ANNUAL 

EEO PROGRAM 

STATUS REPORT

FISCAL YEAR 2021
2 | EEO PROGRAM STATUS REPORT

Some information referenced in this report has been redacted to protect employee privacy.
FISCAL YEAR 2021 | i

CONTENTS

U.S. SECURITIES AND EXCHANGE COMMISSION INFORMATION (PARTS A, B, C, D) . . . 1

Part A: Department or Agency Identifying Information . . . . . . . . . . . . . . . . . . . 1

Part B: Total Employment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Part C: Agency Leadership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Part D: Subordinate Components and Documents. . . . . . . . . . . . . . . . . . . . . . . 3

EXECUTIVE SUMMARY (PART E). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Mission of the U.S. Securities and Exchange Commission. . . . . . . . . . . . . . . . . . . . . 5

SEC’s EEO Program. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Commission’s Annual Self-Assessment Against MD-715 Essential Elements . . . . . . . . . . 10

Essential Element A: Demonstrated Commitment from Commission Leadership. . . . . . 10

Essential Element B: Integration of EEO into the Commission’s Strategic Mission . . . . . 17

Essential Element C: Management and Program Accountability. . . . . . . . . . . . . . . 27

Essential Element D: Proactive Prevention of Unlawful Discrimination. . . . . . . . . . . 34

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

Essential Element F: Responsiveness and Legal Compliance. . . . . . . . . . . . . . . . . 45

Workforce Analyses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

Summary of EEO Plan Objectives Planned to Eliminate Identified Barriers 

or Correct Program Deficiencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63

Accomplishments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63

CERTIFICATION OF ESTABLISHMENT OF CONTINUING EQUAL 

EMPLOYMENT OPPORTUNITY PROGRAMS (PART F) . . . . . . . . . . . . . . . . . . . . 77

AGENCY EEO PLAN TO ATTAIN THE ESSENTIAL ELEMENTS OF A 

MODEL EEO PROGRAM (PART H) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79

AGENCY EEO PLAN TO ELIMINATE IDENTIFIED BARRIER (PART I). . . . . . . . . . . . . 81

Statement of Condition That Was a Trigger for a Potential Barrier . . . . . . . . . . . . . . . 81

Section I: Analysis of the Accounting Occupation . . . . . . . . . . . . . . . . . . . . . . 81

Section II: Analysis of the Attorney Occupation . . . . . . . . . . . . . . . . . . . . . . . 88

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). . . . . . 93

Section I: Efforts to Reach Regulatory Goals. . . . . . . . . . . . . . . . . . . . . . . . . . . 93

Section II: Model Disability Program. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96

Plan to Provide Sufficient & Competent Staffing for the Disability Program. . . . . . . . . 96

Plan to Ensure Sufficient Funding for the Disability Program . . . . . . . . . . . . . . . . 97

Section III: Plan to Recruit and Hire Individuals with Disabilities. . . . . . . . . . . . . . . . 98

Plan to Identify Job Applicants with Disabilities . . . . . . . . . . . . . . . . . . . . . . . 98

Plan to Establish Contacts with Disability Employment Organizations . . . . . . . . . . 101

Progression towards Goals (Recruitment and Hiring) . . . . . . . . . . . . . . . . . . . .102

Section IV: Plan to Ensure Advancement Opportunities for Employees with Disabilities . . . .106

Advancement Program Plan. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .106

Career Development Opportunities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .108

Awards. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .114

Promotions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117

Section V: Plan to Improve Retention of Persons with Disabilities . . . . . . . . . . . . . . 125

Voluntary and Involuntary Separations. . . . . . . . . . . . . . . . . . . . . . . . . . . .125

Accessibility of Technology and Facilities. . . . . . . . . . . . . . . . . . . . . . . . . . .128

Reasonable Accommodation Program . . . . . . . . . . . . . . . . . . . . . . . . . . . 130

Personal Assistance Services Allowing Employees to Participate in the Workplace . . . . 134

Section VI: EEO Complaint and Findings Data . . . . . . . . . . . . . . . . . . . . . . . . 135

EEO Complaint Data Involving Harassment. . . . . . . . . . . . . . . . . . . . . . . . .135

EEO Complaint Data Involving Reasonable Accommodation. . . . . . . . . . . . . . . .135

Section VII: Identification and Removal of Barriers . . . . . . . . . . . . . . . . . . . . . . 136

ATTACHMENT 1. SEC ORGANIZATIONAL CHART. . . . . . . . . . . . . . . . . . . . . . .137

ATTACHMENT 2. SEC STRATEGIC PLAN FY 2018—2022. . . . . . . . . . . . . . . . . . .140

ATTACHMENT 3. EQUAL EMPLOYMENT OPPORTUNITY POLICY. . . . . . . . . . . . . .141

ATTACHMENT 4. POLICY ON PREVENTING HARASSMENT (PPH). . . . . . . . . . . . . .142

ATTACHMENT 5. SEC’S ALTERNATIVE DISPUTE RESOLUTION C2R PROCEDURES. . . .143

ATTACHMENT 6. REASONABLE ACCOMMODATION AND PERSONAL 

ASSISTANCE SERVICES PROCEDURES . . . . . . . . . . . . . . . . . . . . . . . . . . . 145

ATTACHMENT 7. POLICY MEMORANDUM: STANDARDS FOR EEO, 

WORKFORCE DIVERSITY, AND WORKPLACE INCLUSION . . . . . . . . . . . . . . . . 178

ATTACHMENT 8. FY 2021 PROGRAMS FOR SPECIAL OBSERVANCES 

AND OTHER EVENTS CELEBRATING AFFINITY GROUPS . . . . . . . . . . . . . . . . . 186

ATTACHMENT 9. WORKFORCE DATA TABLES . . . . . . . . . . . . . . . . . . . . . . . 189
FISCAL YEAR 2021 | 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 4,423 113 4,536

Part C: Agency Leadership

Section I: Head of Agency and Head of Agency Designee

Agency Leadership Name Title

Head of Agency Gary Gensler Chair

Agency Head Designee Rita M. Sampson 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-xxx-xxxx)

Email 

Address

Principal EEO 

Director/Official

Rita M. 

Sampson

Director, Office of 

Equal Employment 

Opportunity

0905 SO (202) 551-8742 sampsonr@sec.gov

Affirmative 

Employment 

Program 

Manager

M. Stacey 

Bach

Deputy Director, 

Office of Equal 

Employment 

Opportunity 

0905 SK-17 (202) 551-8599 bachm@sec.gov

Complaint 

Processing 

Program/

Compliance 

Manager1

Ralph Suris Acting Compliance 

and Resolutions 

Manager, Office of 

Equal Employment 

Opportunity 

0340 SK-14 (202) 551-6396 surisr@sec.gov

Continued on the next page

1 In 2021, three staff members in the Office of Equal Employment Opportunity were temporarily promoted on a rotational 

basis as the Compliance and Resolutions Manager.
2 | EEO PROGRAM STATUS REPORT

EEO Program 

Staff Name Title

Occupational 

Series 

(xxxx)

Pay Plan 

and Grade 

(xx-xx)

Phone 

Number

(xxx-xxx-xxxx)

Email 

Address

Complaint 

Processing 

Program/

Compliance 

Manager

Rachel 

Anglade

Acting Compliance 

and Resolutions 

Manager, Office of 

Equal Employment 

Opportunity

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

Complaint 

Processing 

Program/

Compliance 

Manager

Richard 

Dominguez

Acting Compliance 

and Resolutions 

Manager, Office of 

Equal Employment 

Opportunity

0905 SK-14 (202) 551-4553 dominguezr@sec.gov

Hispanic 

Program 

Manager 

(SEPM)

Pamela 

Gibbs

Director, Office 

of Minority and 

Women Inclusion 

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

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

Dia 

Gonsalves

Branch Chief, 

Office of Human 

Resources 

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

Special 

Placement 

Program 

Coordinator 

(Individuals with 

Disabilities)

Takeya 

Bland

Human Resources 

Specialist, Office of 

Human Resources

0201 SK-13 (202) 551-8284 blandt@sec.gov

Reasonable 

Accommodation 

Program 

Manager

Dia 

Gonsalves

Branch Chief, 

Office of Human 

Resources

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

AntiHarassment 

Program 

Manager2

Dwayne 

Boyd

Attorney, Office of 

Equal Employment 

Opportunity

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

AntiHarassment 

Program 

Manager

Charlene 

Proctor

Senior Counsel, 

Office of Equal 

Employment 

Opportunity

0905 SK-16 (202) 551-6059 proctorc@sec.gov

ADR Program 

Manager

Nseabasi 

Essien

EEO Specialist, 

Office of Equal 

Employment 

Opportunity

0260 SK-13 (202) 551-6004 essienn@sec.gov

Principal 

MD-715 

Preparer

Alta G. 

Rodriguez

Senior Counsel, 

Office of Equal 

Employment 

Opportunity

0905 SK-16 (202) 551-6002 rodriguezag@sec.gov

Principal 

MD-715 

Preparer

Maurice 

Champagne

Management 

Program Analyst, 

Office of Equal 

Employment 

Opportunity 

0340 SK-14 (202) 551-2997 champagnem@sec.gov

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

The Office of Equal Employment Opportunity is the subject matter expert, and Dwayne Boyd and Charlene Proctor 

are identified here due to their leadership with the SEC’s proactive harassment prevention dialogues and for providing 

educational awareness to managers and employees on preventing harassment in the workplace.
FISCAL YEAR 2021 | 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, etc.).

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 Yes

Results from most recent Federal Employee Viewpoint Survey or Annual 

Employee Survey No
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FISCAL YEAR 2021 | 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, 2020 to September 30, 2021

This Equal Employment Opportunity (EEO) Program Status Report for Fiscal Year (FY) 2021 

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 Equal Employment Opportunity 

(EEO) program, using EEOC-prescribed 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 2021 and will continue to take in FY 2022 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 $110 trillion in securities trading annually on U.S. equity markets. Those 

markets touch many Americans’ lives, whether they are investing for their future, borrowing for 

a mortgage, taking out an auto loan, or taking a job with a company that is tapping our nation’s 

capital markets. The SEC engages with companies raising money and with the key parties that sit in 

between companies and investors, including accountants, auditors, and investment managers. SEC 

employees oversee 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 
6 | EEO PROGRAM STATUS REPORT

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).

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 Chair of the Commission who is responsible for the 

executive and administrative functions of the Commission. On April 17, 2021, Chair Gary Gensler 

was sworn in as the 33rd Chair of the SEC.

In FY 2021, the SEC’s six divisions (Corporation Finance, Enforcement, Examinations, Economic 

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

collectively to advance the SEC’s mission of protecting investors, facilitating capital formation, and 

maintaining fair and orderly securities markets. The SEC’s Headquarters is located in Washington, 

DC (Headquarters or Home Office). The Agency also has 11 Regional Offices located throughout 

the country. As of September 30, 2021, the SEC had a total workforce of 4,536 employees, 

including 4,423 permanent employees and 113 temporary employees. See Table A1.

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, namely 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). These offices have specific and interrelated 

responsibilities to foster equal employment opportunity and to focus on diversity, equity, inclusion, 

and accessibility (DEIA) efforts in the Agency’s workforce. Notably, in FY 2021, OEEO finalized 

its first office-level strategic plan to define its work and align it with overall Commission, diversity, 

and operations goals. This new foundation in OEEO will further support the collective work of a 

number of key offices and personnel across the Commission at the leadership and staff levels and 

provide a strategic framework for driving OEEO’s approach.

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:

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

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

in employment; 
FISCAL YEAR 2021 | 7

 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; 

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

unwelcome at work;

 De-escalating workplace conflicts through robust harassment prevention and alternative dispute 

resolution programs;

 Providing a neutral forum (outside the Office of General Counsel (OGC) or OHR) for addressing 

EEO concerns; and

 Independently investigating and assessing EEO concerns and remedying violations of 

employment discrimination laws.

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

to the SEC’s mission. The EEO Director is a Senior Officer (the equivalent of a member of the Senior 

Executive Service) who, pursuant to 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 

Federal Employee Antidiscrimination Act of 2020 amending the Notification and Federal Employee 

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

designated staff in the Chair’s Office on EEO programmatic matters. The Office of the Chief 

Operating Officer and the Managing Executive for Small Offices provide OEEO with support on 

certain operational and administrative matters including the development of OEEO’s personnel 

and operational budget, facilitation of contract support to process EEO complaints and to conduct 

barrier analysis studies, and approval of the EEO Director’s time and attendance.

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. While OEEO maintains 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 (pursuant to 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 OHR 

on (among other topics) the diversity recruitment and/or disability and religious accommodation 
8 | EEO PROGRAM STATUS REPORT

programs they administer as well as with the Offices of Information Technology (OIT) and Support 

Operations (OSO) on compliance with accessibility requirements pursuant to Sections 504 and 508 

of the Rehabilitation Act of 1973 and the Architectural Barriers Act and with the Offices of Public 

Affairs and Investor Education and Advocacy to further SEC’s commitment to language access for 

all underserved communities.

In FY 2021, to support the new government-wide Executive Order on Diversity, Equity, Inclusion, 

and Accessibility within the Federal Government (EO 14035), the SEC’s Chief Operating Officer 

(COO) led a cross-functional working group comprised of key office stakeholders.

Although EO 14035 does not apply to independent agencies such as the SEC, the SEC committed to 

voluntarily complying with the spirit of a number of EO 14035’s non-reporting requirements.

This commitment to equity and D&I prompted the SEC to be one of the early adopters of the 

Department of Commerce’s First Generation Professionals (FGP) initiative. At the start of FY 

2021, OEEO delivered a second annual program focused on FGP—a virtual panel discussion 

entitled Resilience and Grit in Times of Crisis and Uncertainty—featuring SEC Commissioners 

and Federal Deposit Insurance Corporation Chair Jelena McWilliams. The two FGP programs at 

the SEC, in turn, created the impetus for a cross-functional taskforce—the UnCovering Taskforce.

The Taskforce’s mission is to implement strategies to ensure that employees are comfortable 

bringing their authentic self to work, and that the SEC continues to strive to cultivate an inclusive 

and receptive environment for all. Other efforts related to EO 14035 include re-instituting a paid 

internship program, increasing collective responsibility to ensure a workplace free of harassment 

through enhanced bystander intervention training, revising requirements for interview panel 

composition and practices, reimbursing certain travel-related lactation expenses of SEC employees, 

assessing SEC’s language access practices, and designating EEO education and information-sharing 

as a strategic priority to spur conversation and drive positive change, including through enhanced 

information-sharing with senior-level staff and through a new digital EEO Learning Center.

In FY 2021, OEEO prioritized offering consulting services to senior leadership, management, the 

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

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

2), the Diversity and Inclusion Strategic Plan FY 2020 – 2022, and OHR’s FY 2020 – 2022 Human 
FISCAL YEAR 2021 | 9

Capital Strategic Plan and related FY 2020 – 2022 Recruitment Strategy. Through cross-functional 

coordination among key stakeholders led by OEEO, the SEC remedied two remaining deficiencies 

identified by the EEOC in August 2020 as part of its technical assistance review of the SEC’s EEO 

and Disability Programs by: (1) updating the SEC’s Procedures to Implement the SEC’s Policy on 

Preventing Harassment; and (2) launching a cross-functional working group led by agency Senior 

Officers and comprised of subject matter experts in OEEO, OHR, OGC, and OMWI, and key 

leaders and members of the SEC’s employee affinity group, Disability Interests Advisory Committee 

(DIAC). This working group met frequently and: 

 Explored how persons with disabilities (PWD) and persons with targeted disabilities (PWTD) 

(collectively, PWD) who apply for advancement or developmental programs might be highlighted 

for focused consideration during the selection process; 

 Reviewed available data to determine the extent to which PWD are participating in missioncritical occupations, promotional opportunities to higher levels including leadership positions, 

and across the various career advancement programs/offerings and where there may be 

opportunities for improvement; 

 Reviewed best practices in career advancement of PWD deemed exemplary by the EEOC; and

 Explored opportunities to enhance policies, practices, and procedures related to the recruitment, 

hiring, training and career advancement, promotion, reasonable accommodation, and retention 

of PWD.

The working group developed a number of recommendations to support the career trajectory of 

PWDs at the Commission, including actions the SEC can take to recruit, hire, develop, promote, 

reasonably accommodate, and retain PWDs.

In addition, in response to the EEOC’s specific recommendation to increase compliance with 29 

C.F.R. § 1614.203(d)(1)(iii), OHR reserved five (5) slots in the 2022 Mentoring Program cohort for 

employees with disabilities and has been collaborating with DIAC to communicate this opportunity 

to its membership.
10 | EEO PROGRAM STATUS REPORT

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 of 

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

Americans with Disabilities Act Amendments Act of 2008 (Pub. L. 110-325)). During FY 2021, 

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

the SEC’s FY 2021 self-assessment findings and action items, organized by each Essential Element 

and related compliance indicators.

Essential Element A: Demonstrated Commitment from Commission 

Leadership

Management Directive 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 2021, SEC leadership again demonstrated commitment to ensuring 

that the SEC’s talented and diverse staff have equal opportunities and are treated fairly and 

with respect.

The SEC’s Strategic Plan FY 2018 – FY 2022 underscores this approach. The five-year Strategic 

Plan contains three goals. SEC Goal 3 is to “[e]levate the 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.

To support the SEC’s commitment to its workforce, the FY 2020 – FY 2022 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. Similarly, the SEC continued to 

implement the Agency’s first Diversity and Inclusion Strategic Plan FY 2020 – 2022, further 

exemplifying leadership commitment to an equitable, diverse, and inclusive work environment 

and marketplace. In FY 2021, in support of the SEC’s Strategic Plan, OEEO developed a detailed 
FISCAL YEAR 2021 | 11

and comprehensive Strategic Plan for FY 2022 – 2024 with these five goals: (1) Deliver Expert 

Consultant Services; (2) Educate the Workforce; (3) Enhance Culture; (4) Drive Positive Systemic 

Change; and (5) Optimize Internal Operations.

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 (Attachment 3) and Policy on Preventing Harassment (PPH) (Attachment 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 PPH expresses the SEC’s commitment to a harassment-free work environment and is 

designed to identify and stop behavior that might be offensive on a legally-protected basis before 

it escalates. These documents affirm that the SEC Chair, Commissioners, senior leaders, managers, 

and first-line supervisors will enforce EEO principles and laws and contain all content required by 

the EEOC.

On May 25, 2021, within weeks after being sworn in as SEC Chair, Chair Gensler issued these 

policies via email directly to all personnel with the following message: 

On January 20, 2021, President Biden issued an Executive Order recognizing that 

“[e]qual opportunity is the bedrock of American democracy, and our diversity is 

one of our country’s greatest strengths.” 

I couldn’t agree more. As I wrote to you all last month, though, we still have more work 

to do as a society to correct racial injustices. Today marks the one-year anniversary 

of George Floyd’s death, and we continue to see a rise in anti-Asian violence. I am 

committed to doing my part to advance the causes of equal opportunity, diversity, 

and inclusion at the SEC. 

We’re all one team here. We all play a role in driving a comprehensive approach to 

advancing equity in the workplace. I believe the SEC should be a place where we 

can bring our whole selves to work.

Today, I am pleased to reissue the SEC’s Equal Employment Opportunity (EEO) 

Policy and Policy on Preventing Harassment. I encourage you to read each policy 

carefully. Additional information can be found in SEC’s No FEAR Act notice.

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

of federal laws or SEC policies. This conduct undermines our core values and is 

detrimental to our ability to execute the SEC’s mission and to protect underserved 

and marginalized communities. 

If you believe these EEO policies have been violated, or ever have questions 

about the right thing to do, I ask you to speak up—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 SEC’s everyday work and is available to all.
12 | EEO PROGRAM STATUS REPORT

These policy documents are readily available on OEEO’s intranet page and are made available 

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.

In response to societal events, OEEO also redoubled efforts throughout FY 2021 to communicate 

to the SEC workforce its continued availability to address EEO concerns and complaints.

OEEO staff developed and deployed a new digital Resource Center and published agency-wide 

communications on timely and cutting-edge civil rights/EEO-related topics of interest, including, 

but not limited to: newly-issued Executive Orders on DEIA; pandemic-related harassment concerns 

and accommodation updates; the use of arrest and conviction records in federal employment; hair 

discrimination; and diversity and interview panels. In these agency-wide communications, OEEO 

regularly reminded SEC colleagues to review the SEC’s EEO and harassment prevention policies and 

to contact OEEO staff with questions, concerns, or complaints of discrimination.

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)

Nondiscrimination Pursuant to Sections 504 and 508 of the Rehabilitation Act of 1973 (SECR 27-3) & Procedures to 

Implement Complaint Process Pursuant to Sections 504 and 508 of the Rehabilitation Act of 1973 (SECOP 27-3)

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

(SECOP 27-1)

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

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

(OMWI – September 8, 2016)
FISCAL YEAR 2021 | 13

Notably, in FY 2021, OEEO led the SEC’s efforts to comply with EEOC’s technical assistance 

related to SEC’s compliance with Section 501 of the Rehabilitation Act. OEEO also led the 

development and publication of the SEC’s first Administrative Regulation Nondiscrimination 

Pursuant to Sections 504 and 508 of the Rehabilitation Act of 1973 and related Operating 

Procedures setting forth complaint-filing procedures under Sections 504 and 508 and the 

Architectural Barriers Act (ABA).

Starting in FY 2020 and completed in FY 2021, OEEO refreshed its digital presence to enhance the 

customer experience and remedy information gaps on key EEO topics and rights. In addition to 

updating EEO content on SEC.gov, which had been last updated in 2011, OEEO’s intranet site was 

also significantly enhanced. It provides comprehensive EEO-related information in a central location 

(regardless of the office owning particular programs) as well as contact and location information for 

OEEO, ensuring that employees can easily seek OEEO’s assistance—including EEO counseling—

and highlighting prominently how to report harassment or file an EEO claim. The new site also 

makes it easy for an employee to learn how to request reasonable accommodation or religious 

accommodation, report workplace violence, or request assistance from the SEC transgender support 

coordinator. The digital OEEO Resource Center includes EEO fundamentals, EEO insights on 

cutting-edge topics, “quick reads” and resources covering all anti-discrimination laws, and FAQs.

OEEO continues to expand information that is made available in this new resource.

In FY 2021, OEEO also prioritized communicating conduct expectations at the SEC by 

transitioning from a taped presentation to a live presentation for all new employees. OEEO 

deployed new training content and made available crucial policies and procedures (including the 

EEO Policy, Policy on Preventing Harassment, and EEO Dispute Resolution Policy Statement) 

during orientation. 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, alternative dispute resolution (ADR), harassment prevention 

and reporting, and reasonable accommodation. This mandatory training is supplemented by 

additional training and information-sharing offered by other stakeholders. For example, OHR 

shared information about the SEC’s accommodation program for disability, including providing 

access to relevant policies and procedures and how to make requests for an accommodation, 

at New Employee Orientation and in the SEC University (SECU) College of Leadership and 

Team Development (CLTD), Fundamentals of Human Resource Management (CLTD 307), and 

required supervisory training that includes links to OEEO policy statements, processes and contact 

information. To ensure that EEO remains a topic in everyday SEC operations, OEEO leveraged 

SEC Today (the SEC’s daily employee newsletter) to communicate directly on 12 OEEO topics, 

for example, reasonable accommodation for disability and religion given its relevance for many 

pandemic-related concerns.
14 | EEO PROGRAM STATUS REPORT

In FY 2021, OEEO continued conducting individual outreach and met with 24 newly-hired or 

promoted supervisors and managers to give them immediate information and tools to comply with 

EEO laws and best practices. 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. The 30-minute briefing provides a foundation for subsequent, managerspecific training on ADR, merit principles and prohibited personnel practices, and managing in 

compliance with EEO laws. In addition, the one-on-one briefing also presents opportunities for new 

managers to ask situation-specific questions that they would otherwise not feel comfortable asking 

in a group setting. Managers appreciate the individualized briefings and detailed EEO information 

provided to them. OEEO also creates, conducts, collaborates in presenting, and/or sponsors 

other trainings on EEO-related topics, including, for example, harassment prevention dialogues 

and on-demand learning, retaliation awareness under various legal schemes, ADR in the EEO 

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

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

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 2021, SEC senior leadership 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 2021:

Diversity, Inclusion, and Opportunity

We promoted leadership commitment to diversity and inclusion; fostered a 

connected culture despite the remote work posture; and continued to build a 

diverse talent pipeline through a number of initiatives. These included trainings, 

Diversity Dialogues, a new Diversity and Inclusion Internship program offering 

paid internship opportunities through partnership with the Hispanic Association of 

Colleges and Universities, and a strengthened relationship with Historically Black 

Colleges and Universities. 

As an agency, we continued to leverage diversity and inclusion for mission 

effectiveness. Agency officials collaborated across the SEC, with the guidance 

of a consultant, to assess best practices for embedding diversity, inclusion, 

and opportunity in agency-wide, mission-related outreach and engagement 

activities. OMWI continues to engage internal stakeholders, advisory committee 

members, and SEC-regulated entities on leading diversity and inclusion practices. 

Furthermore, OMWI and the SEC’s regional offices engaged in outreach events to 

underserved communities on affinity fraud and how to prevent pandemic scams. 

Moreover, a key part of the OASB’s [Office of the Advocate for Small Business 

Capital Formation] small business advocacy mission is proactively connecting 

with underrepresented demographic groups (including women and minorities), 

entrepreneurial ecosystems affected by natural disasters, and businesses and 

investors at different stages of the capital-raising lifecycle.
FISCAL YEAR 2021 | 15

Exemplifying this commitment to integrating diversity and inclusion into our Agency’s mission, the 

Office of the Advocate for Small Business Capital Formation sponsored the 40th Annual SEC Small 

Business Forum in May 2021. The four-day forum featured different topics each day, with diverse 

speakers reflecting the gender, racial, and multicultural diversity of our nation who highlighted 

success stories, as well as areas for policy improvement to support capital formation.

In FY 2021, OMWI, SEC Commissioners, and Senior Officers also continued to actively sponsor 

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

 African American Council

 American Indian Heritage Committee

 Asian American and Pacific Islander Committee

 Caribbean American Heritage Committee

 Disability Interests Advisory Committee

 Hispanic and Latino Opportunity, Leadership, and Advocacy Committee

 Pride Alliance (formerly the Lesbian, Gay, Bisexual, and Transgender Committee)

 Veterans Committee

 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 

(with the exception of the Veterans Committee which is sponsored by OHR), and SEC’s senior 

leadership supports the EAGs and encourages employees to participate in EAG events and activities 

held throughout the year. A list of some EAG activities and events that were held in FY 2021 is 

included in Attachment 8.

At the Practicing Law Institute’s SEC Speaks FY 2021 event, the SEC emphasized its focus on 

weaving diversity and inclusion throughout the SEC’s mission both internally and externally. In 

addition, in FY 2021, employees who contributed significantly to the advancement of diversity 

efforts at the SEC or in their communities were presented the Isaac C. Hunt Award for Diversity 

and Inclusion as a demonstration of the Commission’s appreciation.

The SEC has also focused efforts on developing and presenting programming that highlights the 

less-visible characteristics of diversity. In October 2020, OEEO sponsored a First Generation 

Professional Panel Discussion moderated by former SEC Chairman Clayton and featuring FGPs—

Federal Deposit Insurance Corporation Chair Jelena McWilliams and SEC Commissioner Allison 

Herren Lee—and FGP-ally former SEC Commissioner Elad Roisman. Information learned from 

this program offering was leveraged to develop the UnCovering Taskforce initiative which focuses 

on employees bringing their true authentic self to work.
16 | EEO PROGRAM STATUS REPORT

The SEC’s FY 2021 Federal Employee Viewpoint Survey (FEVS) Results

The SEC’s FEVS response rate of 68.1% was lower than in previous years, but not as large a 

drop as the rest of the federal government’s response rate. After achieving the largest year-overyear increases in 2020, resulting in the highest FEVS average scores, the 2021 scores experienced 

small decreases. However, SEC’s 2021 scores in the following key indices related to engagement, 

satisfaction, inclusion, and leader effectiveness are still among the highest scores in the past 

10 years:

 Global Satisfaction Index: 78% positive (4 percentage point decrease);

 Employee Engagement Index: 80% positive (2 percentage point decrease); and

 New Inclusion Quotient Index (the New IQ): 73% positive (1 percentage point decrease).

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 2021 was 73% positive, which was 1 

percentage point lower than the Agency’s overall New IQ for 2020, and the second highest percent 

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

remained relatively steady from last year’s highest scores, with drops between 0 and 4 percentage 

points across all of the subfactors: Fair (no change); Open (down 1 percentage point); Cooperative 

(down 4 percentage points); Supportive (no change); and Empowering (down 4 percentage points).

Across all five subfactors, these remained among the second highest percent positive scores attained 

by the SEC in the past 10 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 changed by -4 and +2 percentage points between 2020 and 2021, maintaining 

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.
FISCAL YEAR 2021 | 17

Table 2: SEC Scores on Select Diversity Related FEVS Questions

FEVS Question 2015 2016 2017 2018 2019 2020 2021

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% 69%

Q45 - My supervisor is committed to a 

workforce representative of all segments 

of society.

73% 76% 80% 82% 81% 84% 86%

Q55 - Supervisors work well with 

employees of different backgrounds. 64% 68% 77% 78% 77% 83% 79%

Source: Federal Employee Viewpoint Survey 2021, retrieved on February 3, 2022.

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

Strategic Mission

Management Directive 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.

As a direct report to the SEC Chair, the EEO 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 then-Chair 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. The EEO Director also has 

regular access to Commissioners and other senior-level management officials.
18 | EEO PROGRAM STATUS REPORT

In FY 2021, OEEO had resources, budget, and staffing to implement the EEO Program. The duties 

and responsibilities of these EEO officials and personnel are defined in position descriptions and in 

related standard operating procedures OEEO is developing. Staff turnover occurred in two leadership 

positions, necessitating the flexibility within personnel. Resources remained available, including 

three contractors and two student interns, 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. All counselors 

and investigators satisfied the 32 hours of training and/or 8 hours of refresher training required by 

EEOC Management Directive 110 (MD-110). By leveraging 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.

Staff development and cross-training remained a focus in FY 2021. 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 and several took certification courses through universities. OEEO supported developmental opportunities for three staff who 

took on acting supervisory roles in a rotating capacity.

In coordinating the SEC’s overall EEO activities, OEEO leverages the efforts and expertise of staff 

in other offices. OEEO collaborates with OMWI on workforce DEIA issues, including affirmative employment efforts led by OEEO (e.g., barrier analyses) as well as special emphasis programs.

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.

As appropriate, staff from these (and sometimes other) offices and teams collectively enabled the 

SEC during FY 2021 to:

 Conduct the annual MD-715 Agency self-assessment to identify possible EEO Program deficiencies;

 Conduct analyses of the SEC workforce;

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

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

 Maintain accurate data collection and tracking systems for, e.g., EEO and harassment 

complaints, workforce demographics, and applicant flow data;
FISCAL YEAR 2021 | 19

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

Employment Program, and People with Disabilities Program);

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

(PAS) programs; and

 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 2021, OEEO leadership frequently communicated with Senior Leadership, 

including Commissioners, 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 EEO 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, OEEO leadership and designated staff participated in meetings and 

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

protected EEO group. For example, in FY 2021:

 OEEO leadership delivered a series of State of the Agency summaries directly to the SEC Chair, 

Commissioners, and Division and Office heads as well as a briefing to senior leaders in the 

Agency’s Operations Steering Committee, providing 10-year workforce trend analyses and 

identifying specific action opportunities to positively impact workforce trends for employees with 

disabilities, women, and minority employees.

 OEEO contributed its subject matter expertise to the SEC’s newly-created Performance Incentive 

Bonus (PIB) program and co-delivered with OHR training on the PIB to SEC supervisors, 

managers, and leaders implementing the PIB program.

 OEEO provided input to the SEC’s Recruitment Strategy 2022 – 2024 to align it with the SEC’s

Affirmative Action Plan for Persons with Disabilities and the DEIA EO.

 OEEO provided consulting services to OHR related to SEC’s compensation-related policies and 

practices, including on pay equity and pay setting.

 OEEO transitioned one barrier analysis study focused on SEC female accountants to the Agency’s 

Chief Operating Officer for management action.

 OEEO evaluated the Agency’s policy on screening and interviewing job candidates which led to 

additional refinements of the policy.

 OEEO finalized and published procedures related to processing complaints filed under 

Sections 504 and 508 and the Architectural Barriers Act.

 OEEO staff served as trainers in SECU’s CLTD 307 training for new supervisors.

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

Procedures related to Attorney Hiring, Religious Accommodation, Reasonable Accommodation 

under the Rehabilitation Act, and the SEC’s 508 Policy.
20 | EEO PROGRAM STATUS REPORT

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

Strategic Plan reference EEO, affirmative employment, and DEIA principles, committing the Agency 

to compliance with 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 

EEO Director will continue to work through the SEC’s Operations Steering Committee regarding 

personnel, budget, technology, and other issues to provide an EEO perspective, proactively and prior 

to final decisions being made, and seek to identify and participate in other decision-making bodies 

or processes. Further, OEEO will continue to seek partnership with OHR and OMWI in report and 

policy development and review, so that 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. OHR also develops recruitment plans to attract and retain Senior Officers based on 

pre-determined skillsets needed for the role. The Commission’s strategic plans, described above, 

emphasize these business imperatives.

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 2021, OMWI offered various virtual live classes to 

help supervisors and managers develop diversity and inclusion skills. Courses included Conscious 

Equity 2.0 and Language of Inclusion. Conscious Equity 2.0 was first offered in FY 2020 and was 

re-offered in FY 2021 in response to popular demand. As before, the course was primarily targeted 

toward supervisors and managers to help foster a connected culture where team members can feel 

empowered, psychologically safe, and prepared to manage self and others. OMWI also offered to 

supervisors and managers Language of Inclusion, a course designed to establish a toolkit of key 

terminology and concepts for fostering an inclusive culture.

Similarly, the SECU CLTD 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. In FY 2021, CLTD transitioned offerings to the virtual environment and 

reviewed content to ensure courses and programs align with and promote a culture of equality 

and inclusion for SEC staff, stakeholders, and by extension, those we regulate. Information on 

leadership development offerings by grade level follows: 
FISCAL YEAR 2021 | 21

Senior Officers (SOs)

Senior Officers attended leadership development offerings designed to support SEC leadership 

competencies, leadership development best practices, and the SEC’s Diversity and Inclusion 

five strategic goals. In FY 2021, elements of psychological safety, openness to diversity and 

leveraging all team members’ contributions, resilience tools, respect for all, and consideration 

of unintended consequences on staff were incorporated in leadership content as, with limited 

exceptions, the SEC continued in a 100% virtual environment.

In addition to the CLTD supervisory and open-enrollment curricula, SO-specific offerings 

included Preparing for the Unpredictable and Strategies for Agility and Effectiveness. These 

highly-interactive seminars provided opportunities for the Agency’s “C-suite” executives to 

interact among themselves in small groups to discuss communication needs, share information, 

and strategically plan for agency-wide efforts, e.g., back-to-the-workplace transition scenarios.

Outcomes included:

 Establishing rapport and meaningful connection with and among key stakeholders; 

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

while simultaneously maintaining relationships; 

 Effectively leading Agency staff through the pandemic/anticipate return-to-work transition;

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

 Navigating organizational change—from managing mindsets and expectations to balancing 

priorities and communicating amid ambiguity;

 Cultivating a culture that embraces diversity of thought and experiences; and

 Reinforcing established skills and deepening the ability to effectively make decisions, engage 

others, and remain nimble and responsive as circumstances evolve.

SEC Senior Officers also participated in external training opportunities during FY 2021.

Senior Officers 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.

In FY 2021, the SEC continued designing a leadership evaluation, accession and development 

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 including standardized leadership 

assessments that screen candidates on essential leadership competencies in a fair and legallycompliant manner.
22 | EEO PROGRAM STATUS REPORT

The design of the leadership development program began in FY 2020 with a leadership 

competency study to identify critical SO leadership skills required at the SEC. In the beginning of 

FY 2021, after identifying and defining these leadership competencies, SOs rated the leadership 

competencies in terms of how important they were for effective SO performance. Data analysis 

of the SO ratings identified the most critical leadership competencies for SOs at the SEC.

Development of four assessments to evaluate performance in these leadership competency 

areas was the next step. The tools developed include a Training & Experience Questionnaire, 

Supervisory Ratings, In-Box Exercise, and a Structured Interview. A diverse group of SOs, 

representing the major SEC Divisions and Offices, developed assessment content and structured 

rating scales to ensure a standardized evaluation of candidate performance on these assessments.

Iterative SO reviews confirmed the relevance of these tools across SEC Divisions and Offices.

Special advisors from OEEO and OMWI remain involved in the development process, reviewing 

content to ensure program materials and processes support fairness, diversity, and inclusion.

At the close of FY 2021, OHR designed and loaded content onto a leadership development 

website. The website will be available to all SEC employees to learn about the program, use 

leadership development tools, and discover strategies to improve in critical leadership areas.

A targeted communication effort, designed to educate SEC employees and create program 

awareness, will launch in early FY 2022. Scheduled meetings with Divisions and Offices, 

sessions through the SEC’s Learn Engage Achieve Platform (LEAP) online learning platform, 

and employee affinity group presentations are planned venues to share program information.

