U.S. SECURITIES AND 

EXCHANGE COMMISSION

FISCAL YEAR 2015

ANNUAL 

EQUAL EMPLOYMENT 

OPPORTUNITY PROGRAM 

STATUS REPORT

MANAGEMENT DIRECTIVE 715
U.S. SECURITIES AND EXCHANGE COMMISSION

ANNUAL EQUAL EMPLOYMENT 

OPPORTUNITY PROGRAM 

STATUS REPORT

MANAGEMENT DIRECTIVE 715

FISCAL YEAR 2015

Prepared by

THE OFFICE OF EQUAL EMPLOYMENT OPPORTUNITY

CONTENTS

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

EXECUTIVE SUMMARY (PART E). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3

Mission of the U.S. Securities and Exchange Commission. . . . . . . . . . . . . . . . . . . . .3

Commission’s Annual Self-Assessment against MD-715 

“Essential Elements”. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Essential Element A: Demonstrated Commitment from Commission Leadership. . .4

Essential Element B: Integration of EEO into the Commission’s Strategic Mission . 5

Essential Element C: Management and Program Accountability. . . . . . . . . . . . .6

Essential Element D: Proactive Prevention of Unlawful Discrimination. . . . . . . . .6

Essential Element E: Efficiency. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7

Essential Element F: Responsiveness and Legal Compliance. . . . . . . . . . . . . . . .7

Analysis of Workforce Profiles. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7

SEC Workforce. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7

Applicant Flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

New Hires. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Participation Rates for SEC Major Occupations . . . . . . . . . . . . . . . . . . . . 12

Supervisory and Management Demographics. . . . . . . . . . . . . . . . . . . . . . . 13

Internal Competitive Promotions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Career Ladder Promotions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Employee Recognition and Awards. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Separations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Summary of EEO Plan Objectives Planned to Eliminate Identified Barriers or 

Correct Program Deficiencies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Barriers to Executive (Senior Officer) Level Positions . . . . . . . . . . . . . . . . . 16

Persons with Targeted Disabilities (PWTD) in SEC’s Total Workforce. . . . . . . . . 17

Barrier Analysis Plan for Hispanics in the SEC Workforce. . . . . . . . . . . . . . . . 17

Summary of EEO Plan Action Items Implemented or Accomplished . . . . . . . . . . . . 18

Applicant Flow Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

Barrier Analyses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

Assessing Headquarters’ Divisions and Offices Compliance with 

EEO Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

Periodic Training for Supervisors and Hiring Officials Related to the Hiring, 

Promotion, and Reasonable Accommodation of Individuals with Disabilities . . . 18

Accomplishments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

FISCAL YEAR 2015 | iii
CERTIFICATION OF ESTABLISHMENT OF CONTINUING 

EQUAL EMPLOYMENT OPPORTUNITY PROGRAMS (PART F). . . . . . . . . . . . . . . . . . 25

PLAN FOR ATTAINING THE ESSENTIAL ELEMENTS OF A MODEL 

EEO PROGRAM (PART H) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

PLANS TO ELIMINATE IDENTIFIED BARRIER (PART I). . . . . . . . . . . . . . . . . . . . . . . 29

SPECIAL PROGRAM PLAN FOR THE RECRUITMENT, HIRING, AND 

ADVANCEMENT OF INDIVIDUALS WITH TARGETED DISABILITIES (PART J). . . . . . . . . 41

Part V—Goals, Objectives and Strategies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

EQUAL EMPLOYMENT OPPORTUNITY POLICY. . . . . . . . . . . . . . . . . . . . . . . . . . . 45

POLICY ON PREVENTING HARASSMENT (PPH) . . . . . . . . . . . . . . . . . . . . . . . . . 46

FISCAL YEAR 2015 462 REPORT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

SEC’S ORGANIZATIONAL STRUCTURE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

SEC Organization Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

WORKFORCE DATA TABLES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

iv | EEO PROGRAM STATUS REPORT
FISCAL YEAR 2015 | 1

U.S. SECURITIES AND EXCHANGE 

COMMISSION INFORMATION 

(PARTS A, B, C, D)

EEOC FORM

715-01 

PART A - D 

U.S. Equal Employment Opportunity Commission

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

For period covering October 1, 2014 to September 30, 2015.

PART A

Department

or Agency

Identifying

Information

1. Agency 1. U.S. Securities and Exchange Commission

1.a. 2nd level reporting component

1.b. 3rd level reporting component

1.c. 4th level reporting component

2. Address 2. 100 F Street, NE

3. City, State, Zip Code 3. Washington, DC 20549

4. CPDF Code 5. FIPS code(s) 4. SE00 5. 8840

PART B

Total

Employment

1. Enter total number of permanent full-time and part-time employees 1. 4310

2. Enter total number of temporary employees 2. 130

3. Enter total number employees paid from non-appropriated funds 3. 0

4. TOTAL EMPLOYMENT [add lines B 1 through 3] 4. 4440

PART C

Agency

Official(s)

Responsible

For Oversight

of EEO

Program(s)

1. Head of Agency 

Official Title

1. Mary Jo White

 Chair

2. Agency Head Designee 2. Alta G. Rodriguez, Director, Office of Equal 

Employment Opportunity (OEEO)

3. Principal EEO Director/Official

Title/series/grade

3. Alta G. Rodriguez, Director, OEEO

4. Title VII Affirmative EEO 

Program Official

4. Alta G. Rodriguez, Director, OEEO

5. Section 501 Affirmative Action

Program Official

5. Alta G. Rodriguez, Director, OEEO

6. Complaint Processing Program

Manager

6. Alta G. Rodriguez, Director, OEEO

7. Other Responsible Stakeholders Lacey Dingman, Chief Human Capital Officer, 

Office of Human Resources

Pamela A. Gibbs, Director, Office of Minority and 

Women Inclusion
2 | EEO PROGRAM STATUS REPORT

EEOC FORM

715-01 

PART A - D 

U.S. Equal Employment Opportunity Commission

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

PART D

List of Subordinate Components Covered in This 

Report

Subordinate Component and 

Location (City/State)

CPDF and FIPS 

codes

EEOC FORMS and Documents Included With This Report

*Executive Summary [FORM 715-01 

PART E], that includes:

X *Optional Annual Self-Assessment Checklist Against 

Essential Elements [FORM 715-01PART G]

X

Brief paragraph describing the 

agency's mission and missionrelated functions

X *EEO Plan To Attain the Essential Elements of a 

Model EEO Program [FORM 715-01PART H] for each 

programmatic essential element requiring improvement

X

Summary of results of agency's 

annual self-assessment against 

MD-715 "Essential Elements"

X *EEO Plan To Eliminate Identified Barrier 

[FORM 715-01 PART I] for each identified barrier

X

Summary of Analysis of Workforce 

Profiles including net change 

analysis and comparison to RCLF

X *Special Program Plan for the Recruitment, Hiring, and 

Advancement of Individuals With Targeted Disabilities for 

agencies with 1,000 or more employees [FORM 715-01 

PART J]

X

Summary of EEO Plan objectives 

planned to eliminate identified 

barriers or correct program 

deficiencies

X *Copy of Workforce Data Tables as necessary to support 

Executive Summary and/or EEO Plans

X

Summary of EEO Plan action items 

implemented or accomplished

X *Copy of data from 462 Report as necessary to support 

action items related to Complaint Processing Program 

deficiencies, ADR effectiveness, or other compliance 

issues1

N/A

*Statement of Establishment of 

Continuing Equal Employment 

Opportunity Programs

[FORM 715-01 PART F]

X *Copy of Facility Accessibility Survey results as necessary 

to support EEO Action Plan for building renovation projects

N/A

*Copies of relevant EEO Policy 

Statement(s) and/or excerpts from 

revisions made to EEO Policy 

Statements

X *Organizational Chart X

1 The SEC previously submitted the FY 2015 462 Report to the EEOC.
FISCAL YEAR 2015 | 3

EXECUTIVE SUMMARY 

(PART E)

EEOC FORM 

715-01 

U.S. Equal Employment Opportunity Commission 

FEDERAL AGENCY ANNUAL 

PART E EEO PROGRAM STATUS REPORT

U.S. Securities and Exchange Commission For period covering October 1, 2014 to September 30, 2015.

