Disorders 

[82]

Intellectual Disability 

[90]

Significant Psychiatric 

Disorder [91]

Dwarfism [92]

Significant 

Disfigurement [93]

PERMANENTPrior FY

# 4,266 3,686 208 331 41 372 84 0 1 38 7 3 5 6 3 1 16 1 3% 100% 86.40% 4.88% 7.76% 0.96% 8.72% 1.97% 0.00% 0.02% 0.89% 0.16% 0.07% 0.12% 0.14% 0.07% 0.02% 0.38% 0.02% 0.07%

Current FY

# 4,389 3,786 219 338 46 384 85 0 1 38 7 3 5 6 3 0 18 1 3% 100% 86.26% 4.99% 7.70% 1.05% 8.75% 1.94% 0.00% 0.02% 0.87% 0.16% 0.07% 0.11% 0.14% 0.07% 0.00% 0.41% 0.02% 0.07%

Difference # 123 100 11 7 5 12 1 0 0 0 0 0 0 0 0 -1 2 0 0Ratio Change % 0.00% -0.14% 0.11% -0.06% 0.09% 0.03% -0.03% 0.00% 0.00% -0.02% 0.00% 0.00% 0.00% 0.00% 0.00% -0.02% 0.04% 0.00% 0.00%Net Change % 2.88% 2.71% 5.29% 2.11% 12.20% 3.23% 1.19% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% -100.00% 12.50% 0.00% 0.00%Federal Goal % 12.00% 2.00%

1 “Other PWD” include employees, who did not self-identify on SF-256, and who were coded on Veterans’ Preference for hiring as “CPS—preference based on a compensable service-connected disability of 30% or 

more” or were hired or converted into the competitive service under Schedule A(u).

2 Schedule A Employees in the permanent workforce are those currently serving under an appointment type covered by Schedule A(u). Employees previously converted to the permanent workforce are not counted.Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
222 | EEO PROGRAM STATUS REPORT TABLE B1: TOTAL WORKFORCE—DISTRIBUTION BY DISABILITY [OPM FORM 256 SELF-IDENTIFICATION CODES] PAY PERIODS 201922 TO 202021 continued

EMPLOYMENT 

TENURE

TOTAL

No Disability [05]

Not Identified [01]

Disability 

[02-03, 06-99]

1 Other PWD

Total PWD

PWTD

Developmental 

Disability [02]

Traumatic Brain 

Injury [03]

Deaf or Serious 

Difficulty Hearing [19]

Blind or Serious 

Difficulty Seeing [20]

Missing Extremities 

[31]

Significant Mobility 

Impairment [40]

Partial or Complete 

Paralysis [60]

Epilepsy or Other 

Seizure Disorders [82]

Intellectual Disability 

[90]

Significant Psychiatric 

Disorder [91]

Dwarfism [92]

Significant 

Disfigurement [93]

TEMPORARYPrior FY # 99 90 4 5 0 5 1 0 0 0 1 0 0 0 0 0 0 0 0

% 100% 90.91% 4.04% 5.05% 0.00% 5.05% 1.01% 0.00% 0.00% 0.00% 1.01% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Current FY # 104 93 4 5 2 7 1 0 0 0 0 0 0 0 0 0 1 0 0

% 100% 89.42% 3.85% 4.81% 1.92% 6.73% 0.96% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.96% 0.00% 0.00%

Difference # 5 3 0 0 2 2 0 0 0 0 -1 0 0 0 0 0 1 0 0Ratio Change

% 0.00% -1.49% -0.19% -0.24% 1.92% 1.68% -0.05% 0.00% 0.00% 0.00% -1.01% 0.00% 0.00% 0.00% 0.00% 0.00% 0.96% 0.00% 0.00%

Net Change

% 5.05% 3.33% 0.00% 0.00% 0.00% 40.00% 0.00% 0.00% 0.00% 0.00% -100.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 “Other PWD” include employees, who did not self-identify on SF-256, and who were coded on Veterans’ Preference for hiring as “CPS—preference based on a compensable service-connected disability of 30% or 

more” or were hired or converted into the competitive service under Schedule A(u).

2 Schedule A Employees in the permanent workforce are those currently serving under an appointment type covered by Schedule A(u). Employees previously converted to the permanent workforce are not counted.Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
FISCAL YEAR 2020 | 223

TABLE B1: TOTAL WORKFORCE—DISTRIBUTION BY DISABILITY [OPM FORM 256 SELF-IDENTIFICATION CODES] PAY PERIODS 201922 TO 202021 continued

EMPLOYMENT 

TENURE

TOTAL

No Disability [05]

Not Identified [01]

Disability 

[02-03, 06-99] 1 Other PWD

Total PWD

PWTD

Developmental 

Disability [02]

Traumatic Brain 

Injury [03]

Deaf or Serious 

Difficulty Hearing [19]

Blind or Serious 

Difficulty Seeing [20]

Missing Extremities 

[31]

Significant Mobility 

Impairment [40]

Partial or Complete 

Paralysis [60]

Epilepsy or Other 

Seizure Disorders [82]

Intellectual Disability 

[90]

Significant Psychiatric 

Disorder [91]

Dwarfism [92]

Significant 

Disfigurement [93]

SCHEDULE A EMPLOYEES IN THE PERMANENT WORKFORCE2Prior FY

# 4 0 0 3 1 4 2 0 0 2 0 0 0 0 0 0 0 0 0% 100% 0.00% 0.00% 75.00% 25.00% 100% 50.00% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Current FY

# 7 0 0 7 0 7 3 0 0 1 0 0 0 0 0 0 2 0 0% 100% 0.00% 0.00% 100% 0.00% 100% 42.86% 0.00% 0.00% 14.29% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 28.57% 0.00% 0.00%

Difference # 3 0 0 4 -1 3 1 0 0 -1 0 0 0 0 0 0 2 0 0Ratio Change % 0.00% 0.00% 0.00% 25.00% -25.00% 0.00% -7.14% 0.00% 0.00% -35.71% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 28.57% 0.00% 0.00%Net Change % 75.00% 0.00% 0.00% 133.33% -100.00% 75.00% 50.00% 0.00% 0.00% -50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 “Other PWD” include employees, who did not self-identify on SF-256, and who were coded on Veterans’ Preference for hiring as “CPS—preference based on a compensable service-connected disability of 30% or 

more” or were hired or converted into the competitive service under Schedule A(u).

2 Schedule A Employees in the permanent workforce are those currently serving under an appointment type covered by Schedule A(u). Employees previously converted to the permanent workforce are not counted.Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart FPPS and EEO-AT 2.0 Analytic File for pay period 202021, downloaded on 11/12/2020
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OFFICE OF EQUAL EMPLOYMENT OPPORTUNITY

U.S. Securities and Exchange Commission

100 F Street NE

Washington, DC 20549