After a pilot test of the assessments, program launch is anticipated during the second or third 

quarter of FY 2022.

SK-17 Managers

SECU facilitated Managing Accountability and Workflow, its fifth annual leadership development 

seminar series, in FY 2021. Seminars were designed to help mid-level leaders manage the 

complexity of leading within and across organizations and to challenge them to think about how 

they work with and lead others, and explore leadership strategies within their sphere of influence 

in unpredictable times.

The three-part series included: Leader as Problem Solver; Leading Complex Systems; and 

Your Role as a Leader in this Organization: Delegating, Communicating and Feedback. Each 

interactive two-hour session promoted: 

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

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

relationships by understanding the difference between managing a complex system and 

managing tasks or processes;

 Communicating intentionally and with flexibility; 
FISCAL YEAR 2021 | 23

 Fostering trust behaviors and building resilience to maintain high performance;

 Appreciating the different roles and responsibilities of managing others;

 Delegating and empowering while managing through feedback; and

 Using problem-solving tools to be a skilled adaptive leader.

SK-15 Supervisors

In FY 2021, the College of Leadership & Team Development’s fourth annual Leadership 

Development Seminar Series for SK-15 supervisors, Finding Your Leadership Focus, included 

the following seminars: Increasing Capacity for Personal and Team Resilience; Building Trust 

with Individuals and Teams; and Leading and Inspiring Teams. Seminars focused on leadership 

skills to help first-level supervisors by:

 Increasing leaders’ capacity for resilience when facing difficult challenges by finding ways to 

leverage leadership strengths and weaknesses; 

 Identifying and tailoring the best working styles to increase involvement and productivity 

within teams; 

 Building structures and systems to hold virtual team members accountable for commitments in 

a constructive and positive manner to maintain trust and respect; 

 Examining essential elements of building trust and those things we must do to make 

ourselves trustworthy; 

 Building trust: why it matters and finding ways to restore trust when it is lost; and 

 Self-assessing credibility-based aspects of character and competence.

All Managers

SECU’s FY 2021 Leadership Development Curricula was strategically designed to provide 

easily-accessible and effective leadership content in the ongoing virtual environment. Offerings 

emphasized the importance of leadership skills and cultivated supervisors’ baseline understanding of, and capacity to use, leadership behaviors in day-to-day work. Virtual sessions included: 

 Awakening Your Team; 

 Six Word Stories: What’s Your Story; 

 Conversational Capacity; 

 Building Trust (Franklin Covey); 

 Organizational Leadership for Employee Engagement; 

 Leading Change; 

 Finding Stability on Shifting Ground; 
24 | EEO PROGRAM STATUS REPORT

 How to Lead Effectively When Priorities Change;

 Deliberate Decision Making; 

 Leading Through Transition; 

 Building Resilience Amid Change; 

 Difficult Conversations; and

 The ROI of Relationships at Work. 

SEC managers also elected to participate in external training opportunities in addition to 

attending SEC University offerings and programs during FY 2021.

Anticipated FY 2022 offerings include:

 Forming Connection with Others; 

 Developing Cross-Cultural Competence; 

 Self and Other Awareness; 

 Safe to Speak Cultures and Teams; 

 Getting Results with Positive Accountability;

 Creating a Shared Vision; 

 Self Trust (Franklin Covey); 

 Relationship Trust (Franklin Covey); 

 Building an Accountable Culture; 

 Cultivating an Innovative Organization; 

 Shifting to a Strategic Mindset; 

 Dealing with Difficult Interpersonal Relationships; 

 Managing Conflict; 

 Maintaining Momentum for Strategic Thinking; 

 Developing Your People; 

 Empathetic Listening and Motivating and Influencing Others; 

 Leading from the Front, Middle and Behind; 

 Lead Forward; and

 Leadership Development for Women at the SEC.
FISCAL YEAR 2021 | 25

New Supervisor Leadership Development Training Program

The College of Leadership & Team Development facilitated the SEC’s first comprehensive, 

multi-month leadership training for new supervisors that integrated existing relevant Skillsoft 

video courses and Books 24/7 books and chapters as assignments between instructor-led 

virtual sessions.

Executive Coaching 

SEC managers and supervisors are eligible to receive 12 sessions of private executive coaching 

by an International Coaching Foundation (ICF) certified coach. The coaching supports 

managers as they pause, reflect, and explore new options for their careers and actions. In 

FY 2021, 58 managers participated in this executive coaching program.

College of Leadership & Team Development 2021 Reading Lists

The SEC University’s College of Leadership & Team Development published winter and 

summer reading lists available to all SEC staff. Books selected promote the baseline leadership 

culture of inclusivity and engagement and best practices for leading self and others that the SEC 

is working to maintain. A 508-compliant job aid to access the books online is provided with 

each reading list.

The summer 2021 reading lists included the following books:

 Ask More: The Power of Questions to Open Doors, Uncover Solutions, and Spark Change by 

Frank Sesno; 

 The Fearless Organization: Creating Psychological Safety in the Workplace for Learning, 

Innovation, and Growth by Amy Edmundson; and 

 Lead With a Story: A Guide to Crafting Business Narratives that Captivate, Convince, 

and Inspire by Paul Smith.

The winter 2021 Reading lists included:

 The Power of Understanding Yourself by Dave Mitchell; 

 Lead From the Future: How to Turn Visionary Thinking into Breakthrough Growth

by Mark Johnson and Josh Suskewicz; and 

 The Work-Life Balance Myth: Rethinking Your Optimal Balance for Success by 

David McNeff.
26 | EEO PROGRAM STATUS REPORT

Books 24/7 and Skillsoft 

In FY 2021, CLTD expanded its use of the Books 24/7 and Skillsoft online, cost-free resources.

Curated “Skillsoft Hot Topics” lists are now available to SEC staff. Selected articles, videos, and 

books arranged by topic include, but are not limited to: 

 Leveraging Emotional Intelligence; 

 Becoming an Inspirational Leader; 

 Gender and Leadership; 

 Choosing to Lead as a Woman; 

 Your Role in Workplace Diversity; 

 Leveraging Diversity; 

 Bridging the Diversity Gap; 

 Overcoming Your Own Unconscious Bias, Maintaining a Cohesive 

Multigenerational Workforce; and

 Managing Multigenerational Employees.

OHR Online Resources 

The Office of Human Resources and SEC University added two online sites for SEC managers 

and supervisors during FY 2021. The New Manager portal welcomes new SEC formal leaders 

and provides Your First 30 Days tools, checklists, and guidance for Taking Care of People

and Taking Care of Business. The Openline Conversations portal supports leaders through 

just-in-time resources and cutting-edge leadership content broken down by: Three Minute 

Reads, articles, online training resources, videos, books, and access to the SEC’s professional 

coaching program.

All managers continue to have access to All Things Management (ATM) and the AskHR portal 

on the SEC’s intranet that 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.

In addition to the offerings above, the SEC provides the following mandatory training for all 

supervisors and managers:

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

for all new managers. CLTD 307 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 include the SEC’s policies on 

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

whistleblower protections.
FISCAL YEAR 2021 | 27

Participants complete eLearning modules on human capital-related topics that prepare them 

to participate in the in-person classroom session. During the pandemic, the offering’s in-person 

component was transitioned to a highly-interactive two-day virtual offering. OEEO’s and 

OMWI’s training modules provide in-depth teaching on the SEC’s EEO complaint process and 

EEO laws and Dodd-Frank legislative requirements. CLTD 307 covers the Merit Principles 

and Prohibited Personnel Practices as foundational to federal employment; Merit Principle 

and PPP wallet cards are available to all participants. Subject matter experts facilitated 

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.

 Leader as Coach (LAC): The Leader as Coach course is mandatory for all who supervise the 

performance of others, including Senior Officers. The LAC curriculum helps managers to 

provide effective coaching and feedback to all employees. Managers discussed a wide variety 

of case studies and role-played to practice listening and providing coaching and feedback. SEC 

managers 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. This offering was redesigned to accommodate the 

Agency’s ongoing telework posture.

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 2021, 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, when circumstances permit, 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:

 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;
28 | EEO PROGRAM STATUS REPORT

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

all employees;

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

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

and training systems;

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

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

 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;

 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;

 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

 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.

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 11 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 Compliance Indicator A.2 above 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. 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 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), 
FISCAL YEAR 2021 | 29

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 2021, the Chair re-issued the SEC’s Policy on Preventing Harassment, which, in combination 

with the Procedures to Implement the SEC’s Policy on Preventing Harassment, 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. Based on technical assistance from the EEOC, the SEC updated its 

procedures to provide a clearer explanation of prohibited conduct and SEC processes. SEC is 

assessing implementation of this policy and program to identify enhancements that may help better 

operationalize SEC’s stated commitment to harassment prevention and minimize risk. Similarly, 

the SEC has in place a Reasonable Accommodation Policy and Program to ensure that applicants 

and employees know about their rights 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. In FY 2019 and again on March 12, 2021, the EEOC informed 

the Agency that its proposed policy and corresponding operating procedures had been approved 

and comply with applicable EEOC regulations and guidance. The SEC then conducted an internal 

review by collecting input from SEC stakeholders and negotiations with the SEC’s union. The SEC 

Reasonable Accommodation Administrative Regulation (SECR 6-80) and corresponding SEC 

Reasonable Accommodation Operating Procedures (SECOP 6-80) will be released in FY 2022.

Additional information about the SEC’s reasonable accommodation program can be found in Part 

E, Compliance Indicator A.2 and in Part J, infra.

In FY 2021, the SEC actively worked to enhance the SEC’s Religious Accommodation Program.

OHR drafted a religious accommodation policy and other associated materials designed to create 

structure for the program and increase awareness for managers and employees. The SEC Religious 

Accommodation Regulation (SECR 6-81) and corresponding Religious Accommodation Operating 

Procedures (SECOP 6-81) are currently under development and are expected to be finalized by 

September 2022. This new guidance will govern the processing and implementation of religious 

accommodation requests by employees and applicants seeking employment in accordance with Title 

VII of the Civil Rights Act of 1964. In the interim, requests for religious accommodation, including 

those in response to the vaccine mandate for federal employees, will be processed similarly to 

requests for disability accommodation and pursuant to the Agency’s Reasonable Accommodation 

Program policy and operating procedures.
30 | EEO PROGRAM STATUS REPORT

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:

 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.

 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 general language included currently 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.
FISCAL YEAR 2021 | 31

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 

substantively reviewing SEC strategic workforce plans, programs, policies, and procedures. The 

CHCO, EEO Director, and OHR Deputy Director meet monthly to discuss personnel programs, 

policies, and procedures. In addition, to ensure effective coordination among key stakeholders, 

the SEC’s Chief Operating Officer hosts recurring meetings with the directors of OEEO, OHR, 

and OMWI to focus attention and collective efforts on specific personnel programs, policies, and 

procedures. OEEO continues to prioritize transparency by sharing information on barrier analysis 

studies to SEC leadership and program offices such as OHR and other internal stakeholders.

These briefings raise awareness of the cross-cutting nature of the barrier analysis work, highlight 

intersections and areas for collaboration to improve equality of opportunity in the employment life 

cycle, and increase buy-in from partners across the SEC to EEO-related strategic planning. Through 

these coordinated efforts, OEEO’s recommendations to enhance equality of opportunity have been 

implemented by numerous stakeholders across the Agency, including OHR.

One such example involves OHR’s progress in addressing open recommendations from the Awards 

Barrier Analysis conducted by OEEO, including OHR’s development and implementation of a 

Recognition Dashboard that was launched in Quarter 2 of FY 2021. The Dashboard increases 

awareness and simplifies access to detailed data on employee recognition. The Dashboard provides 

supervisors and leaders with information about awards received by their team members, with 

breakdowns by award type, occupation and grade level, and employee demographics. Results are 

presented in the aggregate to protect confidentiality of staff at an individual level. The Dashboard 

is available to business office personnel, supervisors, and Division/Office directors who work with 

recognition processes.

Addressing another recommendation from the Awards Barrier Analysis, OHR conducted an 

internal review of SEC’s recognition programs. OHR worked with a consultant team to complete 

an evaluation of all SEC recognition programs by assessing current recognition programs, processes, 

and strategies used to reward employees and offering recommendations for improvement and 

enhancement. The subsequent Recognition Evaluation Report identifies key areas that are doing 

well and offers government and industry best practices for SEC’s consideration. OHR established 

an action plan to address the recommendations and is partnering with OEEO, OMWI, and other 

stakeholders to implement enhancements.
32 | EEO PROGRAM STATUS REPORT

In collaboration with OEEO and OMWI, in FY 2021 OHR completed enhancements for SEC 

employee recognition by designing and implementing the new Performance Incentive Bonus 

program. The program recognizes exceptional SK employee performance that led to extraordinary 

results and contributions, with a cash bonus up to $10,000. The OHR, OEEO, and OMWI 

partnership for the program’s design included feedback sessions for program resources; OEEO 

presentation of EEO and Merit Principle topics during PIB training sessions hosted by OHR; 

and feedback sessions for the program’s post-evaluation framework development. The first PIB 

recognition was completed in Quarter 1 of FY 2022.

Finally, OHR, OMWI, and OEEO prepared and/or reviewed various annual reports (e.g., MD-715, 

No FEAR Act, the Federal Equal Opportunity Recruitment Plan, and the Disabled Veterans’ 

Affirmative Action Plan) and will continue to enhance early collaboration with respect to all 

required reports to ensure fulsome and comprehensive reporting. For information on collaborative 

efforts to implement the SEC’s Affirmative Action Plan for Persons with Disabilities, see Part J.

OEEO will continue to coordinate with OHR on these efforts, in line with areas for study and/or 

opportunities identified through its barrier analysis work, and will contribute an OEEO perspective 

to future SEC recruitment strategies.

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 10, 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 “for 

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 2021, there were no findings of discrimination. In the event of a finding, and as required 

by Section 342(a)(3) of 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—and/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.
FISCAL YEAR 2021 | 33

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 

provides 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 is 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.

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 altogether.

The recently-enhanced OEEO intranet page, the newly-launched EEO Resource Center, 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 2021, the SEC engaged in numerous actions to promote transparency of its EEO 

Program, including, but not limited to, the following:

 Pursuant to EEOC’s MD-715, the SEC made progress towards finalizing two barrier analyses; 

formally transitioned one analysis on female accountants for management action; briefed relevant 

managers on analytic work; and continued work on monitoring actions and evaluation based on 

prior barrier analysis work.

 Consistent with EEOC regulations and MD-110, the EEO compliance program provided timely 

counseling, alternative dispute resolution, investigation, and final adjudication processes3 to 

individuals raising complaints of discrimination, including orienting participants (including 

supervisors and managers) to the federal sector process and rights and responsibilities.

 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.

 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.

 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.

3 The timeframe for issuing a final agency decision was exceeded in one conflict case that was processed by a third party.
34 | EEO PROGRAM STATUS REPORT

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 on-going 

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) continued to lead 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 was 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 also supported by contractors who have expertise in data analytics.

Compliance Indicator D.2—The Agency identifies areas where barriers may exclude 

EEO groups.

The SEC continued to conduct research that helps to identify barriers (if any) and areas of 

improvement to EEO for specific segments of the workforce and applicants. Research into 

barriers was conducted using EEOC’s recommended methodologies and by applying best practices 

in social science and Industrial/Organizational psychology. OEEO conducted 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 2021: 

 OEEO concluded studies related to female accountants and male attorneys. OEEO transitioned 

the results of the study on female accountants for management action, and management officials 

identified specific actions to take in FY 2022 to improve equality for this demographic group.
FISCAL YEAR 2021 | 35

 OEEO continued to monitor and evaluate actions taken based on prior barrier analyses. 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. In FY 2021, 

OHR revised this policy memorandum to incorporate several new enhancements that directly 

support fairness. The key updates include:

 Encouraging Divisions/Offices to convene a diverse4

 group of interviewers to serve on the 

interview panel;

 Requiring a minimum of three interviewers in the first round interview panel;

 Requiring each interview panel to include a panelist from outside the hiring Division/

Office in an effort to promote objectivity and consideration of diverse perspectives; and

 Requiring all supervisory interviews to include at least one question that addresses the 

need for SEC supervisors to support a diverse and inclusive workplace.

 OEEO provided expert consultation on compensation practices, drawing on statistical analysis, 

legal research, and social scientific research literature that suggests the removal of requirements 

to provide salary history in paysetting or job offer negotiation may prevent historical disparities 

with respect to pay equity from persisting at current or future employers. In FY 2021, the SEC 

removed requirements to provide salary history in paysetting.

 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.

 OEEO began development of a barrier analysis research agenda. 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.

4 Diversity is defined broadly and refers to the range of similarities and differences across a set of panelists, including 

diversity of background, thought, and experience.
36 | EEO PROGRAM STATUS REPORT

A description of the work on specific barrier analysis studies follows.

a. Barrier Analysis Study: Analyses of discretionary cash and time-off awards 

During FY 2021, in response to OEEO’s recommendations on discretionary cash and timeoff awards, Agency leadership, under the direction of the COO, initiated management action 

toward improvement in areas of awards distribution, including improved leadership-focused 

guidance and reporting on awards distribution throughout the year. As reflected in Compliance 

Indicator C.4 above, OHR developed and implemented a Recognition Dashboard to provide 

greater visibility on the distribution of awards and offers supervisors and leaders aggregated 

information about awards received by their team members, with breakdowns by award type, 

occupation and grade level, and employee demographics. Leaders are encouraged to monitor 

their distribution throughout the year and at minimum quarterly. OEEO participated in user 

testing of the dashboard built on Microstrategy technology.

OHR also conducted an internal assessment of SEC’s recognition programs which identified 

key areas of strength as well as areas of opportunity for improvement. OHR established an 

action plan to address areas for improvement and is partnering with OEEO, OMWI, and other 

stakeholders as it implements enhancements to the SEC’s recognition program.

b. Barrier Analysis Study: Analysis of the accountant occupation

In FY 2020, OEEO enhanced its qualitative research on the accountant occupation by 

conducting focus group discussions with incumbents serving in the accountant occupation in 

close coordination with OHR and Union representation. Subsequently, in FY 2021, OEEO 

finalized the study focused on female accountants and conducted leadership briefings for 

OHR, OMWI, Labor Relations, the COO, and the Operations Steering Committee to share 

study results and recommendations for management action to enhance the career development 

and progression of female accountants at the Agency. OEEO received responsive actions that 

Division and Office leadership will take in FY 2022 to address the recommendations emanating 

from this study. Additional information about this study is included in Part I of this report, infra.

The study is now closed.

c. Barrier Analysis Study: Analysis of the attorney occupation

In FY 2021, OEEO finalized a research study begun several years ago into the participation of 

men in the attorney occupation (the occupation with the largest employee population at the 

SEC). OEEO conducted additional regression analysis on the separation of attorneys, and data 

analysis related to the promotion of attorneys, and did not identify any SEC policy, practice, 

or procedure that created barriers to equality of opportunity for male attorneys. Additional 

information about this study is included in Part I of this report, infra. This study is now closed.
FISCAL YEAR 2021 | 37

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. Pursuant 

to the framework that OEEO implemented with the SEC’s COO the previous year to transition 

barrier analysis studies for management action:

 The COO and other relevant management officials provided SEC management’s written response 

to an analysis no later than 60 days after receipt, including identifying the actions that the SEC 

intends to take, the timeline for taking the action, and a method of tracking and reporting on the 

actions management takes.

 The COO, relevant management officials, and OEEO leadership met three times in FY 2021 to 

discuss the status of the SEC management’s action planning. These meetings also served as an 

opportunity for OEEO and SEC management to assess any observable impacts and engage in 

additional consultation.

 On October 29, 2021, the COO provided OEEO and the Chair’s Office with the required annual 

report discussing the status of SEC management’s actions and action planning that relate to 

OEEO’s analyses and recommendations.

This framework provides the means not only for action planning, but also for the monitoring 

necessary to ensure accountability. Meetings pursuant to this framework have been positive and add 

transparency and rigor in addressing the results of the barrier analysis 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.
38 | EEO PROGRAM STATUS REPORT

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.

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 and timely processing of EEO matters. OEEO continued 

to make enhancements to the complaints program in FY 2021, including, for example:

 Creating a new Formal Complaint Form to align with current legal requirements and 

508 accessibility requirements;

 Creating templates for Final Agency Decisions and Final Agency Orders;

 Updating a witness notification to include sanctions language pursuant to 29 C.F.R. Part 1614;

 Revising acceptance letter templates to eliminate redundancies;

 Updating the EEO Intake Form to include a process to identify cases for ADR earlier;

 Enhancing quality control of data entry for complaints tracking to be consistent with EEOC 

guidance; and 

 Working to secure additional federal agencies with whom to partner for processing of complaints 

deemed “conflicts” for OEEO to process.

In FY 2021, OEEO processed 22 informal complaints under Part 1614. Ten informal complaints 

were timely processed utilizing traditional counselings. Twelve informal complaints were processed 

through the SEC’s ADR (Conflict-to-Resolution) program and were timely completed within 90 

days. In each of the informal complaints, 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 intake session and subsequently in writing.

In FY 2021, 15 new formal EEO complaints were filed under Part 1614—compared with 16 in FY 

2020. In all new formal complaints, the Agency issued acknowledgement letters. Of the new formal 

complaints that were filed in FY 2021, OEEO generally issued all Acceptance letters/Dismissal 

decisions within a reasonable time (e.g., 60 days) after receipt of the written EEO counselor’s report.
FISCAL YEAR 2021 | 39

In FY 2021, OEEO conducted investigations of formal EEO complaints in a timely fashion. Of 

the 16 investigations completed during FY 2021, all were timely. 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.

In FY 2021, OEEO issued four Final Agency Decisions (no discrimination found). In FY 2021, the 

discrimination bases alleged most frequently at the SEC were: reprisal (11), age (eight), sex (eight), 

disability (six), and race (five). For comparison purposes, according to the most recent EEOC 

report available, EEOC’s Annual Report on the Federal Workforce for FY 2019, Complaint Tables 

(EEOC’s Annual Report), the top five bases in complaint allegations filed for FY 2019 were reprisal/

retaliation, age, disability – physical, race – Black/African American, and sex – female. In FY 2021, 

the issues most frequently raised at the SEC were: non-sexual harassment (eight), performance 

evaluation/appraisal (eight), terms/conditions of employment (seven), assignment of duties (three), 

and promotion/non-election (three). 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 reiterates this message in other routine trainings and meetings.
40 | EEO PROGRAM STATUS REPORT

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 an 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 states 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 

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. OEEO continued to provide the tip sheet to employees and management officials 

when ADR was approved in FY 2021. In FY 2021, OEEO continued to support a virtual structure 

for ADR to ensure that the ADR process remained viable in a mandatory telework environment.

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 2021, OEEO processed a total of 22 informal complaints (informal complaints carried over 

from FY 2020 and new informal complaints initiated in FY 2021). Among these, the option to 

pursue ADR in lieu of traditional EEO counseling was routinely explained to counselees. Through 

C2R, OEEO conducted 12 mediations in FY 2021 during the informal process. One of these 12 

matters (or, 8.33%) settled through the C2R process. OEEO will continue to monitor whether 

efforts to increase ADR participation and resolution rates are successful. In support of this goal, 

OEEO disseminated a new EEO Complaint dashboard in FY 2021 visualizing data to share with 

key stakeholders to relay trends, including ADR participation and resolution rates. This sustained 

focus on transparency may prompt assessment on resolution practices.
FISCAL YEAR 2021 | 41

OEEO is developing a new SEC Administrative Regulation and operating procedures for the C2R 

program which will be published on the Agency’s internal website by the end of FY 2022.

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:

 OEEO uses the Tyler 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.

 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.

 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.

 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 documents.

 OHR’s Reasonable Accommodation (RA) Program uses SEC Forms 2937 and 2938 to capture, 

track, and analyze processing of requests for reasonable accommodation or PAS. The RA 

Program tracks reasonable accommodation requests and case processing timeliness efforts 

through Microsoft Excel.

 OMWI and OHR track and assess recruitment efforts quarterly via shared spreadsheets 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.
42 | EEO PROGRAM STATUS REPORT

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 2021, OEEO examined data to identify potential problems, spotted trends, 

and developed action plans. OEEO staff members have gained insights that have helped improve the 

SEC’s overall EEO Program, including the following.

 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.

 Many substantive EEO concepts are complex, and new supervisors may sometimes struggle to 

apply complicated rules (e.g., those involving disability and anti-retaliation laws). 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.

 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 processes 

(e.g., the Part 1614 process, intra-agency harassment procedures, Union grievances, and Office 

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.

 Creating collective responsibility for stopping words and conduct that could be perceived 

as offensive in the workplace can help improve culture and reduce EEO complaints alleging 

harassment. OEEO will educate on the benefits of bystander intervention and continuing to raise 

awareness of perceptions in the workplace.

 Operationalizing EEO and DEIA into SEC’s everyday business requires close coordination and 

consistent communication across various SEC Offices and stakeholders. Sharing information on 

these concepts spurs discussion and action.
FISCAL YEAR 2021 | 43

 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.

 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 applied the above experience defining its strategic priorities for FY 2022 and beyond.

A primary focus will be implementing Goal 3 of the SEC’s 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). To this end, OEEO published on the SEC’s intranet a comprehensive 

strategic plan that aligns with the SEC’s Strategic Plan through its five goals. In addition to 

implementing its new Strategic Plan, in FY 2021, OEEO continued daily operations including: 

 Continued to process all informal and formal complaints and requests for ADR it handled in 

compliance with 29 C.F.R. Part 1614 and EEOC MD-110; 

 Drove 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 the creation of a cross-agency working group focused on 

advancement opportunities for employees with disabilities, leading efforts to finalize complaint 

procedures related to accessibility issues under Sections 504 and 508 of the Rehabilitation Act, 

and reviewing and commenting on the SEC’s religious accommodation policy; 

 Conducted ongoing barrier analyses, including monitoring action plans that effectively address 

identified barriers; 
44 | EEO PROGRAM STATUS REPORT

 Collaborated with the federal sector EEO community to share and learn best practices and 

innovative approaches to enhance equality of employment opportunity; 

 Continued to incorporate the EEOC’s Six Essential Elements of a Model EEO Program to 

achieve greater program effectiveness; 

 Briefed senior leadership on the State of the Agency EEO Program to reaffirm support for the 

program, provide awareness of issues and trends (systemic or otherwise), and solicit input and 

commitment to strengthening the EEO Program; 

 Improved accuracy of EEO complaint data; 

 Leveraged internal communication channels to distribute EEO-related information and promoted 

communication of information and early intervention to help officials identify the issues and 

bases that may give rise to EEO complaints; 

 Trained supervisors and managers to provide proactive approaches to resolving issues stemming 

from alleged violations of personnel policies and practices; 

 Fostered constructive, open, continuous communication between employees and management 

to help resolve workplace conflicts at the earliest possible opportunity, and to ensure that 

employees, management officials, and persons with settlement authority understood the purpose 

and value of ADR; 

 Increased employee awareness of EEO statutes, executive orders, and leading practices; 

 Continued 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; 

 Reviewed information from employee surveys, exit interviews, focus groups, and training to 

identify opportunities to improve equality of opportunity at the SEC; and 

 Incorporated EEO best practices gained through the SEC’s coalitions with other federal agencies.

OEEO identifies and keeps abreast of significant external EEO complaint processing trends and 

best practices and compares SEC data with data for similar size and mission-focused agencies using 

existing and available government-wide federal sector reports. This concerted, sustained engagement 

with EEO peers and other colleagues help OEEO learn about and share EEO best practices, and 

implement leading practices at the SEC.
FISCAL YEAR 2021 | 45

Essential Element F: Responsiveness and Legal Compliance

According to MD-715, federal agencies must:

 Ensure that they are in full compliance with the law, including EEOC regulations, orders, and 

other written instructions;

 Report Agency program efforts and accomplishments to EEOC and respond to EEOC directives 

and orders in accordance with EEOC instructions and timeframes; and

 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 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 administrative 

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.

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).
46 | EEO PROGRAM STATUS REPORT

Throughout FY 2021, the SEC timely responded and fully complied with all EEOC orders issued as 

part of the hearings and/or appeals process. 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 2021, 

all annual reports were accurate and complete and submitted early or on time. Also in FY 2021, 

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) as well as the FY 2020 Annual No 

FEAR Act Report to Congress. OEEO also published the SEC’s FY 2020 Annual EEO Program 

Status Report and FY 2020 Affirmative Action Plan and Report for the Recruitment, Hiring, 

Advancement, and Retention of Persons with Disabilities on its public website and communicated 

the publication of these reports to all SEC employees.

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 gender.

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/or 

inclusion rates (i.e., the proportions of a total employee group found in a particular condition).

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.

In many cases, triggers are evidenced through comparison of workforce data to civilian labor force 

participation rates. The EEO Tabulation, produced using the 2014 – 2018 American Community 

Survey (ACS) 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. In January 2022, the EEOC requested that agencies utilize the 2014 – 2018 ACS 
FISCAL YEAR 2021 | 47

data commencing with the FY 2021 MD-715 Report. For brevity, benchmark data from the 

2014 – 2018 EEO Tabulation is referred to as the 2018 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) or specialization (e.g., securities versus employment law).

The SEC’s Total Workforce

At the end of FY 2021, the SEC had 4,536 employees, 4,423 permanent, and 113 temporary. Of 

the 4,423 permanent employees, there were 2,382 (53.85%) men, 2,041 (46.15%) women, 1,571 

(35.52%) minority employees, and 2,852 (64.48%) White employees. The SEC gained a total of 

222 permanent employees, 124 (55.86%) men, 98 (44.14%) women, 100 minority employees, and 

122 White employees.

In FY 2021, the SEC had a separation rate of 4.68% (207 separations) of its total permanent 

workforce. This was an increase from recent years, in which separations were generally below 

4%. The SEC aims to keep its turnover rate relatively low, i.e., below 8% per year. In FY 2021, 

separations among Black or African American females were higher than expected as a proportion 

of the SEC permanent workforce (Black or African American females represented 16.43% of 

separations, while they represent 10.56% of the permanent workforce). Separations for most other 

demographics were consistent with or lower than their proportion of the permanent workforce: of 

the 207 voluntary separations, 9 were Hispanic or Latino employees, 127 were White employees, 

and 23 were Asian employees.

Table A1 provides a comparison of the FY 2021 participation for each ethnicity/race and gender 

combination to the 2018 CLF. The participation of White female employees at the SEC shows 

the largest difference at 6.23% points below their participation in the 2018 CLF, a gap which has 

narrowed by 2.21% points compared to the 2010 CLF. Hispanic or Latino men and women show 

levels of difference that are about 3% points below their participation in the 2018 CLF (Hispanic 

or Latino men at -3.52% points and Hispanic or Latino women at -3.47% points). Increases in the 

CLF benchmarks for Hispanic or Latino males and females, of 1.65% points and 1.37% points, 

respectively, have caused Hispanic or Latino differences from the benchmarks to increase.

Relative to the national civilian labor force, 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 3.95% to 4.58% points higher than that 

demographic group’s 2018 CLF participation. While participation in the total SEC permanent 

workforce for these groups is higher than in the 2018 CLF, specific analysis by occupation and pay 

grade is more nuanced, as described further below.
48 | EEO PROGRAM STATUS REPORT

The SEC’s Mission Critical Occupations (MCOs)

The SEC has five MCOs: attorney, accountant, securities compliance examiner, information 

technology management, and economist. Among the SEC’s total permanent employees, there 

were 1,878 attorneys, 821 accountants, 350 securities compliance examiners, 315 information 

technology (IT) management employees, and 95 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 (Table A6)

Information about employee gains from external hiring and progression through competitive 

promotion are relevant to assessing EEO for the Agency’s MCO workforce. Detailed information 

on employee gains is found at workforce Table A6.

Applicant Flow Data (AFD) 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© (the federal government’s integrated talent acquisition system, that inter alia, 

provides data analytics such as time-to-hire metrics and applicant flow data) only for SEC vacancies 

posted on the federal government’s official employment site, USAJOBS. Applicants apply for the 

posted vacancies through the USAJOBS portal. 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 proceed with public posting for a large 

number of vacancies even where such is not required). In FY 2021, the SEC did not have a tool to 

capture and report on applicant data for hiring actions outside of USAJOBS.

Definition of Applicant Flow Data (AFD)

First, a few important notes about AFD help facilitate interpretation. Selections designated within 

AFD are tentative because AFD only tracks candidates who self-identified when they applied for 

a posted position and is comprised of only vacancies that were closed during FY 2021. AFD also 

shows various workforce tables regarding 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 2021. 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 distinguish 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 2021 | 49

Definition of “New Hire”

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, 

all data should be interpreted with caution and 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. In 

particular, OPM’s USA Staffing© 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 USA Staffing© 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 promotions is another area of interest in the SEC’s review of equal 

employment opportunity. To explore data related to promotional opportunity, 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.

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. As the SEC has continued to evaluate 

data on competitive promotion, it has learned that candidates, including SEC employees, are less 

likely to self-identify their demographic information when applying for a posting. To help ensure 

higher quality analysis of competitive promotions within the SEC, OEEO leverages the employee 

demographic data maintained by OHR in its Human Resource Information System (HRIS). To 

ensure data accuracy, in FY 2021, OEEO encouraged employees to review their demographic data 

and update as necessary, particularly with regards to disability status. Having up-to-date employee 

demographic data allows OEEO to leverage a combination of AFD and internal HRIS records when 

analyzing competitive promotions among SEC employees.
50 | EEO PROGRAM STATUS REPORT

Employees in the competitive service across the federal government are eligible to apply for MP 

postings. However, the only demographic data that OEEO is able to access and analyze for nonSEC federal employees is the AFD that these candidates voluntarily provide when applying for a 

MP posting. Summaries of these vacancy postings are thus restricted to AFD available through 

OPM’s USA Staffing© tool.

Finally, the SEC’s fellows programs are an important pathway into MCOs. In FY 2021, 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 AFD for each MCO and for the SEC’s 

senior-graded and leadership positions. These data do not reflect all applications—only those 

applications where the applicants provided demographic information. 

Attorneys (Table A6)

The current workforce, including gains through external hiring and internal competitive promotion 

of attorneys, is presented in Table A6. In FY 2021, among the 1,878 attorneys, there were 1,012 

(53.89%) men, 866 (46.11%) women, and 435 (23.16%) minority group members. SEC hired 91 

attorneys and promoted 46 attorneys.

Gains, AFD for External Hiring: Attorneys (0905)

The SEC posted 44 vacancies through USAJOBS and made 33 selections for attorney positions.

Of the 2,853 applications that included demographic information (self-identified applications), 

1,733 (60.74%) were submitted by men, 1,120 (39.26%) by women, and 1,266 (44.37%) by 

minority group members. Of the 33 selectees who self-identified, 16 were men, 17 were women, 

and 16 were minority group members. A difference between qualified applicants (61.37%) 

and new hires (47.25%) (“new hires” refers to onboarded employees) was found for male 

applicants; this 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 

USA Staffing© and are not included as selections in the audited AFD for the fiscal year) and 

only closed selections are included. Further, previous research indicates that open, continuous 

postings may result in a different demographic profile. However, in FY 2021, the gender profile 

of attorney selections implied by AFD matched the gender profile implied by attorney onboards 

(48.48% male in AFD vs. 47.25% male HRIS onboards). The Agency has completed an 

analysis on the attorney occupation, discussed further in Part I, infra.
FISCAL YEAR 2021 | 51

Progression, AFD for Internal Progression Competitive Promotion: Attorney (0905) 

The SEC received 338 applications for 43 attorney competitive promotion postings and 46 

selections. Of the 338 self-identified applicants, 302 qualified for promotion, 182 men, 120 

women, and 74 minority employees. Of those tentatively selected for the promotions, 22 were 

men, 24 were women, and 14 were minority. White males comprised 136 (45.03%) of the

qualified applicants and received 14 (30.43%) of the promotions. White females comprised 

92 (30.46%) of the qualified applicants and received 18 (39.13%) of the selections. A further 

demographic breakdown by ethnicity/race and gender of the candidates who applied for 

internal promotions is presented in Table A6.

Accountants (Table A6)

For accountants, their current workforce status, gains through external hiring and competitive 

promotion, is presented in Table A6. In FY 2021, among the 821 accountants, there were 465 

(56.64%) men, 356 (43.36%) women, and 243 (29.60%) minority group members. The Agency 

hired 22 accountants and promoted 7.

Gains, AFD for External Hiring: Accountants (0510)

In FY 2021, the SEC received 152 self-identified applications through USAJOBS and made 4 

selections for accountant positions. Of the 152 applications, 86 (56.58%) were submitted by 

males and 66 (43.42%) by females. A trigger with respect to selections exists when selections 

are below the qualified applicant pool. A trigger was found between the qualified applicant 

pool and selections with respect to gender overall in AFD (the qualified applicant pool was 

52.34% male compared to 25.00% of selections). The HRIS data on employee onboards 

suggested a smaller trigger (males were 50.00% of employee onboards). Differences between 

qualified applicants and new hires were found for Black or African American males (4.55% 

new hires vs. 13.08% of qualified applicants), Black or African American females (4.55% 

of new hires vs. 21.50% of qualified applicants), and Asian males (4.55% of new hires vs.

9.35% of qualified applicants). Detailed demographics are reflected in Table A6.