MISSION OF THE U.S. SECURITIES AND EXCHANGE COMMISSION

The mission of the U.S. Securities and Exchange Commission (SEC, Commission, or agency) is to 

protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation.

The SEC oversees the key participants in the securities industry, including securities exchanges,

broker-dealers, investment advisers, municipal advisors, clearing agents, transfer agents, mutual

funds, and exchange-traded funds. Currently, the SEC is charged with overseeing approximately 

27,000 market participants, including nearly 12,000 investment advisers, almost 11,000 mutual funds 

and exchange-traded funds, over 4,000 broker-dealers, and over 400 transfer agents. The agency also 

oversees 18 national securities exchanges, 10 credit rating agencies, and six active registered clearing 

agencies, as well as the Public Company Accounting Oversight Board (PCAOB), Financial Industry 

Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), the Securities Investor Protection Corporation (SIPC), and the Financial Accounting Standards Board (FASB).

In addition, the SEC is responsible for selectively reviewing the disclosures and financial statements 

of over 9,100 reporting companies. In recent years, the SEC’s responsibilities have also dramatically 

increased, adding new duties or expanded jurisdiction over securities-based derivatives, hedge fund 

and other private fund advisers, credit rating agencies, municipal advisors, and clearing agencies, as 

well as a responsibility to implement a new regime for crowdfunding offerings.

The SEC is an independent federal agency established pursuant to the Securities Exchange Act of 1934 

(Exchange Act). The SEC’s core values are integrity, excellence, accountability, effectiveness, teamwork, and fairness. 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 10, 2013, Mary Jo 

White was sworn in as the 31st Chair of the SEC.

The SEC is organized into five divisions (Corporation Finance, Enforcement, Economic and Risk 

Analysis, Investment Management, and Trading and Markets) and 24 offices, including the Office of 

Compliance Inspections and Examinations (OCIE), which administers the Commission’s National 

Examination Program. 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, 2015, the SEC had a total workforce of 4,440 employees, including 4,310 permanent employees and 130 temporary employees. See Table A1.
4 | EEO PROGRAM STATUS REPORT

COMMISSION’S ANNUAL SELF-ASSESSMENT AGAINST MD-715 

“ESSENTIAL ELEMENTS”

Essential Element A: 

Demonstrated Commitment from Commission Leadership

The SEC’s commitment to equal employment opportunity (EEO) is evident in Chair White’s Equal 

Employment Opportunity Policy, dated October 6, 2015, which reads, in part:

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 providing you with 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, religion, national origin, disability, or 

genetic information. 

Each of us must support an individual’s right, without fear of retaliation, to: (1) 

participate in the EEO process; and/or (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 inquiries into allegations of discrimination, 

harassment and/or retaliation. 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....

Thank you for your continued efforts to make the promise of equal employment 

opportunity a reality.

As further evidence of senior leadership’s commitment to equality of opportunity, the Chair and 

each Commissioner actively sponsor one or more of the nine Employee Resource Groups (ERGs).

The Office of Equal Employment Opportunity (OEEO) had oversight responsibility for eight of the 

ERGs as part of the SEC’s EEO Special Emphasis Programs until August 2015 when the responsibility was transferred to the Office of Minority and Women Inclusion (OMWI). The remaining ERG, 

the Veteran’s Committee, is sponsored by the Office of Human Resources (OHR). The SEC’s senior 

leadership supports the ERGs and encourages employees to participate in ERG events and activities 

held throughout the year.
FISCAL YEAR 2015 | 5

In addition, each year, the Chair presents a Diversity and Inclusion Award to a member of the SEC 

staff or a group of staff members to show the Commission’s special appreciation for employees who 

contribute significantly to the advancement of diversity efforts at the SEC or in their communities.

In 2015, nine SEC staff members were recognized for advancing diversity and inclusion at the 

Commission.

The SEC also promotes diversity through the efforts of OMWI, which was established in 2011, 

pursuant to Section 342 of the Dodd-Frank Wall Street Reform and Consumer Protection Act 

(Dodd-Frank Act).

2

 The SEC’s OMWI Director reports to the Chair of the Commission. OMWI is 

responsible for all matters relating to diversity in management, employment and business activities at 

the SEC. The OMWI Director is required to develop standards for the equal employment opportunity and diversity of the workforce and senior management of the SEC.

 

In 2015, SEC staff taught securities law courses at Florida International University and Howard 

University to expose diverse law students to the workings of the Commission and to the regulation of 

securities and securities markets.

Essential Element B: 

Integration of EEO into the Commission’s Strategic Mission

The SEC’s Strategic Plan for Fiscal Years (FY) 2014-2018 underscores the Commission’s commitment to attract and retain a highly-effective and diverse workforce. The plan includes the following 

language:

Strategic Goal 4: Enhance the Commission’s Performance Through Effective Alignment and 

Management of Human, Information and Financial Capital

Strategic Objective 4.1: The SEC promotes a results-oriented work environment that 

attracts, engages, and retains a technically proficient and diverse workforce, including leaders who provide motivation and strategic direction.

To accomplish this strategic objective, the SEC is focusing on: increasing employee engagement and 

retention; enhancing employee development programs; and continuing the construction and implementation of a comprehensive leadership development program.

In furtherance of the Strategic Plan, the SEC developed and maintains partnerships and alliances with 

diverse professional organizations and educational institutions. The SEC leverages these relationships 

to reach a broader and more diverse pool of applicants for employment at the Commission. In FY 

2015, these organizations included, among others: Association of Latino Professionals in Finance

and Accounting; Pan-Asian Leaders in Finance and Accounting; Hispanic Bar Association of the 

District of Columbia; Hispanic National Bar Association; National Association of Asian MBAs; 

National Association of Black Accountants; National Bar Association; National Bar Association 

Greater Washington, D.C., Chapter; National Black MBA Association; South Asian Bar Association 

of Washington, D.C.; Women’s Bar Association of the District of Columbia; Diverse Partners Network; and the Thurgood Marshall College Fund.

2 See Section 342(b)(2)(A)-(C) (12 U.S.C. § 5452(b)(2)(A)-(C)).
6 | EEO PROGRAM STATUS REPORT

The SEC is also focused on providing employment opportunities for individuals with disabilities. The 

SEC’s goals, as reflected in its Disability Employment Plan, are to continue to attract, engage, hire, 

and retain individuals with disabilities. The number of SEC permanent employees with targeted disabilities increased in FY 2015 (from 39 in FY 2014 to 41 individuals in FY 2015). The percentage of 

SEC permanent employees with disabilities also increased from 4.91% in FY 2014 to 5.59% in FY 

2015. See Table B1.

Essential Element C: 

Management and Program Accountability

The OEEO Director reports directly to the Chair of the Commission. In FY 2015, OEEO staff 

consisted of six attorneys (including the Director and a Deputy Director), two EEO specialists, two 

management and program analysts, and a program support specialist. In FY 2015, OEEO had the 

support of three contract data analysts. OEEO compliance program functions include counseling, 

alternative dispute resolution, investigation, and final adjudication processes.

Consistent with the Notification and Federal Employee Antidiscrimination and Retaliation Act of 

2002 (No FEAR Act), OEEO informs new employees of their rights and remedies under antidiscrimination laws and whistleblower protection laws within 90 days of their appointment.

OEEO leverages the talents of SEC employees in the Home Office and Regional Offices who, in 

addition to performing their primary duties and responsibilities, volunteer to serve as EEO Counselors in a collateral duty capacity. In FY 2015, collateral duty EEO Counselors attended quarterly

training sessions hosted by OEEO in addition to their mandatory eight-hour refresher course training delivered by experts from the U.S. Equal Employment Opportunity Commission (EEOC). In FY 

2015, OEEO recruited and trained two additional collateral duty EEO Counselors from the SEC’s 

Regional Offices.

The SEC engaged in numerous actions to promote accountability of its EEO program during FY 

2015. As required by the No FEAR Act, the SEC posted EEO complaint processing data on its 

internal and public websites. In FY 2015, for the fifth consecutive year, the SEC posted its FY 2014 

Annual EEO Program Report on its internal and public websites in a Section 508-compliant format.