Progression, AFD for Internal Progression Competitive Promotion: Accountant (0510) 

The SEC received 78 self-identified applications for 7 internal competitive promotion postings 

and 7 selections. Of the 78 applications, 59 were deemed qualified (32 men, 27 women, 

and 30 minority employees). In FY 2021, female qualified applicants (45.76%) were above 

their Relevant Applicant Pool (44.08%), and females received four (57.14%) of the seven 

promotions. Therefore, no anomaly was found for females. However, differences between 

selections and qualified applicants were found for Hispanic or Latino males and females and 

Asian males and females. In contrast to the prior year, no anomaly was found for Black or 

African American males or females. The Agency has completed an analysis of competitive 

promotions among women in the accounting occupation, discussed further in Part I, 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 below.
52 | EEO PROGRAM STATUS REPORT

Securities Compliance Examiners (Table A6)

The current workforce and gains through competitive promotion and external hiring of securities 

compliance examiners is presented in Table A6. In FY 2021, among the 350 securities compliance 

examiners who self-identified, there were 225 (64.29%) men, 125 (35.71%) women, and 122 

(34.86%) minority group members. The Agency hired 13 securities compliance examiners (9 men, 4 

women, and 3 minority group members) and promoted 6.

Gains, AFD for External Hiring: Securities Compliance Examiners (1831)

In FY 2021, the SEC received 144 applications on USAJOBS, and hired 13 securities compliance 

examiners. There was one selectee in AFD, and 13 onboards (AFD only reports data on postings 

that closed during the fiscal year, omitting open, continuous postings). Differences were found 

between qualified applicants and new hires for Hispanic or Latino males, Black or African 

American females, and Asian males and females. New hires for all other demographic groups were 

at, close to, or above their representation among qualified applicants. See Table A6.

Progression, AFD for Internal Competitive Promotion: Securities Compliance Examiner (1831) 

The SEC received 122 self-identified applications for 8 postings and 6 selections reflecting 

the following demographics: 84 men, 38 women, and 68 minority employees. Of these 122 

applications, 47 were deemed qualified (39 men, 8 women, and 22 minority employees).

Differences between qualified applicants and the Relevant Applicant Pool were found for White 

females and Black or African American females. Differences between qualified applicants and 

selections were found for White females, Black or African American males, Asian females, and 

Hispanic or Latino males. Selections for all other demographic groups were at, close to, or 

above their representation among qualified applicants.

Information Technology Management (Table A6)

The current workforce and gains through external hiring and competitive promotion of information 

technology (IT) management employees is presented in Table A6. The Agency hired 35 employees in 

IT management and promoted 9.

Gains, AFD for External Hiring: Information Technology Management (2210)

In FY 2021, the SEC received 1,790 self-identified applications through USAJOBS and hired 

35 information technology management specialists. Of the 1,790 applications, 78.04% were 

submitted by men, 21.96% by women, and 74.69% by minority employees. Differences 

between qualified applicants and new hires were found for Hispanic or Latino males and Black 

or African American males and females. New hires for all other demographic groups were at, 

close to, or above their representation among qualified applicants.
FISCAL YEAR 2021 | 53

Progression, AFD for Competitive Promotion: Information Technology Management (2210) 

The SEC received 1,026 self-identified applications (812 males and 214 females) for 14 

information technology management postings and 9 selections. Of the 1,026 applications, 666 

were deemed qualified. Males represented 80.48% of qualified applicants (536 applicants) 

and females represented 19.52% of qualified applicants (130 applicants). Differences between 

the proportion of qualified applicants and selections were found for women (all race/ethnicity 

groups), Hispanic or Latino males, Black or African American males, and Asian males. Table 

A6 reflects the demographic breakdown.

Economists (Table A6) 

The current workforce of economists is presented in Table A6. In FY 2021, among the 

95 economists at the SEC, there were 65 (68.42%) men, 30 (31.58%) women, and 32 (33.68%) 

minority group members. In FY 2021, the Agency hired six economists and 

promoted two economists.

Gains, AFD for External Hiring: Economists (0110)

In FY 2021, the SEC received 376 self-identified applications through USAJOBS, selected 

7 economists and onboarded 6 economists. Of the 376 self-identified applications, 69.68% 

were submitted by men, 30.32% by women, and 55.05% by minority group members. The 

Agency hired 2 Hispanic or Latino males, two White males, one Black or African American 

male, and one Asian female. Table A6 reflects the demographic breakdown.

Progression, AFD for Competitive Promotion: Economists (0110) 

The SEC received 33 applications for 3 postings and 2 selections. Differences between the 

Relevant Applicant Pool (all economists at one grade below the vacancy) and qualified 

applicants were found for Black or African American males and Asian females. Of 14 White 

male applicants who applied, 11 were deemed qualified, and 2 of these qualified applicants 

were selected. Given the small number of qualified applicants from other demographic groups 

(three women and five minority employees) and total selections (two), it is impossible to 

draw meaningful conclusions about the selection phase from these data. Table A6 reflects the 

demographic breakdown.

Detailed Workforce Analysis for Attorneys and Accountants 

Accountants and attorneys comprised 61.02% of the SEC’s total permanent workforce. Male and 

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. Females represented 

43.36% of the SEC’s accountant workforce compared to an OCLF that is 61.03% female.

Males represented 53.89% of SEC attorneys compared to an OCLF that is 62.64% male.

These differences have been studied as part of the Agency’s barrier analysis program.
54 | EEO PROGRAM STATUS REPORT

The barrier analysis of the accountant occupation that was concluded in FY 2021 found that 

differences are driven by the application phase of the promotions process. White females were less 

likely than males to apply for promotion multiple times, which was shown to increase promotion 

success, and declining promotion opportunities for accountants had an impact on the upward 

mobility of women in accountant positions. Some had switched to other occupational series (often 

examiner) in which promotion opportunities were less scarce relative to the size of the occupational 

workforce. There was also a hesitancy to apply for SK-15 positions among female accountants, 

which was tied to a widespread perception that alternative work schedules and expanded telework 

are less frequently accepted in supervisory roles. Finally, an earlier barrier analysis on female new 

hires in three MCOs found that the OCLF for accountants varies significantly by salary level, with 

a significant portion of accountants at lower salary levels working seasonal jobs. The SEC tends 

to hire from the higher segment of the salary distribution, which is more male than the overall 

accountant occupation. The OCLF for accountants is about 57% male in positions earning $90,000 

or more, which was a smaller difference between the SEC’s gender distribution and the gender 

distribution of accountants in the national workforce than observed when including accountants in 

occupations earning below $90,000.

The barrier analysis of the attorney occupation (concluded in FY 2021) found that separations 

explained the greater part of the SEC’s gender difference from the attorney OCLF with respect to 

males. Female attorneys separated from the SEC at lower rates than male attorneys, with family and 

work-life balance factors having a larger impact on female attorneys’ decision-making than male 

attorneys’ decision-making. These factors were most relevant when considering shifts to the private 

sector. Male attorneys more frequently pursued post-SEC opportunities in the private sector.

Detailed Workforce Analysis of Promotions for Examiners 

and IT Management

Examiners and IT Management are two of the fastest growing MCOs. From FY 2011 through 

FY 2021, the examiner occupation increased 90.22% from 184 positions to 350 positions. Over 

the same timeframe, the IT Management occupation increased 64.06% from 192 positions to 315 

positions. In FY 2021, promotions within these two occupations demonstrated triggers.

For example, among examiners, qualified applicants for promotion were roughly 10 or more 

percentage points below expected (the Relevant Applicant Pool) for White females and Black or 

African American females. Other demographic groups were at or close to their Relevant Applicant 

Pools with respect to qualified applicants. The SEC made six selections for promotion among 

examiners; none were female and one was from a minority group (16.67%).
FISCAL YEAR 2021 | 55

Assessing the IT Management occupation has added complexity because the IT Management 

Occupation within the American economy is heavily male (70.73% male; 29.27% female).

However, promotion applications from women were six percentage points below the Relevant 

Applicant Pool, and no women were selected for promotion. In addition, there were 471 minority 

applicants who reached the qualified stage, which comprised 70.72% of the qualified applicant 

pool. Three of the nine selections for promotion were minority employees, a participation rate of 

33.33% of selections, which was 37.39 percentage points below the qualified applicant pool.

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 its 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, infra.

To evaluate EEO 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, 43.43% of the positions are held by women and 56.57% by 

men. In comparison, the workforce comprising the Upward Mobility Benchmark is 45.15% 

women and 54.85% men. Minority group members hold 32.12% of positions in senior grades as 

compared to 33.97% of employees participating in the Upward Mobility Benchmark. Additional 

detail comparing the workforce composition of senior-graded and leadership positions is found in 

the next section. See Table A7.
56 | EEO PROGRAM STATUS REPORT

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 2021, the SEC received 5,698 self-identified applications through USAJOBS and hired 

183 employees for senior-graded positions. Of the 5,698 applications, the diversity demographics 

were 64.37% men, 35.63% women, and 56.41% minority. Across the hiring phases, women’s 

participation among qualified and referred candidates remained similar to their participation in the 

applicant pool. However, a larger proportion of women (48.44%) were selected for senior grade 

level positions than expected compared to their rate of qualification (34.76%).

Among the 183 external applicants who were eventually onboarded in FY 2021, 106 (57.92%) 

were men and 77 (42.08%) were women. See Table A7.

In general, the participation of minority group members, unlike the participation of women, 

declined across the hiring phases. Minority group members represented 56.41% of the selfidentified external applicants, 55.61% of qualified applicants, and 42.63% of new hires. New hires 

were two to six percentage points below qualified applicants among Hispanic or Latino applicants, 

Black or African American applicants, and Asian male applicants.

Progression, AFD for Internal Competitive Promotion: Senior Grade Promotions

The SEC received 5,354 self-identified applications for 131 senior grade level postings, and 112 

selections. The applications reflected that 58.54% were submitted by men, 41.46% by women, 

and 67.22% by minority candidates. White female and White male employees applied for 

promotions among senior grades at rates below their respective Upward Mobility Benchmark.

White male employees were 22.13% of applicants, compared to an Upward Mobility 

Benchmark of 40.25%; and White female employees were 10.65% of applicants, compared 

to an Upward Mobility Benchmark of 25.79%. In contrast, selections were significantly above 

the percentage of qualified applicants for White male and White female employees. White 

male employees were 33.93% (38) of selections for promotion, and 24.48% (754) of qualified 

applicants; White female employees were 23.21% (26) of promotions, and 10.68% (329) of 

qualified applicants.
FISCAL YEAR 2021 | 57

Similar to the decline as applicants moved through the hiring phases with respect to external 

hiring, 67.22% of self-identified internal competitive promotion applicants were minority 

employees. Their participation in the qualified applicant pool was 64.84% and 69.35% among 

referred applicants; 42.86% (48) of the candidates tentatively selected for promotion were 

minority employees. This result seems attributable to an 8 percentage point difference between 

selections and the qualified applicant pool among Black or African American males (7.14% of 

selections, 15.68% of qualified applicants), which is less than the 10 percentage point difference 

observed the previous year in FY 2020; and a 6 percentage point difference between selections 

and the qualified applicant pool for Asian males (6.25% of selections; 12.56% of qualified 

applicants). In FY 2021, the difference between selections and qualified applicants for Black 

or African American females declined to 3.52% (15.18% of selections; 18.70% of qualified 

applicants), down from a gap of seven percentage points in FY 2020 (12.26% of selections, 

19.67% of qualified applicants). Table A7 reflects the demographic breakdown.

Notably, in FY 2021, the Agency examined its policies on the formation of interview panels, 

which applies to all selection panels, with policy changes to be implemented in FY 2022. These 

changes include measures to increase cross-office participation on interview panels, establish 

a minimum threshold for the number of interviewers, and require interviews for supervisory 

positions to include at least one candidate question that addresses the need for SEC supervisors 

to support a diverse and inclusive workplace.

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. Upward Mobility Benchmarks are reference points defining the 

proportion of a demographic group that one would expect to reach senior positions, based on their 

occupations. 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. 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 
58 | EEO PROGRAM STATUS REPORT

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, infra.

A summary of Table A8 shows that among supervisory and managerial levels as a whole, 

39.05% of positions are held by women, 60.95% by men, and 26.65% by minority employees.

In comparison, the workforce comprising the Leadership Upward Mobility Benchmark is 

44.17% female, 55.83% male, and 31.95% minority. 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

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 2021, women made up 37.85% of Senior 

Executives in the federal workforce, compared to 45.65% among the SEC’s SO population.

As of the end of FY 2021, the proportion of minority SOs at the SEC remained below the 

FY 2021 participation rate of 24.16% among Senior Executive positions in the federal workforce.

Since FY 2016, the participation rate of minority employees among SOs increased from 13.38% 

to 18.11%. From FY 2016 to FY 2021, the number of permanent staff Black or African American 

SOs increased from 7 to 11, while the combined number of Asian SOs, Hispanic or Latino SOs, and 

those in other race/ethnicity groups increased from 12 to 14.

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.
FISCAL YEAR 2021 | 59

Gains, AFD for External Hiring: Leadership Levels

In FY 2021, the SEC received 917 self-identified applications through USAJOBS and made 18 

new hires for supervisory positions across all levels. Among the applicants were 647 (70.56%) 

men and 270 (29.44%) women. Nine men, nine women, and eight minority group members 

were hired for managerial or supervisory positions. In FY 2021, a trend observed in previous 

years continued in which the male proportion of new hire selections for leadership positions 

was lower than the qualified applicant pool. Males were 73.82% of qualified applicants for 

leadership positions, but 30.77% of selections, a difference of 43.05 percentage points. This 

difference was a decline from the 53.51 percentage point difference between male qualified 

applicants and selections observed in FY 2020.

A trend was observed for Hispanic or Latino males, Black or African American males, and 

Asian males. Forty Hispanic or Latino males, 114 Black or African American males, and 118 

Asian males reached the qualified stage for leadership positions. No Hispanic or Latino males, 

no Black or African American males, and one Asian male was selected as a new hire for a 

leadership position. These data should be considered with the caveat that Applicant Flow Data 

do not cover open, continuous postings; HRIS data covering onboarded employees that do 

include the results of open, continuous postings showed the same results for Black or African 

American males and Asian males.

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 1,850 self-identified applications (66.43% from men, 33.57% from women, 

and 62.11% from minority employees) for 55 postings and 45 selections for supervisory or 

managerial positions.

As was shown in the senior grade level positions, women’s participation among applicants who 

applied, qualified, were referred, and were selected for promotion progressively increased from 

32.67% of the qualified applicant pool to 48.89% of those tentatively selected for promotion.

Minority group member participation declined from 59.45% of the qualified applicant pool 

to 37.78% of those tentatively selected for promotion, an increase in the difference between 

the qualified and selected stages by 3.9 percentage points compared to FY 2020 for minority 

employees (when minority employees were 49.84% of qualified applicants, and 32.08% of 

selections). There were differences between qualified applicants and selections for promotion to 

managerial or supervisory positions for Black or African American males, who represented 204 

of the qualified applicants (16.92%) and 3 selections (6.67%), and Hispanic or Latino males, 

who represented 84 of the qualified applicants (6.97%) and 1 selection (2.22%). Table A8 

reflects the demographic breakdown.
60 | EEO PROGRAM STATUS REPORT

Additional Detail on the Workforce Analysis for Senior Leadership and Senior 

Grade Level Positions (Tables A4 and A8)

The FY 2021 participation rates of men, women, and minority groups differ across the SEC’s 

supervisory and management ranks, with a notable pattern shown for women at the SK-15 first-line 

supervisor level, and for minority groups at the SK-16, SK-17, and SO levels, as compared to the 

composition of the feeder or relevant applicant pools at lower SK-levels.

Women represent 44.41% (982 employees) and men represent 55.59% (1,229 employees) at the 

GS-14 equivalent level. Among SK-15 first level supervisors, men make up 64.33% (220 employees) 

and women comprise 35.67% (122 employees) of the workforce. Participation of women was 

lower in this first-level supervisor position than found in other leadership levels (except for 

minority women); there were 1.8 times as many male SK-15 first-level supervisors as female. 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 559 permanent SK-16 employees in FY 2021; men accounted for 61.36% (343) and women 

accounted for 38.64% (216) of this level’s workforce composition.

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 386 managers of whom 61.40% were men 

(237 employees) and 38.60% were women (149 employees). Within the total of 138 SOs, 54.35% 

are men (75 employees) and 45.65% are women (63 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 decrease 

at each successive grade up to the SO level. The participation rate for Black or African American 

women begins at 41.18% at the SK-12 level, declines to 24.33% at the SK-13 level, and 6.11% at 

the SK-14 level. There is a slight increase at the SK-15 (typically first-line supervisor) level (7.69%), 

and a decrease to 2.86% of SK-16 individual contributors, and 4.90% of SK-17 managers. Black or 

African American women are 5.80% of SOs, an increase of two SOs from six to eight compared to 

FY 2020.

Similarly, the participation rate for Black or African American men begins at 9.95% at the SK-12 

level, stays flat at 9.36% at the SK-13 level, and declines to 4.30% at the SK-14 level. There is an 

increase at the SK-15 level (4.40%), and a decrease to 3.40% of SK-16 individual contributors, and 

1.80% of SK-17 managers. In contrast to Black or African American females, there was no change 

in the number of Black or African American male SOs compared to FY 2020 (three SOs, 2.17%).
FISCAL YEAR 2021 | 61

Participation rates for Hispanic or Latino women are 5.43% at the SK-12 level, and decrease to 

3.74% at the SK-13 level, 2.94% at the SK-14 level, 1.37% at the SK-15 level, 1.25% at the SK-16 

level, 0.77% at the SK-17 level, and 0.00% at the SO level. Hispanic males were different from their 

participation in the permanent workforce (3.30%) at the SK-16 level (1.61%). They were at or near 

their participation in the permanent workforce at the other senior grades.

Asian men were below their participation in the permanent workforce at the SO level. Asian men 

represented 0.72% of SOs, though they ranged from 5.67% to 8.79% in the feeder grades for 

SO positions (SK-14 through SK-17). A similar pattern emerged for Asian women. Asian women 

represented 2.90% of SOs, though they ranged from 4.40% to 8.05% in the feeder grades for SO 

positions. See Tables A4P and A8.

Leadership Development Programs

The Agency has evaluated selection data for its leadership development programs, including the 

Excellence in Government Fellows Program, the Aspiring Leaders Program, and the Women in 

Leadership Program. While these programs do not lead to the expectation of achieving placement 

at a specific grade (a criterion for inclusion in the MD-715 Workforce Data Tables), they do 

contribute to the pool of employees who may potentially apply for and be considered for leadership 

positions in the future. Data for these leadership programs have been consolidated into the “Other 

Career Development Programs” category in Part J. Among 114 selectees for these 3 leadership 

development programs, the inclusion rate for White males was 2.04% (36) and 3.26% (38) for 

White females. Black or African American males (1.38%, three) and Asian males (1.01%, three) 

had lower inclusion rates than White males. Hispanic or Latino males and females, Black or African 

American females, and Asian females had inclusion rates at or above those of White males.

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 up to $3,000. Special Act Awards between $3,000 and 

$10,000 require additional approval by the COO or the Chair. Similarly, time-off awards of at least 

40 hours are subject to that same additional approval. In FY 2021, no discretionary time-off awards 

greater than 40 hours were distributed.
62 | EEO PROGRAM STATUS REPORT

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 five 

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, infra.

Time-Off Awards Summary by Ethnicity/Race and Gender

Women were more likely than men to receive both low value (less than 10 hours) and high value 

(more than 10 hours) time-off awards. The inclusion rates for low value awards were 21.70% for 

males and 26.65% for females. The inclusion rates for high value time-off awards were 21.54% for 

males and 24.45% for females. With the exception of Asian males (who were two percentage points 

below baseline for higher value time-off awards), all minority groups were about as likely to receive 

a time-off award as the baseline of White males.

Cash Awards Summary by Ethnicity/Race and Gender

SEC implemented a new Performance Incentive Bonus Program in FY 2021. This program was 

designed to reward employees who demonstrate an extraordinary and rare level of performance 

that significantly surpasses what would normally be expected for the employee’s position, grade, 

series, and/or years of experience. PIB awards are generally larger than the Special Act and On-theSpot awards that previously encompassed the Agency’s Discretionary Cash and Time-Off Awards 

Program, with award levels of $5,000, $7,500, and $10,000. Equal Employment Opportunity 

training for all PIB panelists and multiple layers of review are included as part of the program 

design. While the first cycle of PIB awards were not distributed until FY 2022, complete information 

on how awards decisions were made in FY 2021, with corresponding demographic results, cannot 

be provided until the first cycle of PIB results has been finalized. However, the Agency continues to 

provide demographic data on its Special Act and On-the-Spot awards programs.

For all demographic groups, the largest portion of each group received cash awards of 

$1,000 – $1,999. Inclusion rates were 38.84% for White males, and 38.34% for White 

females, with Hispanic or Latina females, Asian males, and Asian females at inclusion rates above 

that of White males, and Hispanic or Latino males (35.62%), Black or African American males 

(28.30%), and Black or African American females (32.33%) at inclusion rates below that of White 

males. Differences for minority groups were largest at cash award levels of $2,000 – $2,999, with 

White males at an inclusion rate of 11.57%, Hispanic or Latina females at an inclusion rate of 

4.20%, Black or African American males at an inclusion rate of 4.25%, and Black or African 

American females at an inclusion rate of 5.57%. White females were at an inclusion rate of 9.98%, 

Asian males were at an inclusion rate of 11.15%, and Asian females were at an inclusion rate of 

9.36%. Data at other cash award levels were inconclusive.
FISCAL YEAR 2021 | 63

Discretionary cash and time-off awards were the focus of an Awards Barrier Analysis study 

conducted by OEEO and previously reported on in prior MD-715 reports. 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. As part of its management response to the Awards Barrier Analysis, in FY 2021, 

the SEC implemented an agency-wide awards monitoring system, which enables key staff to 

track awards distribution with respect to race, gender, disability status, and age on a quarterly 

basis, and enables all staff to track and monitor awards distribution short of including protected 

characteristics.

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 2021, OEEO continued to advance its barrier analysis and reporting functions. As described 

in Compliance Indicators C.6, D.2, and D.3, supra, OEEO concluded two barrier analyses (focused 

on the accountant and attorney occupations); briefed relevant management on analytic work; and 

continued work on monitoring actions and evaluation based on prior barrier analysis work.

In response to studies that were transitioned in FY 2020 for management action, management 

reported on actions implemented or planned for implementation to address OEEO’s 

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 OEEO leadership and staff met on a tri-annual basis to discuss 

the status of the SEC management’s action planning.

Consistent with OEEO’s research-based suggestions for strong senior leadership support and 

modeling of disability inclusion, in early FY 2021, the SEC—through the collaborative efforts of 

OEEO, OMWI, OHR, and the Disability Interests Advisory Committee—hosted a Senior Officer 

career panel discussion moderated by Commissioner Roisman and DIAC’s executive sponsor.

During this impactful session, Commissioner Roisman led a discussion with senior SEC 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.
64 | EEO PROGRAM STATUS REPORT

Improving the Reasonable Accommodation Program

In the second quarter of FY 2022, the SEC will issue SECR 6-80, Reasonable Accommodation 

Program Administrative Regulation and SECOP 6-80, Reasonable Accommodation Program 

Operating Procedures. 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 addition, the SEC’s administrative regulation and operating procedures on religious accommodation are under development. This new guidance will govern the processing and implementation of 

religious accommodation requests by Agency employees and applicants seeking employment at the 

SEC, in accordance with the requirements of Title VII of the Civil Rights Act of 1964. The guidance 

will be published under Religious Accommodation Administrative Regulation (SECR 6-81) and corresponding SEC Religious Accommodation Operating Procedures (SECOP 6-81) and are expected 

to be finalized by September 2022.

The Commission is finalizing the documents for this program internally. Once finalized, OHR will

disseminate the materials and train appropriate staff on the new policy and procedures (and forms).

A 508-compliant version of these documents will be posted on SEC.gov, as required under Section 

501 Affirmative Action Regulations, and on the internal interactive portal AskHR in FY 2022.

In FY 2021, the SEC met its goal of processing 100% of accommodation requests within 20 business days, the timeframe specified in the Agency’s reasonable accommodation policy. However, the 

Agency still faced a number of challenges and identified solutions that follow. An explanation of

challenges encountered and solutions identified and/or implemented to satisfactorily address this 

compliance requirement follows.

a. Challenges Encountered in FY 2021

The SEC anticipated implementation of SECR 6-80, Reasonable Accommodation Program 

Administrative Regulation and SECOP 6-80, Reasonable Accommodation Program Operating 

Procedures in FY 2020; however, collaborations between Agency stakeholders were delayed 

due to unforeseen circumstances of the pandemic. Once the program guidance is finalized and 

implemented, manager/supervisors, employees, and all staff with responsibilities under these 

procedures will be informed of the updates. The updated RA procedures will be incorporated 

in the mandatory new supervisor and new employee trainings, and the on-demand trainings 
FISCAL YEAR 2021 | 65

available in the SEC online training platform LEAP that will be made available to Agency 

employees. At least annually, an announcement goes out to the workforce regarding the 

reasonable and religious accommodation programs to assist managers and employees in their 

understanding of the SEC accommodation programs.

The SEC has also worked on identifying a case management solution to track the entry, 

management, and reporting of data related to requests for reasonable accommodation. The 

Agency intends to implement a web-based case management solution that will mitigate 

challenges related to tracking of current and recent cases, process reasonable accommodation 

requests for decision, provide a secure storage repository for RA requests and supporting medical 

information, and analyze processing timeliness and trend data.

b. Solutions Identified and/or Implemented

Organizationally, the Agency maintained sufficient funding to acquire and implement approved 

accommodations for individuals with disabilities requesting accommodations. Throughout 

most of FY 2021, the program was staffed with three full-time equivalent employees (FTEs) to 

administer the RA Program and respond to the RA Program requests. The RA Program staff 

includes two senior-level federal employees, one junior-level federal employee, along with the 

Disability Program Officer (DPO) who also manages a portfolio of other HR programs. During 

FY 2021, the processing timeliness for accommodation requests improved by 15 percentage 

points from 85% in FY 2020 to 100% in FY 2021. All accommodation requests were processed 

within the 20 business day timeframe.

Further, 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 Federal 

Occupational and Health (FOH) to complete medical reviews of employees with a wide range of 

conditions. In FY 2021, FOH processed requests faster—on average within 21 business days—

an improvement of three (3) business days from the average 24.3 days in FY 2020.

Through much of FY 2021, the SEC remained in a mandatory telework posture. On August 9, 

2021, the SEC started its initial phase of reopening and transitioned to a maximum telework/

voluntary return to the office posture for its non-essential employees. The SEC’s Temporary 

Medical Telework (TMT) program provides temporary telework to employees with shortterm 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. Since the SEC continued its maximum telework posture throughout FY 2021, the 

RA Program office did not receive any TMT requests to process during this time period. The 

Agency intends to publish the revised TMT policy and related operational procedures in calendar 

year 2022.
66 | EEO PROGRAM STATUS REPORT

In late FY 2021, the SEC procured a new automated reasonable accommodation case 

management solution with Tyler Technologies that will improve case management processing 

efficiency and data reporting. The case management system will complement the Agency’s 

reasonable accommodation process and is expected to simplify case tracking, help identify 

systemic delays, improve customer service by allowing employees to request reasonable 

accommodations personally and privately, and allow the Agency to continue to meet timeliness 

standards. This case management solution will improve effectiveness by monitoring timeliness 

and providing notification to reasonable accommodation program staff, employees, and 

manager/supervisors when requests are approaching delinquent status. To advance RA Program 

maturity and success, system requirements analyses are expected to be completed 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.

Also in FY 2021, the SEC implemented a new five-year contract vehicle with Deaf Access 

Solutions (DAS) for its Sign Language Interpretation Program. DAS provides enhanced 

interpretation solutions to include Communication Access Realtime Translation (CART) and 

Federal Relay Services that also provide a more diverse pool of interpreters who can provide a 

greater array of support services for the Deaf/Hard-of-Hearing community.

As a result of the COVID-19 public health emergency, throughout FY 2021, the Agency made 

incremental adjustments to its operations to include widespread telework in all offices. 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 continued to provide equipment for all employees, to 

include employees with disabilities working on-site or authorized to telework, as a reasonable 

accommodation during this time period.

Improving Accessibility for Persons with Disabilities and Persons with 

Targeted Disabilities

The SEC’s reasonable accommodation procedures and personal assistant services guidance remain 

available on its external SEC.gov website for PWD and PWTD. In late FY 2021, the SEC—through 

the collaborative efforts of OEEO, OMWI, OHR, and DIAC—established a dedicated adaptive 

technology (AT) support contract to increase assistive technology access and aid in the advancement 

of innovative approaches and accessible solutions for persons with disabilities seeking assistance 

as reasonable accommodation. 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 readily identified and made available when 
FISCAL YEAR 2021 | 67

the employees report 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.

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 2021, 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 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 about reasonable accommodations. In FY 2021, 

the SEC developed and published on its external website an Administrative Regulation and SEC 

Operating Procedures setting forth the complaint process related to Sections 504 and 508 of the 

Rehabilitation Act, and the Architectural Barriers Act.

The SEC continues to improve upon current practices 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. If a product is deemed not 508-compliant, project teams are 

instructed to submit a Remediation Plan indicating a plan of action or timeline in which the vendor 

will make the respective product 508-compliant and obtain an approval from senior management 

before deploying.

Periodic Training for Supervisors and Hiring Officials Related to the Hiring, Promotion, 

and Reasonable Accommodation of Individuals with Disabilities

In FY 2021, 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 process provision, and how to respond appropriately when an individual places 

them on notice of the need for reasonable accommodation. Also, on-demand Skillsoft training is 

available to assist managers and employees in their understanding of the reasonable and religious 

accommodation programs through the Agency’s online training platform, LEAP. 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 CLTD 307 Fundamentals of Human Resources 

Management course offered by SECU.
68 | EEO PROGRAM STATUS REPORT

In FY 2021, the SEC conducted two virtual CLTD 307 trainings in addition to the course’s 

eLearning modules 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 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 is required to receive 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-onone 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 

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 2021, the SEC continued to take steps to improve overall disability recruitment efforts.

The SEC’s FY 2018 – 2019 Recruitment Strategy was extended into FY 2021 due to the current 

telework posture and to accommodate additional hiring efforts. In FY 2021, the SEC continued 

the following activities to support this initiative related to hiring and accommodating individuals 

with disabilities:

 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.
FISCAL YEAR 2021 | 69

 Attended 18 virtual career events which allowed the SEC to maintain a recruitment presence and 

support efforts to build a talent pool for future employment.

 Continued to distribute Schedule A recruitment materials via social media and professional 

organizations. The SEC hired 10 employees under the Schedule A hiring authority.

 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.

 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.

 Hosted three National Disability Employment Awareness Month celebrations. One event, 

Increasing Access and Opportunity at the SEC, was moderated by Commissioner Roisman 

and featured a panel of SEC senior officers who identify as persons with disabilities. Another 

celebration was a TED Talk featuring Haben Girma, author of “Deafblind Woman Who 

Conquered Harvard Law School.” The third event was a session sponsored by OHR’s 

WorkLife4You on “Caring for Your Older Special Needs Child.”

 The Disability Program Officer formerly served as 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 and 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 post-pandemic office environment.

 In July 2021, the DIAC hosted a membership “Meet and Greet” with Chair Gensler, 

demonstrating his commitment to supporting PWDs at the Commission.

 Developed and communicated guidance for accommodating Deaf and Hard-of-Hearing 

employees participating in virtual instructor-led courses that include video and/or breakout 

rooms, to include steps for Program Managers, employees, and interpreters.

 Trained all new employees on Work-Life, RA, TMT, and leave programs to ensure awareness of 

various solutions or flexibilities for employees.

 Established a dedicated adaptive technology support contract to increase assistive technology 

access and aid in the advancement of innovative approaches and accessible solutions for persons 

with disabilities seeking assistance as a reasonable accommodation.

 Implemented a new five-year contract vehicle with Deaf Access Solutions for its Sign 

Language Interpretation Program. DAS provides enhanced interpretation solutions to include 

Communication Access Realtime Translation and Federal Relay Services and also has the 

capability to provide a more diverse pool of available interpreters who can provide a greater 

array of support services for Deaf/Hard-of-Hearing community.
70 | EEO PROGRAM STATUS REPORT

 Received and timely processed 34 RA requests.

 Continued to update OHR’s 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.R. §

1614.203(d)(1)(iii). The EEOC indicated that it expected the SEC to establish a comprehensive 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 that the SEC ensure PWDs participate in the SEC’s Mentoring Program, OHR reserved five (5) slots in the 2022 Mentoring Program cohort for employees 

with disabilities and collaborated with DIAC to communicate this opportunity to its membership.

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 launched a cross-office working group comprised of SOs who are champions of 

disability inclusion, subject matter experts in the Offices of Human Resources, Equal Employment 

Opportunity, and Minority and Women Inclusion, and key members of the Disability Interests Advisory Committee. This working group began meeting in FY 2021 and, leveraging evidence-based data, 

made recommendations with regards to the recruitment, hiring, career development, and advancement of PWD and PWTD. The working group explored enhanced marketing of available SEC career 

development programs, possible tailoring of existing and developing SEC advancement-related programs, and creating new development programs tailored for employees with disabilities. The working 

group also explored available data related to other employment policies, practices, and processes to 

provide recommendations on improving the employment life cycle for individuals with disabilities.

Agency EEO, Diversity and Inclusion, and Leadership Development Accomplishments

In FY 2021, 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.
FISCAL YEAR 2021 | 71

a. 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 pathways for 

diverse talent for future SEC employment. During FY 2021, the SEC coordinated, participated 

in, sponsored, or facilitated over 40 diversity outreach and recruitment events and distributed 

approximately 175 targeted job advertisements to educational organizations, institutions, and 

job boards to inform diverse professionals and students about job vacancies and internships.

The SEC, through collective efforts by OMWI and OHR, continued to take steps to ensure a 

pathways for talent in the disability and veteran community by:

 Participating in the Bender Career Fair for PWDs in July 2021;

 Serving as an interviewer for the Department of Labor’s Workforce Recruitment Program;

 Continuing to leverage relationships with key organizations throughout FY 2021; 

 Continuing to promote the multi-year 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);

 Attending several disability- and veteran-focused career fairs and events; 

 Streamlining the unsolicited application intake process by developing a webform that is 

located on the SEC.gov page to collect information from potential applicants who identify as 

PWD and veterans in order to non-competitively refer them for future position vacancies; and

 Strengthening partnerships with external and internal employee affinity groups, and the DIAC 

to bring awareness to SEC personnel regarding disability and veteran hiring initiatives.

The SEC continued to engage with the following organizations to expand its talent pool: 

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 Disability Services—

George Mason University; Professionals with Disabilities; U.S. Business Leadership Network; 

and the Workforce Recruitment Program.
72 | EEO PROGRAM STATUS REPORT

b. Work-Life Programs

The SEC supports its employees and their family members through an array of work-life 

programs that includes the Employee Assistance Program (EAP), 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 live events including: 

126 webinars, 6 supervisory-only webinars, 41 health, wellness, and specialty seminars/

workshops, 6 challenges, 65 meditation, and 54 stretching seminars. Additionally, the WorkLife Program issued a monthly EAP Newsletter to employees, a Quarterly EAP Newsletter 

to Supervisors, presented Work-Life Programs at All Hands/Division meetings to over 1,500 

employees and created a Work-Life Resources Page with 6,300 visits during this time period.

c. Training and Leadership Development

The SEC provided numerous virtual opportunities for employees to acquire the skills and 

certifications needed to succeed in their positions and to progress in their careers. SECU offered 

an extensive array of learning opportunities in technical areas (e.g., courses on Hedge Funds, 

Mutual Funds, and Credit Derivatives) as well as in leadership development to SEC senior 

leaders and non-supervisory staff alike.

SECU College of Leadership and Team Development offerings 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. Virtual offerings during the pandemic incorporate 508-compliant content 

and the availability of on-demand sign language interpreters. SEC leaders can access leadership 

development offerings, regardless of one’s learning style or location.

Compliance Indicator B.5 above provides detailed information on leadership development 

focused on specific levels of SEC leadership.
FISCAL YEAR 2021 | 73

Career Development Programs

SEC offered the career development programs described below: 

a. The C.O.R.E. Connections—Opportunity—Relationships—Equity

The SEC’s CLTD launched its inaugural program in FY 2021, C.O.R.E. C.O.R.E. is a 

transformative professional development experience, with a focus on the unique perspectives of 

minority leaders at the SEC, and provides tools and techniques to increase their effectiveness, 

span of contributions and engagement within their function, and support their personal 

well-being and growth. The series equips minority leadership talent with knowledge, skills, 

and strategies to successfully manage their unique challenges as they strive to reach seniorlevel positions at the SEC while helping to drive our Agency’s overall success and mission 

effectiveness. The series has five two-hour webinars, in which participants learn strategies for 

authentic and difficult conversations, managing conflict, and exploring the role that emotions 

play in leadership outcomes.

b. Women in Leadership Program

The Women in Leadership Program is offered under the auspices of the Brookings Institution.

In FY 2021, Brookings did not facilitate this program due to the COVID pandemic. The SEC 

will participate in the Brookings program when it resumes. In its place, the CLTD will offer Lead 

Forward: Leadership Development for Women at the SEC.

c. Strategic Management of Regulatory and Enforcement Agencies Executive Leadership Program

The SEC sponsored three Senior Officers to participate in Harvard University’s Strategic 

Management of Regulatory and Enforcement Agencies Executive Leadership Program

during FY 2021. This program examines the distinctive strategic and managerial challenges 

that surround government agencies’ regulatory and enforcement functions, investigates cases 

spanning a range of regulatory and enforcement domains—from the environment to public 

health to crime—and uses case studies, small-group discussions, and workshops.

d. Excellence in Government (EIG) 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 is 

offered to employees in the SK-14 to SK-17 (a mix of supervisory and non-supervisory) levels.
74 | EEO PROGRAM STATUS REPORT

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.

e. Aspiring Leaders Program

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:

 Applying critical leadership skills necessary for effective supervision;

 Understanding first-line management responsibilities as they relate to human resource 

management, developing people, and building effective relationships; and

 Increasing self-awareness through guided self-assessments and feedback from 

course instructors.

f. Upward Mobility Program

The SEC continued its Upward Mobility Program in FY 2021 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 

(classification series 301) starting at the SK-7 or SK-9 level and with promotion potential to the 

SK-12 level. Positions are open to all SEC employees serving under a permanent appointment.

The Upward Mobility 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 participants and their supervisors.
FISCAL YEAR 2021 | 75

g. Career Advancement Program

In FY 2021, the SEC offered two employees 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. The SEC also offered a

Meet-and-Greet session with past CAP participants who talked about their experience with, 

and the benefits of, the program.

h. Mentoring Program

In FY 2021, the Agency offered a third cohort of 30 employees the opportunity to participate in 

the SEC’s Mentoring Program. The registration process for this third cohort received overwhelming 

interest among employees. Thirty employees were paired with mentors across the Agency. This

offering started in January 2021 with an orientation session for both mentors and mentees, and 

the session ended with a Capstone event on June 8, 2021. 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 and 

facilitated by OCOO, OMWI, and SECU experts. OCOO gathered feedback from both mentees 

and mentors about the program’s efforts.

In response to the EEOC’s recommendation that the SEC ensure PWDs participate in the SEC’s 

Mentoring Program, OHR reserved five slots in the 2022 Mentoring Program for employees with 

disabilities and collaborated with DIAC to communicate this opportunity to its membership.
76 | 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:

 Diversity and Inclusion: SECU continues to work with OMWI to procure and support 

web-based 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 Program) throughout the year.

 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, learn about a specific topic or as part 

of a workshop series. Content is custom-designed for a team to address their unique challenges 

and opportunities. The Team Effectiveness workshops available to organizations in FY 2021 by 

SECU included: 

Communication Styles; 

Workplace Trust; 

Achieving Results; 

Emotional Intelligence;

Emotional Intelligence 2.0;

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; 

Becoming a More Collaborative 

Leader;

Building Workplace Trust;

Developmental Coaching;

Developmental Conversations;

NASA Team Building Moon Survival; 

and

Difficult Conversations (for supervisors 

and non-supervisors).
FISCAL YEAR 2021 | 77

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, Rita M. Sampson, Director, OEEO/0905/SO-1, 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

6/07/22

6/03/2022
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FISCAL YEAR 2021 | 79

AGENCY EEO PLAN TO ATTAIN THE 

ESSENTIAL ELEMENTS OF A MODEL 

EEO PROGRAM (PART H)

The SEC did not have any deficiencies in FY 2021.
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FISCAL YEAR 2021 | 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 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 lifecycle, 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 was 

44.23%, whereas White females comprised 

27.52% of the SEC’s accountants.
82 | EEO PROGRAM STATUS REPORT

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 2021 | 83

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.

Focus group discussions with bargaining unit accountants as well as nonbargaining unit accountants, in coordination with NTEU and OHR.

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.

Continued on the next page
84 | EEO PROGRAM STATUS REPORT

Sources of Data Source Reviewed?

(Yes or No) Identify Information Collected

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.

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)

Yes No
FISCAL YEAR 2021 | 85

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.

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 5/26/2021

Responsible Official(s) 

Title Name

Performance Standards 

Address the Plan?

(Yes or No)

Director, OEEO (Former) Peter J. Henry Yes

Chief Human Capital Officer, OHR Jamey McNamara Yes

Director, OMWI Pamela Gibbs Yes
86 | 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)

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 N/A – No barrier 

identified

04/30/2021 Briefings for Division and Office leadership for the accountant workforce. 5/26/2021

05/31/2021 OEEO Director initiates project close out and transition to ongoing 

monitoring.

5/28/2021
FISCAL YEAR 2021 | 87

Report of Accomplishments 

Fiscal Year Accomplishments

FY 2021 OEEO concluded this study without identifying any specific barriers to women accountants. OEEO conducted 

leadership briefings for OHR, OMWI, Labor Relations, the COO, and the Operations Steering Committee to share 

the study results and recommendations for management action to support female accountants at the SEC. 

Division and Office leadership identified responsive actions to address OEEO’s recommendations.

This study is now closed. 

FY 2020 During FY 2020, OEEO completed data collection, integration, and interpretation of summary analyses for this study. 

In FY 2021, OEEO shared 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 was shared with Agency leadership as part of transitioning the study for management action.
88 | EEO PROGRAM STATUS REPORT

Section II: 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 lifecycle, 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
FISCAL YEAR 2021 | 89

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.
90 | EEO PROGRAM STATUS REPORT

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

Analysis of male attorneys No barrier was 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 07/07/2021

Responsible Official(s) 

Title Name

Performance Standards 

Address the Plan?

(Yes or No)

Director, OEEO (Former) Peter J. Henry Yes

Chief Human Capital Officer, OHR Jamey McNamara Yes
FISCAL YEAR 2021 | 91

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.

07/07/2021 07/07/2021

01/31/2022 The SEC will begin to identify actions as appropriate to help foster equal 

employment opportunity.

04/30/2021 N/A

04/18/2022 OEEO will begin conducting briefings for Division and Office leadership 

for the attorney workforce.

8/31/2021 10/27/2021

07/30/2022 OEEO Director initiates project close out and transition to ongoing 

monitoring.

10/31/2021 12/09/2021

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 N/A

Report of Accomplishments 

Fiscal Year Accomplishments

FY 2021 OEEO conducted additional regression analyses on the determinants of differential separation rates for attorneys 

across groups, and descriptive statistical analysis on promotions. At the conclusion of this study, OEEO did not 

identify a barrier for male attorneys. However, OEEO did make findings the SEC may consider as it continues to 

enhance its personnel policies and processes, particularly in a post-pandemic work environment, and shared these 

findings with SEC management. This study is now closed.

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.
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FISCAL YEAR 2021 | 93

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 require 

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 numerical 

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:

 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 Employment 

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 2021, the locality adjusted salary of a GS-11, step 1, in the Washington, DC area 

was $72,750.

Continued on the next page
94 | EEO PROGRAM STATUS REPORT

 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.

 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—preference 

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(u) 

Appointment of persons with intellectual disabilities, severe physical disabilities, or 

psychiatric disabilities) are included in the total PWD workforce for purposes of 

utilization analysis.

For employees with salaries below a GS-11, step 1, the Agency achieved the numerical goal 

for PWD participation; eight or 62.50% 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 8.81% 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 2015.

Between FY 2015 and FY 2021, the participation of PWD in the total workforce increased 

from 6.57% to 8.81%; participation increased in both the lower and higher salary clusters.

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 X No 0

The SEC did not achieve the numerical goal established for PWTD in the lower salary 

cluster during FY 2021. In the lower salary cluster, none of the eight permanent employees 

are PWTD. The SEC did not achieve the numerical goal for PWTD among higher-salaried 

employees—1.81% of higher-salaried employees are PWTD.
FISCAL YEAR 2021 | 95

3. Describe how the Agency has communicated the numerical goals to the hiring managers 

and/or recruiters.

In FY 2021, the SEC’s Office of Human Resources (OHR) developed the 2022 – 2024 

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 talent pool 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 Committee 

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.

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 2021 and particularly during National Disability Employment Awareness 

Month in October 2020 and October 2021, 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 PW(T)D, frequently mentioning the high value such employees bring to the Agency’s mission.
96 | EEO PROGRAM STATUS REPORT

SECTION II: MODEL DISABILITY PROGRAM

Pursuant to 29 C.F.R. §1614.203(d)(1), agencies must ensure sufficient staff, training and resources 

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 Full-Time Equivalents 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 Xiya Li, Branch Chief

Office of Human Resources

lixiy@sec.gov

Answering questions from the public 

about hiring authorities that take 

disability into account

13 0 0 Xiya Li, Branch Chief

Office of Human Resources

lixiy@sec.gov

Processing reasonable 

accommodation requests from 

applicants and employees

3 0 0 Dia Gonsalves, Disability Program Officer

Office of Human Resources 

gonsalvesd@sec.gov

Section 508 Compliance 1 0 0 Sharvon Jones, Section 508 Coordinator

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

3 0 0 Xiya Li, Branch Chief

Office of Human Resources

lixiy@sec.gov
FISCAL YEAR 2021 | 97

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 year.

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, 

religious accommodations, performance management, 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 Office of Personnel 

Management (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; however, processing employee requests for an exemption from 

the COVID vaccine mandate for federal employees significantly increased the Reasonable 

Accommodation Program’s workload.
98 | EEO PROGRAM STATUS REPORT

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 the 

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.

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 for external hiring requests were 

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 also continued to take steps toward improving the representation of PWD and PWTD 

in applicant pools. Since focusing on these efforts under OHR’s 2018 – 2019 Recruitment 

Strategy which was extended into FY 2021, 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. The SEC noted that in FY 2021, within 

the mission critical occupations (MCO) of accountant, examiner, and IT management, 

applications from PWD remained at the same rates as in FY 2020 or slightly declined.

Despite the mandatory telework posture, the Agency maintained a strong recruitment 

presence in FY 2021, and attended 18 virtual career fairs and events supporting disability 

recruitment efforts in building talent pools for future employment.

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.
FISCAL YEAR 2021 | 99

2. Pursuant to 29 C.F.R. § 1614.203(a)(3), describe the Agency’s use of hiring authorities that 

take disability into account (e.g., Schedule A) to recruit PWD and PWTD for positions in the 

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 Disability Program Manager and/or SPPC receives notifications and newsletters from the 

following groups and transmits information to OHR staff engaged in recruitment:

 EARN—Employer Assistance Resource Network: askearn.org

 JAN—Job Accommodation Network: askjan.org

 ODEP—Office of Disability Employment Policy, Department of Labor: 

dol.gov/agencies/odep

 OWF—Operation Warfighter Program: warriorcare.dodlive.mil/carecoordination/

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 for 

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. Applications 

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
100 | EEO PROGRAM STATUS REPORT

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 application. 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. Upon request, 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. 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 frequency.

If “no”, describe the Agency’s plan to provide this training.

Yes X No 0 N/A 0

In FY 2021, 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 advises 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 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.
FISCAL YEAR 2021 | 101

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 (OWF) program during FY 2021. 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 also utilized 

the Warriors Ethos program during FY 2021 to host transitioning service members by 

providing them with a volunteer opportunity to get exposure to the work done at the 

Agency. The program is a non-profit that specializes in helping to transition military 

service members with career planning, professional development, and career placement.

The Special Programs Manager also maintains an ongoing relationship with the SEC’s 

DIAC and the Veterans Committee members 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, such as OMWI, the National Treasury Employees Union 

(NTEU), 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.
102 | EEO PROGRAM STATUS REPORT

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 2021, the Agency hired 222 permanent employees, of which PWD and PWTD 

represented 11.71% and 1.35%, respectively, of all new hires. As such, the Agency did not 

achieve the numerical goals of 2% participation of PWTD and 12% participation of PWD 

among permanent new hires. See Table B1.

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 2021, the SEC hired and onboarded a total of 222 permanent staff employees.

Among these newly-hired staff members were 167 persons in MCO positions as follows: 

91 attorneys; 22 accountants; 13 securities compliance examiners; 35 IT management 

specialists; and six (6) economists. Eleven of those 167 (6.59%) of newly-onboarded 

MCO 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 with their application.

In addition, in FY 2021, 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 page
FISCAL YEAR 2021 | 103

Triggers were observed for PWD in the hiring of permanent IT management specialists and 

economists as follows: 

 For IT management, 5.71% of new hires were PWD, below their representation in the 

qualified applicant pool (10.70%).

 No PWD were hired for any of the six economist positions although 27 PWD were in 

the QAP (5.72%).

Triggers were also observed for PWTD in the attorney, IT management, and economist 

occupations: 

 For attorneys, the QAP for PWTD was 1.31%; no PWTD (0.00%) were hired as 

permanent staff attorneys.

 Sixty-six PWTD were in the QAP (2.72%) for IT management, and no PWTD 

were hired (0.00%).

 Eleven PWTD were in the QAP (2.33%) for economist positions, and no PWTD 

were hired.

 For securities compliance examiner vacancies posted in FY 2021, no PWD or PWTD 

were found in the QAP. Thus, none were hired.
104 | EEO PROGRAM STATUS REPORT

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

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 the 

attorney occupation. Differences were also identified between the RAP and QAP for PWTD 

within the internal competitive promotion data for the MCOs of securities compliance 

examiner and economist.

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 securities 

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 5.47%, and PWD represented 

3.97% of the qualified internal applicants. The RAP for PWTD was 1.03%, and PWTD 

were 0.33% of the qualified internal applicants for attorneys.

For securities compliance examiners, the Agency observed a difference between the RAP and 

qualified internal applicants for PWTD, but not for PWD. The RAP for PWTD was 1.69%, 

and PWTD represented none of the qualified internal applicants.

For economists, the Agency observed differences between the RAP and qualified internal 

applicants for PWTD, but not for PWD. The RAP for PWTD was 1.20%, and there were 

no PWTD among qualified internal applicants.
FISCAL YEAR 2021 | 105

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 0 No X

The selection data indicate a difference for PWD in the attorney, securities compliance 

examiner, and economist occupations. No differences were observed for selections among 

the accountant or IT management occupations.

For attorneys, the QAP for PWD was 3.97%, and PWD were 2.17% of selections.

For securities compliance examiners, the QAP for PWD was 7.41%, and no PWD 

were selected.

For economists, the QAP was 4.00%, and no PWD were selected.

The selection data also indicate there were no differences between selections and the qualified 

applicant pool for PWTD in any of the mission-critical occupations.
106 | EEO PROGRAM STATUS REPORT

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 advancement 

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.

 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.

 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.

 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.

 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
FISCAL YEAR 2021 | 107

In addition to these ongoing efforts, in FY 2021, 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. On February 12, 2021, the SEC submitted its 

compliance report to the EEOC related to the ongoing deficiencies and implemented the 

improvements noted below.

These improvements include posting complaint procedures related to Section 504 and 508 

of the Rehabilitation Act and Architectural Barriers Act on the SEC’s external website. In 

response to the EEOC’s recommendation that the SEC ensure PWDs participate in the SEC’s 

Mentoring Program, OHR reserved five (5) slots in the 2022 Mentoring Program cohort 

for employees with disabilities and has been collaborating with DIAC to communicate this 

opportunity to its membership.

In addition, in FY 2021, the SEC launched a cross-office working group comprised of 

Senior Officers who are champions of disability inclusion, subject matter experts in the 

Offices of Human Resources, Equal Employment Opportunity, and Minority and Women 

Inclusion, and key members of the Disability Interests Advisory Committee. This working 

group began meeting in FY 2021 and, leveraging evidence-based data, made a number 

of recommendations related to the recruitment, hiring, career development, promotion, 

reasonable accommodation, and retention of PWD and PWTD at the SEC. The working 

group explored enhanced marketing of available SEC career development programs, possible 

tailoring of existing SEC advancement-related programs, and creating new development 

programs tailored for employees with disabilities. The working group also explored available 

data related to other employment policies, practices, and processes in order to provide 

recommendations on enhancing the employment life cycle for individuals with disabilities.
108 | EEO PROGRAM STATUS REPORT

Career Development Opportunities

1. Please describe the career development opportunities that the Agency provides to its employees.

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 noted below.

 The C.O.R.E. Connections—Opportunity—Relationships—Equity program is a 

transformative professional development experience designed to provide employees at 

the SEC with tools and techniques to increase their effectiveness, span of contributions 

and engagement within their function, and support their personal well-being and 

growth. The series equips employees with knowledge, skills, and strategies to 

successfully manage their unique challenges as they strive to reach senior-level positions 

at the SEC while helping to drive our Agency’s overall success and mission effectiveness.

The series has five two-hour webinars, in which participants learn strategies for 

authentic and difficult conversations, managing conflict and exploring the role that 

emotions play in leadership outcomes.

 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.

 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.

Continued on the next page
FISCAL YEAR 2021 | 109

 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.

 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 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 agency-wide mentoring 

program. In FY 2021, 58 SEC managers 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, for example: Empowering Your Development 

and Leading Without Authority (courses are designed to enhance relationship-building and 

maintain effective relationships for SEC leaders at all levels).

In FY 2021, the SEC continued the design of a leadership evaluation, accession and 

development 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 

including standardized leadership assessments that screen candidates on essential leadership 

competencies. OHR’s Human Capital Strategy Group is developing the leadership 

assessments with a high level of rigor to ensure they provide a standardized, fair, and legallycompliant approach for selecting SOs. A diverse group of SOs, representing the major SEC 

Divisions and Offices, developed assessment content and structured rating scales to ensure a 

standardized evaluation of candidate performance on specific leadership competencies.

Continued on the next page
110 | EEO PROGRAM STATUS REPORT

Special advisors from OEEO and OMWI remain involved in the development process, 

reviewing content to ensure program materials and processes support fairness, diversity, and 

inclusion. A targeted communication effort, designed to educate SEC employees and create 

program awareness, will launch in FY 2022. Scheduled Division and Office meetings, LEAP

sessions, and affinity group presentations are planned venues to share program information 

specifically emphasizing that the program offers development opportunities aligned to critical 

SO leadership competencies. In addition, feedback on the leadership assessments highlight 

individual strengths and weaknesses to focus ongoing leadership development for employees 

willing to self-develop in the leadership skills targeted by this program. After a pilot test of 

the assessments, program launch is anticipated later in 2022.

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, the 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 transitioned to a permanent program (with 

a target set for the 2022 mentee cohort). To fulfill this commitment, OHR reserved five (5) 

slots in the 2022 Mentoring Program cohort for employees with disabilities and collaborated 

with DIAC to communicate this opportunity to its membership. 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. To this 

end, in FY 2021, the SEC launched a cross-office working group comprised of SOs who are 

champions of disability inclusion, subject matter experts in the Offices of Human Resources, 

Equal Employment Opportunity, and Minority and Women Inclusion, and key members of 

the Disability Interests Advisory Committee. This working group began meeting in FY 2021 

and, leveraging evidence-based data, recommended, inter alia, specific actions to increase the 

participation of employees with disabilities in the Agency’s career development programs.

The working group explored enhanced marketing of available SEC career development 

programs, possible tailoring of existing SEC advancement-related programs, and creating 

new development programs tailored for employees with disabilities. The working group also 

explored available data related to other employment policies, practices, and processes in 

order to provide recommendations on enhancing the employment life cycle for individuals 

with disabilities. Participation among PWD and PWTD in the Agency’s existing career 

development opportunities is provided below.
FISCAL YEAR 2021 | 111

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 Opportunities

Total Participants PWD PWTD

Applicants 

(#)

Selectees 

(#)

Applicants 

(%)

Selectees 

(%)

Applicants 

(%)

Selectees 

(%)

Internship Programs 1,382 19 4.20% 10.53% 1.16% 5.26%

Fellowship Programs 59 8 0.00% 0.00% 0.00% 0.00%

Mentoring Programs 80 30 10.00% 8.00% 3.75% 4.00%

Coaching Programs NA NA NA NA NA NA

Training Programs 18,493 18,493 11.90% 11.90% 2.25% 2.25%

Detail Programs 68 12 7.35% 0.00% 2.94% 0.00%

Other Career Development Programs NA 114 NA 11.40% NA 0.00%

Notes to help the reader understand the data above: 

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 2021. 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.

In this report, the Agency included FY 2021 selection data for its leadership development 

programs, including the Excellence in Government Fellows Program and the Aspiring Leaders 

Program. While completion of these programs do not lead to placement at a specific grade (a 

criterion for inclusion in the MD-715 Workforce Data Tables), they do contribute to the pool 

of employees who may potentially be considered for leadership positions in the future. Data 

for these leadership programs have been consolidated into the “Other Career Development 

Programs” category.
112 | EEO PROGRAM STATUS REPORT

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 box.

a. Applicants (PWD) Yes X No 0

b. Selections (PWD) Yes X No 0

From the Career Development Opportunities table in the section above, data on the 

participation of PWD and PWTD in applications and selections for various programs 

were reviewed.

For the Internship Program, 4.20% of applicants were PWD and PWD were 10.53% of 

selections. As selections had a substantially higher percentage of PWD than the percentage 

of PWD among applicants, there was no trigger for internships.

For the Agency’s economist and accountant Fellows Programs, the Agency noted no 

difference in the participation of PWD among (external) applicants for these programs 

and eventual selections for positions. While 0.00% of applicants were PWD, none of the 

Fellows hired were PWD (0.00%).

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 the 

permanent workforce (8.91%). PWD represent 10.00% of those employees who expressed 

interest in the Mentoring Program and 8.00% of those selected for mentoring.

Aggregate PWD participation in training programs approved on standard form 182 

through the Agency’s learning management system, LEAP, exceeds their participation on 

rolls: 11.90% of training requiring separate approval on SF-182 were completed by PWD, 

compared to 8.91% of permanent employees who are PWD. No trigger was found for 

applications or selections.

Data about detailed employees show evidence of differences disadvantaging PWD among 

those who applied for details and among those selected. While 8.91% of permanent 

staff were PWD, 7.35% of applicants for temporary promotion were PWD. None of the 

applicants were selected.

Selection data for PWD on Other Career Development Programs indicated higher participation rates of PWD in programs for leadership development than the proportion of PWD 

among permanent staff. PWD were 11.40% of selectees among the consolidated selectees of 

the Excellence in Government, Aspiring Leaders, and Women in Leadership programs and 

8.91% of permanent SEC employees.

Continued on the next page
FISCAL YEAR 2021 | 113

The Agency also evaluated career development data from two institutes the SEC has 

enterprise memberships with, the Practising Law Institute (for attorneys) and Becker (for 

accountants). For the Practising Law Institute, attorneys with disabilities participated 

at higher rates than attorneys without disabilities. The inclusion rate was 90.00% of 

the population of attorneys with disabilities, compared to 64.96% of attorneys without 

disabilities. For Becker, the inclusion rate for accountants with disabilities (13.04%) was 

2.57% lower than the inclusion rate for accountants without disabilities (15.61%).

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 box.

a. Applicants (PWTD) Yes X No 0

b. Selections (PWTD) Yes X No 0

From the Career Development Opportunities table in the section 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.

In the Agency’s economist and accountant Fellows Programs combined, 0.00% of applicants 

were PWTD, thus, no PWTD were selected as Fellows in FY 2021.

For the Internship Program, 1.16% of applicants were PWTD, and PWTD were 5.26% of 

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 

(3.75%) exceeded the percentage of PWTD among permanent staff (1.81%). Thus, no trigger was found among applicants. The participation of PWTD among employees selected for 

mentoring in FY 2021 (4.00%) approximated the participation rate of PWTD in the permanent workforce. Thus, no trigger was found among selections.

No evidence of a trigger was found among applicants or selections in the training programs.

In the aggregate, training records show that PWTD participated in training programs 

approved on SF-182 through LEAP slightly above their participation on rolls; 2.25% of 

training opportunities requiring special approval were completed by PWTD, compared to 

1.81% of permanent employees.

Continued on the next page
114 | EEO PROGRAM STATUS REPORT

Data about Detailed employees show evidence of a difference disadvantaging PWTD among 

those who applied for Temporary Promotion and among those selected. While 2.94% of 

applicants for temporary promotion were PWTD, PWTD represent 0.00% of permanent 

staff employees selected.

Selection data for PWTD on Other Career Development Programs showed evidence of a 

trigger. Of 114 selectees among the consolidated selectees for the Excellence in Government, 

Aspiring Leaders, and Women in Leadership programs, no selectees were PWTD (0.00%).

The Agency also evaluated career development data from two institutes the SEC has enterprise memberships with, the Practising Law Institute (for attorneys) and Becker (for accountants). For the Practising Law Institute, attorneys with targeted disabilities participated at 

higher rates than attorneys without targeted disabilities. The inclusion rate was 78.95% 

of the population of attorneys with targeted disabilities, compared to 66.16% of attorneys 

without targeted disabilities. For Becker, the inclusion rate for accountants with targeted 

disabilities was zero (0.00%), substantially lower than the inclusion rate for accountants 

without targeted disabilities (15.56%).

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.

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.

Continued on the next page
FISCAL YEAR 2021 | 115

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 found a trigger in the distribution of time-off awards of one to ten hours for 

PWTD. The inclusion rate for PWTD was 21.25%, while the inclusion rate for people with 

no targeted disability was 24.04%. There was no trigger for PWD for time-off awards of one 

to ten hours.

The Agency did not find a trigger in the distribution of time-off awards of 11 to 40 hours 

for PWTD. The inclusion rate for PWTD was 22.50%, while the inclusion rate for persons 

without a targeted disability was 22.89%.

For cash awards, the Agency found triggers for PWD and PWTD for cash awards of 

$1,000 – $1,999 and $2,000 – $2,999.

For cash awards at the $1,000 – $1,999 level, the inclusion rate for PWD was 31.47%, and 

the inclusion rate for persons without disability was 38.25%. The inclusion rate for PWTD 

was 30.00%, and the inclusion rate for persons with no targeted disability was 37.78%.

For cash awards at the $2,000 – $2,999 level, the inclusion rate for PWD was 7.11%, and 

the inclusion rate for persons without disability was 9.95%. The inclusion rate for PWTD 

was 7.50%, and the inclusion rate for persons with no targeted disability was 9.74%.

OEEO researched the observed differences in the distribution of discretionary awards, made 

recommendations, and is actively monitoring them as part of our barrier analysis program.
116 | EEO PROGRAM STATUS REPORT

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 2021, the Agency implemented a new Performance Incentive Bonus Program. This program has been designed to reward extraordinary and rare levels of performance demonstrated 

on a sustained basis, across multiple projects, or reflected in a significant singular achievement 

that required sustained effort over a period of time.
FISCAL YEAR 2021 | 117

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 0 No X

Internal Selections (PWD) Yes 0 No X

b. Grade GS-15

Qualified Internal Applicants (PWD Yes 0 No X

Internal Selections (PWD) Yes X No 0

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 X No 0

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 

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.

Of 4,148 qualified internal applications for senior grade level positions, 818 (19.72%) were 

submitted by PWD. No triggers were observed for qualified applicants compared to their 

Relevant Applicant Pools at any level. Among internal selections, differences were observed at 

the GS-15, GS-14, and GS-13 equivalent levels, but not the SES equivalent level. Of the 127 

selections for internal promotions to senior grade levels, 8.66% were PWD, which is lower 

than their availability in the QAP at 19.72%.

At the GS-15 equivalent level, PWD represented 23.35% of qualified applicants, while they 

represented 10.87% of selections.

At the GS-14 equivalent level, PWD represented 16.43% of qualified applicants, while they 

represented 8.06% of selections.

At the GS-13 equivalent level, PWD represented 19.57% of qualified applicants, while no 

selections were PWD.
118 | EEO PROGRAM STATUS REPORT

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 0 No X

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 X No 0

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 as described in the section on PWD immediately 

above, the Agency presents information on trigger identification for PWTD in promotions to 

senior grade levels. Of 4,148 qualified internal applications for senior grade level positions, 

108 (2.60%) were submitted by PWTD, and 2.36% of selections were PWTD.

Differences were observed in the qualified applicant pools for the GS-15, GS-14, and GS-13 

equivalent levels. The following presents data for each grade level.

At the SES equivalent, SO, grade level, the RAP was 1.25% PWTD, and the participation 

among qualified internal applicants of PWTD was 1.88%. The qualified applicant pool for 

PWTD was 1.88%, and selections for SO positions were [Redacted to protect privacy.] PWTD.

At the GS-15 equivalent level, qualified internal applicants (2.87%) exceeded the 

RAP (1.24%). At this level, selections among PWTD (4.35%) also exceeded qualified 

applicants (2.87%).

At the GS-14 equivalent level, the RAP was 1.49%, while 2.21% of the qualified internal 

applicants were PWTD. There were no selections among PWTD.

At the GS-13 equivalent level, the Agency observed a difference involving PWTD among 

qualified internal applicants. The RAP was 4.98%, and the participation of PWTD among 

qualified internal applicants was 3.09%. The qualified applicant pool was 3.09%, and no 

PWTD were selected.
FISCAL YEAR 2021 | 119

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 box.

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

Applying the same grade equivalencies that were described above, the Agency presents 

information on trigger identification for PWD new hires to senior grade levels. Among the 

290 newly-hired staff members in FY 2021 were 183 persons hired into senior grade level 

positions: 4 SOs, 12 into GS-15 equivalent positions, 89 into GS-14 equivalent positions, and 

78 into GS-13 equivalent positions. Eighteen of those 183 (9.84%) newly-hired permanent 

staff in senior grade levels identified as PWD. The following evaluates participation of PWD 

in each senior grade equivalent level.

As described above, the QAP reflects applicants who self-identified with a disability when 

they applied for permanent positions with the SEC that were posted in USAJOBS with a 

closing date during the fiscal year and qualified for the position. The SEC also analyzes data 

on 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 of whom 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 5.75% PWD, and none of the four newly-hired 

permanent SOs identified as PWD.

At the GS-15 equivalent level, the QAP was 15.86% PWD, and 8.33% of the 12 newly-hired 

permanent staff for those positions identified as PWD.

At the GS-14 equivalent levels, the QAP was 10.08% PWD, and 13.48% of the 89 newlyhired permanent staff were PWD.

At the GS-13 equivalent level, the QAP was 9.01% PWD, while 6.41% of the 78 new hires to 

GS-13 equivalent positions identified as PWD.
120 | EEO PROGRAM STATUS REPORT

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 box.

a. New Hires to SES (PWTD) Yes X No 0

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

Applying the same grade equivalencies that were described above, the Agency presents 

information on trigger identification for PWTD new hires to senior grade levels.

The qualified applicant pool for PWTD was 2.32%.

The Agency found triggers in participation of PWTD between qualified applicants and new 

hires at the SES, GS-15, GS-14, and GS-13 equivalent levels.

More detail about each senior grade level follows in descending order by level.

At the SES equivalent level, the QAP was 2.30%; no newly-hired staff members were 

PWTD (0.00%).

At the GS-15 equivalent level, the QAP was 2.84%; no newly-hired staff members were 

PWTD (0.00%).

At the GS-14 equivalent level, the QAP was 2.28% PWTD; 1.12% of the newly-hired 

GS-14 equivalent staff were PWTD.

At the GS-13 equivalent level, the QAP was 2.19% PWTD, no newly-hired staff members 

were PWTD (0.00%).
FISCAL YEAR 2021 | 121

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.

Among the promotions in FY 2021 were 49 persons promoted to a leadership position at 

the supervisor, manager, or executive level: 2 SOs, 27 managers, and 20 supervisors. The 

following evaluates participation of PWD in each leadership level.

For executives, there were no differences to the disadvantage of PWD in the qualified internal 

applicant pool compared to the RAP, or with respect to selections.

For the manager, and supervisor levels, there were no differences to the disadvantage of PWD 

in the qualified internal applicant pool compared to the RAP. However, there were triggers at

both of these levels with respect to selections.

For managers, the qualified applicant pool was 18.78%, and selections were 7.41% PWD.

For supervisors, the qualified applicant pool was 25.52%, and selections were 20.00% PWD.
122 | EEO PROGRAM STATUS REPORT

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 0 No X

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

Applying the same grade equivalencies that were described above, the Agency presents 

information on trigger identification for PWTD internal promotions to supervisory positions.

Of 49 individuals selected for promotion, three (6.12%) were PWTD. 

At the Executive level, the RAP was 1.25% PWTD, and the participation among qualified 

internal applicants of PWTD was 1.88%. The qualified applicant pool for PWTD was 

1.88%, and selections for SO positions were [Redacted to protect privacy.] PWTD.

At the manager level, the Agency observed a trigger with respect to selections for 

promotions. The QAP for PWTD was 1.46%, while no selections were PWTD.

There were no triggers observed at the supervisor level.
FISCAL YEAR 2021 | 123

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

Applying the same grade equivalencies that were described above, the Agency presents 

information on trigger identification for PWD new hires into leadership positions, to assess 

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 2021 new hire data for PWD at the executive and manager 

levels. No trigger was found at the supervisor level.

Among the 290 newly-hired staff members in FY 2021 were 18 persons hired into leadership 

positions: four SOs, seven SK-17 managers, and seven supervisors below SK-17. Two of 

those 18 (11.11%) 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 5.75% PWD, and none of the four newly-hired permanent 

executives identified as PWD.

For managers, the QAP was 18.21% PWD, and none of the seven newly-hired managers 

identified as PWD.

For supervisors, the QAP was 14.66%, and 28.57% PWD were newly-hired into the seven 

supervisory positions.
124 | EEO PROGRAM STATUS REPORT

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 X No 0

b. New Hires for Managers (PWTD) Yes X No 0

c. New Hires for Supervisors (PWTD) Yes X No 0

Differences were found in the new hire data for PWTD at the executive, manager, and 

supervisor levels.

For executives, the QAP was 2.30% PWTD, and no PWTD were hired for executive 

positions in FY 2021.

For managers, the QAP was 3.51% PWTD, and no PWTD were hired for manager positions 

in FY 2021.

For supervisors, the QAP was 3.23% PWTD, and no PWTD were hired for supervisor 

positions in FY 2021.
FISCAL YEAR 2021 | 125

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 2021, one employee was converted to the competitive service 

under the Schedule A hiring authority within two years of their most recent Schedule 

A appointment. Nine employees are currently serving on their most recent Schedule A 

appointment that was processed within the past two years. Five employees hired in FY 2020 

or FY 2021 are serving on an initial Schedule A appointment that has not reached the twoyear threshold. One employee accepted a new Schedule A appointment in FY 2021. Three 

staff members were newly-hired under Schedule A during FY 2021. 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 2021, confirms that all were converted to the competitive service within 

two years of their most recent Schedule A appointment.
126 | EEO PROGRAM STATUS REPORT

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 X No 0

b. Involuntary Separations (PWD) Yes 0 No X

Data 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 had a trigger for voluntary separations in FY 2021. The inclusion rate on 

voluntary separations was 7.36% for PWD, and 4.42% for persons with no disability. The 

largest contributor to this difference, and the only separation type in which there was at least 

a one percent difference relative to persons with no disability, was retirements (3.81% PWD; 

1.94% persons with no disability).

The inclusion rate on involuntary separations was zero (0.00%) among permanent 

employees for both PWD and persons with no disability.

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 X No 0

b. Involuntary Separations (PWTD) Yes 0 No X

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 targeted 

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 had a trigger for voluntary separations in FY 2021. The inclusion rate on 

voluntary separations was 8.75% for PWTD, and 4.61% for persons with no targeted 

disability. The largest contributor to this difference, and the only separation type in which 

there was at least a one percent difference relative to persons with no targeted disability, was 

retirements (6.25% PWTD; 2.03% persons with no targeted disability).

The inclusion rate on involuntary separations was zero (0.00%) among permanent 

employees for both PWTD and persons with no targeted disability.
FISCAL YEAR 2021 | 127

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.

The SEC invites all departing employees to complete an exit survey during their last pay period on SEC rolls. This survey asks exiting employees to self-identify if they have a disability 

and whether or not an accommodation was needed or provided. Among 107 employees who 

completed the exit survey in FY 2021, 13 self-identified as having a disability (or 12%)—and 

five of the 13 employees reported that they were provided reasonable accommodation.

In FY 2021, 63% of exit survey respondents who separated and reported a disability indicated they left the SEC due to retirement. No other separation type demonstrated a trigger.

Of them, the most commonly cited primary reason for their departure was eligibility for 

retirement (30.77%, four employees). However, two employees (15.38%) cited promotional opportunities, and another two (15.38%) cited their relationship with their supervisor 

or team lead. Of the remainder, one retiree cited the Agency’s voluntary early retirement 

incentive, one cited pay/compensation, one cited personal circumstances, one cited a career 

opportunity, and one selected “other.”

Of note, departing employees who self-identified as having a disability provided mixed 

results when responding to items on the exit survey related to diversity and inclusion when 

compared to employees who did not report a disability: 63.2% agreed that their workgroup 

was open to diverse viewpoints and backgrounds (compared to 73.7% of employees who 

did not report a disability); 73.7% agreed that their supervisor/team lead treated them 

with respect (versus 85.1%); and 52.7% agreed their co-workers fostered a cohesive work 

environment (versus 86.5%). However, 73.7% of persons with disabilities agreed policies 

and programs promoted diversity in the workplace (versus 64.9% of persons without 

disabilities). The results of the exit survey suggest employees who separated and indicated a 

disability were less satisfied with certain organizational culture issues surrounding diversity 

and inclusion than they were with SEC policies and programs on diversity and inclusion.