SEC managers and supervisors were also evaluated on various competencies, including EEO and 

diversity and inclusion elements.

Essential Element D: 

Proactive Prevention of Unlawful Discrimination

As part of its proactive prevention efforts, the SEC publishes EEO policies covering harassment 

prevention, reasonable accommodation, and permissible religious expression on its internal website.

The SEC also publishes information on the EEO complaint process, EEO policies, and the roles 

and responsibilities of OEEO on its internal and public websites. EEO posters are placed in hightraffic areas in SEC buildings and offices to provide employees and applicants for employment with 

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

or OEEO.

The SEC’s offices are accessible to persons with physical disabilities in compliance with the Architectural Barriers Act.
FISCAL YEAR 2015 | 7

Essential Element E: 

Efficiency

In FY 2015, 50 counseling matters were initiated, 27 formal EEO complaints were filed, and five Final 

Agency Decisions of no discrimination were issued. Most of the formal EEO complaints were based 

on claims of age, reprisal, and race and/or sex discrimination. Common issues raised in the formal 

EEO complaints were harassment (non-sexual), promotion/non-selection, and terms/conditions of 

employment.

In FY 2015, OEEO utilized its alternative dispute resolution (ADR) program, the Conflict-2-Resolution Program (C2R). While there are various forms of ADR, C2R primarily offers mediation and 

facilitation to resolve workplace disputes that include allegations of employment discrimination. In FY 

2015, there were a total of 45 informal complaints processed. Among these 45 informal complaints, 

ADR was offered 36 times (reflecting an 80% offer rate) and 18 (or 50%) individuals elected ADR.

In FY 2015, through C2R, seven mediations and four facilitations were conducted. Seven, or approximately 64%, of these 11 matters settled or resulted in the counselee not filing a formal complaint.

Essential Element F: 

Responsiveness and Legal Compliance

The SEC has conducted an annual self-assessment of Section 717 and Section 501 programs against 

the essential elements, as prescribed by EEOC’s Management Directive 715 (MD-715). Where the 

Commission found non-compliance with the MD-715 requirements, the SEC developed a plan for 

addressing the gaps as further discussed in Part H of this report. The SEC has addressed all gaps identified in prior fiscal years. See EEO Plan for Attaining the Essential Elements of a Model EEO Program.

ANALYSIS OF WORKFORCE PROFILES

The SEC analyzed its workforce profiles to identify any triggers that may require further inquiry as 

to the existence of any barriers to equal employment opportunities for any employee group based on 

race, ethnicity, sex or disability. The SEC’s plans to complete barrier analyses are included with this 

EEO Program Status Report.

SEC Workforce

In FY 2015, the SEC had 4,440 employees, 4,310 permanent and 130 temporary. Of the 4,310 permanent employees, there were 2,321 (53.85%) males and 1,989 (46.15%) females. The SEC hired 394 

permanent employees and there were 214 voluntary separations. See Tables A1, A8, and A14.

SEC Permanent Workforce % Compared to Civilian Labor Force (CLF) %

Race/Ethnicity CLF % Total 

SEC %

Male 

SEC %

Female 

SEC %

Hispanic or Latino 9.96 4.99 2.60 2.39

White 72.36 66.82 40.39 26.43

Black or African American 12.02 16.38 4.99 11.39

Asian 3.90 10.91 5.50 5.41

Native Hawaiian/Other Pacific Islander 0.14 0.07 0.02 0.05

American Indian/Alaska Native 1.08 0.42 0.28 0.14

Two or More Races 0.54 0.42 0.07 0.35
8 | EEO PROGRAM STATUS REPORT

Applicant Flow 

In FY 2015, it became possible to remove duplicate entries from the applicant flow data due to 

OPM’s addition of a unique identifier. The applicant flow data was analyzed for the four major occupations at the SEC: economist; attorney; accountant; and compliance examiner. See Table A7. Below 

are the highlights of the analysis.

Economist (0110): 318 Applicants

In FY 2015, the SEC received 318 applications and made 21 selections for economist positions. Of 

the 318 applicants, 145 (or less than half of the 318 applicants) voluntarily self-identified their diversity demographics. Of the 145 applicants who self-identified, 68.28% were male, and 31.72% were 

female. Only seven of the 21 selected applicants self-identified. The following are the demographics 

of the individuals who applied and self-identified for the economist positions, those who qualified for 

the positions, and the seven applicants that were ultimately selected:

EEO Group

Number of 

Individuals Who 

Self-Identified 

Number of Individuals 

Who Self-Identified and 

Were Deemed Qualified

Number and Percentage 

of Individuals Who SelfIdentified and Were Selected

Hispanic 17 7 1 (14.29%) female

White 65 28 4 (57.14%) males

African American 24 10 0

Asian 35 7 2 (28.57%) females

American Indian/

Alaska Native

4 0 0

The same number of Hispanic and Asian applicants who self-identified was deemed qualified (seven).

Two Asians and one Hispanic were selected. Of the 24 African American applicants who selfidentified, 10 were qualified and none were selected. Among the applicants who self-identified, White 

males (57.14%) and Asian females (28.57%) had the highest selection percentages. See Table A7.
FISCAL YEAR 2015 | 9

General Attorney (0905): 9,814 Applicants

The SEC received 9,814 applications and made 142 selections for attorney positions. Of the 9,814 

applicants, 4,311 self-identified. Of those who self-identified, 2,611 (60.57%) were male and 1,700 

(39.43%) were female. Only 47 of the 142 selected applicants self-identified. Of the 47 selectees who 

self-identified, 18 were male and 29 were female. Twenty-seven (57.44%) of those selected and selfidentified were White. Specifically, 25.53% were White males.

EEO Group

Number of 

Individuals Who 

Self-Identified 

Number of Individuals 

Who Self-Identified and 

Were Deemed Qualified

Number and Percentage 

of Individuals Who SelfIdentified and Were Selected

Hispanic 573 440 2 (4.26%), 1 male and 1 female

White 2231 1825 27 (57.44%), 12 males and 15 

females

African American 828 621 6 (12.77%), 1 male and 5 females

Asian 559 433 10 (21.28%), 4 males and 6 

females

Native Hawaiian/ 

Other Pacific Islander

3 3 0

American Indian/

Alaska Native

66 54 1 (2.13%) female

Accountant (0510): 4,506 Applicants

In FY 2015, the SEC received 4,506 applications and made 63 selections for accountant positions.

Two thousand one hundred forty-five self-identified their demographics (1,147 males and 998 

females). Only 27 of those selected self-identified. The demographics of the 1,294 applicants who selfidentified, were deemed qualified, and were selected are as follows: 

EEO Group

Number of 

Individuals Who 

Self-Identified 

Number of Individuals 

Who Self-Identified and 

Were Deemed Qualified

Number and Percentage 

of Individuals Who SelfIdentified and Were Selected

Hispanic 339 198 7 (25.93%), 5 males and 2 

females

White 703 422 12 (44.44%), 4 males and 8 

females

African American 696 423 1 (3.70%) female

Asian 353 211 7 (25.93%), 4 males and 3 

females

Native Hawaiian/ 

Other Pacific Islander

4 4 0

American Indian/

Alaska Native

12 8 0
10 | EEO PROGRAM STATUS REPORT

Securities and Compliance Examiners (1831): 6,178 Applicants

In FY 2015, the SEC received 6,178 applications and made 43 selections for securities and compliance examiner (examiner) positions. Three thousand and ninety-three applicants voluntarily selfidentified their demographics. Of the 3,093 that self-identified, 1,998 (64.60%) were male and 1,095 

(35.40%) were female. Seventeen of those who self-identified were among the 43 selected as examiners. The following are the demographics of those who self-identified, were deemed qualified, and 

ultimately selected for the examiner positions.

EEO Group

Number of 

Individuals Who 

Self-Identified 

Number of Individuals 

Who Self-Identified and 

Were Deemed Qualified

Number and Percentage 

of Individuals Who SelfIdentified and Were Selected

Hispanic 548 367 0

White 1141 823 14 (82.35%), 8 males and 

6 females 

African American 1021 774 2 (11.76%), 1 male and 1 female

Asian 298 217 1 (5.88%) male

Native Hawaiian/ 

Other Pacific Islander

14 8 0

American Indian/

Alaska Native

16 11 0

The data reflects that African Americans represented almost 34.60% of those who qualified for the 

examiner positions and two African Americans were selected, representing 11.76% of selections of 

those who self-identified. White applicants represented 36.79% of those who were deemed qualified 

and represented 82.35% of those who self-identified and were selected. See Table A7.

In regard to applicant flow for individuals with disabilities, the SEC received applications from a 

total of 48,557 applicants in FY 2015. Of those 48,557 applicants, only 601 (1.24%) self-identified 

as having a targeted disability. In FY 2015, the Commission also on-boarded seven individuals with

disabilities under Schedule A, none of whom had a targeted disability. See Table B7.
FISCAL YEAR 2015 | 11

New Hires

In FY 2015, the SEC hired 394 permanent employees, 218 (55.33%) males and 176 (44.67%) 

females. The following table reflects demographic information for the FY 2015 new hires. See Tables 

A1 and A8.

New Hires and 

Total Workforce All

Hispanic White

African

American Asian

American 

Indian/Alaska 

Native

M F M F M F M F M F

Permanent

Hires

# 394 17 13 146 106 17 33 36 21 2 0

% 100 4.31 3.30 37.06 26.90 4.31 8.38 9.14 5.33 0.51 0

Total

Permanent 

Workforce

# 4310 112 103 1741 1139 215 491 237 233 12 6

% 100 2.60 2.39 40.39 26.43 4.99 11.39 5.50 5.415 0.28 0.14

2010 CLF % 100 5.17 4.79 38.33 34.03 5.49 6.53 1.97 1.93 .55 .53

The CLF does not provide benchmark data on disability statistics. Instead, the EEOC has established a 

workforce participation rate goal of two percent for persons with targeted disabilities (PWTD). There 

are nine targeted disabilities: total deafness; total vision loss; partial paralysis; complete paralysis; 

missing limbs/extremities; epilepsy; severe intellectual disability; psychiatric disability; and dwarfism.

In addition, the Office of Personnel Management’s (OPM) guidance, issued pursuant to Executive 

Order 13548, requires federal agencies to establish Disability Employment Plans consistent with the 

federal government goal of hiring 100,000 additional individuals with disabilities, including those with 

targeted disabilities.

The SEC’s Disability Employment Plan established the following hiring goals: 6% of all new hires to 

be individuals with disabilities, and at least 1.5% of all new hires to be individuals with targeted disabilities. In FY 2015, the SEC hired 394 permanent employees, 22 of whom (5.58%) reported having 

a disability. Seven of the new hires (1.78%) were hired under Schedule A. In addition, the SEC onboarded two permanent employees with targeted disabilities, or 0.51% of permanent appointments 

made in FY 2015. See Tables B7 and B8.
12 | EEO PROGRAM STATUS REPORT

Participation Rates for SEC Major Occupations

The SEC has four mission critical occupations (MCOs): attorneys, accountants, examiners, and 

economists. In FY 2015, there were 4,310 permanent employees at the SEC. See Table A1. Of these 

permanent employees, there were 1,840 attorneys, 946 accountants, 215 examiners, and 80 economists. Accountants and attorneys comprised 64.64% of the SEC’s FY 2015 permanent employees.

See Table A6. SEC accountants and attorneys participated at levels above or within approximately 

1% of the applicable occupational CLF rate, except for the demographic groups highlighted in 

bold below:

White

Job Title Total Male Female Male Female

Accountants 946 541 405 420 257

100% 57.19% 42.81% 44.40% 27.17%

Occupational CLF 100% 39.91% 60.09% 31.79% 44.23%

Attorneys 1840 1045 795 872 591

100% 56.79% 43.21% 47.39% 32.12%

Occupational CLF 100% 66.70% 33.30% 59.68% 26.68%

See Table A6, Permanent Workforce.

The participation rates of both White male attorneys and White female accountants are below the 

occupational CLF. White female accountants’ participation rate at the SEC (27.17%) is below the

occupational CLF for White female accountants of 44.23%. This follows the same pattern as the 

overall participation rate of female accountants at the SEC (42.81%) compared to the occupational 

CLF for female accountants of 60.09%. This difference of over 17 percentage points will be further 

analyzed.

White male attorney participation at the SEC follows a similar pattern. The participation rate for 

White male attorneys at the SEC (47.39%) is below the occupational CLF for White male attorneys 

of 59.68%. Again, this follows the same pattern as the overall participation rate for male attorneys at 

the SEC (56.79%) compared to the occupational CLF for male attorneys of 66.70%. As such, these 

numbers denote triggers that require further analysis.
FISCAL YEAR 2015 | 13

Supervisory and Management Demographics

Typically, the internal feeder pools for supervisory and management positions at the SEC are as follows: SK-14 to SK-15 and SK-16; SK-15 to SK-17; and SK-14 through SK-17 to Senior Officer (SO).

Highlighted in the table below is the demographic composition of the SEC’s supervisory and management workforce. Notably, there are a total of 1,934 permanent SK-14 employees, of whom females 

represent 44.16% (or 854 employees) and males represent 55.84% (or 1,080 employees). However, 

at the SK-15 level, there are 347 total employees with males making up 66.28% (or 230 employees) 

and females comprising 33.72% (or 117 employees). There are almost twice as many male SK-15s as 

female SK-15s. White males comprise the highest percentage in SK-15 (51.01%), SK-17 (50.94%), 

and SO levels (55.24%). Of the male SOs, 90.80% are White; of the male SK-17s, 87.56% are 

White; and of the male SK-15s, 76.96% are White. Similarly, of the female SOs, 80.36% are White; 

of the female SK-17s, 73.08% are White; and of the female SK-15s, 62.39% are White. See Table 

A4-1, Permanent Employees.

SEC 

Level

 All

Hispanic or 

Latino White

African 

American Asian

TOTAL M F M F M F M F M F

SO # 143 87 56 3 1 79 45 3 5 2 5

SO % 100 60.84 39.16 2.10 0.70 55.24 31.47 2.10 3.50 1.40 3.50

SK 17 # 373 217 156 10 6 190 114 9 18 8 16

SK 17 % 100 58.18 41.82 2.68 1.61 50.94 30.56 2.41 4.83 2.14 4.29

SK 15 # 347 230 117 10 3 177 73 14 27 24 14

SK 15 % 100 66.28 33.72 2.88 0.86 51.01 21.04 4.03 7.78 6.92 4.03

SK 14 # 1934 1080 854 56 52 812 541 87 116 121 134

SK 14 % 100 55.84 44.16 2.90 2.69 41.99 27.97 4.50 6.00 6.26 6.93

In FY 2015, the number of female SOs increased from 48 to 56, and male SOs decreased from 89 to 

87, as compared to FY 2014. The growth in the number of female SOs was reflected in White females 

(40 to 45) and Asian females (more than doubled from two to five). The decline in the number of 

male SOs occurred in the White male and Asian male demographic, with an increase in the Hispanic male demographic. In FY 2015, females experienced minimal gains at the SK-17 level (males 

increased by eight, and females by one), as compared to FY 2014. See Table A4-1.
14 | EEO PROGRAM STATUS REPORT

Internal Competitive Promotions 

Attorneys

In FY 2015, the SEC received 387 applications for 48 attorney competitive promotions. Of the 387 

individuals, 359 were qualified for the promotions—217 males and 142 females. Of those selected 

for the promotions, 21 were male and 27 female. Although one individual with a targeted disability 

was qualified for promotion, the individual was not promoted. Whites comprised 276 (76.88%) of 

the qualified applicants and received 39 (81.25%) of the 48 competitive promotions, with White 

males receiving 37.50% of the promotions and White females receiving 43.75% of the promotions.