The small number of separating employees who self-identified with a disability and completed 

the exit survey limits the ability to generalize to the broader population about the reasons why 

employees with disabilities leave the Agency.
128 | EEO PROGRAM STATUS REPORT

Accessibility of Technology and Facilities

Pursuant to 29 C.F.R. § 1614.203(d)(4), federal agencies are required to inform applicants and 

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 required 

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 about the SEC’s Accessibility/Disability Program is posted on SEC.gov: 

SEC.gov/disability/sec_access.htm and SEC.gov/accessibility/sec-accommodationprocedures.pdf. The SEC has also made available a Section 508 Resource Center to all 

SEC personnel. This online resource center provides links to accessibility training and 

resources, federal regulations and general guidance, as well as “how-to” instructions to 

make documents, presentations, and electronic files 508-compliant. Information specific 

to the accessibility of SEC facilities and technology under Sections 504 and 508 of the 

Rehabilitation Act is also available in a variety of sources, including 17 C.F.R. §§ 200.601 

to 200.670, Enforcement of Nondiscrimination on the Basis of Handicap 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.

In FY 2021, the SEC updated the Accessibility page of SEC.gov with applicable complaintfiling 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. The 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 were finalized in FY 2021 and posted on SEC.gov.

Continued on the next page
FISCAL YEAR 2021 | 129

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. If a product 

is deemed not 508-compliant, project teams are instructed to submit a Remediation Plan 

indicating a plan of action or timeline in which the vendor will make the respective product 

508-compliant and obtain an approval from senior management before deploying.

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/sec-disability-programs-overview). This page includes a link to 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 posts information on how to file an EEO complaint under, inter alia, Section 

501 of the Rehabilitation Act at SEC.gov/eeoinfo/eeocomplaints.htm.

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 the 

required notice explaining employees’ and applicants’ rights under the Architectural Barriers 

Act, including how to file a complaint alleging violations of the Architectural Barriers Act.
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 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. Upon 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.

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.

Reasonable Accommodation Program

Pursuant to 29 C.F.R. § 1614.203(d)(3), agencies must adopt, post on their public website, and 

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.)

In FY 2021, the SEC met its goal of processing 100% of accommodation requests within 

20 business days, the timeframe specified in the Agency’s policy and previously approved by 

the EEOC. This reflects an improvement of 15 percentage points from FY 2020 when the 

Agency timely processed 85% of reasonable accommodation requests.
FISCAL YEAR 2021 | 131

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.

Starting in FY 2019 and throughout FY 2021, the SEC conducted an internal review 

of the SEC Reasonable Accommodation Regulation (SECR 6-80) and SEC Reasonable 

Accommodation Operating Procedures (SECOP 6-80) by collecting input from SEC 

stakeholders and negotiations with the SEC’s union. Subsequently, the SEC revised the 

reasonable accommodation policy and procedures and, as required by regulation and the 

Equal Employment Opportunity Commission, submitted the draft procedures to the EEOC 

for approval. In March 2021, the EEOC approved the draft procedures, which included a 

revised timeframe to process requests for accommodation—from 20 business days to 45 

business days—absent undue hardship. The SEC intends to publish in FY 2022 the revised 

RA policy and operating procedures.

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. Related 

operational guidance further explains stakeholder responsibilities for the provision of 

disability-related accommodation, how to request an accommodation, and how such 

requests are processed and includes information about the interactive process, and, how 

requestors may seek review of decisions when a request has been denied. 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 Section 501 Affirmative 

Action Regulations and its internal interactive portal AskHR in 2022. AskHR provides 

employees with information about reasonable accommodation and the processes for making 

requests. 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.

Changes to RA procedures will likely necessitate updates to training, job aids, notices, and 

other information sources in FY 2022 and beyond. Once the program guidance is finalized 

and implemented, manager/supervisors, employees, and all staff with responsibilities 

under these procedures will be informed of the updates. The updated RA procedures 

will be incorporated in the mandatory New Supervisors and New Employee trainings, 

and the on-demand trainings available in the SEC’s LEAP training platform that will be 

made available to Agency employees. At least annually, an announcement goes out to 

the workforce regarding the reasonable accommodation program to assist managers and 

employees in their understanding of the SEC’s disability accommodation program.

Continued on the next page
132 | EEO PROGRAM STATUS REPORT

The SEC provides temporary assistance 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 through the SEC 

Temporary Medical Telework (TMT) Program . Since the SEC continued its maximum 

telework posture throughout FY 2021, the RA Program Office did not receive any TMT 

requests to process during this time period . The Agency intends to publish the revised TMT 

policy and related operational procedures in CY 2022 . 

In FY 2021, 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 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 an in-depth overview for 

the provision of reasonable accommodation . This includes disseminating program-specific 

information during the New Employee Orientation and CLTD 307 Fundamentals of 

Human Resources Management course offered by the SEC University’s College of Leadership 

and Team Development . 

The SEC also conducted two virtual CLTD 307 trainings in addition to the course’s eLearning modules 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 Reasonable Accommodation 

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 on-demand training course offerings are readily available online for 

employees and managers through the Agency’s learning platform, LEAP, which provides 

an effective overview of the Rehabilitation Act and the federal and SEC reasonable accommodation process .

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 late FY 2021, the SEC (through the collaborative

Continued on the next page
FISCAL YEAR 2021 | 133

efforts of OEEO, OMWI, OHR, and the Disability Interests Advisory Committee) 

established a dedicated adaptive technology support contractor to increase assistive 

technology access and aid in the advancement of innovative approaches and accessible 

solutions for persons with disabilities seeking assistance as a reasonable accommodation.

This will provide consistent, dedicated, and timely support for information technology 

accessibility to the PWD and PWTD communities. Additionally, the Agency continues to 

ensure 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 SEC facilities and technology, contact information 

and specific complaint processes for filing a formal claim related to accessibility, and 

additional resources for individuals to learn more. The SEC’s Administrative Regulation 

and Operating Procedures setting forth the complaint process related to Sections 504 and 

508 and the Architectural Barriers Act were finalized and published on the SEC intranet on 

April 6, 2021, and on SEC.gov.

The SEC implemented a new five-year contract vehicle with Deaf Access Solutions (DAS) for 

its Sign Language Interpretation Program in FY 2021. DAS provides enhanced interpretation 

solutions to include Communication Access Realtime Translation and Federal Relay Service 

to provide a more diverse pool of interpreters who can provide a greater array of support 

services for the Deaf/Hard-of-Hearing community.

Meanwhile, the Agency procured a new reasonable accommodation program case management solution as a repository for case information and report generation. The case 

management system will complement the Agency’s reasonable accommodation process and 

requirements in terms of system functionality, adaptability, and accessibility. The implementation of the system is expected to simplify case tracking, help identify any 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 were expected to 

be completed in CY 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 to be completed in 

calendar year 2022.

In the interim, 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 in 2022.
134 | EEO PROGRAM STATUS REPORT

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, are 

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.

As reflected in the section immediately above, and incorporated herein by reference, the SECOP 

6-80 Reasonable Accommodation 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 2021, 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 level. 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.

During FY 2021, 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 Fundamentals of Human Resources 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 the RA Program, details general characteristics of available accommodations typically requested by employees with disabilities (e.g., PAS) 

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; the training 

provides an effective overview of the Rehabilitation Act, Americans with Disabilities Act, and the 

federal and SEC reasonable accommodation process.
FISCAL YEAR 2021 | 135

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 0 No X 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 2021, the Agency did not have any findings of discrimination alleging harassment 

based on disability status.

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 2021, the Agency did not have any findings of discrimination involving the failure 

to provide reasonable accommodation. Two formal complaints that included allegations 

involving the failure to provide reasonable accommodations resulted in settlement agreements.
136 | 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.

Not applicable for the FY 2021 reporting period.
FISCAL YEAR 2021 | 137

ATTACHMENT 1.

SEC ORGANIZATIONAL CHART

Commissioner Commissioner Chair Commissioner Commissioner 

Office of the Chair 

Corporation 

Finance 

Economic and 

Risk Analysis Enforcement Examinations Investment Management Trading and Markets Inspector General* 

Administrative 

Law Judges 

Advocate for 

Small Business 

Capital

Formation 

Chief 

Accountant 

Chief Operating

Officer 

Credit 

Ratings 

Equal

Employment

Opportunity 

Ethics 

Counsel 

General 

Counsel 

International 

Affairs 

Investor 

Advocate 

Investor 

Education and 

Advocacy 

Legislative and

Intergovernmental

Affairs 

Minority and

Women 

Inclusion 

Municipal

Securities 

Public 

Affairs Secretary 

Strategic Hub

for Innovation 

and Financial 

Technology 

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 

Divisions Offices Regional Offices * This is an independent office. 
138 | EEO PROGRAM STATUS REPORT

SEC’S ORGANIZATIONAL STRUCTURE

The SEC’s leadership includes a Chair 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 Chair of the Commission—the 

Commission’s chief executive. The Agency’s functional responsibilities are organized into 6 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:

Six Divisions:

 Corporation Finance

 Enforcement

 Examinations 

 Investment Management

 Economic and Risk Analysis

 Trading and Markets

Twenty-five Offices:

 Acquisitions

 Administrative Law Judges

 Advocate for Small Business 

Capital Formation

 Chair

 Chief Accountant

 Chief Operating Officer

 Credit Ratings

 EDGAR Business Office

 Equal Employment Opportunity

 Ethics Counsel

 Financial Management

 General Counsel

 Human Resources

 Information Technology

 Inspector General

 International Affairs

 Investor Advocate

 Investor Education and Advocacy

 Legislative and Intergovernmental Affairs

 Minority and Women Inclusion

 Municipal Securities

 Public Affairs

 Secretary

 Strategic Hub for Innovation and Financial 

Technology (FinHub) 

 Support Operations
FISCAL YEAR 2021 | 139

The SEC’s Regional Offices report to both the Division of Enforcement and the Division of 

Examinations and operate within the authority of the Commission.

 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

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
140 | EEO PROGRAM STATUS REPORT

ATTACHMENT 2. 

SEC STRATEGIC PLAN 

FY 2018—2022

The Agency Strategic Plan can be found at www.SEC.gov/strategic-plan.
FISCAL YEAR 2021 | 141

ATTACHMENT 3.

EQUAL EMPLOYMENT 

OPPORTUNITY POLICY

GARY GENSLER

DATE

May 24, 2021

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 Chair 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.

Equal Employment Opportunity Policy
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ATTACHMENT 4. POLICY ON 

PREVENTING HARASSMENT (PPH)

As Chair 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, 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 GARY GENSLER

Policy on Preventing Harassment (PPH)

May 24, 2021
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ATTACHMENT 5.

SEC’S ALTERNATIVE DISPUTE 

RESOLUTION C2R PROCEDURES
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ATTACHMENT 6.

REASONABLE ACCOMMODATION 

AND PERSONAL ASSISTANCE 

SERVICES PROCEDURES
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ATTACHMENT 7.

POLICY MEMORANDUM: STANDARDS 

FOR EEO, WORKFORCE DIVERSITY, 

AND WORKPLACE INCLUSION 
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ATTACHMENT 8.

FY 2021 PROGRAMS FOR SPECIAL 

OBSERVANCES AND OTHER EVENTS 

CELEBRATING AFFINITY GROUPS

Attachment 8. FY 2021 Programs for Special Observances 

and Other Events Celebrating Affinity Groups

DATE EVENT

October 1, 2020 Hispanic Heritage Month signature event “COVID and its Impact on the 

Hispanic Community and Hispanic-Owned Small Businesses”

October 14, 2020 CHRO Hispanic Heritage Month program on the life and works of 20th 

century Mexican painter Frida Kahlo

October 15, 2020 Pride Alliance LGBT History Month: “Out at the SEC” Career panel

featuring Senior Officers 

October 23, 2020

DIAC National Disability Employment Awareness Month (NDEAM) 

“Increasing Access and Opportunity at the SEC: An Open Discussion with 

Senior Officers who identify as LGBTQ+”

October 26, 2020

DIAC NDEAM “Out the Box Series” event, TED Talk discussion by Haben 

Girma “Why I Work to Remove Access Barriers for Students with 

Disabilities”

October 27, 2020 NYRO Hispanic Heritage Month featuring professor Maria Victoria 

Murrillo

October 29, 2020

SFRO, Pride Alliance, and AAC co-hosted “Common Ground: Examining 

the Connections Between the Black Civil Rights Movements and the Fight 

for LGBTQ+ Equality”

October 30, 2020 CHRO Women’s History presentation on Ida B. Wells by her greatgrandson, Dan Duster

November 10, 2020 Veteran's Day fireside chat Chairman Jay Clayton and retired Navy Adm. 

Michelle Howard

November 19, 2020 Native American Heritage Month signature event featuring attorney Riyaz 

Kanji, "History and Impact of the Landmark case McGirt v. Oklahoma"

January 14, 2021 OMWI EAG Welcome Back / New Year event to celebrate the 2020 EAG 

accomplishments

February 4, 2021

LARO Celebrates African American History month with USC law professor 

Jody Armour “Diversity, Equity, and Inclusion and the Current State of 

Racial Justice in America” 

February 17, 2021 African American History Month: “Diversity and Inclusion in the Financial 

Services” featuring Professor Christopher Brummer

February 17, 2021 SFRO African American History Month: “Black Wall Street and the 1921 

Tulsa Race Massacre” featuring professor Karlos K. Hill

February 28, 2021 AAPIC Lunar New Year event with the Gung Kwok Lion Dance troupe

February 24, 2021 AAC African American History Month Book Club discussion "Caste: The 

Origins of Our Discontents" by Isabel Wilkerson

February 25, 2021 FWRO African American History Month event featuring the Hon. 

Maryellen Hicks
FISCAL YEAR 2021 | 187

DATE EVENT

February 25, 2021

NYRO African American History Month event “Discovering Your Roots 

Workshop: How to Begin A Journey of a Lifetime" featuring Ms. Robin 

Semple

March 15, 2021 LARO Women's History Month Entrepreneur Spotlight on SusieCakes 

Founder-CEO Susan Sarich

March 22, 2021 Joint FIRREA Pride in the Federal Workplace: A Roundtable Panel 

Discussion 

March 24, 2021 NYRO Women's History Month event featuring guest speaker Rebecca 

Pak

March 24, 2021 LARO Women's History Month event featuring guest speaker “I Waited 96 

Years” featuring Sarah Bunin Benor

March 25, 2021 PLRO Women’s History Month “Domestic Violence and Human Rights”

featuring Professor Belinda Cooper

March 29, 2021 LARO Women's History Month event "The Power of a Girl and Her Pen”

featuring Keren Taylor

March 30, 2021 DIAC “Outside the Box” series TED Talk discussion by Chris Downey 

“Design with the Blind in Mind”

April 15, 2021 SFRO/LARO Town Hall on Diversity & Allyship with professor Russell 

Jeung, co-founder of the Stop AAPI Hate reporting center

April 18, 2021 Joint FIRREA’s OMWI Unmasking Anti-Asian Violence, Bias, and 

Xenophobia featuring Steve Robbins 

May 14, 2021 MIRO Asian American Native Hawaiian and Pacific Islander Month event 

featuring Hon. Raag Singhal

May 19, 2021 ARO Asian American Native Hawaiian and Pacific Islander Month event 

featuring Byung "Bjay" Pak

May 25, 2021

Asian American Native Hawaiian and Pacific Islander Month Event 

Signature event featuring Vandi Verma, chief engineer of robotics 

operations for the Perseverance rover, and Swati Mohan, the guidance 

and controls operations lead for the Mars 2020 mission, both with NASA’s 

Jet Propulsion Laboratory

May 26, 2021 MIRO Asian American Native Hawaiian and Pacific Islander Month 

Reenactment of the trial for the murder of Vincent Chin

May 31, 2021

Veterans Committee: Memorial Day virtual commemoration featuring

personal memorials and tributes from SEC staff honoring family and 

friends who have served our country with a message from Commissioner 

Crenshaw

June 17, 2021 

Caribbean American Heritage Month signature event featuring Stephen 

Thomas who discussed how his work at IDB Invest supports 

environmental, social and governance (ESG) program development in the 

Caribbean and Latin America
188 | EEO PROGRAM STATUS REPORT

DATE EVENT

June 23, 2021 Pride Month Joint Event with CFTC: “Transgender in the Workplace” 

featuring Scott Turner Schofield and Katherine Cooper

June 29, 2021 Pride Alliance Pride Month History of Pride Virtual Discussion

June 30, 2021 SFRO Pride Alliance and AAPI Asian Pacific American Activism in LGBT+ 

History featuring professor Amy Sueyoshi 

June 30, 2021

PLRO Celebration of Caribbean American Heritage Month featuring 

Miranda Alexander, founder, president, and project director of Caribbean 

Community in Philadelphia

July 14, 2021 MIRO event “Women in the Workplace” presented by Hilarie Bass 

September 10, 2021 Sept. 11th 20th Commemoration Event featuring Gen. Richard Myers 

(U.S. Air Force, retired) 

September 29, 2021 ARO Hispanic Heritage Month event featuring Dr. Carlos del Rio

Source: Office of Minority and Women Inclusion
FISCAL YEAR 2021 | 189

ATTACHMENT 9. 

WORKFORCE DATA TABLES

The SEC’s workforce data tables are attached.

The SEC previously submitted the FY 2021 462 Report to the EEOC.
190 | EEO PROGRAM STATUS REPORT TABLE A1: TOTAL WORKFORCE—DISTRIBUTION BY RACE/ETHNICITY AND SEX PAY PERIODS 202022 TO 202122 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 (2018)

% 100% 51.79% 48.21% 6.82% 6.16% 35.65% 31.82% 5.70% 6.61% 2.19% 2.18% 0.08% 0.08% 0.31% 0.31% 1.05% 1.05%

TOTAL WORKFORCEPrior 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%

Current FY # 4,536 2,441 2,095 147 122 1,762 1,167 218 476 297 304 0 1 11 6 6 19

% 100% 53.81% 46.19% 3.24% 2.69% 38.84% 25.73% 4.81% 10.49% 6.55% 6.70% 0.00% 0.02% 0.24% 0.13% 0.13% 0.42%

Difference # 43 24 19 3 4 -2 10 11 -11 9 17 0 0 1 0 2 -1

Ratio Change

% 0.00% 0.02% -0.02% 0.04% 0.06% -0.42% -0.02% 0.20% -0.35% 0.14% 0.31% 0.00% 0.00% 0.02% 0.00% 0.04% -0.03%

Net Change

% 0.96% 0.99% 0.92% 2.08% 3.39% -0.11% 0.86% 5.31% -2.26% 3.13% 5.92% 0.00% 0.00% 10.00% 0.00% 50.00% -5.00%

EMPLOYEE GAINSTOTAL

NEW HIRES

# 290 160 130 11 7 94 71 23 23 29 28 0 0 1 0 2 1

% 100% 55.17% 44.83% 3.79% 2.41% 32.41% 24.48% 7.93% 7.93% 10.00% 9.66% 0.00% 0.00% 0.34% 0.00% 0.69% 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 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 191

TABLE A1: TOTAL WORKFORCE—DISTRIBUTION BY RACE/ETHNICITY AND SEXPAY PERIODS 202022 TO 202122 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

#%

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

#%

Voluntary

# 242 135 107 8 3 95 56 13 35 19 11 0 0 0 0 0 2

% 100% 55.79% 44.21% 3.31% 1.24% 39.26% 23.14% 5.37% 14.46% 7.85% 4.55% 0.00% 0.00% 0.00% 0.00% 0.00% 0.83%

Resignation

# 109 64 45 2 1 45 24 5 13 12 7 0 0 0 0 0 0

% 100% 58.72% 41.28% 1.83% 0.92% 41.28% 22.02% 4.59% 11.93% 11.01% 6.42% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Retirement

# 95 49 46 4 1 34 24 7 18 4 1 0 0 0 0 0 2

% 100% 51.58% 48.42% 4.21% 1.05% 35.79% 25.26% 7.37% 18.95% 4.21% 1.05% 0.00% 0.00% 0.00% 0.00% 0.00% 2.11%

Other

# 38 22 16 2 1 16 8 1 4 3 3 0 0 0 0 0 0

% 100% 57.89% 42.11% 5.26% 2.63% 42.11% 21.05% 2.63% 10.53% 7.89% 7.89% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTALSeparations

# 248 137 111 8 3 96 59 13 35 20 12 0 0 0 0 0 2

% 100% 55.24% 44.76% 3.23% 1.21% 38.71% 23.79% 5.24% 14.11% 8.06% 4.84% 0.00% 0.00% 0.00% 0.00% 0.00% 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 202122, downloaded on 11/12/2021
192 | EEO PROGRAM STATUS REPORT TABLE A1: TOTAL WORKFORCE—DISTRIBUTION BY RACE/ETHNICITY AND SEX PAY PERIODS 202022 TO 202122 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 # 4,389 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%

Current FY # 4,423 2,382 2,041 146 119 1,720 1,132 212 467 287 299 0 1 11 6 6 17

% 100% 53.85% 46.15% 3.30% 2.69% 38.89% 25.59% 4.79% 10.56% 6.49% 6.76% 0.00% 0.02% 0.25% 0.14% 0.14% 0.38%

Difference # 34 24 10 4 3 3 5 8 -15 6 19 0 0 1 0 2 -2

Ratio Change

% 0.00% 0.12% -0.12% 0.06% 0.05% -0.23% -0.09% 0.14% -0.42% 0.09% 0.38% 0.00% 0.00% 0.02% 0.00% 0.05% -0.05%

Net Change

% 0.77% 1.02% 0.49% 2.82% 2.59% 0.17% 0.44% 3.92% -3.11% 2.14% 6.79% 0.00% 0.00% 10.00% 0.00% 50.00% -10.53%

EMPLOYEE GAINSPermanent New Hires

# 222 124 98 10 5 72 50 18 19 21 24 0 0 1 0 2 0

% 100% 55.86% 44.14% 4.50% 2.25% 32.43% 22.52% 8.11% 8.56% 9.46% 10.81% 0.00% 0.00% 0.45% 0.00% 0.90% 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 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 193

TABLE A1: TOTAL WORKFORCE—DISTRIBUTION BY RACE/ETHNICITY AND SEXPAY PERIODS 202022 TO 202122 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

#%

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

#%

Voluntary

# 207 110 97 7 2 75 52 12 34 16 7 0 0 0 0 0 2

% 100% 53.14% 46.86% 3.38% 0.97% 36.23% 25.12% 5.80% 16.43% 7.73% 3.38% 0.00% 0.00% 0.00% 0.00% 0.00% 0.97%

Resignation

# 86 47 39 1 1 32 21 5 12 9 5 0 0 0 0 0 0

% 100% 54.65% 45.35% 1.16% 1.16% 37.21% 24.42% 5.81% 13.95% 10.47% 5.81% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Retirement

# 93 47 46 4 1 33 24 6 18 4 1 0 0 0 0 0 2

% 100% 50.54% 49.46% 4.30% 1.08% 35.48% 25.81% 6.45% 19.35% 4.30% 1.08% 0.00% 0.00% 0.00% 0.00% 0.00% 2.15%

Other

# 28 16 12 2 0 10 7 1 4 3 1 0 0 0 0 0 0

% 100% 57.14% 42.86% 7.14% 0.00% 35.71% 25.00% 3.57% 14.29% 10.71% 3.57% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTALSeparations

# 207 110 97 7 2 75 52 12 34 16 7 0 0 0 0 0 2

% 100% 53.14% 46.86% 3.38% 0.97% 36.23% 25.12% 5.80% 16.43% 7.73% 3.38% 0.00% 0.00% 0.00% 0.00% 0.00% 0.97%

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 202122, downloaded on 11/12/2021
194 | EEO PROGRAM STATUS REPORT TABLE A1: TOTAL WORKFORCE—DISTRIBUTION BY RACE/ETHNICITY AND SEX PAY PERIODS 202022 TO 202122 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 # 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%

Current FY # 113 59 54 1 3 42 35 6 9 10 5 0 0 0 0 0 2

% 100% 52.21% 47.79% 0.88% 2.65% 37.17% 30.97% 5.31% 7.96% 8.85% 4.42% 0.00% 0.00% 0.00% 0.00% 0.00% 1.77%

Difference # 9 0 9 -1 1 -5 5 3 4 3 -2 0 0 0 0 0 1

Ratio Change

% 0% -4.52% 4.52% -1.04% 0.73% -8.02% 2.12% 2.43% 3.15% 2.12% -2.31% 0.00% 0.00% 0.00% 0.00% 0.00% 0.81%

Net Change

% 8.65% 0.00% 20.00% -50.00% 50.00% -10.64% 16.67% 100% 80.00% 42.86% -28.57% 0.00% 0.00% 0.00% 0.00% 0.00% 100%

EMPLOYEE GAINSTemporary New Hires

# 68 36 32 1 2 22 21 5 4 8 4 0 0 0 0 0 1

% 100% 52.94% 47.06% 1.47% 2.94% 32.35% 30.88% 7.35% 5.88% 11.76% 5.88% 0.00% 0.00% 0.00% 0.00% 0.00% 1.47%

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 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 195

TABLE A1: TOTAL WORKFORCE—DISTRIBUTION BY RACE/ETHNICITY AND SEXPAY PERIODS 202022 TO 202122 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

#%

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

#%

Voluntary

# 35 25 10 1 1 20 4 1 1 3 4 0 0 0 0 0 0

% 100% 71.43% 28.57% 2.86% 2.86% 57.14% 11.43% 2.86% 2.86% 8.57% 11.43% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Resignation

# 23 17 6 1 0 13 3 0 1 3 2 0 0 0 0 0 0

% 100% 73.91% 26.09% 4.35% 0.00% 56.52% 13.04% 0.00% 4.35% 13.04% 8.70% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Retirement

# 2 2 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0

% 100% 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% 0.00%

Other

# 10 6 4 0 1 6 1 0 0 0 2 0 0 0 0 0 0

% 100% 60.00% 40.00% 0.00% 10.00% 60.00% 10.00% 0.00% 0.00% 0.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTALSeparations

# 41 27 14 1 1 21 7 1 1 4 5 0 0 0 0 0 0

% 100% 65.85% 34.15% 2.44% 2.44% 51.22% 17.07% 2.44% 2.44% 9.76% 12.20% 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 202122, downloaded on 11/12/2021
196 | EEO PROGRAM STATUS REPORT TABLE A2: REGIONAL OFFICES AND HEADQUARTERS—DISTRIBUTION BY RACE/ETHNICITY AND SEX PERMANENT WORKFORCE—PAY PERIOD 202122 REGIONAL AND HQ 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 (2018)

% 52% 51.79% 48.21% 6.82% 6.16% 35.65% 31.82% 5.70% 6.61% 2.19% 2.18% 0.08% 0.08% 0.31% 0.31% 1.05% 1.05%

TOTALWORKFORCE

# 4,423 2,382 2,041 146 119 1,720 1,132 212 467 287 299 0 1 11 6 6 17

% 100% 53.85% 46.15% 3.30% 2.69% 38.89% 25.59% 4.79% 10.56% 6.49% 6.76% 0.00% 0.02% 0.25% 0.14% 0.14% 0.38%

HQ # 2,844 1,503 1,341 78 64 1,058 711 158 362 196 187 0 0 9 3 4 14

% 100% 52.85% 47.15% 2.74% 2.25% 37.20% 25.00% 5.56% 12.73% 6.89% 6.58% 0.00% 0.00% 0.32% 0.11% 0.14% 0.49%

NYRO # 373 198 175 16 13 154 107 5 26 23 29 0 0 0 0 0 0

% 100% 53.08% 46.92% 4.29% 3.49% 41.29% 28.69% 1.34% 6.97% 6.17% 7.77% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

CHRO # 227 140 87 6 5 116 56 8 18 10 8 0 0 0 0 0 0

% 100% 61.67% 38.33% 2.64% 2.20% 51.10% 24.67% 3.52% 7.93% 4.41% 3.52% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

LARO # 158 80 78 8 7 43 37 3 13 25 21 0 0 0 0 1 0

% 100% 50.63% 49.37% 5.06% 4.43% 27.22% 23.42% 1.90% 8.23% 15.82% 13.29% 0.00% 0.00% 0.00% 0.00% 0.63% 0.00%

BRO # 147 84 63 2 5 69 42 5 4 8 12 0 0 0 0 0 0

% 100% 57.14% 42.86% 1.36% 3.40% 46.94% 28.57% 3.40% 2.72% 5.44% 8.16% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

PLRO # 129 78 51 4 3 60 38 8 7 6 3 0 0 0 0 0 0

% 100% 60.47% 39.53% 3.10% 2.33% 46.51% 29.46% 6.20% 5.43% 4.65% 2.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

FWRO # 109 61 48 2 3 49 37 7 5 3 2 0 0 0 0 0 1

% 100% 55.96% 44.04% 1.83% 2.75% 44.95% 33.94% 6.42% 4.59% 2.75% 1.83% 0.00% 0.00% 0.00% 0.00% 0.00% 0.92%

SFRO # 125 62 63 5 3 38 25 2 7 15 25 0 0 1 2 1 1

% 100% 49.60% 50.40% 4.00% 2.40% 30.40% 20.00% 1.60% 5.60% 12.00% 20.00% 0.00% 0.00% 0.80% 1.60% 0.80% 0.80%

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 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 197

TABLE A2: REGIONAL OFFICES AND HEADQUARTERS—DISTRIBUTION BY RACE/ETHNICITY AND SEX PERMANENT WORKFORCE—PAY PERIOD 202122 continued

REGIONAL AND HQ 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

# 98 58 40 5 1 41 21 11 15 1 1 0 0 0 1 0 1

% 100% 59.18% 40.82% 5.10% 1.02% 41.84% 21.43% 11.22% 15.31% 1.02% 1.02% 0.00% 0.00% 0.00% 1.02% 0.00% 1.02%

MIRO

# 104 57 47 20 12 33 17 4 10 0 7 0 1 0 0 0 0

% 100% 54.81% 45.19% 19.23% 11.54% 31.73% 16.35% 3.85% 9.62% 0.00% 6.73% 0.00% 0.96% 0.00% 0.00% 0.00% 0.00%

DRO

# 93 53 40 0 2 52 35 0 0 0 3 0 0 1 0 0 0

% 100% 56.99% 43.01% 0.00% 2.15% 55.91% 37.63% 0.00% 0.00% 0.00% 3.23% 0.00% 0.00% 1.08% 0.00% 0.00% 0.00%

SLRO

# 16 8 8 0 1 7 6 1 0 0 1 0 0 0 0 0 0

% 100% 50.00% 50.00% 0.00% 6.25% 43.75% 37.50% 6.25% 0.00% 0.00% 6.25% 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 202122, downloaded on 11/12/2021
198 | EEO PROGRAM STATUS REPORT TABLE A3: OCCUPATIONAL CATEGORIES—DISTRIBUTION BY RACE/ETHNICITY AND SEX PERMANENT WORKFORCE—PAY PERIOD 202122 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

# 138 75 63 8 0 63 50 3 8 1 4 0 0 0 0 0 1

% 100% 54.35% 45.65% 5.80% 0.00% 45.65% 36.23% 2.17% 5.80% 0.72% 2.90% 0.00% 0.00% 0.00% 0.00% 0.00% 0.72%

Managers

# 386 237 149 10 3 197 104 7 19 22 22 0 1 1 0 0 0

% 100% 61.40% 38.60% 2.59% 0.78% 51.04% 26.94% 1.81% 4.92% 5.70% 5.70% 0.00% 0.26% 0.26% 0.00% 0.00% 0.00%

Supervisors

# 362 228 134 21 6 158 78 17 31 32 18 0 0 0 0 0 1

% 100% 62.98% 37.02% 5.80% 1.66% 43.65% 21.55% 4.70% 8.56% 8.84% 4.97% 0.00% 0.00% 0.00% 0.00% 0.00% 0.28%

TOTALMANAGEMENT

# 886 540 346 39 9 418 232 27 58 55 44 0 1 1 0 0 2

% 100% 60.95% 39.05% 4.40% 1.02% 47.18% 26.19% 3.05% 6.55% 6.21% 4.97% 0.00% 0.11% 0.11% 0.00% 0.00% 0.23%

2. Professional 

Workers

# 3,390 1,802 1,588 105 100 1,286 860 166 359 230 249 0 0 9 5 6 15

% 100% 53.16% 46.84% 3.10% 2.95% 37.94% 25.37% 4.90% 10.59% 6.78% 7.35% 0.00% 0.00% 0.27% 0.15% 0.18% 0.44%

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 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 199

TABLE A3: OCCUPATIONAL CATEGORIES—DISTRIBUTION BY RACE/ETHNICITY AND SEXPERMANENT WORKFORCE—PAY PERIOD 202122 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

# 132 28 104 1 9 9 38 15 50 2 6 0 0 1 1 0 0

% 100% 21.21% 78.79% 0.76% 6.82% 6.82% 28.79% 11.36% 37.88% 1.52% 4.55% 0.00% 0.00% 0.76% 0.76% 0.00% 0.00%

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

# 10 8 2 1 0 3 2 4 0 0 0 0 0 0 0 0 0

% 100% 80.00% 20.00% 10.00% 0.00% 30.00% 20.00% 40.00% 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 202122, downloaded on 11/12/2021
200 | EEO PROGRAM STATUS REPORT TABLE A4P: PARTICIPATION RATES WITHIN GRADES BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202122 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 # 1 1 0 0 0 0 0 1 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% SK-06 # 5 1 4 0 0 1 1 0 3 0 0 0 0 0 0 0 0 % 100% 20.00% 80.00% 0.00% 0.00% 20.00% 20.00% 0.00% 60.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-07

# 32 5 27 1 2 2 9 2 14 0 2 0 0 0 0 0 0

% 100% 15.63% 84.38% 3.13% 6.25% 6.25% 28.13% 6.25% 43.75% 0.00% 6.25% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-08

# 12 1 11 0 1 0 1 1 8 0 1 0 0 0 0 0 0

% 100% 8.33% 91.67% 0.00% 8.33% 0.00% 8.33% 8.33% 66.67% 0.00% 8.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-09

# 38 8 30 1 2 4 6 3 22 0 0 0 0 0 0 0 0

% 100% 21.05% 78.95% 2.63% 5.26% 10.53% 15.79% 7.89% 57.89% 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

# 75 21 54 2 8 8 11 8 31 2 2 0 0 1 0 0 2

% 100% 28.00% 72.00% 2.67% 10.67% 10.67% 14.67% 10.67% 41.33% 2.67% 2.67% 0.00% 0.00% 1.33% 0.00% 0.00% 2.67%

SK-12

# 221 60 161 4 12 27 41 22 91 6 15 0 0 1 1 0 1

% 100% 27.15% 72.85% 1.81% 5.43% 12.22% 18.55% 9.95% 41.18% 2.71% 6.79% 0.00% 0.00% 0.45% 0.45% 0.00% 0.45%

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 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 201

TABLE A4P: PARTICIPATION RATES WITHIN GRADES BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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

# 374 161 213 11 14 84 80 35 91 27 27 0 0 3 0 1 1

% 100% 43.05% 56.95% 2.94% 3.74% 22.46% 21.39% 9.36% 24.33% 7.22% 7.22% 0.00% 0.00% 0.80% 0.00% 0.27% 0.27%

SK-14

# 2,211 1,229 982 78 65 892 593 95 135 157 178 0 0 2 3 5 8

% 100% 55.59% 44.41% 3.53% 2.94% 40.34% 26.82% 4.30% 6.11% 7.10% 8.05% 0.00% 0.00% 0.09% 0.14% 0.23% 0.36%

SK-15

# 364 235 129 22 5 165 79 16 28 32 16 0 0 0 0 0 1

% 100% 64.56% 35.44% 6.04% 1.37% 45.33% 21.70% 4.40% 7.69% 8.79% 4.40% 0.00% 0.00% 0.00% 0.00% 0.00% 0.27%

SK-16

# 559 343 216 9 7 273 156 19 16 39 32 0 0 3 2 0 3

% 100% 61.36% 38.64% 1.61% 1.25% 48.84% 27.91% 3.40% 2.86% 6.98% 5.72% 0.00% 0.00% 0.54% 0.36% 0.00% 0.54%

SK-17

# 388 239 149 10 3 199 104 7 19 22 22 0 1 1 0 0 0

% 100% 61.60% 38.40% 2.58% 0.77% 51.29% 26.80% 1.80% 4.90% 5.67% 5.67% 0.00% 0.26% 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

# 138 75 63 8 0 63 50 3 8 1 4 0 0 0 0 0 1

% 100% 54.35% 45.65% 5.80% 0.00% 45.65% 36.23% 2.17% 5.80% 0.72% 2.90% 0.00% 0.00% 0.00% 0.00% 0.00% 0.72%

Permanent Workforce

# 4,423 2,382 2,041 146 119 1,720 1,132 212 467 287 299 0 1 11 6 6 17

% 100% 53.85% 46.15% 3.30% 2.69% 38.89% 25.59% 4.79% 10.56% 6.49% 6.76% 0.00% 0.02% 0.25% 0.14% 0.14% 0.38%