A further demographic breakdown follows (See Tables A9 and B9):

EEO Group

Applications 

Received 

Qualified for 

Competitive 

Promotion Promoted

Hispanics 18 16 1 (2.08%) male

White 291 276 39 (81.25%) 18 males and 21 females

African American 38 32 1 (2.08%) female

Asian 37 33 7 (14.59%), 2 males and 5 females

American Indian/

Alaska Native 3 2 0

Individuals with Disabilities 11 11 0

Individuals with Targeted 

Disabilities 1 1 0

Accountants

The SEC received 129 applications for 42 accountant competitive promotions. Of the 129 applicants, 

112 were deemed qualified (66 males and 46 females). Of the 42 individuals who received the competitive promotion, 23 were male and 19 female. Both of the two qualified individuals with disabilities were promoted. Detailed demographics follow (See Tables A9 and B9):

EEO Group

Applications 

Received 

Qualified for 

Competitive 

Promotion Promoted

Hispanics 11 10 3 (7.14%), 1 male and 2 females

White 83 77 34 (80.95%), 19 males and 15 females

African American 15 9 0

Asian 20 16 5 (11.90%), 3 males and 2 females

Individuals with Disabilities 4 2 2 (4.76%) 

Individuals with Targeted 

Disabilities

0 0 0
FISCAL YEAR 2015 | 15

Securities and Compliance Examiners

Finally, the SEC received 102 applications (79 from males and 23 from females) for 13 examiner 

promotions. Of the 102 applicants, 79 were deemed qualified (60 males and 19 females). Of the 13 

selected, eight were male (61.54%) and five were female (38.46%). Only two individuals with a disability were qualified, and neither individual was promoted. The following chart reflects the demographic breakdown. See Tables A9 and B9. 

EEO Group

Applications 

Received 

Qualified for 

Competitive 

Promotion Promoted

Hispanics 7 4 0

White 76 57 8 (61.54%), 4 males and 4 females

African American 5 4 1 male (7.69%) 

Asian 14 14 4 (30.77%), 3 males and 1 female

Individuals with Disabilities 2 2 0

Individuals with Targeted 

Disabilities

0 0 0

Economists

During FY 2015, there were nine applications for three competitive economist promotions. The 

nine applicants and three selectees were all White males, none of whom self-identified as having a 

disability. See Tables A9 and B9. The lack of applicants from any other demographic group is a 

trigger that will be further analyzed.

Career Ladder Promotions

A review of the SEC’s non-competitive promotions reflects that of the 435 individuals eligible for 

career ladder promotions, 250 (57.47%) were male and 185 (42.53%) were female. No individuals 

exceeded their time-in-grade beyond 24 months. All four individuals with targeted disabilities received 

timely career ladder promotions. See Tables A10 and B10.

Employee Recognition and Awards

A review of Table 13 reflects that males were given more time-off awards in FY 2015 than females.

Females received approximately 47% of all time-off awards as compared to approximately 53% of 

all time-off awards to males. For cash awards in the amount of $100-$500, males received 47.71% 

of these awards, but had a higher average amount of $385 compared to the average amount for 

females of $367. Therefore, females received fewer time-off awards (1-9 hours and 9+ hours) and 

lower amounts of cash awards than their male counterparts. A review of Table B13 also reveals a 

lower-than-average cash award for individuals with disabilities ($341) and individuals with targeted 

disabilities ($314).

For cash awards of $501 and more, males received 57.56% of these awards, with an average of 

$1,311, while females received an average award of $1,295. Cash awards of $501 or more for individuals with disabilities averaged $1,281 and $1,473 for individuals with targeted disabilities.

See Tables A13 and B13.
16 | EEO PROGRAM STATUS REPORT

Separations 

According to the SEC Strategic Plan, the SEC aims to keep its turnover rate relatively low, i.e., below 

8% per year. In FY 2015, the SEC had a separation rate of less than 5% of its total workforce. Of

the 214 voluntary separations, 14 were Hispanic, 149 were White, 29 were African American, 20 

were Asian, and one was American Indian. 

In FY 2015, 19 individuals who self-identified as having disabilities separated from the SEC, including two individuals with targeted disabilities: one with partial paralysis and one with mental illness.

See Tables A14 and B14.

SUMMARY OF EEO PLAN OBJECTIVES PLANNED TO ELIMINATE 

IDENTIFIED BARRIERS OR CORRECT PROGRAM DEFICIENCIES

In FY 2014, the EEOC recommended specific areas of focus for the SEC concerning a number of 

EEO groups:

n Barriers to females with emphasis on Hispanic and Asian females seeking Executive Level 

(Senior Officer) Positions; 

n Barriers to Persons with Targeted Disabilities (PWTD) in the SEC Workforce; and 

n Barriers to Hispanic females in the SEC Workforce. (As discussed below, OEEO has included 

Hispanic Males in this analysis.) 

In addition, the SEC reviewed the FY 2014 workforce demographic data and identified triggers 

related to the hiring, promotion, and awards/recognition of particular EEO groups. In FY 2015, 

the SEC conducted four analyses to identify potential barriers to these demographic groups and 

completed one of the analyses regarding promotions at the SEC. See Part I, infra. The objectives 

and methodology the SEC used for each barrier analysis conform to EEOC guidelines and recommendations.

Barriers to Executive (Senior Officer) Level Positions

As recommended by the EEOC, the SEC evaluated whether females, specifically Hispanic and Asian 

females, are encountering barriers to executive level positions. Work on this analysis was in progress 

at the time of this report. OEEO took the following actions:

n identified the typical background and experience of individuals selected to the senior grade levels;

n examined the recruitment and selection processes for the senior grade levels;

n met with OHR, OMWI, and other management officials about their recruitment efforts and the 

pool of qualified applicants; 

n compared the applications of female candidates to those of the selected candidates;

n collected and reviewed the available hiring officials’ ratings;

n interviewed female applicants about their perception of the selection process; 

n reviewed employee exit survey results; and

n conducted focus group interviews with females in the senior grade levels regarding their career 

advancement experiences.
FISCAL YEAR 2015 | 17

Persons with Targeted Disabilities (PWTD) in SEC’s Total Workforce

In FY 2014, the EEOC recommended that the SEC analyze why PWTD represent less than one 

percent of its workforce compared with the EEOC’s goal of PWTD representing two percent of an 

agency’s total workforce. The EEOC stated its expectation that the SEC should pinpoint policies, 

procedures, or practices that are negatively impacting the recruitment, selection, advancement, and 

retention of PWTD.

Work on this analysis was in progress at the time of this report. OEEO took the following actions: 

analyzed applicable workforce demographic data from FY 2011-FY 2015; interviewed subject matter 

experts (SME) in the SEC’s OHR and OMWI; researched and reviewed the law and federally mandated hiring and promotions policies, practices, and procedures applicable to the recruitment and 

retention of PWTD; reviewed the efficiency and effectiveness of the SEC’s reasonable accommodation 

program; reviewed selection case files (hiring and promotions) for the second half of FY 2014 and the 

first half of FY 2015; reviewed Federal Employee Viewpoint Survey (FEVS) results; and interviewed 

disabled student service SMEs at Gallaudet University and Rochester Institute of Technology.

The SEC completed the following activities:

n trained managers and supervisors to ensure they are aware of how the Schedule A hiring authority 

is used by the SEC to hire persons with severe disabilities and managers’ role in the recruitment and 

hiring process;3

n evaluated the career advancement opportunities for PWTD to and through the mission-critical 

occupations;

n surveyed disability organizations at universities near the SEC Headquarters Office and Regional 

Offices to obtain information that may improve recruitment of applicants with disabilities;

n improved the reporting capabilities of the disability accommodation program by upgrading the 

Disability Accommodation Request Tracking System (DARTS) data system for tracking requests 

for accommodations and maintaining information about accommodations provided; and 

n hosted a Disability Hiring event to hire candidates with disabilities and continue to build a pipeline 

of applicants for future vacancies.

Barrier Analysis for Hispanics in the SEC Workforce

In FY 2014, OEEO identified a disparity in the percentage of Hispanic females and Hispanic males 

in the SEC workforce compared to their representation in the CLF. Hispanic females represented

2.41% of the SEC workforce in FY 2015 and Hispanic males represented 2.61%, both below the 

corresponding availability in the CLF of 4.79% for females and 5.17% for males. In FY 2015, the 

SEC hired 33 Hispanics (18 males and 15 females) and separated 15 (seven males and eight females).

One of the 15 Hispanics was involuntarily separated. See Tables A8 and A14. Work on this analysis 

was in progress at the time of this report.

In FY 2015, OEEO accomplished the following actions: examined the SEC’s policies, practices, and 

procedures to determine the existence of any barriers to equality of opportunity for Hispanic applicants and employees; examined the recruitment and selection processes for mission critical occupa-

 3 Schedule A, 5 CFR § 213.3102(u), provides for the hiring of people with severe physical disabilities,

psychiatric disabilities, and intellectual disabilities.
18 | EEO PROGRAM STATUS REPORT

tions; compared the percentage of qualified applicants to their availability in the feeder pool; and 

analyzed the occupational CLF for new hires.

SUMMARY OF EEO PLAN ACTION ITEMS IMPLEMENTED OR 

ACCOMPLISHED 

Based on deficiencies noted in the SEC’s FY 2014 report, in FY 2015 program improvements included the participation of OEEO program officials in agency deliberations prior to decisions regarding 

recruitment strategies and vacancies. Also, the EEO Director had regularly scheduled meetings with 

the Chief Human Capital Officer (CHCO) to assess whether the SEC’s personnel programs, policies, 

and procedures conform to EEOC management directives and establish timetables for the SEC to 

review its merit promotion, employee development/training, and employee recognition and award 

programs and procedures for systemic barriers.

Applicant Flow Data

The SEC received applicant data from OPM’s USA Staffing beginning in FY 2014. This data cannot 

be separated into permanent and temporary employees. Therefore, Tables A7 and B7 contain both 

permanent and temporary employees.

Barrier Analyses

The SEC contracted with a vendor to perform a barrier analysis on internal promotions at the SEC.

The final report was received from the vendor at the end of FY 2015. In addition to this analysis, the 

SEC is conducting additional barrier analyses detailed in Part I of this report.

Assessing Headquarters’ Divisions and Offices Compliance with EEO 

Requirements

Due to a number of high priority projects, the SEC did not assess Divisions’ and Offices’ compliance with EEO laws, regulations, and guidance (EEO assessments) in FY 2015. However, the SEC 

did engage in discussions with three divisions focused on their respective practices and procedures in 

hiring attorneys, one of the SEC’s major occupations. The SEC intends to conduct a number of EEO 

assessments starting in FY 2016.

Periodic Training for Supervisors and Hiring Officials Related to the Hiring, 

Promotion, and Reasonable Accommodation of Individuals with Disabilities

The SEC currently provides training on the disability program to all new managers through the 

mandatory Leadership Development (LD) 307 “Fundamentals of HR Management” course, which 

highlights special hiring authorities including Schedule A, and also reasonable accommodations.

Lunch and learn sessions on these topics are offered to managers throughout the course of the year, 

and the topic has also been highlighted as part of the SEC’s “Tuesday Forum for Employee Relations” program. Additionally, the SEC trained Administrative Officers, who may advise supervisors 

and hiring officials, on reasonable accommodation during the 2015 Administrative Officers conference. In-depth, situation-specific training is provided as needed to individual managers who supervise 

employees with disabilities. The SEC will continue to build training offerings 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, FMLA/Disability overlap situations and confidentiality requirements.
FISCAL YEAR 2015 | 19

 

Informing New Employees

The SEC will continue to provide information about the SEC’s Disability Program to new employees 

at 26 bi-weekly orientation sessions.

American Sign Language Classes

In FY 2015, the SEC University (SECU) continued to offer classes in beginning and intermediate 

American Sign Language in the workplace to employees and managers at Headquarters. The classes 

are continuing in FY 2016. 

Protecting Confidential Medical Information 

Medical information is restricted to OHR staff in the Disability Programs Branch. Managers are not 

informed of their employee’s medical conditions. They are only informed of the limitations when 

appropriate to enable the managers to provide accommodations.

Telework Enhancements Improving Accommodations

In FY 2015, the SEC’s improved information technology to support telework increased the number 

of employees with disabilities who were accommodated with telework. In FY 2016, the Disability 

Accommodations Program will continue to ensure that effective accommodations are provided to 

employees with disabilities who telework. 

In addition to these objectives, the SEC will continue to:

n Make concerted efforts to increase the number and percentages of employees hired with severe/

targeted disabilities and fully accommodate them to ensure that they have opportunities for career 

development and promotions.

n More frequently remind all employees of the SEC’s EEO Policy, and the SEC’s Disability Accommodation Program.

n Promote Schedule A hiring by developing an awareness campaign for hiring managers.

n Leverage members of the SEC Veterans Committee and the SEC Disability Issues Advisory Committee as resources for advice on improving services to employees with disabilities.

n Increase the number of positions posted to disability job boards/sites.

Accomplishments

Outreach and Recruitment 

In 2015, OMWI took affirmative steps to seek diversity in the SEC workforce by:

n Conducting over 60 workforce diversity outreach and recruitment events at universities and 

associations to inform professionals and students about SEC employment and internship 

opportunities; 

n Engaging more than 250 SEC staff from Divisions and Offices across the Commission in workforce diversity and outreach efforts nation-wide; 

n Hosting an on-the-spot recruitment event in SEC’s New York Regional Office for accountants, 

attorneys, and examiners in partnership with diverse professional associations, minority-serving 

institutions, and women’s colleges; 
20 | EEO PROGRAM STATUS REPORT

n Placing advertisements on over 200 job boards oriented toward minorities and women to promote 

current employment and internship opportunities;

n Partnering with 18 professional associations, educational organizations and institutions to inform 

diverse professionals and students about SEC career and internship opportunities; 

n Exploring partnership opportunities with eight professional associations and universities in Hawaii 

to advance the representation of Native Hawaiian-Pacific Islanders in the SEC’s 

workforce; 

n Providing mentoring and financial literacy to more than 400 students from 18 partner high 

schools across the country;

n Publishing more than 80 reports to help improve workforce diversity decision-making at the SEC 

through strong research and sound analysis; and

n Delivering more than ten trainings to enhance workforce diversity and inclusion at the SEC. 

Employee Engagement: Employee Resource Groups

All employees are encouraged to participate in ERGs sponsored by the SEC. These groups provide 

networking, mentoring, and outreach opportunities to all interested employees; sponsor cultural 

and educational programs; support the SEC’s EEO Programs and Diversity and Inclusion efforts; 

and make programmatic recommendations to the EEO Director. In FY 2015, each group had a SEC

Commissioner as a sponsor and received program support from OEEO, OMWI and OHR.

Nine ERGs were active in FY 2015:

n African American Council

n American Indian Heritage Committee

n Asian Pacific American Committee

n Caribbean American Heritage Committee

n Disability Issues Advisory Committee

n Hispanic and Latino Opportunity, Leadership, and Advocacy Committee

n Lesbian, Gay, Bisexual, and Transgender (LGBT) Committee

n Veterans Committee

n Women’s Committee

In FY 2015, the SEC held a number of annual Heritage Month Events that included:

n Disability Awareness Month—SEC Staff Panel Discussion 

n Native American Heritage Month—Keith Colston, Administrative Director for the Maryland 

Commission on Indian Affairs

n African American History Month—Paulette Brown, President-Elect, American Bar Association

n Women’s History Month—Davita Vance-Cooks, Director and CEO, Government Publishing 

Office

n Asian Pacific American Month—Natyabhoomi School of Dance

n Pride Month—U.S. Congressman Mark A. Takano 

n Caribbean American Heritage Month—Karl A. Racine, Attorney General, District of Columbia 

n Hispanic Heritage Month—Edith Ramirez, Chairwoman, Federal Trade Commission
FISCAL YEAR 2015 | 21

In addition, several ERGs hosted career development programs open to all SEC employees:

n Women’s Committee: Career Conversations (December 2014 and February 2015); a book 

discussion “Thrive: The Third Metric to Redefining Success and Creating a Life of Well-Being, 

Wisdom, and Wonder.”

n American Indian Heritage Committee: “The Pursuit of Inclusion: An In-Depth Exploration of the 

Experiences and Perspectives of Native American Attorneys in the Legal Profession.”

n Disability Issues Advisory Committee: Interview with Management Series

n African American Council: “Brand U” Seminar 

Moreover, the SEC leveraged the diversity of the ERG members to support its mission to protect 

investors, as well as to support its recruitment and outreach efforts.