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 202122, downloaded on 11/12/2021
202 | EEO PROGRAM STATUS REPORT TABLE A4T: PARTICIPATION RATES WITHIN GRADES BY RACE/ETHNICITY AND SEX— TEMPORARY WORKFORCE—PAY PERIOD 202122 SK, SO, AND RELATED GRADES TEMPORARY 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 # 3 0 3 0 1 0 1 0 1 0 0 0 0 0 0 0 0 % 100% 0.00% 100% 0.00% 33.33% 0.00% 33.33% 0.00% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% SK-05 # 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-06 # 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-07

# 4 0 4 0 0 0 1 0 2 0 0 0 0 0 0 0 1

% 100% 0.00% 100% 0.00% 0.00% 0.00% 25.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 25.00%

SK-08

# 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-09

# 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-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 7 2 0 0 6 2 1 0 0 0 0 0 0 0 0 0

% 100% 77.78% 22.22% 0.00% 0.00% 66.67% 22.22% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-12

# 6 1 5 0 1 0 2 0 1 1 0 0 0 0 0 0 1

% 100% 16.67% 83.33% 0.00% 16.67% 0.00% 33.33% 0.00% 16.67% 16.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 16.67%

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 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 203

TABLE A4T: PARTICIPATION RATES WITHIN GRADES BY RACE/ETHNICITY AND SEX—TEMPORARY WORKFORCE—PAY PERIOD 202122 continued

SK, SO, AND RELATED GRADESTEMPORARY

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

# 5 2 3 0 0 0 0 1 1 1 2 0 0 0 0 0 0

% 100% 40.00% 60.00% 0.00% 0.00% 0.00% 0.00% 20.00% 20.00% 20.00% 40.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-14

# 18 11 7 1 1 6 5 0 0 4 1 0 0 0 0 0 0

% 100% 61.11% 38.89% 5.56% 5.56% 33.33% 27.78% 0.00% 0.00% 22.22% 5.56% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-15

# 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-16

# 41 25 16 0 0 21 13 2 2 2 1 0 0 0 0 0 0

% 100% 60.98% 39.02% 0.00% 0.00% 51.22% 31.71% 4.88% 4.88% 4.88% 2.44% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-17

# 2 0 2 0 0 0 0 0 1 0 1 0 0 0 0 0 0

% 100% 0.00% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 50.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

All Other(Non-SK, Non-SO)

# 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%

Senior Officer

# 22 11 11 0 0 7 10 2 1 2 0 0 0 0 0 0 0

% 100% 50.00% 50.00% 0.00% 0.00% 31.82% 45.45% 9.09% 4.55% 9.09% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Temporary Workforce

# 113 59 54 1 3 42 35 6 9 10 5 0 0 0 0 0 2

% 100% 52.21% 47.79% 0.88% 2.65% 37.17% 30.97% 5.31% 7.96% 8.85% 4.42% 0.00% 0.00% 0.00% 0.00% 0.00% 1.77%

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 202122, downloaded on 11/12/2021
204 | EEO PROGRAM STATUS REPORT TABLE A5P: PARTICIPATION RATES WITHIN SALARY RANGES BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202122 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

# 4,423 2,382 2,041 146 119 1,720 1,132 212 467 287 299 0 1 11 6 6 17

% 100% 53.85% 46.15% 3.30% 2.69% 38.89% 25.59% 4.79% 10.56% 6.49% 6.76% 0.00% 0.02% 0.25% 0.14% 0.14% 0.38%

$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 # 5 3 2 1 0 1 1 1 1 0 0 0 0 0 0 0 0

% 100% 60.00% 40.00% 20.00% 0.00% 20.00% 20.00% 20.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$70,001 – $80,000 # 17 6 11 1 2 4 3 1 6 0 0 0 0 0 0 0 0

% 100% 35.29% 64.71% 5.88% 11.76% 23.53% 17.65% 5.88% 35.29% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$80,001 – $90,000 # 43 7 36 0 1 1 12 5 20 1 3 0 0 0 0 0 0

% 100% 16.28% 83.72% 0.00% 2.33% 2.33% 27.91% 11.63% 46.51% 2.33% 6.98% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$90,001 – $100,000 # 38 10 28 3 6 6 3 1 19 0 0 0 0 0 0 0 0

% 100% 26.32% 73.68% 7.89% 15.79% 15.79% 7.89% 2.63% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$100,001 – $110,000 # 47 15 32 2 1 6 6 6 21 1 4 0 0 0 0 0 0

% 100% 31.91% 68.09% 4.26% 2.13% 12.77% 12.77% 12.77% 44.68% 2.13% 8.51% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$110,001 – $120,000 # 77 20 57 0 5 13 13 5 31 1 5 0 0 1 0 0 3

% 100% 25.97% 74.03% 0.00% 6.49% 16.88% 16.88% 6.49% 40.26% 1.30% 6.49% 0.00% 0.00% 1.30% 0.00% 0.00% 3.90%

$120,001 – $130,000 # 80 30 50 2 7 17 10 4 28 4 5 0 0 3 0 0 0

% 100% 37.50% 62.50% 2.50% 8.75% 21.25% 12.50% 5.00% 35.00% 5.00% 6.25% 0.00% 0.00% 3.75% 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 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 205

TABLE A5P: PARTICIPATION RATES WITHIN SALARY RANGES BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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

# 137 54 83 4 8 25 37 15 34 10 4 0 0 0 0 0 0

% 100% 39.42% 60.58% 2.92% 5.84% 18.25% 27.01% 10.95% 24.82% 7.30% 2.92% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$140,001 – $150,000

# 166 77 89 5 8 53 33 12 29 7 17 0 0 0 0 0 2

% 100% 46.39% 53.61% 3.01% 4.82% 31.93% 19.88% 7.23% 17.47% 4.22% 10.24% 0.00% 0.00% 0.00% 0.00% 0.00% 1.20%

$150,001 – $160,000

# 181 85 96 12 7 53 48 13 25 7 16 0 0 0 0 0 0

% 100% 46.96% 53.04% 6.63% 3.87% 29.28% 26.52% 7.18% 13.81% 3.87% 8.84% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$160,001 – $170,000

# 200 90 110 5 6 58 44 11 42 14 16 0 0 0 1 2 1

% 100% 45.00% 55.00% 2.50% 3.00% 29.00% 22.00% 5.50% 21.00% 7.00% 8.00% 0.00% 0.00% 0.00% 0.50% 1.00% 0.50%

$170,001 – $180,000

# 183 99 84 3 2 63 40 14 18 17 21 0 0 0 2 2 1

% 100% 54.10% 45.90% 1.64% 1.09% 34.43% 21.86% 7.65% 9.84% 9.29% 11.48% 0.00% 0.00% 0.00% 1.09% 1.09% 0.55%

$180,001 and Greater

# 3,247 1,885 1,362 108 66 1,419 882 124 192 225 208 0 1 7 3 2 10

% 100% 58.05% 41.95% 3.33% 2.03% 43.70% 27.16% 3.82% 5.91% 6.93% 6.41% 0.00% 0.03% 0.22% 0.09% 0.06% 0.31%

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 202122, downloaded on 11/12/2021
206 | EEO PROGRAM STATUS REPORT TABLE A5P: PARTICIPATION RATES WITHIN SALARY RANGES BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202122 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 # 226 132 94 13 6 91 46 16 27 12 14 0 0 0 0 0 1 % 100% 58.41% 41.59% 5.75% 2.65% 40.27% 20.35% 7.08% 11.95% 5.31% 6.19% 0.00% 0.00% 0.00% 0.00% 0.00% 0.44% $190,001 – $200,000 # 260 151 109 5 6 105 66 10 21 30 15 0 0 1 0 0 1 % 100% 58.08% 41.92% 1.92% 2.31% 40.38% 25.38% 3.85% 8.08% 11.54% 5.77% 0.00% 0.00% 0.38% 0.00% 0.00% 0.38% $200,001 – $210,000 # 253 137 116 15 10 98 56 12 22 11 27 0 0 0 0 1 1 % 100% 54.15% 45.85% 5.93% 3.95% 38.74% 22.13% 4.74% 8.70% 4.35% 10.67% 0.00% 0.00% 0.00% 0.00% 0.40% 0.40% $210,001 – $220,000 # 375 232 143 7 9 181 104 18 12 24 18 0 0 2 0 0 0 % 100% 61.87% 38.13% 1.87% 2.40% 48.27% 27.73% 4.80% 3.20% 6.40% 4.80% 0.00% 0.00% 0.53% 0.00% 0.00% 0.00% $220,001 – $230,000 # 878 468 410 30 23 335 258 34 55 68 70 0 0 0 1 1 3 % 100% 53.30% 46.70% 3.42% 2.62% 38.15% 29.38% 3.87% 6.26% 7.74% 7.97% 0.00% 0.00% 0.00% 0.11% 0.11% 0.34%

$230,001 – $240,000 

# 305 189 116 14 5 142 69 11 18 21 22 0 0 1 1 0 1

% 100% 61.97% 38.03% 4.59% 1.64% 46.56% 22.62% 3.61% 5.90% 6.89% 7.21% 0.00% 0.00% 0.33% 0.33% 0.00% 0.33%

$240,001 – $250,000 

# 177 117 60 5 0 93 48 4 5 14 5 0 0 1 1 0 1

% 100% 66.10% 33.90% 2.82% 0.00% 52.54% 27.12% 2.26% 2.82% 7.91% 2.82% 0.00% 0.00% 0.56% 0.56% 0.00% 0.56%

$250,001 – $260,000 

# 650 393 257 11 7 319 190 17 25 44 33 0 1 2 0 0 1

% 100% 60.46% 39.54% 1.69% 1.08% 49.08% 29.23% 2.62% 3.85% 6.77% 5.08% 0.00% 0.15% 0.31% 0.00% 0.00% 0.15%

$260,001 – $270,000 

# 18 9 9 3 0 6 7 0 2 0 0 0 0 0 0 0 0

% 100% 50.00% 50.00% 16.67% 0.00% 33.33% 38.89% 0.00% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$270,001 – $280,000 

# 104 56 48 5 0 48 38 2 5 1 4 0 0 0 0 0 1

% 100% 53.85% 46.15% 4.81% 0.00% 46.15% 36.54% 1.92% 4.81% 0.96% 3.85% 0.00% 0.00% 0.00% 0.00% 0.00% 0.96%

$280,001 – $290,000 

# 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%

$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 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 207

TABLE A5T: PARTICIPATION RATES WITHIN SALARY RANGES BY RACE/ETHNICITY AND SEX—TEMPORARY WORKFORCE—PAY PERIOD 202122

SALARY RANGETEMPORARY

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

TemporaryWorkforce

# 113 59 54 1 3 42 35 6 9 10 5 0 0 0 0 0 2

% 100% 52.21% 47.79% 0.88% 2.65% 37.17% 30.97% 5.31% 7.96% 8.85% 4.42% 0.00% 0.00% 0.00% 0.00% 0.00% 1.77%

$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

# 2 0 2 0 1 0 1 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 100% 0.00% 50.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$40,001 – $50,000

# 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%

$50,001 – $60,000

# 3 0 3 0 0 0 1 0 1 0 0 0 0 0 0 0 1

% 100% 0.00% 100% 0.00% 0.00% 0.00% 33.33% 0.00% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 33.33%

$60,001 – $70,000

# 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%

$70,001 – $80,000

# 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%

$80,001 – $90,000

# 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%

$90,001 – $100,000

# 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%

$100,001 – $110,000

# 9 6 3 0 0 6 3 0 0 0 0 0 0 0 0 0 0

% 100% 66.67% 33.33% 0.00% 0.00% 66.67% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$110,001 – $120,000

# 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%

$120,001 – $130,000

# 3 1 2 0 1 0 0 0 0 1 0 0 0 0 0 0 1

% 100% 33.33% 66.67% 0.00% 33.33% 0.00% 0.00% 0.00% 0.00% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 33.33%

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 202122, downloaded on 11/12/2021
208 | EEO PROGRAM STATUS REPORT TABLE A5T: PARTICIPATION RATES WITHIN SALARY RANGES BY RACE/ETHNICITY AND SEX— TEMPORARY WORKFORCE—PAY PERIOD 202122 continued SALARY RANGE TEMPORARY 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 # 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%

$140,001 – $150,000 # 2 2 0 0 0 0 0 0 0 2 0 0 0 0 0 0 0

% 100% 100% 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%

$150,001 – $160,000 # 8 2 6 0 0 1 6 1 0 0 0 0 0 0 0 0 0

% 100% 25.00% 75.00% 0.00% 0.00% 12.50% 75.00% 12.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$160,001 – $170,000 # 6 3 3 1 0 1 1 0 0 1 2 0 0 0 0 0 0

% 100% 50.00% 50.00% 16.67% 0.00% 16.67% 16.67% 0.00% 0.00% 16.67% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$170,001 – $180,000 # 2 2 0 0 0 2 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%

$180,001 and Greater

# 72 41 31 0 1 31 23 4 4 6 3 0 0 0 0 0 0

% 100% 56.94% 43.06% 0.00% 1.39% 43.06% 31.94% 5.56% 5.56% 8.33% 4.17% 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 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 209

TABLE A5T: PARTICIPATION RATES WITHIN SALARY RANGES BY RACE/ETHNICITY AND SEX—TEMPORARY WORKFORCE—PAY PERIOD 202122 continued

SALARY RANGETEMPORARY

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

# 4 2 2 0 0 2 0 0 1 0 1 0 0 0 0 0 0

% 100% 50.00% 50.00% 0.00% 0.00% 50.00% 0.00% 0.00% 25.00% 0.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$190,001 – $200,000

# 9 5 4 0 1 4 3 0 0 1 0 0 0 0 0 0 0

% 100% 55.56% 44.44% 0.00% 11.11% 44.44% 33.33% 0.00% 0.00% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$200,001 – $210,000

# 7 5 2 0 0 5 2 0 0 0 0 0 0 0 0 0 0

% 100% 71.43% 28.57% 0.00% 0.00% 71.43% 28.57% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$210,001 – $220,000 

# 4 4 0 0 0 3 0 0 0 1 0 0 0 0 0 0 0

% 100% 100% 0.00% 0.00% 0.00% 75.00% 0.00% 0.00% 0.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$220,001 – $230,000 

# 18 8 10 0 0 6 6 0 2 2 2 0 0 0 0 0 0

% 100% 44.44% 55.56% 0.00% 0.00% 33.33% 33.33% 0.00% 11.11% 11.11% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$230,001 – $240,000 

# 8 4 4 0 0 2 3 1 1 1 0 0 0 0 0 0 0

% 100% 50.00% 50.00% 0.00% 0.00% 25.00% 37.50% 12.50% 12.50% 12.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$240,001 – $250,000 

# 9 6 3 0 0 5 3 1 0 0 0 0 0 0 0 0 0

% 100% 66.67% 33.33% 0.00% 0.00% 55.56% 33.33% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$250,001 – $260,000 

# 6 4 2 0 0 2 2 1 0 1 0 0 0 0 0 0 0

% 100% 66.67% 33.33% 0.00% 0.00% 33.33% 33.33% 16.67% 0.00% 16.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

$260,001 – $270,000 

# 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%

$270,001 – $280,000 

# 7 3 4 0 0 2 4 1 0 0 0 0 0 0 0 0 0

% 100% 42.86% 57.14% 0.00% 0.00% 28.57% 57.14% 14.29% 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 202122, downloaded on 11/12/2021
210 | EEO PROGRAM STATUS REPORT TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202122 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 0905 General Attorney Occupational CLF % 100% 62.64% 37.36% 3.09% 2.57% 54.38% 28.67% 2.26% 3.01% 1.92% 2.18% 0.02% 0.01% 0.11% 0.10% 0.87% 0.82% 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 4 1 0 0 2 1 0 0 1 0 0 0 1 0 0 0 % 100% 80.00% 20.00% 0.00% 0.00% 40.00% 20.00% 0.00% 0.00% 20.00% 0.00% 0.00% 0.00% 20.00% 0.00% 0.00% 0.00% SK-12 # 14 7 7 0 1 6 3 0 0 1 3 0 0 0 0 0 0 % 100% 50.00% 50.00% 0.00% 7.14% 42.86% 21.43% 0.00% 0.00% 7.14% 21.43% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-13

# 60 25 35 2 2 19 22 4 2 0 9 0 0 0 0 0 0

% 100% 41.67% 58.33% 3.33% 3.33% 31.67% 36.67% 6.67% 3.33% 0.00% 15.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-14

# 995 522 473 27 31 412 323 31 42 51 72 0 0 0 2 1 3

% 100% 52.46% 47.54% 2.71% 3.12% 41.41% 32.46% 3.12% 4.22% 5.13% 7.24% 0.00% 0.00% 0.00% 0.20% 0.10% 0.30%

SK-15

# 90 47 43 3 1 40 33 0 4 4 4 0 0 0 0 0 1

% 100% 52.22% 47.78% 3.33% 1.11% 44.44% 36.67% 0.00% 4.44% 4.44% 4.44% 0.00% 0.00% 0.00% 0.00% 0.00% 1.11%

SK-16

# 390 222 168 7 4 183 126 12 13 19 21 0 0 1 2 0 2

% 100% 56.92% 43.08% 1.79% 1.03% 46.92% 32.31% 3.08% 3.33% 4.87% 5.38% 0.00% 0.00% 0.26% 0.51% 0.00% 0.51%

SK-17

# 236 143 93 6 1 126 72 1 8 10 12 0 0 0 0 0 0

% 100% 60.59% 39.41% 2.54% 0.42% 53.39% 30.51% 0.42% 3.39% 4.24% 5.08% 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

# 88 42 46 4 0 36 39 1 4 1 3 0 0 0 0 0 0

% 100% 47.73% 52.27% 4.55% 0.00% 40.91% 44.32% 1.14% 4.55% 1.14% 3.41% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTAL Population

# 1,878 1,012 866 49 40 824 619 49 73 87 124 0 0 2 4 1 6

% 100% 53.89% 46.11% 2.61% 2.13% 43.88% 32.96% 2.61% 3.89% 4.63% 6.60% 0.00% 0.00% 0.11% 0.21% 0.05% 0.32%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 211

TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202122 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 Promotions1

Job Series of Vacancy: General Attorney (0905)Relevant Pool2 % 100% 53.22% 46.78% 2.51% 2.51% 42.60% 32.69% 3.02% 3.93% 4.89% 7.01% 0.00% 0.00% 0.13% 0.26% 0.06% 0.39%

TOTAL Postings # 43TOTALApplications Received

# 338 206 132 13 3 157 102 10 11 25 15 0 0 1 1 0 0

% 100% 60.95% 39.05% 3.85% 0.89% 46.45% 30.18% 2.96% 3.25% 7.40% 4.44% 0.00% 0.00% 0.30% 0.30% 0.00% 0.00%

Qualified

# 302 182 120 12 3 136 92 9 10 24 14 0 0 1 1 0 0

% 100% 60.26% 39.74% 3.97% 0.99% 45.03% 30.46% 2.98% 3.31% 7.95% 4.64% 0.00% 0.00% 0.33% 0.33% 0.00% 0.00%

Referred

# 46 22 24 2 0 14 18 1 3 4 3 0 0 1 0 0 0

% 100% 47.83% 52.17% 4.35% 0.00% 30.43% 39.13% 2.17% 6.52% 8.70% 6.52% 0.00% 0.00% 2.17% 0.00% 0.00% 0.00%

Selected3

# 46 22 24 2 0 14 18 1 3 4 3 0 0 1 0 0 0

% 100% 47.83% 52.17% 4.35% 0.00% 30.43% 39.13% 2.17% 6.52% 8.70% 6.52% 0.00% 0.00% 2.17% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 The Relevant Pool includes all employees holding an occupational series and 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 9/30/2021, 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.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
212 | EEO PROGRAM STATUS REPORT TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202122 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 General Attorney (0905): In FY 2021 Applicant Flow Data,1 33 attorney external applications were marked selected. TOTAL Postings # 44 Voluntarily Identified

# 2,853 1,733 1,120 233 160 1,079 508 213 284 195 149 0 1 11 3 2 15

% 100% 60.74% 39.26% 8.17% 5.61% 37.82% 17.81% 7.47% 9.95% 6.83% 5.22% 0.00% 0.04% 0.39% 0.11% 0.07% 0.53%

Qualified of those Identified

# 2,578 1,582 996 213 134 990 466 187 246 182 132 0 1 8 3 2 14

% 100% 61.37% 38.63% 8.26% 5.20% 38.40% 18.08% 7.25% 9.54% 7.06% 5.12% 0.00% 0.04% 0.31% 0.12% 0.08% 0.54%

Referred of those Qualified

# 368 211 157 22 14 149 91 19 30 21 19 0 0 0 1 0 2

% 100% 57.34% 42.66% 5.98% 3.80% 40.49% 24.73% 5.16% 8.15% 5.71% 5.16% 0.00% 0.00% 0.00% 0.27% 0.00% 0.54%

Selected of those Referred2

# 33 16 17 0 1 9 8 3 5 4 2 0 0 0 0 0 1

% 100% 48.48% 51.52% 0.00% 3.03% 27.27% 24.24% 9.09% 15.15% 12.12% 6.06% 0.00% 0.00% 0.00% 0.00% 0.00% 3.03%

0905 General Attorney Onboarded3

# 91 43 48 3 2 31 30 3 5 4 11 0 0 1 0 1 0

% 100% 47.25% 52.75% 3.30% 2.20% 34.07% 32.97% 3.30% 5.49% 4.40% 12.09% 0.00% 0.00% 1.10% 0.00% 1.10% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021, 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 213

TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202122 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

0510 AccountantOccupational CLF % 100% 38.97% 61.03% 2.78% 5.18% 29.56% 42.69% 2.75% 5.88% 5.88% 5.80% 0.05% 0.09% 0.10% 0.27% 0.63% 1.12%

SK-09

# 2 1 1 1 0 0 0 0 1 0 0 0 0 0 0 0 0

% 100% 50.00% 50.00% 50.00% 0.00% 0.00% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

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 1 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 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%

SK-12

# 3 1 2 0 0 1 0 0 0 0 2 0 0 0 0 0 0

% 100% 33.33% 66.67% 0.00% 0.00% 33.33% 0.00% 0.00% 0.00% 0.00% 66.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-13

# 14 6 8 0 0 4 5 0 1 2 2 0 0 0 0 0 0

% 100% 42.86% 57.14% 0.00% 0.00% 28.57% 35.71% 0.00% 7.14% 14.29% 14.29% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-14

# 587 308 279 22 20 234 164 24 34 27 59 0 0 1 1 0 1

% 100% 52.47% 47.53% 3.75% 3.41% 39.86% 27.94% 4.09% 5.79% 4.60% 10.05% 0.00% 0.00% 0.17% 0.17% 0.00% 0.17%

SK-15

# 100 77 23 4 1 60 17 3 3 10 2 0 0 0 0 0 0

% 100% 77.00% 23.00% 4.00% 1.00% 60.00% 17.00% 3.00% 3.00% 10.00% 2.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-16

# 55 33 22 0 1 28 17 2 0 3 3 0 0 0 0 0 1

% 100% 60.00% 40.00% 0.00% 1.82% 50.91% 30.91% 3.64% 0.00% 5.45% 5.45% 0.00% 0.00% 0.00% 0.00% 0.00% 1.82%

SK-17

# 53 36 17 1 0 30 12 1 1 3 4 0 0 1 0 0 0

% 100% 67.92% 32.08% 1.89% 0.00% 56.60% 22.64% 1.89% 1.89% 5.66% 7.55% 0.00% 0.00% 1.89% 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

# 6 3 3 0 0 3 2 0 1 0 0 0 0 0 0 0 0

% 100% 50.00% 50.00% 0.00% 0.00% 50.00% 33.33% 0.00% 16.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTAL Population

# 821 465 356 28 22 360 218 30 41 45 72 0 0 2 1 0 2

% 100% 56.64% 43.36% 3.41% 2.68% 43.85% 26.55% 3.65% 4.99% 5.48% 8.77% 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: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
214 | EEO PROGRAM STATUS REPORT TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202122 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: Accounting (0510) Relevant Pool2 % 100% 55.92% 44.08% 3.42% 2.89% 43.03% 26.84% 3.82% 5.00% 5.53% 8.95% 0.00% 0.00% 0.13% 0.13% 0.00% 0.26% TOTAL Postings # 7 TOTAL Applications Received

# 78 41 37 6 2 20 13 11 16 4 6 0 0 0 0 0 0

% 100% 52.56% 47.44% 7.69% 2.56% 25.64% 16.67% 14.10% 20.51% 5.13% 7.69% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Qualified # 59 32 27 4 1 18 11 6 9 4 6 0 0 0 0 0 0

% 100% 54.24% 45.76% 6.78% 1.69% 30.51% 18.64% 10.17% 15.25% 6.78% 10.17% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Referred # 38 19 19 4 1 10 6 4 7 1 5 0 0 0 0 0 0

% 100% 50.00% 50.00% 10.53% 2.63% 26.32% 15.79% 10.53% 18.42% 2.63% 13.16% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected3

# 7 3 4 0 0 2 2 1 2 0 0 0 0 0 0 0 0

% 100% 42.86% 57.14% 0.00% 0.00% 28.57% 28.57% 14.29% 28.57% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2021(i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 The Relevant Pool includes all employees holding an occupational series and 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 9/30/2021, 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.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 215

TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202122 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 HiresAccounting (0510): In FY 2021 Applicant Flow Data,1 4 accountant external applications were marked selected.

TOTAL Postings # 12Voluntarily Identified

# 152 86 66 10 5 40 14 24 30 12 16 0 0 0 0 0 1

% 100% 56.58% 43.42% 6.58% 3.29% 26.32% 9.21% 15.79% 19.74% 7.89% 10.53% 0.00% 0.00% 0.00% 0.00% 0.00% 0.66%

Qualified of those Identified

# 107 56 51 7 3 25 11 14 23 10 14 0 0 0 0 0 0

% 100% 52.34% 47.66% 6.54% 2.80% 23.36% 10.28% 13.08% 21.50% 9.35% 13.08% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Referred of those Qualified

# 75 38 37 4 2 14 10 11 13 9 12 0 0 0 0 0 0

% 100% 50.67% 49.33% 5.33% 2.67% 18.67% 13.33% 14.67% 17.33% 12.00% 16.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected of those Referred2

# 4 1 3 0 0 0 2 0 0 1 1 0 0 0 0 0 0

% 100% 25.00% 75.00% 0.00% 0.00% 0.00% 50.00% 0.00% 0.00% 25.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

0510 Accounting Onboarded3

# 22 11 11 1 0 8 5 1 1 1 5 0 0 0 0 0 0

% 100% 50.00% 50.00% 4.55% 0.00% 36.36% 22.73% 4.55% 4.55% 4.55% 22.73% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021, 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
216 | EEO PROGRAM STATUS REPORT TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202122 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 1831 Securities Compliance Examining Occupational CLF % 100% 53.69% 46.31% 3.88% 4.80% 43.42% 32.84% 3.08% 5.15% 2.32% 2.38% 0.05% 0.06% 0.12% 0.18% 0.82% 0.91% 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 # 3 1 2 0 0 0 0 1 0 0 1 0 0 0 0 0 1 % 100% 33.33% 66.67% 0.00% 0.00% 0.00% 0.00% 33.33% 0.00% 0.00% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 33.33% SK-12 # 10 6 4 0 2 5 1 0 1 1 0 0 0 0 0 0 0

% 100% 60.00% 40.00% 0.00% 20.00% 50.00% 10.00% 0.00% 10.00% 10.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-13

# 18 9 9 2 2 6 3 0 0 1 4 0 0 0 0 0 0

% 100% 50.00% 50.00% 11.11% 11.11% 33.33% 16.67% 0.00% 0.00% 5.56% 22.22% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-14

# 183 114 69 9 2 83 37 6 13 15 16 0 0 0 0 1 1

% 100% 62.30% 37.70% 4.92% 1.09% 45.36% 20.22% 3.28% 7.10% 8.20% 8.74% 0.00% 0.00% 0.00% 0.00% 0.55% 0.55%

SK-15

# 63 45 18 5 1 31 11 1 3 8 3 0 0 0 0 0 0

% 100% 71.43% 28.57% 7.94% 1.59% 49.21% 17.46% 1.59% 4.76% 12.70% 4.76% 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

# 32 19 13 1 1 12 8 2 2 4 2 0 0 0 0 0 0

% 100% 59.38% 40.63% 3.13% 3.13% 37.50% 25.00% 6.25% 6.25% 12.50% 6.25% 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

# 350 225 125 18 8 162 66 11 20 33 29 0 0 0 0 1 2

% 100% 64.29% 35.71% 5.14% 2.29% 46.29% 18.86% 3.14% 5.71% 9.43% 8.29% 0.00% 0.00% 0.00% 0.00% 0.29% 0.57%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 217

TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202122 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 Promotions1

Job Series of Vacancy: Securities Compliance Examining (1831)Relevant Pool2 % 100% 60.85% 39.15% 5.07% 2.25% 43.10% 19.15% 3.94% 9.58% 8.45% 7.61% 0.00% 0.00% 0.00% 0.00% 0.28% 0.56%

TOTAL Postings # 8TOTALApplications Received

# 122 84 38 16 12 42 12 13 7 13 7 0 0 0 0 0 0

% 100% 68.85% 31.15% 13.11% 9.84% 34.43% 9.84% 10.66% 5.74% 10.66% 5.74% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Qualified

# 47 39 8 5 1 22 3 3 0 9 4 0 0 0 0 0 0

% 100% 82.98% 17.02% 10.64% 2.13% 46.81% 6.38% 6.38% 0.00% 19.15% 8.51% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Referred

# 28 23 5 4 1 13 2 2 0 4 2 0 0 0 0 0 0

% 100% 82.14% 17.86% 14.29% 3.57% 46.43% 7.14% 7.14% 0.00% 14.29% 7.14% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected3

# 6 6 0 0 0 5 0 0 0 1 0 0 0 0 0 0 0

% 100% 100% 0.00% 0.00% 0.00% 83.33% 0.00% 0.00% 0.00% 16.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 The Relevant Pool includes all employees holding an occupational series and 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 9/30/2021, 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.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
218 | EEO PROGRAM STATUS REPORT TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202122 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 Securities Compliance Examining (1831): In FY 2021 Applicant Flow Data,1 1 external securities compliance examiner application was marked selected. TOTAL Postings # 4 Voluntarily Identified

# 144 97 47 15 6 49 18 18 9 15 12 0 1 0 0 0 1

% 100% 67.36% 32.64% 10.42% 4.17% 34.03% 12.50% 12.50% 6.25% 10.42% 8.33% 0.00% 0.69% 0.00% 0.00% 0.00% 0.69%

Qualified of those Identified

# 67 40 27 7 4 19 10 4 5 10 8 0 0 0 0 0 0

% 100% 59.70% 40.30% 10.45% 5.97% 28.36% 14.93% 5.97% 7.46% 14.93% 11.94% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Referred of those Qualified

# 44 28 16 4 3 14 7 4 1 6 5 0 0 0 0 0 0

% 100% 63.64% 36.36% 9.09% 6.82% 31.82% 15.91% 9.09% 2.27% 13.64% 11.36% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected of those Referred2

# 1 0 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 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%

1831 Securities Compliance Examining Onboarded3

# 13 9 4 0 1 8 2 1 0 0 1 0 0 0 0 0 0

% 100% 69.23% 30.77% 0.00% 7.69% 61.54% 15.38% 7.69% 0.00% 0.00% 7.69% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021, 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 219

TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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

2210 Information Technology ManagementOccupational CLF % 100% 70.73% 29.27% 4.47% 1.67% 54.08% 21.73% 3.60% 2.53% 7.05% 2.58% 0.06% 0.03% 0.13% 0.06% 1.35% 0.66%

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 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

# 6 3 3 0 0 2 0 1 3 0 0 0 0 0 0 0 0

% 100% 50.00% 50.00% 0.00% 0.00% 33.33% 0.00% 16.67% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-13

# 88 57 31 4 1 22 7 12 16 17 7 0 0 1 0 1 0

% 100% 64.77% 35.23% 4.55% 1.14% 25.00% 7.95% 13.64% 18.18% 19.32% 7.95% 0.00% 0.00% 1.14% 0.00% 1.14% 0.00%

SK-14

# 133 107 26 9 3 48 9 14 6 35 8 0 0 0 0 1 0

% 100% 80.45% 19.55% 6.77% 2.26% 36.09% 6.77% 10.53% 4.51% 26.32% 6.02% 0.00% 0.00% 0.00% 0.00% 0.75% 0.00%

SK-15

# 45 32 13 5 0 14 5 4 5 9 3 0 0 0 0 0 0

% 100% 71.11% 28.89% 11.11% 0.00% 31.11% 11.11% 8.89% 11.11% 20.00% 6.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-16

# 26 23 3 0 0 15 1 1 1 6 1 0 0 1 0 0 0

% 100% 88.46% 11.54% 0.00% 0.00% 57.69% 3.85% 3.85% 3.85% 23.08% 3.85% 0.00% 0.00% 3.85% 0.00% 0.00% 0.00%

SK-17

# 13 11 2 0 0 10 1 0 1 1 0 0 0 0 0 0 0

% 100% 84.62% 15.38% 0.00% 0.00% 76.92% 7.69% 0.00% 7.69% 7.69% 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

# 3 3 0 0 0 2 0 1 0 0 0 0 0 0 0 0 0

% 100% 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% 0.00%

TOTALPopulation

# 315 236 79 18 4 113 23 33 33 68 19 0 0 2 0 2 0

% 100% 74.92% 25.08% 5.71% 1.27% 35.87% 7.30% 10.48% 10.48% 21.59% 6.03% 0.00% 0.00% 0.63% 0.00% 0.63% 0.00%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
220 | EEO PROGRAM STATUS REPORT TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202122 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: Information Technology Management (2210) Relevant Pool2 % 100% 74.25% 25.75% 6.02% 1.34% 33.78% 7.36% 10.70% 10.70% 22.41% 6.35% 0.00% 0.00% 0.67% 0.00% 0.67% 0.00% TOTAL Postings # 14 TOTAL Applications Received

# 1,026 812 214 74 24 240 49 192 78 285 61 1 0 6 0 14 2

% 100% 79.14% 20.86% 7.21% 2.34% 23.39% 4.78% 18.71% 7.60% 27.78% 5.95% 0.10% 0.00% 0.58% 0.00% 1.36% 0.19%

Qualified # 666 536 130 48 10 168 27 113 52 194 41 0 0 3 0 10 0

% 100% 80.48% 19.52% 7.21% 1.50% 25.23% 4.05% 16.97% 7.81% 29.13% 6.16% 0.00% 0.00% 0.45% 0.00% 1.50% 0.00%

Referred # 610 492 118 43 10 154 25 107 45 176 38 0 0 3 0 9 0

% 100% 80.66% 19.34% 7.05% 1.64% 25.25% 4.10% 17.54% 7.38% 28.85% 6.23% 0.00% 0.00% 0.49% 0.00% 1.48% 0.00%

Selected3

# 9 9 0 0 0 6 0 1 0 2 0 0 0 0 0 0 0

% 100% 100% 0.00% 0.00% 0.00% 66.67% 0.00% 11.11% 0.00% 22.22% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 The Relevant Pool includes all employees holding an occupational series and 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 9/30/2021, 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.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 221

TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202122 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 HiresInformation Technology Management (2210): In FY 2021 Applicant Flow Data,1 15 information technology management external applications were marked selected.