Training and Leadership Development

The SEC provided numerous opportunities for employees to acquire the skills and certifications needed 

to succeed in their positions and to progress in their careers. SECU provided classroom-style and 

e-Learning programs and offered an extensive range of learning opportunities in subject matter areas, 

e.g., courses on Hedge Funds, Mutual Funds, and Credit Derivatives, etc. SECU also continued to 

provide LD 307, Fundamentals of Human Resource Management, a leadership development program 

for new supervisors which also includes modules on EEO and diversity and inclusion at the SEC. The 

two-day in-depth training includes training on EEO laws, and a detailed overview of human resource 

management policies and procedures and related SEC policies.

For Senior Officers, SECU developed and delivered a series of leadership seminars designed to provide 

them leadership best practices. Courses included: Leadership Skills and Emotional Intelligence, MultiDirectional Leadership, Cross-Functional Leadership, Understanding Your Leadership Style and 

Resilience. SECU also developed the Chair’s new Senior Officer Leadership Series in FY 2015, with 

the first distinguished speaker, former Coast Guard Commandant, Admiral Thad Allen, speaking to 

60 Senior Officers about inspiring and sustaining a commitment to excellence in a prolonged hightempo/high-stress environment. Several Senior Officers also participated in SECU’s Executive Presence 

courses on Public Speaking and Media Training, as well as “Senior Women’s Coffee Hours” hosted by 

OHR and OMWI.

The SEC offered four career development programs: Aspiring Leaders, Women in Leadership, 

Excellence in Government (EIG) Fellows Program, and Upward Mobility.

Aspiring Leaders

The Aspiring Leaders program is an interactive blended-learning program designed to strengthen the 

leadership and management skills of SEC non-supervisory (SK-13 and SK-14) employees. The learning 

objectives of the program include:

n Applying critical leadership skills necessary for effective supervision.

n Understanding of first-line management responsibilities as they relate to Human Resource Management, Developing People, and Building Effective Relationships.

n Understanding of government policy, process, and regulations relevant to management positions in 

the Federal government.
22 | EEO PROGRAM STATUS REPORT

n Developing skills to manage projects, delegate effectively, and achieve desired results at the firstline supervisory level.

n Increasing self-awareness through guided self-assessments and feedback from course instructors.

Women in Leadership

The Women in Leadership program is an external leadership development program offered to supervisory SK-15 and SK-17 employees and conducted by the Brookings Institute. Through the Women 

in Leadership program, individuals from across federal agencies learn how to strengthen leadership 

qualities and explore key elements of senior leadership success while maintaining authenticity and 

balance. The learning objectives of this program include:

n Through individual assessment and feedback, build self-awareness of workplace behaviors (such 

as emotional intelligence, resiliency, and communication), and implement self-directed strategies to 

promote continued leadership competency.

n Promote effective relationships and network-building.

n Understand individual leadership competency strengths and opportunities for development.

Excellence in Government Fellows

The Excellence in Government (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 21 days total in 

session(s). Fellows also devote up to five hours per week to their results projects. This program is 

offered to employees in the SK-14 to SK-17 (a mix of supervisory and non-supervisory) levels.

In addition to activities with the Partnership for Public Service EIG Fellows, SEC Fellows will be 

involved in facilitated cohort meetings at SEC Headquarters to explore and share what they are 

learning and how this information can be applied to improve organizational performance, workplace 

relationships, and productivity within the SEC.

Upward Mobility

Upward Mobility is a two-year program designed and hosted by the SEC University for SEC 

employees. The training program focuses on strengthening the participant’s skills in the competencies determined to be most critical for the participant’s grade level through several in-person classes 

at Headquarters, virtual classes, a book club, and one-on-one counseling sessions. Year One of the 

program focuses on Leading Self, Delivering Results, Influencing Others, and Dealing with Change.

The SEC also provided training to employees and supervisors on the following:

n Diversity and Inclusion: Cultural Climate Change—Participants examined the role of diversity 

and inclusion in creating a high-performing organization, and how they might acquire the cultural 

sensitivity to succeed in creating the climate needed to ensure both individual and organizational 

success. Participants also gained insight into their own cultural norms and how those norms 

may impact their effectiveness as a team member and organizational leader. Approximately 30

employees were trained.
FISCAL YEAR 2015 | 23

n Hiring Best Practices: EEO & Diversity Perspectives—provided over 30 SEC supervisors with 

training on hiring best practices. This training was delivered as a partnership between OEEO 

and OMWI.

In addition, OHR continued its mandatory “Unconscious Bias and Performance Management 

Training for Supervisors” in FY 2015. A total of 435 employees were trained between October 

and December 2014. This program was launched to help managers and supervisors understand 

how unconscious bias develops and examine its impact on people and diversity efforts, and how to 

create inclusive work environments. Armed with this understanding, the program provided managers 

with strategies to minimize their unconscious biases when reviewing the performance of their team 

members.

Update to Reasonable Accommodation Policies

The SEC’s Disability Accommodation procedures were updated in June 2015 to include a Genetic 

Information Nondiscrimination Act (GINA) notice to Health Care Providers. The brief notice 

directed to healthcare professionals is included in all requests for medical information provided to 

employees. The text of the notice is:

GINA Notice to Health Care Professional from the SEC Office of Human Resources 

The Genetic Information Nondiscrimination Act of 2008 (GINA) prohibits employers and other 

entities covered by GINA Title II from requesting or requiring genetic information of an individual or family member of the individual, except as specifically allowed by this law.

To comply with this law, we are asking that you not provide any genetic information when 

responding to this request for medical information. “Genetic information,” as defined by GINA, 

includes an individual’s family medical history, the results of an individual’s or family member’s 

genetic tests, the fact that an individual or an individual’s family member sought or received 

genetic services, and genetic information of a fetus carried by an individual or an individual’s 

family member or an embryo lawfully held by an individual or family member receiving assistive 

reproductive services.

For more information, see

http://www.hhs.gov/ocr/privacy/hipaa/understanding/special/genetic/ginafinalrule.pdf

This addition to the procedures is the only change since the procedures were most recently reviewed 

and approved by the EEOC in July 2014. A Section 508-compliant version of the Disability Accommodation procedures was posted to the SEC’s intranet and public website in July 2015. The disability 

accommodation procedures are currently undergoing a business process reengineering (BPR), and the 

resulting recommendations will be ready for EEOC review within the first six months of 2016.

The SEC automated the Reasonable Accommodation request process through the launch of the 

Disability Accommodation Request Tracking System (DARTS) on January 26, 2015. The system 

received over 150 requests in its first six months, and OHR continues to work on refining the system 

to streamline the process for requesting telework for medical purposes. The SEC’s Disability Program 

staff tracks requests for disability accommodation and approved accommodation requests.

FISCAL YEAR 2015 | 25

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, Alta G. Rodriguez, EEO Director/0905/SO am the

(Insert name above) (Insert official title/series/grade above)

Principal EEO Director/Official for 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

FISCAL YEAR 2015 | 27

PLAN FOR ATTAINING THE ESSENTIAL 

ELEMENTS OF A 

MODEL EEO PROGRAM 

(PART H)

EEOC FORM

715-01 

PART H

U.S. Equal Employment Opportunity Commission 

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

U. S. Securities and Exchange Commission FY 2015

STATEMENT of MODEL PROGRAM 

ESSENTIAL ELEMENT 

DEFICIENCY:

OEEO program officials are not present during agency deliberations prior to decisions 

regarding recruitment strategies and vacancies. Also, the EEO Director did not have 

regularly scheduled meetings with the CHCO to assess whether the SEC’s personnel 

programs, policies, and procedures conform to EEOC management directives and 

establish timetables for the SEC to review its merit promotion, employee development/

training, and employee recognition and award programs and procedures for systemic 

barriers. 

OBJECTIVE: OEEO program officials will be appropriately involved during Commission 

deliberations in FY 2015. OHR has established timetables to review the SEC’s merit 

promotion, employee development/training, and employee recognition and award 

programs and procedures for systemic barriers, and will provide the timetables to 

OEEO.

As required by Section 342 of the Dodd-Frank Wall Street Reform and Consumer 

Protection Act of 2012, the SEC’s OMWI is responsible for all matters related to 

diversity in management, employment, and business activities at the SEC. OMWI 

currently collaborates with OHR to develop recruitment strategies and engages 

SEC Senior Officials to develop targeted outreach and recruitment strategies for 

upcoming vacancies. OEEO and OMWI collaborate with OHR on identifying learning 

opportunities that address employees’ training and development needs. 