TOTAL Postings # 21VoluntarilyIdentified

# 1,790 1,397 393 126 38 387 66 411 180 458 103 1 0 2 0 12 6

% 100% 78.04% 21.96% 7.04% 2.12% 21.62% 3.69% 22.96% 10.06% 25.59% 5.75% 0.06% 0.00% 0.11% 0.00% 0.67% 0.34%

Qualified of those Identified

# 1,701 1,329 372 117 37 367 65 386 167 445 97 1 0 2 0 11 6

% 100% 78.13% 21.87% 6.88% 2.18% 21.58% 3.82% 22.69% 9.82% 26.16% 5.70% 0.06% 0.00% 0.12% 0.00% 0.65% 0.35%

Referred of those Qualified

# 154 122 32 8 1 42 7 38 15 33 7 0 0 0 0 1 2

% 100% 79.22% 20.78% 5.19% 0.65% 27.27% 4.55% 24.68% 9.74% 21.43% 4.55% 0.00% 0.00% 0.00% 0.00% 0.65% 1.30%

Selected of those Referred2

# 15 13 2 1 0 6 1 3 1 3 0 0 0 0 0 0 0

% 100% 86.67% 13.33% 6.67% 0.00% 40.00% 6.67% 20.00% 6.67% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

2210 Information Technology Management Onboarded3

# 35 29 6 1 1 12 2 6 1 10 2 0 0 0 0 0 0

% 100% 82.86% 17.14% 2.86% 2.86% 34.29% 5.71% 17.14% 2.86% 28.57% 5.71% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021, 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
222 | EEO PROGRAM STATUS REPORT TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202122 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 0110 Economist Occupational CLF % 100% 68.11% 31.89% 5.43% 1.92% 52.53% 23.99% 3.90% 1.70% 4.98% 3.02% 0.07% 0.00% 0.10% 0.41% 1.15% 0.86% 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 # 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 # 4 2 2 2 0 0 1 0 0 0 1 0 0 0 0 0 0 % 100% 50.00% 50.00% 50.00% 0.00% 0.00% 25.00% 0.00% 0.00% 0.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-13

# 8 6 2 0 0 2 1 4 0 0 1 0 0 0 0 0 0

% 100% 75.00% 25.00% 0.00% 0.00% 25.00% 12.50% 50.00% 0.00% 0.00% 12.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-14

# 51 35 16 0 1 27 9 0 0 8 6 0 0 0 0 0 0

% 100% 68.63% 31.37% 0.00% 1.96% 52.94% 17.65% 0.00% 0.00% 15.69% 11.76% 0.00% 0.00% 0.00% 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

# 19 13 6 1 0 9 4 1 0 1 2 0 0 1 0 0 0

% 100% 68.42% 31.58% 5.26% 0.00% 47.37% 21.05% 5.26% 0.00% 5.26% 10.53% 0.00% 0.00% 5.26% 0.00% 0.00% 0.00%

SK-17

# 10 7 3 1 1 6 2 0 0 0 0 0 0 0 0 0 0

% 100% 70.00% 30.00% 10.00% 10.00% 60.00% 20.00% 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

# 2 1 1 0 0 1 0 0 0 0 1 0 0 0 0 0 0

% 100% 50.00% 50.00% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTALPopulation

# 95 65 30 4 2 46 17 5 0 9 11 0 0 1 0 0 0

% 100% 68.42% 31.58% 4.21% 2.11% 48.42% 17.89% 5.26% 0.00% 9.47% 11.58% 0.00% 0.00% 1.05% 0.00% 0.00% 0.00%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 223

TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 Promotions1

Job Series of Vacancy: Economist (0110)Relevant Pool2 % 100% 68.67% 31.33% 3.61% 1.20% 46.99% 18.07% 6.02% 0.00% 10.84% 12.05% 0.00% 0.00% 1.20% 0.00% 0.00% 0.00%

TOTAL Postings # 3TOTALApplicationsReceived

# 33 27 6 3 0 14 4 4 0 5 2 0 0 1 0 0 0

% 100% 81.82% 18.18% 9.09% 0.00% 42.42% 12.12% 12.12% 0.00% 15.15% 6.06% 0.00% 0.00% 3.03% 0.00% 0.00% 0.00%

Qualified

# 18 15 3 1 0 11 2 0 0 3 1 0 0 0 0 0 0

% 100% 83.33% 16.67% 5.56% 0.00% 61.11% 11.11% 0.00% 0.00% 16.67% 5.56% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Referred

# 9 9 0 1 0 5 0 0 0 3 0 0 0 0 0 0 0

% 100% 100% 0.00% 11.11% 0.00% 55.56% 0.00% 0.00% 0.00% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected3

# 2 2 0 0 0 2 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%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 The Relevant Pool includes all employees holding an occupational series and 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 9/30/2021, 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.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
224 | EEO PROGRAM STATUS REPORT TABLE A6P: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE—PAY PERIOD 202122 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 Economist (0110): In FY 2021 Applicant Flow Data,1 7 economist external applications were marked selected. TOTAL Postings # 4 Voluntarily Identified

# 376 262 114 42 13 122 47 52 30 43 23 0 0 2 0 1 1

% 100% 69.68% 30.32% 11.17% 3.46% 32.45% 12.50% 13.83% 7.98% 11.44% 6.12% 0.00% 0.00% 0.53% 0.00% 0.27% 0.27%

Qualified of those Identified

# 324 229 95 39 9 111 44 42 22 36 19 0 0 1 0 0 1

% 100% 70.68% 29.32% 12.04% 2.78% 34.26% 13.58% 12.96% 6.79% 11.11% 5.86% 0.00% 0.00% 0.31% 0.00% 0.00% 0.31%

Referred of those Qualified

# 36 28 8 6 0 15 3 4 1 3 4 0 0 0 0 0 0

% 100% 77.78% 22.22% 16.67% 0.00% 41.67% 8.33% 11.11% 2.78% 8.33% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected of those Referred2

# 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%

0110 Economist Onboarded3

# 6 5 1 2 0 2 0 1 0 0 1 0 0 0 0 0 0

% 100% 83.33% 16.67% 33.33% 0.00% 33.33% 0.00% 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 USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021, 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 225

TABLE A6T: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX—TEMPORARY WORKFORCE—PAY PERIOD 202122

SK, SO, AND RELATED GRADESTEMPORARY

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% 62.64% 37.36% 3.09% 2.57% 54.38% 28.67% 2.26% 3.01% 1.92% 2.18% 0.02% 0.01% 0.11% 0.10% 0.87% 0.82%

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

# 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

# 1 1 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0

% 100% 100% 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%

SK-13

# 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-14

# 1 1 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0

% 100% 100% 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%

SK-15

# 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-16

# 13 9 4 0 0 8 4 1 0 0 0 0 0 0 0 0 0

% 100% 69.23% 30.77% 0.00% 0.00% 61.54% 30.77% 7.69% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-17

# 1 0 1 0 0 0 0 0 0 0 1 0 0 0 0 0 0

% 100% 0.00% 100% 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%

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

# 17 8 9 0 0 4 8 2 1 2 0 0 0 0 0 0 0

% 100% 47.06% 52.94% 0.00% 0.00% 23.53% 47.06% 11.76% 5.88% 11.76% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTAL Population

# 33 19 14 0 0 12 12 3 1 4 1 0 0 0 0 0 0

% 100% 57.58% 42.42% 0.00% 0.00% 36.36% 36.36% 9.09% 3.03% 12.12% 3.03% 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: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
226 | EEO PROGRAM STATUS REPORT TABLE A6T: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— TEMPORARY WORKFORCE—PAY PERIOD 202122 continued SK, SO, AND RELATED GRADES TEMPORARY 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% 53.22% 46.78% 2.51% 2.51% 42.60% 32.69% 3.02% 3.93% 4.89% 7.01% 0.00% 0.00% 0.13% 0.26% 0.06% 0.39% TOTAL Postings # 11 TOTAL Applications Received

# 80 39 41 2 1 33 30 3 4 1 6 0 0 0 0 0 0

% 100% 48.75% 51.25% 2.50% 1.25% 41.25% 37.50% 3.75% 5.00% 1.25% 7.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Qualified # 65 30 35 2 1 25 26 2 3 1 5 0 0 0 0 0 0

% 100% 46.15% 53.85% 3.08% 1.54% 38.46% 40.00% 3.08% 4.62% 1.54% 7.69% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Referred # 13 9 4 1 0 8 3 0 1 0 0 0 0 0 0 0 0

% 100% 69.23% 30.77% 7.69% 0.00% 61.54% 23.08% 0.00% 7.69% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected3

# 13 9 4 1 0 8 3 0 1 0 0 0 0 0 0 0 0

% 100% 69.23% 30.77% 7.69% 0.00% 61.54% 23.08% 0.00% 7.69% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Temporary vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 The Relevant Pool includes all employees holding an occupational series and 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 9/30/2021, 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.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 227

TABLE A6T: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX—TEMPORARY WORKFORCE—PAY PERIOD 202122 continued

SK, SO, AND RELATED GRADESTEMPORARY

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 2021 Applicant Flow Data,1 0 attorney external applications were marked selected.

TOTAL Postings # 1VoluntarilyIdentified

# 2 1 1 1 0 0 1 0 0 0 0 0 0 0 0 0 0

% 100% 50.00% 50.00% 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% 0.00%

Qualified of those Identified

# 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%

Referred of those Qualified

# 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%

Selected of those Referred2

# 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%

0905 General Attorney Onboarded3

# 18 9 9 0 0 4 6 2 1 3 2 0 0 0 0 0 0

% 100% 50.00% 50.00% 0.00% 0.00% 22.22% 33.33% 11.11% 5.56% 16.67% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Temporary vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021, 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
228 | EEO PROGRAM STATUS REPORT TABLE A6T: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— TEMPORARY WORKFORCE—PAY PERIOD 202122 continued SK, SO, AND RELATED GRADES TEMPORARY 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% 38.97% 61.03% 2.78% 5.18% 29.56% 42.69% 2.75% 5.88% 5.88% 5.80% 0.05% 0.09% 0.10% 0.27% 0.63% 1.12% 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 # 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 # 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

# 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-14

# 3 2 1 0 0 2 1 0 0 0 0 0 0 0 0 0 0

% 100% 66.67% 33.33% 0.00% 0.00% 66.67% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-15

# 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-16

# 15 9 6 0 0 8 3 0 2 1 1 0 0 0 0 0 0

% 100% 60.00% 40.00% 0.00% 0.00% 53.33% 20.00% 0.00% 13.33% 6.67% 6.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

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

# 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 Population

# 18 11 7 0 0 10 4 0 2 1 1 0 0 0 0 0 0

% 100% 61.11% 38.89% 0.00% 0.00% 55.56% 22.22% 0.00% 11.11% 5.56% 5.56% 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: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 229

TABLE A6T: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX—TEMPORARY WORKFORCE—PAY PERIOD 202122 continued

SK, SO, AND RELATED GRADESTEMPORARY

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: Accounting (0510)Relevant Pool2 % 100% 55.92% 44.08% 3.42% 2.89% 43.03% 26.84% 3.82% 5.00% 5.53% 8.95% 0.00% 0.00% 0.13% 0.13% 0.00% 0.26%

TOTAL Postings # 0TOTALApplications Received

# 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%

Qualified

# 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%

Referred

# 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%

Selected3

# 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 USA Staffing for Temporary vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 The Relevant Pool includes all employees holding an occupational series and 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 9/30/2021, 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.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
230 | EEO PROGRAM STATUS REPORT TABLE A6T: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— TEMPORARY WORKFORCE—PAY PERIOD 202122 continued SK, SO, AND RELATED GRADES TEMPORARY 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 2021 Applicant Flow Data,1 0 accountant external applications were marked selected. TOTAL Postings # 0 Voluntarily Identified

# 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%

Qualified of those Identified

# 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%

Referred of those Qualified

# 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%

Selected of those Referred2

# 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%

0510 Accounting Onboarded3

# 9 7 2 0 0 7 2 0 0 0 0 0 0 0 0 0 0

% 100% 77.78% 22.22% 0.00% 0.00% 77.78% 22.22% 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 USA Staffing for Temporary vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021, 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 231

TABLE A6T: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX—TEMPORARY WORKFORCE—PAY PERIOD 202122 continued

SK, SO, AND RELATED GRADESTEMPORARY

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% 53.69% 46.31% 3.88% 4.80% 43.42% 32.84% 3.08% 5.15% 2.32% 2.38% 0.05% 0.06% 0.12% 0.18% 0.82% 0.91%

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

# 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

# 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

# 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-14

# 5 2 3 0 1 1 2 0 0 1 0 0 0 0 0 0 0

% 100% 40.00% 60.00% 0.00% 20.00% 20.00% 40.00% 0.00% 0.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-15

# 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-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%

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

# 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

# 5 2 3 0 1 1 2 0 0 1 0 0 0 0 0 0 0

% 100% 40.00% 60.00% 0.00% 20.00% 20.00% 40.00% 0.00% 0.00% 20.00% 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: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
232 | EEO PROGRAM STATUS REPORT TABLE A6T: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— TEMPORARY WORKFORCE—PAY PERIOD 202122 continued SK, SO, AND RELATED GRADES TEMPORARY 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% 60.85% 39.15% 5.07% 2.25% 43.10% 19.15% 3.94% 9.58% 8.45% 7.61% 0.00% 0.00% 0.00% 0.00% 0.28% 0.56% TOTAL Postings # 0 TOTAL Applications Received

# 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%

Qualified # 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%

Referred # 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%

Selected3

# 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 USA Staffing for Temporary vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 The Relevant Pool includes all employees holding an occupational series and 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 9/30/2021, 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.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 233

TABLE A6T: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX—TEMPORARY WORKFORCE—PAY PERIOD 202122 continued

SK, SO, AND RELATED GRADESTEMPORARY

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 2021 Applicant Flow Data,1 0 external securities compliance examiner application was marked selected.

TOTAL Postings # 0VoluntarilyIdentified

# 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%

Qualified of those Identified

# 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%

Referred of those Qualified

# 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%

Selected of those Referred2

# 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%

1831 Securities Compliance Examining Onboarded3

# 5 2 3 0 1 1 2 0 0 1 0 0 0 0 0 0 0

% 100% 40.00% 60.00% 0.00% 20.00% 20.00% 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 USA Staffing for Temporary vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021, 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
234 | EEO PROGRAM STATUS REPORT TABLE A6T: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— TEMPORARY WORKFORCE—PAY PERIOD 202122 continued SK, SO, AND RELATED GRADES TEMPORARY 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% 70.73% 29.27% 4.47% 1.67% 54.08% 21.73% 3.60% 2.53% 7.05% 2.58% 0.06% 0.03% 0.13% 0.06% 1.35% 0.66% 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 # 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 # 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

# 3 1 2 0 0 0 0 0 1 1 1 0 0 0 0 0 0

% 100% 33.33% 66.67% 0.00% 0.00% 0.00% 0.00% 0.00% 33.33% 33.33% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-14

# 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-15

# 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-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%

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

# 2 2 0 0 0 2 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%

TOTALPopulation

# 6 4 2 0 0 3 0 0 1 1 1 0 0 0 0 0 0

% 100% 66.67% 33.33% 0.00% 0.00% 50.00% 0.00% 0.00% 16.67% 16.67% 16.67% 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: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 235

TABLE A6T: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX—TEMPORARY WORKFORCE—PAY PERIOD 202122 continued

SK, SO, AND RELATED GRADESTEMPORARY

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: Information Technology Management (2210)Relevant Pool2 % 100% 74.25% 25.75% 6.02% 1.34% 33.78% 7.36% 10.70% 10.70% 22.41% 6.35% 0.00% 0.00% 0.67% 0.00% 0.67% 0.00%

TOTAL Postings # 0TOTALApplications Received

# 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%

Qualified

# 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%

Referred

# 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%

Selected3

# 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 USA Staffing for Temporary vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 The Relevant Pool includes all employees holding an occupational series and 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 9/30/2021, 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.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
236 | EEO PROGRAM STATUS REPORT TABLE A6T: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— TEMPORARY WORKFORCE—PAY PERIOD 202122 continued SK, SO, AND RELATED GRADES TEMPORARY 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 2021 Applicant Flow Data,1 0 information technology management external applications were marked selected. TOTAL Postings # 0 Voluntarily Identified

# 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%

Qualified of those Identified

# 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%

Referred of those Qualified

# 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%

Selected of those Referred2

# 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%

2210 Information Technology Management Onboarded3

# 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%

1 This table contains Applicant Flow Data from USA Staffing for Temporary vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021, 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 237

TABLE A6T: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX—TEMPORARY WORKFORCE—PAY PERIOD 202122 continued

SK, SO, AND RELATED GRADESTEMPORARY

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% 68.11% 31.89% 5.43% 1.92% 52.53% 23.99% 3.90% 1.70% 4.98% 3.02% 0.07% 0.00% 0.10% 0.41% 1.15% 0.86%

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

# 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

# 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

# 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-14

# 4 3 1 0 0 2 0 0 0 1 1 0 0 0 0 0 0

% 100% 75.00% 25.00% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 25.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-15

# 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-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%

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

# 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

# 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%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
238 | EEO PROGRAM STATUS REPORT TABLE A6T: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX— TEMPORARY WORKFORCE—PAY PERIOD 202122 continued SK, SO, AND RELATED GRADES TEMPORARY 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% 68.67% 31.33% 3.61% 1.20% 46.99% 18.07% 6.02% 0.00% 10.84% 12.05% 0.00% 0.00% 1.20% 0.00% 0.00% 0.00% TOTAL Postings # 0 TOTAL Applications Received

# 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%

Qualified # 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%

Referred # 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%

Selected3

# 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 USA Staffing for Temporary vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 The Relevant Pool includes all employees holding an occupational series and 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 9/30/2021, 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.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 239

TABLE A6T: PARTICIPATION IN MISSION CRITICAL OCCUPATIONS: DISTRIBUTION BY RACE/ETHNICITY AND SEX—TEMPORARY WORKFORCE—PAY PERIOD 202122 continued

SK, SO, AND RELATED GRADESTEMPORARY

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 2021 Applicant Flow Data,1 0 economist external applications were marked selected.

TOTAL Postings # 0VoluntarilyIdentified

# 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%

Qualified of those Identified

# 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%

Referred of those Qualified

# 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%

Selected of those Referred2

# 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%

0110 Economist Onboarded3

# 5 3 2 0 0 1 1 0 0 2 1 0 0 0 0 0 0

% 100% 60.00% 40.00% 0.00% 0.00% 20.00% 20.00% 0.00% 0.00% 40.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Temporary vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021, 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
240 | EEO PROGRAM STATUS REPORT TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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% 54.85% 45.15% 3.33% 2.61% 40.25% 25.79% 4.29% 9.29% 6.63% 6.92% 0.00% 0.02% 0.22% 0.12% 0.15% 0.39% GS Equivalent Senior Grade Levels TOTAL Senior Grade

# 4,034 2,282 1,752 138 94 1,676 1,062 175 297 278 279 0 1 9 5 6 14

% 100% 56.57% 43.43% 3.42% 2.33% 41.55% 26.33% 4.34% 7.36% 6.89% 6.92% 0.00% 0.02% 0.22% 0.12% 0.15% 0.35%

Internal Competitive Promotions1

Total All Senior Grade LevelsTOTALPostings # 131

TOTALApplications Received

# 5,354 3,134 2,220 379 280 1,185 570 897 1,052 607 256 6 0 27 16 33 46

% 100% 58.54% 41.46% 7.08% 5.23% 22.13% 10.65% 16.75% 19.65% 11.34% 4.78% 0.11% 0.00% 0.50% 0.30% 0.62% 0.86%

Qualified # 3,080 1,873 1,207 210 121 754 329 483 576 387 157 4 0 16 8 19 16

% 100% 60.81% 39.19% 6.82% 3.93% 24.48% 10.68% 15.68% 18.70% 12.56% 5.10% 0.13% 0.00% 0.52% 0.26% 0.62% 0.52%

Referred # 2,581 1,570 1,011 191 112 563 228 450 515 328 135 4 0 16 6 18 15

% 100% 60.83% 39.17% 7.40% 4.34% 21.81% 8.83% 17.44% 19.95% 12.71% 5.23% 0.15% 0.00% 0.62% 0.23% 0.70% 0.58%

Selected2 # 112 59 53 5 3 38 26 8 17 7 7 0 0 1 0 0 0

% 100% 52.68% 47.32% 4.46% 2.68% 33.93% 23.21% 7.14% 15.18% 6.25% 6.25% 0.00% 0.00% 0.89% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 09/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021, 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.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 241

TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 Postings1 # 96

VoluntarilyIdentified

# 5,698 3,668 2,030 447 243 1,702 782 738 662 747 312 2 2 18 3 14 26

% 100% 64.37% 35.63% 7.84% 4.26% 29.87% 13.72% 12.95% 11.62% 13.11% 5.48% 0.04% 0.04% 0.32% 0.05% 0.25% 0.46%

Qualified of those Identified

# 4,825 3,148 1,677 363 180 1,470 672 623 538 665 262 1 1 14 3 12 21

% 100% 65.24% 34.76% 7.52% 3.73% 30.47% 13.93% 12.91% 11.15% 13.78% 5.43% 0.02% 0.02% 0.29% 0.06% 0.25% 0.44%

Referred of those Qualified

# 737 463 274 45 18 264 135 71 63 79 53 1 0 1 1 2 4

% 100% 62.82% 37.18% 6.11% 2.44% 35.82% 18.32% 9.63% 8.55% 10.72% 7.19% 0.14% 0.00% 0.14% 0.14% 0.27% 0.54%

Selected of those Referred2

# 64 33 31 1 1 19 17 7 6 6 6 0 0 0 0 0 1

% 100% 51.56% 48.44% 1.56% 1.56% 29.69% 26.56% 10.94% 9.38% 9.38% 9.38% 0.00% 0.00% 0.00% 0.00% 0.00% 1.56%

TOTAL ONBOARDED3

# 183 106 77 7 3 62 43 17 11 18 20 0 0 0 0 2 0

% 100% 57.92% 42.08% 3.83% 1.64% 33.88% 23.50% 9.29% 6.01% 9.84% 10.93% 0.00% 0.00% 0.00% 0.00% 1.09% 0.00%

Career Development ProgramsCareer Development Programs for All Senior Grade Level JobsSlots4 # 0

Applied

# 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%

Participants

# 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 USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 09/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021, 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

4 Slots shows the total number of available training slots for career development programs targeting each GS-equivalent grade level. During FY 2021, 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: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
242 | EEO PROGRAM STATUS REPORT TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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

# 138 75 63 8 0 63 50 3 8 1 4 0 0 0 0 0 1

% 100% 54.35% 45.65% 5.80% 0.00% 45.65% 36.23% 2.17% 5.80% 0.72% 2.90% 0.00% 0.00% 0.00% 0.00% 0.00% 0.72%

Internal Competitive Promotions1

ExecRelevant Pool2 % 100% 58.09% 41.91% 3.38% 2.27% 43.41% 26.46% 3.89% 5.62% 7.10% 7.04% 0.00% 0.03% 0.17% 0.14% 0.14% 0.34%

TOTAL Postings # 3TOTALApplications Received

# 225 185 40 24 9 70 14 36 9 49 7 2 0 2 1 2 0

% 100% 82.22% 17.78% 10.67% 4.00% 31.11% 6.22% 16.00% 4.00% 21.78% 3.11% 0.89% 0.00% 0.89% 0.44% 0.89% 0.00%

Qualified # 105 87 18 9 4 36 7 15 2 23 4 1 0 1 1 2 0

% 100% 82.86% 17.14% 8.57% 3.81% 34.29% 6.67% 14.29% 1.90% 21.90% 3.81% 0.95% 0.00% 0.95% 0.95% 1.90% 0.00%

Referred # 105 87 18 9 4 36 7 15 2 23 4 1 0 1 1 2 0

% 100% 82.86% 17.14% 8.57% 3.81% 34.29% 6.67% 14.29% 1.90% 21.90% 3.81% 0.95% 0.00% 0.95% 0.95% 1.90% 0.00%

Selected3 # 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%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 09/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 The Relevant Pool includes all employees holding an occupational series and 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 9/30/2021, 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.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 243

TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 Postings1 # 5

VoluntarilyIdentified

# 156 97 59 8 8 60 23 18 20 9 6 0 0 1 1 1 1

% 100% 62.18% 37.82% 5.13% 5.13% 38.46% 14.74% 11.54% 12.82% 5.77% 3.85% 0.00% 0.00% 0.64% 0.64% 0.64% 0.64%

Qualified of those Identified

# 87 53 34 3 4 40 17 5 8 5 3 0 0 0 1 0 1

% 100% 60.92% 39.08% 3.45% 4.60% 45.98% 19.54% 5.75% 9.20% 5.75% 3.45% 0.00% 0.00% 0.00% 1.15% 0.00% 1.15%

Referred of those Qualified

# 87 53 34 3 4 40 17 5 8 5 3 0 0 0 1 0 1

% 100% 60.92% 39.08% 3.45% 4.60% 45.98% 19.54% 5.75% 9.20% 5.75% 3.45% 0.00% 0.00% 0.00% 1.15% 0.00% 1.15%

Selected of those Referred2

# 4 0 4 0 0 0 2 0 1 0 0 0 0 0 0 0 1

% 100% 0.00% 100% 0.00% 0.00% 0.00% 50.00% 0.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 25.00%

Exec Onboarded3

# 4 2 2 0 0 2 1 0 1 0 0 0 0 0 0 0 0

% 100% 50.00% 50.00% 0.00% 0.00% 50.00% 25.00% 0.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Career Development ProgramsCareer Development Programs for SES Equivalent JobsRelevant Pool4 % 100% 56.65% 43.35% 3.34% 2.41% 41.40% 25.98% 4.41% 7.42% 7.11% 7.06% 0.00% 0.03% 0.23% 0.13% 0.15% 0.33%

Slots5 # 0

Applied

# 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%

Participants

# 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 USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 09/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021, 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

4 The Relevant Pool includes all employees holding an occupational series and/or grade level that would qualify them for the programs.5 Slots shows the total number of available training slots for career development programs targeting the SES-equivalent level. During FY 2021, 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: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
244 | EEO PROGRAM STATUS REPORT TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 # 752 474 278 32 8 364 183 23 47 54 38 0 1 1 0 0 1

% 100% 63.03% 36.97% 4.26% 1.06% 48.40% 24.34% 3.06% 6.25% 7.18% 5.05% 0.00% 0.13% 0.13% 0.00% 0.00% 0.13%

Internal Competitive Promotions1

GS-15Relevant Pool2 % 100% 57.66% 42.34% 3.48% 2.46% 42.44% 26.42% 4.15% 5.71% 7.28% 7.21% 0.00% 0.00% 0.16% 0.16% 0.16% 0.38%

TOTAL Postings # 50TOTALApplications Received

# 1,554 1,003 551 119 67 409 175 278 231 177 66 2 0 7 5 11 7

% 100% 64.54% 35.46% 7.66% 4.31% 26.32% 11.26% 17.89% 14.86% 11.39% 4.25% 0.13% 0.00% 0.45% 0.32% 0.71% 0.45%

Qualified # 1,081 713 368 75 37 313 122 185 156 129 45 2 0 4 4 5 4

% 100% 65.96% 34.04% 6.94% 3.42% 28.95% 11.29% 17.11% 14.43% 11.93% 4.16% 0.19% 0.00% 0.37% 0.37% 0.46% 0.37%

Referred # 882 584 298 67 36 220 77 176 144 110 35 2 0 4 2 5 4

% 100% 66.21% 33.79% 7.60% 4.08% 24.94% 8.73% 19.95% 16.33% 12.47% 3.97% 0.23% 0.00% 0.45% 0.23% 0.57% 0.45%

Selected3 # 43 21 22 1 0 13 13 3 5 4 4 0 0 0 0 0 0

% 100% 48.84% 51.16% 2.33% 0.00% 30.23% 30.23% 6.98% 11.63% 9.30% 9.30% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 09/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 The Relevant Pool includes all employees holding an occupational series and 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 9/30/2021, 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.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 245

TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 Postings1 # 19

Voluntarily Identified

# 658 502 156 38 13 237 57 114 57 111 25 0 2 1 0 1 2

% 100% 76.29% 23.71% 5.78% 1.98% 36.02% 8.66% 17.33% 8.66% 16.87% 3.80% 0.00% 0.30% 0.15% 0.00% 0.15% 0.30%

Qualified of those Identified

# 599 462 137 34 11 215 50 103 51 108 23 0 1 1 0 1 1% 100% 77.13% 22.87% 5.68% 1.84% 35.89% 8.35% 17.20% 8.51% 18.03% 3.84% 0.00% 0.17% 0.17% 0.00% 0.17% 0.17%

Referred of those Qualified

# 89 59 30 4 2 35 17 7 5 13 5 0 0 0 0 0 1

% 100% 66.29% 33.71% 4.49% 2.25% 39.33% 19.10% 7.87% 5.62% 14.61% 5.62% 0.00% 0.00% 0.00% 0.00% 0.00% 1.12%

Selected of those Referred2

# 9 4 5 0 1 3 2 0 1 1 1 0 0 0 0 0 0

% 100% 44.44% 55.56% 0.00% 11.11% 33.33% 22.22% 0.00% 11.11% 11.11% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

GS-15 Onboarded3

# 12 6 6 1 0 4 2 0 0 1 4 0 0 0 0 0 0

% 100% 50.00% 50.00% 8.33% 0.00% 33.33% 16.67% 0.00% 0.00% 8.33% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Career Development ProgramsCareer Development Programs for SK 15 – 17Relevant Pool4 % 100% 58.09% 41.91% 3.38% 2.27% 43.41% 26.46% 3.89% 5.62% 7.10% 7.04% 0.00% 0.03% 0.17% 0.14% 0.14% 0.34%

Slots5 # 0

Applied

# 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%

Participants

# 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 USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 09/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021, 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

4 The Relevant Pool includes all employees holding an occupational series and/or grade level that would qualify them for the programs.5 Slots shows the total number of available training slots for career development programs targeting each GS-equivalent grade level. During FY 2021, 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: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
246 | EEO PROGRAM STATUS REPORT TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 # 2,770 1,572 1,198 87 72 1,165 749 114 151 196 210 0 0 5 5 5 11

% 100% 56.75% 43.25% 3.14% 2.60% 42.06% 27.04% 4.12% 5.45% 7.08% 7.58% 0.00% 0.00% 0.18% 0.18% 0.18% 0.40%

Internal Competitive Promotions1

GS-14Relevant Pool2 % 100% 55.10% 44.90% 3.76% 2.85% 38.69% 25.50% 4.95% 8.61% 7.32% 7.49% 0.00% 0.00% 0.17% 0.10% 0.20% 0.34%

TOTAL Postings # 56TOTALApplications Received

# 2,274 1,332 942 168 109 529 281 354 402 256 127 2 0 15 6 8 17

% 100% 58.58% 41.42% 7.39% 4.79% 23.26% 12.36% 15.57% 17.68% 11.26% 5.58% 0.09% 0.00% 0.66% 0.26% 0.35% 0.75%

Qualified # 1,291 779 512 88 45 322 157 187 221 165 80 1 0 10 3 6 6

% 100% 60.34% 39.66% 6.82% 3.49% 24.94% 12.16% 14.48% 17.12% 12.78% 6.20% 0.08% 0.00% 0.77% 0.23% 0.46% 0.46%

Referred # 1,041 623 418 78 40 228 101 168 200 133 68 1 0 10 3 5 6

% 100% 59.85% 40.15% 7.49% 3.84% 21.90% 9.70% 16.14% 19.21% 12.78% 6.53% 0.10% 0.00% 0.96% 0.29% 0.48% 0.58%

Selected3 # 54 35 19 4 1 23 11 5 4 2 3 0 0 1 0 0 0

% 100% 64.81% 35.19% 7.41% 1.85% 42.59% 20.37% 9.26% 7.41% 3.70% 5.56% 0.00% 0.00% 1.85% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 09/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 The Relevant Pool includes all employees holding an occupational series and 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 9/30/2021, 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.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 247

TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 Postings1 # 53

VoluntarilyIdentified

# 3,124 1,998 1,126 257 129 915 452 377 350 427 183 2 0 14 1 6 11

% 100% 63.96% 36.04% 8.23% 4.13% 29.29% 14.47% 12.07% 11.20% 13.67% 5.86% 0.06% 0.00% 0.45% 0.03% 0.19% 0.35%

Qualified of those Identified

# 2,540 1,652 888 195 83 768 387 308 265 364 144 1 0 11 1 5 8

% 100% 65.04% 34.96% 7.68% 3.27% 30.24% 15.24% 12.13% 10.43% 14.33% 5.67% 0.04% 0.00% 0.43% 0.04% 0.20% 0.31%

Referred of those Qualified

# 397 242 155 21 7 139 81 32 30 46 36 1 0 1 0 2 1

% 100% 60.96% 39.04% 5.29% 1.76% 35.01% 20.40% 8.06% 7.56% 11.59% 9.07% 0.25% 0.00% 0.25% 0.00% 0.50% 0.25%

Selected of those Referred2

# 36 22 14 0 0 14 9 4 1 4 4 0 0 0 0 0 0

% 100% 61.11% 38.89% 0.00% 0.00% 38.89% 25.00% 11.11% 2.78% 11.11% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

GS-14 Onboarded3

# 89 65 24 4 1 35 13 10 3 14 7 0 0 0 0 2 0

% 100% 73.03% 26.97% 4.49% 1.12% 39.33% 14.61% 11.24% 3.37% 15.73% 7.87% 0.00% 0.00% 0.00% 0.00% 2.25% 0.00%

Career Development ProgramsCareer Development Programs for SK 13 – 14Relevant Pool4 % 100% 56.10% 43.90% 3.42% 2.59% 40.31% 25.88% 4.70% 7.70% 7.27% 7.21% 0.00% 0.00% 0.23% 0.14% 0.17% 0.37%

Slots5 # 0

Applied

# 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%

Participants

# 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 USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 09/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021, 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

4 The Relevant Pool includes all employees holding an occupational series and/or grade level that would qualify them for the programs.5 Slots shows the total number of available training slots for career development programs targeting each GS-equivalent grade level. During FY 2021, 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: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
248 | EEO PROGRAM STATUS REPORT TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 # 374 161 213 11 14 84 80 35 91 27 27 0 0 3 0 1 1

% 100% 43.05% 56.95% 2.94% 3.74% 22.46% 21.39% 9.36% 24.33% 7.22% 7.22% 0.00% 0.00% 0.80% 0.00% 0.27% 0.27%

Internal Competitive Promotions1

GS-13Relevant Pool2 % 100% 27.15% 72.85% 1.81% 5.43% 12.22% 18.55% 9.95% 41.18% 2.71% 6.79% 0.00% 0.00% 0.45% 0.45% 0.00% 0.45%

TOTAL Postings # 22TOTALApplications Received

# 1,301 614 687 68 95 177 100 229 410 125 56 0 0 3 4 12 22

% 100% 47.19% 52.81% 5.23% 7.30% 13.60% 7.69% 17.60% 31.51% 9.61% 4.30% 0.00% 0.00% 0.23% 0.31% 0.92% 1.69%

Qualified # 603 294 309 38 35 83 43 96 197 70 28 0 0 1 0 6 6

% 100% 48.76% 51.24% 6.30% 5.80% 13.76% 7.13% 15.92% 32.67% 11.61% 4.64% 0.00% 0.00% 0.17% 0.00% 1.00% 1.00%

Referred # 553 276 277 37 32 79 43 91 169 62 28 0 0 1 0 6 5

% 100% 49.91% 50.09% 6.69% 5.79% 14.29% 7.78% 16.46% 30.56% 11.21% 5.06% 0.00% 0.00% 0.18% 0.00% 1.08% 0.90%

Selected3 # 14 2 12 0 2 1 2 0 8 1 0 0 0 0 0 0 0

% 100% 14.29% 85.71% 0.00% 14.29% 7.14% 14.29% 0.00% 57.14% 7.14% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 09/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 The Relevant Pool includes all employees holding an occupational series and 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 9/30/2021, 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.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 249

TABLE A7: PARTICIPATION RATES FOR SENIOR GRADE LEVELS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 Postings1 # 19

VoluntarilyIdentified

# 1,760 1,071 689 144 93 490 250 229 235 200 98 0 0 2 1 6 12

% 100% 60.85% 39.15% 8.18% 5.28% 27.84% 14.20% 13.01% 13.35% 11.36% 5.57% 0.00% 0.00% 0.11% 0.06% 0.34% 0.68%

Qualified of those Identified

# 1,599 981 618 131 82 447 218 207 214 188 92 0 0 2 1 6 11

% 100% 61.35% 38.65% 8.19% 5.13% 27.95% 13.63% 12.95% 13.38% 11.76% 5.75% 0.00% 0.00% 0.13% 0.06% 0.38% 0.69%

Referred of those Qualified

# 164 109 55 17 5 50 20 27 20 15 9 0 0 0 0 0 1

% 100% 66.46% 33.54% 10.37% 3.05% 30.49% 12.20% 16.46% 12.20% 9.15% 5.49% 0.00% 0.00% 0.00% 0.00% 0.00% 0.61%

Selected of those Referred2

# 15 7 8 1 0 2 4 3 3 1 1 0 0 0 0 0 0

% 100% 46.67% 53.33% 6.67% 0.00% 13.33% 26.67% 20.00% 20.00% 6.67% 6.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

GS-13 Onboarded3

# 78 33 45 2 2 21 27 7 7 3 9 0 0 0 0 0 0

% 100% 42.31% 57.69% 2.56% 2.56% 26.92% 34.62% 8.97% 8.97% 3.85% 11.54% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Career Development ProgramsCareer Development Programs for SK 13 – 14Relevant Pool4 % 100% 35.31% 64.69% 2.54% 5.08% 17.37% 19.49% 9.60% 33.19% 4.94% 6.21% 0.00% 0.00% 0.71% 0.14% 0.14% 0.56%

Slots5 # 0

Applied

# 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%

Participants

# 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 USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 09/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021, 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

4 The Relevant Pool includes all employees holding an occupational series and/or grade level that would qualify them for the programs.5 Slots shows the total number of available training slots for career development programs targeting each GS-equivalent grade level. During FY 2021, 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: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
250 | EEO PROGRAM STATUS REPORT TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 Upward Mobility Benchmark 100% 55.83% 44.17% 3.32% 2.49% 41.58% 26.47% 4.06% 7.62% 6.58% 7.09% 0.00% 0.03% 0.19% 0.13% 0.11% 0.35% Leadership Levels TOTAL Management

# 886 540 346 39 9 418 232 27 58 55 44 0 1 1 0 0 2

% 100% 60.95% 39.05% 4.40% 1.02% 47.18% 26.19% 3.05% 6.55% 6.21% 4.97% 0.00% 0.11% 0.11% 0.00% 0.00% 0.23%

Internal Competitive Promotions1

TOTAL Leadership LevelsTOTAL Postings # 55TOTALApplications Received

# 1,850 1,229 621 148 82 503 198 323 252 229 76 4 0 9 6 13 7

% 100% 66.43% 33.57% 8.00% 4.43% 27.19% 10.70% 17.46% 13.62% 12.38% 4.11% 0.22% 0.00% 0.49% 0.32% 0.70% 0.38%

Qualified # 1,206 812 394 84 42 357 132 204 161 152 50 3 0 5 5 7 4

% 100% 67.33% 32.67% 6.97% 3.48% 29.60% 10.95% 16.92% 13.35% 12.60% 4.15% 0.25% 0.00% 0.41% 0.41% 0.58% 0.33%

Referred # 1,007 683 324 76 41 264 87 195 149 133 40 3 0 5 3 7 4

% 100% 67.83% 32.17% 7.55% 4.07% 26.22% 8.64% 19.36% 14.80% 13.21% 3.97% 0.30% 0.00% 0.50% 0.30% 0.70% 0.40%

Selected2 # 45 23 22 1 0 15 13 3 5 4 4 0 0 0 0 0 0

% 100% 51.11% 48.89% 2.22% 0.00% 33.33% 28.89% 6.67% 11.11% 8.89% 8.89% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021 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.

Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 251

TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 Postings1 # 26

VoluntarilyIdentified

# 917 647 270 52 28 324 104 140 97 126 34 0 2 2 1 3 4

% 100% 70.56% 29.44% 5.67% 3.05% 35.33% 11.34% 15.27% 10.58% 13.74% 3.71% 0.00% 0.22% 0.22% 0.11% 0.33% 0.44%

Qualified of those Identified

# 741 547 194 40 17 272 74 114 70 118 29 0 1 1 1 2 2

% 100% 73.82% 26.18% 5.40% 2.29% 36.71% 9.99% 15.38% 9.45% 15.92% 3.91% 0.00% 0.13% 0.13% 0.13% 0.27% 0.27%

Referred of those Qualified

# 189 118 71 8 6 78 35 13 19 18 8 0 0 0 1 1 2

% 100% 62.43% 37.57% 4.23% 3.17% 41.27% 18.52% 6.88% 10.05% 9.52% 4.23% 0.00% 0.00% 0.00% 0.53% 0.53% 1.06%

Selected of those Referred2

# 13 4 9 0 1 3 4 0 2 1 1 0 0 0 0 0 1

% 100% 30.77% 69.23% 0.00% 7.69% 23.08% 30.77% 0.00% 15.38% 7.69% 7.69% 0.00% 0.00% 0.00% 0.00% 0.00% 7.69%

TOTAL LEADERSHIPONBOARDED3

# 18 9 9 1 0 7 3 0 2 1 4 0 0 0 0 0 0

% 100% 50.00% 50.00% 5.56% 0.00% 38.89% 16.67% 0.00% 11.11% 5.56% 22.22% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Career Development ProgramsCareer Development Programs for All Leadership JobsSlots4 # 0

Applied

# 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%

Participants

# 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 USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

4 Slots shows the total number of available training slots for career development programs targeting each leadership level. During FY 2021, 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: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
252 | EEO PROGRAM STATUS REPORT TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 # 138 75 63 8 0 63 50 3 8 1 4 0 0 0 0 0 1

% 100% 54.35% 45.65% 5.80% 0.00% 45.65% 36.23% 2.17% 5.80% 0.72% 2.90% 0.00% 0.00% 0.00% 0.00% 0.00% 0.72%

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 # 138 75 63 8 0 63 50 3 8 1 4 0 0 0 0 0 1

% 100% 54.35% 45.65% 5.80% 0.00% 45.65% 36.23% 2.17% 5.80% 0.72% 2.90% 0.00% 0.00% 0.00% 0.00% 0.00% 0.72%

Internal Competitive Promotions1

ExecutiveRelevant Pool2 % 100% 61.40% 38.60% 2.59% 0.78% 51.04% 26.94% 1.81% 4.92% 5.70% 5.70% 0.00% 0.26% 0.26% 0.00% 0.00% 0.00%

TOTAL Postings # 3TOTALApplications Received

# 225 185 40 24 9 70 14 36 9 49 7 2 0 2 1 2 0

% 100% 82.22% 17.78% 10.67% 4.00% 31.11% 6.22% 16.00% 4.00% 21.78% 3.11% 0.89% 0.00% 0.89% 0.44% 0.89% 0.00%

Qualified # 105 87 18 9 4 36 7 15 2 23 4 1 0 1 1 2 0

% 100% 82.86% 17.14% 8.57% 3.81% 34.29% 6.67% 14.29% 1.90% 21.90% 3.81% 0.95% 0.00% 0.95% 0.95% 1.90% 0.00%

Referred # 105 87 18 9 4 36 7 15 2 23 4 1 0 1 1 2 0

% 100% 82.86% 17.14% 8.57% 3.81% 34.29% 6.67% 14.29% 1.90% 21.90% 3.81% 0.95% 0.00% 0.95% 0.95% 1.90% 0.00%

Selected3 # 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%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 The Relevant Pool includes all employees holding an occupational series and 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 9/30/2021 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.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 253

TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 Postings1 # 5 Executive

Voluntarily Identified

# 156 97 59 8 8 60 23 18 20 9 6 0 0 1 1 1 1

% 100% 62.18% 37.82% 5.13% 5.13% 38.46% 14.74% 11.54% 12.82% 5.77% 3.85% 0.00% 0.00% 0.64% 0.64% 0.64% 0.64%

Qualified of those Identified

# 87 53 34 3 4 40 17 5 8 5 3 0 0 0 1 0 1

% 100% 60.92% 39.08% 3.45% 4.60% 45.98% 19.54% 5.75% 9.20% 5.75% 3.45% 0.00% 0.00% 0.00% 1.15% 0.00% 1.15%

Referred of those Qualified

# 87 53 34 3 4 40 17 5 8 5 3 0 0 0 1 0 1

% 100% 60.92% 39.08% 3.45% 4.60% 45.98% 19.54% 5.75% 9.20% 5.75% 3.45% 0.00% 0.00% 0.00% 1.15% 0.00% 1.15%

Selected of those Referred2

# 4 0 4 0 0 0 2 0 1 0 0 0 0 0 0 0 1

% 100% 0.00% 100% 0.00% 0.00% 0.00% 50.00% 0.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 25.00%

Executive Onboarded3

# 4 2 2 0 0 2 1 0 1 0 0 0 0 0 0 0 0

% 100% 50.00% 50.00% 0.00% 0.00% 50.00% 25.00% 0.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Career Development ProgramsCareer Development Programs for Executive LevelsRelevant Pool4 % 100% 56.65% 43.35% 3.34% 2.41% 41.40% 25.98% 4.41% 7.42% 7.11% 7.06% 0.00% 0.03% 0.23% 0.13% 0.15% 0.33%

Slots5 # 0

Applied

# 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%

Participants

# 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 USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

4 The Relevant Pool includes all employees holding an occupational series and/or grade level that would qualify them for the programs.5 Slots shows the total number of available training slots for career development programs targeting each leadership level. During FY 2021, 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: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
254 | EEO PROGRAM STATUS REPORT TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 # 386 237 149 10 3 197 104 7 19 22 22 0 1 1 0 0 0

% 100% 61.40% 38.60% 2.59% 0.78% 51.04% 26.94% 1.81% 4.92% 5.70% 5.70% 0.00% 0.26% 0.26% 0.00% 0.00% 0.00%

SK-17 # 386 237 149 10 3 197 104 7 19 22 22 0 1 1 0 0 0

% 100% 61.40% 38.60% 2.59% 0.78% 51.04% 26.94% 1.81% 4.92% 5.70% 5.70% 0.00% 0.26% 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 Promotions1

ManagerRelevant Pool2 % 100% 63.16% 36.84% 5.82% 1.66% 43.77% 21.61% 4.71% 8.31% 8.86% 4.99% 0.00% 0.00% 0.00% 0.00% 0.00% 0.28%

TOTAL Postings # 29TOTALApplications Received

# 632 395 237 52 32 199 92 100 76 40 32 0 0 2 1 2 4

% 100% 62.50% 37.50% 8.23% 5.06% 31.49% 14.56% 15.82% 12.03% 6.33% 5.06% 0.00% 0.00% 0.32% 0.16% 0.32% 0.63%

Qualified # 335 219 116 22 9 135 59 43 24 18 22 0 0 1 1 0 1

% 100% 65.37% 34.63% 6.57% 2.69% 40.30% 17.61% 12.84% 7.16% 5.37% 6.57% 0.00% 0.00% 0.30% 0.30% 0.00% 0.30%

Referred # 213 137 76 20 8 65 31 42 21 9 15 0 0 1 0 0 1

% 100% 64.32% 35.68% 9.39% 3.76% 30.52% 14.55% 19.72% 9.86% 4.23% 7.04% 0.00% 0.00% 0.47% 0.00% 0.00% 0.47%

Selected3 # 26 9 17 0 0 8 10 0 3 1 4 0 0 0 0 0 0

% 100% 34.62% 65.38% 0.00% 0.00% 30.77% 38.46% 0.00% 11.54% 3.85% 15.38% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 The Relevant Pool includes all employees holding an occupational series and 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 9/30/2021 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.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 255

TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 Postings1 # 12

VoluntarilyIdentified

# 358 280 78 19 7 130 29 65 29 65 11 0 1 0 0 1 1

% 100% 78.21% 21.79% 5.31% 1.96% 36.31% 8.10% 18.16% 8.10% 18.16% 3.07% 0.00% 0.28% 0.00% 0.00% 0.28% 0.28%

Qualified of those Identified

# 313 251 62 16 5 115 22 56 25 63 9 0 1 0 0 1 0

% 100% 80.19% 19.81% 5.11% 1.60% 36.74% 7.03% 17.89% 7.99% 20.13% 2.88% 0.00% 0.32% 0.00% 0.00% 0.32% 0.00%

Referred of those Qualified

# 46 33 13 0 1 21 7 5 1 7 4 0 0 0 0 0 0

% 100% 71.74% 28.26% 0.00% 2.17% 45.65% 15.22% 10.87% 2.17% 15.22% 8.70% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected of those Referred2

# 4 1 3 0 1 1 1 0 0 0 1 0 0 0 0 0 0

% 100% 25.00% 75.00% 0.00% 25.00% 25.00% 25.00% 0.00% 0.00% 0.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Manager Onboarded3

# 7 3 4 1 0 2 0 0 0 0 4 0 0 0 0 0 0

% 100% 42.86% 57.14% 14.29% 0.00% 28.57% 0.00% 0.00% 0.00% 0.00% 57.14% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Career Development ProgramsCareer Development Programs for ManagersRelevant Pool4 % 100% 58.09% 41.91% 3.38% 2.27% 43.41% 26.46% 3.89% 5.62% 7.10% 7.04% 0.00% 0.03% 0.17% 0.14% 0.14% 0.34%

Slots5 # 0

Applied

# 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%

Participants

# 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 USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

4 The Relevant Pool includes all employees holding an occupational series and/or grade level that would qualify them for the programs.5 Slots shows the total number of available training slots for career development programs targeted each leadership level. During FY 2021, 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: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
256 | EEO PROGRAM STATUS REPORT TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 # 362 228 134 21 6 158 78 17 31 32 18 0 0 0 0 0 1

% 100% 62.98% 37.02% 5.80% 1.66% 43.65% 21.55% 4.70% 8.56% 8.84% 4.97% 0.00% 0.00% 0.00% 0.00% 0.00% 0.28%

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 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 5 5 0 0 4 3 1 1 0 1 0 0 0 0 0 0

% 100% 50.00% 50.00% 0.00% 0.00% 40.00% 30.00% 10.00% 10.00% 0.00% 10.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-15 # 342 220 122 21 5 151 73 16 27 32 16 0 0 0 0 0 1

% 100% 64.33% 35.67% 6.14% 1.46% 44.15% 21.35% 4.68% 7.89% 9.36% 4.68% 0.00% 0.00% 0.00% 0.00% 0.00% 0.29%

SK-16 # 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%

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 257

TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 Promotions1

SupervisorRelevant Pool2 % 100% 51.67% 48.33% 3.31% 3.24% 35.74% 25.45% 5.42% 11.30% 6.77% 7.84% 0.00% 0.00% 0.21% 0.14% 0.21% 0.36%

TOTAL Postings # 23TOTALApplications Received

# 993 649 344 72 41 234 92 187 167 140 37 2 0 5 4 9 3

% 100% 65.36% 34.64% 7.25% 4.13% 23.56% 9.26% 18.83% 16.82% 14.10% 3.73% 0.20% 0.00% 0.50% 0.40% 0.91% 0.30%

Qualified

# 766 506 260 53 29 186 66 146 135 111 24 2 0 3 3 5 3

% 100% 66.06% 33.94% 6.92% 3.79% 24.28% 8.62% 19.06% 17.62% 14.49% 3.13% 0.26% 0.00% 0.39% 0.39% 0.65% 0.39%

Referred

# 689 459 230 47 29 163 49 138 126 101 21 2 0 3 2 5 3

% 100% 66.62% 33.38% 6.82% 4.21% 23.66% 7.11% 20.03% 18.29% 14.66% 3.05% 0.29% 0.00% 0.44% 0.29% 0.73% 0.44%

Selected3

# 18 13 5 1 0 6 3 3 2 3 0 0 0 0 0 0 0

% 100% 72.22% 27.78% 5.56% 0.00% 33.33% 16.67% 16.67% 11.11% 16.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 The Relevant Pool includes all employees holding an occupational series and grade 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 9/30/2021 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.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
258 | EEO PROGRAM STATUS REPORT TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 Postings1 # 9 Voluntarily Identified

# 403 270 133 25 13 134 52 57 48 52 17 0 1 1 0 1 2

% 100% 67.00% 33.00% 6.20% 3.23% 33.25% 12.90% 14.14% 11.91% 12.90% 4.22% 0.00% 0.25% 0.25% 0.00% 0.25% 0.50%

Qualified of those Identified

# 341 243 98 21 8 117 35 53 37 50 17 0 0 1 0 1 1

% 100% 71.26% 28.74% 6.16% 2.35% 34.31% 10.26% 15.54% 10.85% 14.66% 4.99% 0.00% 0.00% 0.29% 0.00% 0.29% 0.29%

Referred of those Qualified

# 56 32 24 5 1 17 11 3 10 6 1 0 0 0 0 1 1

% 100% 57.14% 42.86% 8.93% 1.79% 30.36% 19.64% 5.36% 17.86% 10.71% 1.79% 0.00% 0.00% 0.00% 0.00% 1.79% 1.79%

Selected of those Referred2

# 5 3 2 0 0 2 1 0 1 1 0 0 0 0 0 0 0

% 100% 60.00% 40.00% 0.00% 0.00% 40.00% 20.00% 0.00% 20.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Supervisor Onboarded3

# 7 4 3 0 0 3 2 0 1 1 0 0 0 0 0 0 0

% 100% 57.14% 42.86% 0.00% 0.00% 42.86% 28.57% 0.00% 14.29% 14.29% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

1 This table contains Applicant Flow Data from USA Staffing for Permanent vacancies posted with close dates during the fiscal year ending on 9/30/2021 (i.e., between 10/1/2020 and 9/30/2021). 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. Cancelled vacancies are excluded. Applicant Flow Data vary based on the date downloaded.

2 Selected in this reference reflects all candidates who were marked as selected for a vacancy that closed during the fiscal year ending on 9/30/2021 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.

3 Onboarded includes all newly hired staff with an effective date of hire during the fiscal year ending on 09/30/2021. The number onboarded may not equal the number selected from a vacancy posted during the fiscal 

year because USA Staffing does not report on vacancies with no close date. In addition, the time lag between selection and onboarding may cross fiscal years.

Note: Total calculations shown may not match that derived from detail data presented due to rounding.Source: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 259

TABLE A8: PARTICIPATION RATES FOR MANAGEMENT POSITIONS BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE—PAY PERIOD 202122 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 Pool1 % 100% 56.10% 43.90% 3.42% 2.59% 40.31% 25.88% 4.70% 7.70% 7.27% 7.21% 0.00% 0.00% 0.23% 0.14% 0.17% 0.37%

Slots2 # 0

Applied

# 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%

Participants

# 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 The Relevant Pool includes all employees holding an occupational series and/or grade level that would qualify them for the programs.2 Slots shows the total number of available training slots for career development programs targeted each leadership level. During FY 2021, 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: USA Staffing Cognos Applicant Flow Data System, Datamart FPPS Application, and EEO-AT Analytic File for pay period 202122, downloaded on 11/12/2021
260 | EEO PROGRAM STATUS REPORT TABLE A9-1: EMPLOYEE RECOGNITION AND AWARDS—PARTICIPATION BY RACE/ETHNICITY AND SEX— PAY PERIOD 202122 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 # 1,462 704 758 54 38 496 441 72 166 76 101 0 0 6 1 0 11 % 100% 48.15% 51.85% 3.69% 2.60% 33.93% 30.16% 4.92% 11.35% 5.20% 6.91% 0.00% 0.00% 0.41% 0.07% 0.00% 0.75% TOTAL Hours 10,272 5,050 5,222 385 261 3,602 3,090 475 1,116 550 685 0 0 38 4 0 66 Average Hours 7 7 7 7 7 7 7 7 7 7 7 0 0 6 4 0 6 Time-Off Awards: 11 – 20 hours

TOTAL Time-OffAwards Given

# 782 411 371 27 27 298 215 36 81 48 46 0 0 2 0 0 2

% 100% 52.56% 47.44% 3.45% 3.45% 38.11% 27.49% 4.60% 10.36% 6.14% 5.88% 0.00% 0.00% 0.26% 0.00% 0.00% 0.26%

TOTAL Hours 12,285 6,468 5,817 434 412 4,660 3,363 590 1,286 752 720 0 0 32 0 0 36

Average Hours 16 16 16 16 15 16 16 16 16 16 16 0 0 16 0 0 18

Time-Off Awards: 21 – 30 hoursTOTALTime-OffAwards Given

# 360 163 197 10 13 127 122 12 26 14 31 0 1 0 2 0 2

% 100% 45.28% 54.72% 2.78% 3.61% 35.28% 33.89% 3.33% 7.22% 3.89% 8.61% 0.00% 0.28% 0.00% 0.56% 0.00% 0.56%

TOTAL Hours 8,646 3,912 4,734 240 312 3,048 2,934 288 624 336 744 0 24 0 48 0 48

Average Hours 24 24 24 24 24 24 24 24 24 24 24 0 24 0 24 0 24

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 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 261

TABLE A9-1: EMPLOYEE RECOGNITION AND AWARDS—PARTICIPATION BY RACE/ETHNICITY AND SEX—PAY PERIOD 202122 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

# 69 34 35 3 0 24 25 1 5 6 5 0 0 0 0 0 0

% 100% 49.28% 50.72% 4.35% 0.00% 34.78% 36.23% 1.45% 7.25% 8.70% 7.25% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTAL Hours 2,446 1,195 1,251 104 0 845 896 32 168 214 187 0 0 0 0 0 0

Average Hours 35 35 36 35 0 35 36 32 34 36 37 0 0 0 0 0 0

Time-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 0

Average Hours 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

Time-Off Awards: 11 – 40 hoursTOTALTime-OffAwards Given

# 1,211 608 603 40 40 449 362 49 112 68 82 0 1 2 2 0 4

% 100% 50.21% 49.79% 3.30% 3.30% 37.08% 29.89% 4.05% 9.25% 5.62% 6.77% 0.00% 0.08% 0.17% 0.17% 0.00% 0.33%

TOTAL Hours 23,377 11,575 11,802 778 724 8,553 7,193 910 2,078 1,302 1,651 0 24 32 48 0 84

Average Hours 19 19 20 19 18 19 20 19 19 19 20 0 24 16 24 0 21

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 202122, downloaded on 11/12/2021
262 | EEO PROGRAM STATUS REPORT TABLE A9-1: EMPLOYEE RECOGNITION AND AWARDS—PARTICIPATION BY RACE/ETHNICITY AND SEX— PAY PERIOD 202122 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

# 1,066 532 534 44 27 393 289 48 149 44 57 0 0 2 4 1 8

% 100% 49.91% 50.09% 4.13% 2.53% 36.87% 27.11% 4.50% 13.98% 4.13% 5.35% 0.00% 0.00% 0.19% 0.38% 0.09% 0.75%

TOTALAmount $433,888 $218,361 $215,527 $17,288 $10,540 $163,427 $119,004 $18,321 $56,994 $18,455 $24,373 $0 $0 $470 $1,966 $400 $2,650

Average Amount $407 $410 $404 $393 $390 $416 $412 $382 $383 $419 $428 $0 $0 $235 $492 $400 $331

Cash Awards: $501 to $999TOTALCashAwards Given

# 821 470 351 19 20 343 200 51 77 54 49 0 0 2 0 1 5

% 100% 57.25% 42.75% 2.31% 2.44% 41.78% 24.36% 6.21% 9.38% 6.58% 5.97% 0.00% 0.00% 0.24% 0.00% 0.12% 0.61%

TOTAL Amount $590,557 $338,149 $252,408 $13,152 $15,222 $247,295 $143,424 $36,422 $56,302 $38,780 $33,780 $0 $0 $1,750 $0 $750 $3,680

Average Amount $719 $719 $719 $692 $761 $721 $717 $714 $731 $718 $689 $0 $0 $875 $0 $750 $736

Cash Awards: $1,000 to $1,999TOTALCashAwards Given

# 1,878 1,021 857 59 54 756 499 65 164 136 128 0 0 4 4 1 8

% 100% 54.37% 45.63% 3.14% 2.88% 40.26% 26.57% 3.46% 8.73% 7.24% 6.82% 0.00% 0.00% 0.21% 0.21% 0.05% 0.43%

TOTALAmount $2,313,089 $1,263,550 $1,049,539 $73,875 $67,950 $939,108 $614,024 $78,450 $192,352 $166,367 $159,919 $0 $0 $4,750 $4,394 $1,000 $10,900

Average Amount $1,232 $1,238 $1,225 $1,252 $1,258 $1,242 $1,231 $1,207 $1,173 $1,223 $1,249 $0 $0 $1,188 $1,099 $1,000 $1,363

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 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 263

TABLE A9-1: EMPLOYEE RECOGNITION AND AWARDS—PARTICIPATION BY RACE/ETHNICITY AND SEX—PAY PERIOD 202122 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

# 445 265 180 14 5 206 119 11 27 32 28 0 1 2 0 0 0

% 100% 59.55% 40.45% 3.15% 1.12% 46.29% 26.74% 2.47% 6.07% 7.19% 6.29% 0.00% 0.22% 0.45% 0.00% 0.00% 0.00%

TOTAL Amount $986,196 $590,243 $395,953 $29,999 $11,091 $457,573 $265,023 $25,371 $57,581 $73,300 $60,258 $0 $2,000 $4,000 $0 $0 $0

Average Amount $2,216 $2,227 $2,200 $2,143 $2,218 $2,221 $2,227 $2,306 $2,133 $2,291 $2,152 $0 $2,000 $2,000 $0 $0 $0

Cash Awards: $3,000 or More

TOTALCashAwards Given

# 21 15 6 1 0 7 5 1 1 6 0 0 0 0 0 0 0

% 100% 71.43% 28.57% 4.76% 0.00% 33.33% 23.81% 4.76% 4.76% 28.57% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTALAmount $85,189 $57,389 $27,800 $6,389 $0 $27,500 $24,800 $3,000 $3,000 $20,500 $0 $0 $0 $0 $0 $0 $0

Average Amount $4,057 $3,826 $4,633 $6,389 $0 $3,929 $4,960 $3,000 $3,000 $3,417 $0 $0 $0 $0 $0 $0 $0

Other AwardsPerformance Based Pay Increase

TOTALPerf BasedAward

# 4,304 2,315 1,989 139 116 1,691 1,107 200 461 271 281 0 1 10 6 4 17

% 100% 53.79% 46.21% 3.23% 2.70% 39.29% 25.72% 4.65% 10.71% 6.30% 6.53% 0.00% 0.02% 0.23% 0.14% 0.09% 0.39%

TOTALBenefit $24,094,362 $13,202,262 $10,892,100 $885,444 $648,540 $9,408,510 $5,963,356 $1,183,108 $2,492,587 $1,641,020 $1,624,711 $0 $2,500 $54,473 $42,735 $29,707 $117,671

Average Benefit $5,598 $5,703 $5,476 $6,370 $5,591 $5,564 $5,387 $5,916 $5,407 $6,055 $5,782 $0 $2,500 $5,447 $7,123 $7,427 $6,922

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 202122, downloaded on 11/12/2021
264 | EEO PROGRAM STATUS REPORT TABLE A9-2: EMPLOYEE RECOGNITION AND AWARDS—INCLUSION WITHIN THE PERMANENT WORKFORCE BY RACE/ETHNICITY AND SEX—PAY PERIOD 202122 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 # 1,061 517 544 40 30 367 308 47 123 59 76 0 0 4 1 0 6 Inc. 23.99% 21.70% 26.65% 27.40% 25.21% 21.34% 27.21% 22.17% 26.34% 20.56% 25.42% 0.00% 0.00% 36.36% 16.67% 0.00% 35.29% TOTAL Hours Awarded 10,272 5,050 5,222 385 261 3,602 3,090 475 1,116 550 685 0 0 38 4 0 66 Avg. Hours per Emp. 10 10 10 10 9 10 10 10 9 9 9 0 0 10 4 0 11 Time-Off Awards: 11 – 20 hours

TOTALAwardedTime-Off

# 682 359 323 25 23 258 184 34 72 41 42 0 0 1 0 0 2

Inc. 15.42% 15.07% 15.83% 17.12% 19.33% 15.00% 16.25% 16.04% 15.42% 14.29% 14.05% 0.00% 0.00% 9.09% 0.00% 0.00% 11.76%

TOTAL Hours Awarded 12,285 6,468 5,817 434 412 4,660 3,363 590 1,286 752 720 0 0 32 0 0 36

Avg. Hours per Emp. 18 18 18 17 18 18 18 17 18 18 17 0 0 32 0 0 18

Time-Off Awards: 21 – 30 hoursTOTALAwardedTime-Off

# 321 148 173 8 12 115 106 11 24 14 26 0 1 0 2 0 2

Inc. 7.26% 6.21% 8.48% 5.48% 10.08% 6.69% 9.36% 5.19% 5.14% 4.88% 8.70% 0.00% 100% 0.00% 33.33% 0.00% 11.76%

TOTAL Hours Awarded 8,646 3,912 4,734 240 312 3,048 2,934 288 624 336 744 0 24 0 48 0 48

Avg. Hours per Emp. 27 26 27 30 26 27 28 26 26 24 29 0 24 0 24 0 24

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 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 265

TABLE A9-2: EMPLOYEE RECOGNITION AND AWARDS—INCLUSION WITHIN THE PERMANENT WORKFORCE BY RACE/ETHNICITY AND SEX—PAY PERIOD 202122 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

# 62 31 31 3 0 22 21 1 5 5 5 0 0 0 0 0 0

Inc. 1.40% 1.30% 1.52% 2.05% 0.00% 1.28% 1.86% 0.47% 1.07% 1.74% 1.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTAL Hours Awarded 2,446 1,195 1,251 104 0 845 896 32 168 214 187 0 0 0 0 0 0

Avg. Hours per Emp. 39 39 40 35 0 38 43 32 34 43 37 0 0 0 0 0 0

Time-Off Awards: 41+ hoursTOTALAwardedTime-Off

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

Inc. 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 0

Avg. Hours per Emp. 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

Time-Off Awards: 11 – 40 hoursTOTALAwardedTime-Off

# 1,012 513 499 36 34 375 289 45 100 56 70 0 1 1 2 0 3

Inc. 22.88% 21.54% 24.45% 24.66% 28.57% 21.80% 25.53% 21.23% 21.41% 19.51% 23.41% 0.00% 100% 9.09% 33.33% 0.00% 17.65%

TOTAL Hours Awarded 23,377 11,575 11,802 778 724 8,553 7,193 910 2,078 1,302 1,651 0 24 32 48 0 84

Avg. Hours per Emp. 23 23 24 22 21 23 25 20 21 23 24 0 24 32 24 0 28

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 202122, downloaded on 11/12/2021
266 | EEO PROGRAM STATUS REPORT TABLE A9-2: EMPLOYEE RECOGNITION AND AWARDS—INCLUSION WITHIN THE PERMANENT WORKFORCE BY RACE/ETHNICITY AND SEX—PAY PERIOD 202122 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 # 850 428 422 29 25 325 228 36 116 36 48 0 0 1 2 1 3 Inc. 19.22% 17.97% 20.68% 19.86% 21.01% 18.90% 20.14% 16.98% 24.84% 12.54% 16.05% 0.00% 0.00% 9.09% 33.33% 16.67% 17.65% TOTAL Cash Awarded $433,888 $218,361 $215,527 $17,288 $10,540 $163,427 $119,004 $18,321 $56,994 $18,455 $24,373 $0 $0 $470 $1,966 $400 $2,650 Avg. Cash per Emp. $510 $510 $511 $596 $422 $503 $522 $509 $491 $513 $508 $0 $0 $470 $983 $400 $883 Cash Awards: $501 to $999

TOTALAwardedCash

# 714 400 314 18 19 294 175 43 73 42 42 0 0 2 0 1 5

Inc. 16.14% 16.79% 15.38% 12.33% 15.97% 17.09% 15.46% 20.28% 15.63% 14.63% 14.05% 0.00% 0.00% 18.18% 0.00% 16.67% 29.41%

TOTAL Cash Awarded $590,557 $338,149 $252,408 $13,152 $15,222 $247,295 $143,424 $36,422 $56,302 $38,780 $33,780 $0 $0 $1,750 $0 $750 $3,680Avg. Cash per Emp. $827 $845 $804 $731 $801 $841 $820 $847 $771 $923 $804 $0 $0 $875 $0 $750 $736

Cash Awards: $1,000 to $1,999TOTAL

AwardedCash

# 1,665 900 765 52 52 668 434 60 151 115 117 0 0 4 4 1 7

Inc. 37.64% 37.78% 37.48% 35.62% 43.70% 38.84% 38.34% 28.30% 32.33% 40.07% 39.13% 0.00% 0.00% 36.36% 66.67% 16.67% 41.18%

TOTAL Cash Awarded $2,313,089 $1,263,550 $1,049,539 $73,875 $67,950 $939,108 $614,024 $78,450 $192,352 $166,367 $159,919 $0 $0 $4,750 $4,394 $1,000 $10,900

Avg. Cash per Emp. $1,389 $1,404 $1,372 $1,421 $1,307 $1,406 $1,415 $1,308 $1,274 $1,447 $1,367 $0 $0 $1,188 $1,099 $1,000 $1,557

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 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 267

TABLE A9-2: EMPLOYEE RECOGNITION AND AWARDS—INCLUSION WITHIN THE PERMANENT WORKFORCE BY RACE/ETHNICITY AND SEX—PAY PERIOD 202122 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

# 429 256 173 14 5 199 113 9 26 32 28 0 1 2 0 0 0

Inc. 9.70% 10.75% 8.48% 9.59% 4.20% 11.57% 9.98% 4.25% 5.57% 11.15% 9.36% 0.00% 100% 18.18% 0.00% 0.00% 0.00%

TOTAL Cash Awarded $986,196 $590,243 $395,953 $29,999 $11,091 $457,573 $265,023 $25,371 $57,581 $73,300 $60,258 $0 $2,000 $4,000 $0 $0 $0

Avg. Cash per Emp. $2,299 $2,306 $2,289 $2,143 $2,218 $2,299 $2,345 $2,819 $2,215 $2,291 $2,152 $0 $2,000 $2,000 $0 $0 $0

Cash Awards: $3,000 or MoreTOTALAwardedCash

# 21 15 6 1 0 7 5 1 1 6 0 0 0 0 0 0 0

Inc. 0.47% 0.63% 0.29% 0.68% 0.00% 0.41% 0.44% 0.47% 0.21% 2.09% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTAL Cash Awarded $85,189 $57,389 $27,800 $6,389 $0 $27,500 $24,800 $3,000 $3,000 $20,500 $0 $0 $0 $0 $0 $0 $0Avg. Cash per Emp. $4,057 $3,826 $4,633 $6,389 $0 $3,929 $4,960 $3,000 $3,000 $3,417 $0 $0 $0 $0 $0 $0 $0

Other AwardsPerformance Based Pay IncreaseTOTALAwardedPerf. Based

# 4,304 2,315 1,989 139 116 1,691 1,107 200 461 271 281 0 1 10 6 4 17

Inc. 97.31% 97.19% 97.45% 95.21% 97.48% 98.31% 97.79% 94.34% 98.72% 94.43% 93.98% 0.00% 100% 90.91% 100% 66.67% 100%

TOTAL Perf. Based $24,094,362 $13,202,262 $10,892,100 $885,444 $648,540 $9,408,510 $5,963,356 $1,183,108 $2,492,587 $1,641,020 $1,624,711 $0 $2,500 $54,473 $42,735 $29,707 $117,671

Avg. Benefit per Emp. $5,598 $5,703 $5,476 $6,370 $5,591 $5,564 $5,387 $5,916 $5,407 $6,055 $5,782 $0 $2,500 $5,447 $7,123 $7,427 $6,922

PermanentWorkforce

# 4,423 2,382 2,041 146 119 1,720 1,132 212 467 287 299 0 1 11 6 6 17

% 100% 53.85% 46.15% 3.30% 2.69% 38.89% 25.59% 4.79% 10.56% 6.49% 6.76% 0.00% 0.02% 0.25% 0.14% 0.14% 0.38%

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 202122, downloaded on 11/12/2021
268 | EEO PROGRAM STATUS REPORT TABLE B1: TOTAL WORKFORCE—DISTRIBUTION BY DISABILITY [OPM FORM 256 SELF-IDENTIFICATION CODES] PAY PERIODS 202022 TO 202122

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 # 4,493 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%

Current FY # 4,536 3,904 227 344 61 405 81 0 1 36 7 3 5 6 4 0 15 1 3

% 100% 86.07% 5.00% 7.58% 1.34% 8.93% 1.79% 0.00% 0.02% 0.79% 0.15% 0.07% 0.11% 0.13% 0.09% 0.00% 0.33% 0.02% 0.07%

Difference # 43 25 4 1 13 14 -5 0 0 -2 0 0 0 0 1 0 -4 0 0

Ratio Change

% 0.00% -0.26% 0.04% -0.05% 0.27% 0.23% -0.12% 0.00% 0.00% -0.06% -0.01% 0.00% 0.00% 0.00% 0.02% 0.00% -0.09% 0.00% 0.00%

Net Change

% 0.96% 0.64% 1.79% 0.29% 27.08% 3.58% -5.81% 0.00% 0.00% -5.26% 0.00% 0.00% 0.00% 0.00% 33.33% 0.00% -21.05% 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).

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 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 269

TABLE B1: TOTAL WORKFORCE—DISTRIBUTION BY DISABILITY [OPM FORM 256 SELF-IDENTIFICATION CODES] PAY PERIODS 202022 TO 202122 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

# 4,389 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%

Current FY

# 4,423 3,813 216 336 58 394 80 0 1 36 7 3 5 6 3 0 15 1 3

% 100% 86.21% 4.88% 7.60% 1.31% 8.91% 1.81% 0.00% 0.02% 0.81% 0.16% 0.07% 0.11% 0.14% 0.07% 0.00% 0.34% 0.02% 0.07%

Difference # 34 27 -3 -2 12 10 -5 0 0 -2 0 0 0 0 0 0 -3 0 0

Ratio Change % 0.00% -0.05% -0.11% -0.10% 0.26% 0.16% -0.13% 0.00% 0.00% -0.06% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% -0.07% 0.00% 0.00%

Net Change % 0.77% 0.71% -1.37% -0.59% 26.09% 2.60% -5.88% 0.00% 0.00% -5.26% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% -16.67% 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).

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 202122, downloaded on 11/12/2021
270 | EEO PROGRAM STATUS REPORT TABLE B1: TOTAL WORKFORCE—DISTRIBUTION BY DISABILITY [OPM FORM 256 SELF-IDENTIFICATION CODES] PAY PERIODS 202022 TO 202122 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 # 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%

Current FY # 113 91 11 8 3 11 1 0 0 0 0 0 0 0 1 0 0 0 0

% 100% 80.53% 9.73% 7.08% 2.65% 9.73% 0.88% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.88% 0.00% 0.00% 0.00% 0.00%

Difference # 9 -2 7 3 1 4 0 0 0 0 0 0 0 0 1 0 -1 0 0

Ratio Change

% 0.00% -8.89% 5.88% 2.27% 0.73% 3.00% -0.08% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.88% 0.00% -0.96% 0.00% 0.00%

Net Change

% 8.65% -2.15% 175.00% 60.00% 50.00% 57.14% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% -100.00% 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).

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 202122, downloaded on 11/12/2021
FISCAL YEAR 2021 | 271

TABLE B1: TOTAL WORKFORCE—DISTRIBUTION BY DISABILITY [OPM FORM 256 SELF-IDENTIFICATION CODES] PAY PERIODS 202022 TO 202122 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

# 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%

Current FY

# 10 0 0 8 2 10 1 0 0 0 0 0 0 0 0 0 1 0 0

% 100% 0.00% 0.00% 80.00% 20.00% 100% 10.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 10.00% 0.00% 0.00%

Difference # 3 0 0 1 2 3 -2 0 0 -1 0 0 0 0 0 0 -1 0 0

Ratio Change % 0.00% 0.00% 0.00% -20.00% 20.00% 0.00% -32.86% 0.00% 0.00% -14.29% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% -18.57% 0.00% 0.00%

Net Change % 42.86% 0.00% 0.00% 14.29% 0.00% 42.86% -66.67% 0.00% 0.00% -100.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% -50.00% 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 202122, downloaded on 11/12/2021
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