RESPONSIBLE OFFICIAL: Alta G. Rodriguez, Director, Office of EEO

Pamela Gibbs, Director, Office of Minority and Women Inclusion

Lacey Dingman, Chief Human Capital Officer, Office of Human Resources

DATE OBJECTIVE INITIATED: December 1, 2014

TARGET DATE FOR 

COMPLETION OF OBJECTIVE:

July 2015 

PLANNED ACTIVITIES TOWARD COMPLETION OF OBJECTIVE: TARGET DATE

(Must be specific)

OEEO/OMWI program officials will be present during Commission workforce deliberations in 

FY 2015. OEEO Director will meet on a monthly basis with CHCO to address EEO concerns. 

Completed and ongoing.

OEEO to analyze the established timetables to review the Commission’s merit promotion, 

employee development/training, and employee recognition and award programs and 

procedures for systemic barriers. 

Completed and ongoing.

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

OEEO, OMWI, and OHR formed a MD-715 cross-functional group to collaborate on a number of personnel areas, including SEC 

deliberations on recruitment strategies and to ensure consistent and accurate agency workforce reports. Further, the Directors of 

OEEO, OMWI, and OHR meet bi-monthly to address workforce matters. 

OEEO and OHR leadership met on a monthly basis during FY 2015 to address this essential element. 

FISCAL YEAR 2015 | 29

PLANS TO ELIMINATE 

IDENTIFIED BARRIER 

(PART I)

EEOC FORM

715-01 

PART I

U.S. Equal Employment Opportunity Commission 

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

U. S. Securities and Exchange Commission FY 2015

STATEMENT OF CONDITION THAT WAS A TRIGGER FOR A 

POTENTIAL BARRIER:

Provide a brief narrative describing the condition at issue.

How was the condition recognized as a potential barrier?

In an August 7, 2014, letter to the SEC, the EEOC noted that 

the SEC should evaluate whether “women overall, Hispanic 

females, and Asian females may be encountering a glass 

ceiling as they seek promotion to SO positions” or “are 

bottlenecking at certain grade levels in their occupations.” 

BARRIER ANALYSIS: 

Provide a description of the steps taken and data analyzed to 

determine cause of the condition.

Analyzed workforce demographic data for FY 2011-FY 2015. 

Conducted 14 focus groups with SEC female supervisors and 

managers at the SK-15, SK-17, and Senior Officer levels, 

interviewing a total of 72 female leaders.

Interviewed subject matter experts in the Office of Human 

Resources and OMWI.

Reviewed: (1) personnel policies that relate to hiring and 

promotion of Senior Officers at the SEC and corresponding 

written procedures; (2) Federal Employee Viewpoint Survey 

results for FY 2011-FY 2015, with particular emphasis on 

responses from female employees; (3) female employees’ 

survey responses to a survey conducted by a vendor in July 

2014 regarding promotions at the SEC; (4) complaint activity 

by females at the SK-15, SK-17 and Senior Officer levels; and 

(5) reviewed selection case files (hiring and promotions) for 

the second half of FY 2014 and the first half of FY 2015 and 

compared female candidates’ resumes for SK-15, SK-17 and 

Senior Officer positions to the resumes of successful male 

candidates.

Interviewed hiring officials regarding their experiences with 

female candidates.

Interviewed females regarding their experiences in the hiring 

and promotions process.

Reviewed applicant flow data for new hires and promotion to 

SK-15 to SO levels.

Analyzed samplings of exit surveys for the FY 2012 – FY 2015 

period.

Conducted benchmarking of best practices throughout the 

government and private industry.

STATEMENT OF IDENTIFIED BARRIER: 

Provide a succinct statement of the agency policy, procedure 

or practice that has been determined to be the barrier of the 

undesired condition.

As of September 30, 2015, no barrier(s) had been identified. 
30 | EEO PROGRAM STATUS REPORT

OBJECTIVE:

State the alternative or revised agency policy, procedure or 

practice to be implemented to correct the undesired condition.

Once potential barriers have been identified, implement action 

plans to eliminate them.

RESPONSIBLE OFFICIAL: Alta G. Rodriguez, Director, Office of EEO

Lacey Dingman, Chief Human Capital Officer, Office of Human 

Resources

Pamela Gibbs, Director, Office of Minority and Women 

Inclusion

DATE OBJECTIVE INITIATED: August 14, 2014

TARGET DATE FOR COMPLETION OF OBJECTIVE: April 30, 2016, and ongoing

EEOC FORM

715-01 

PART I

EEO Plan To Eliminate Identified Barrier

PLANNED ACTIVITIES TOWARD COMPLETION OF OBJECTIVE: TARGET DATE

(Must be specific)

The analysis required by this Part I has been completed. September 30, 2015

Begin overseeing implementation of recommendations derived from this barrier analysis to 

eliminate any identified barriers. By April 2016 and ongoing

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

In conducting this barrier analysis, OEEO:

• Identified the typical background and experience of individuals selected to the senior grade levels.

• Examined the recruitment and selection processes for the senior grade levels.

• Met with OHR and management officials about their recruitment efforts and the pool of qualified applicants.

• Compared the applications of female candidates to those of the selected candidates.

• Collected and reviewed the available hiring officials’ ratings.

• Interviewed the hiring officials about their perception of female applicants.

• Interviewed female applicants about their perception of the selection process.

• Reviewed employee exit survey results and the results of a survey conducted regarding promotions at the SEC. 

• Interviewed females in the senior grade levels regarding their career advancement experiences.

• Developed recommendations to address potential barriers.
FISCAL YEAR 2015 | 31

EEOC FORM

715-01 

PART I

U.S. Equal Employment Opportunity Commission

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

U. S. Securities and Exchange Commission FY 2015

STATEMENT OF CONDITION THAT WAS A TRIGGER FOR 

A POTENTIAL BARRIER: 

Provide a brief narrative describing the condition at issue.

How was the condition recognized as a potential barrier?

In FY 2014, Hispanic females represented 2.27% of the total 

SEC workforce, below their representation in the CLF of 

4.79%. In FY 2014, Hispanic males represented 2.20% of the 

total SEC workforce, below their representation in the CLF of 

5.17%.

BARRIER ANALYSIS: 

Provide a description of the steps taken and data analyzed to 

determine cause of the condition.

In conducting the barrier analysis, OEEO:

• Analyzed workforce demographic data from FY 2011-FY 

2015; 

• Interviewed subject matter experts in the SEC’s Office 

of Human Resources and Office of Minority and Women 

Inclusion; 

• Reviewed the agency’s hiring and promotions policies, 

practices, and procedures;

• Reviewed 107 selection case files (for hiring and 

promotions) for the second half of FY 2014 and the first 

half of FY 2015;

• Analyzed applicant flow data for hiring and competitive 

promotions in the SEC’s mission critical occupations 

(MCOs);

• Reviewed 2015 Federal Employee Viewpoint Survey 

results and the results of a vendor-conducted survey of 

SEC employees regarding promotion opportunities at the 

Commission;

• Conducted Focus Groups with 13 Hispanic supervisors 

and managers at SK-15 and SK-17 levels;

• Interviewed several law school career development 

personnel regarding the pipeline of Hispanic students/

attorneys;

• Reviewed EEO complaint activity (FY 2011-FY 2015) 

and exit surveys (FY 2012-FY 2015) to better understand 

the reasons Hispanics are voluntary separating from the 

agency; and

• Researched best practices in recruiting and retaining 

Hispanic employees in federal government and private 

industry. 

STATEMENT OF IDENTIFIED BARRIER: 

Provide a succinct statement of the agency policy, procedure 

or practice that has been determined to be the barrier of the 

undesired condition.

As of September 30, 2015, no barrier(s) had been identified. 

OBJECTIVE:

State the alternative or revised agency policy, procedure or 

practice to be implemented to correct the undesired condition.

Once potential barriers have been identified, implement action 

plans to eliminate them.

RESPONSIBLE OFFICIAL: Alta G. Rodriguez, Director, Office of EEO

Pamela Gibbs, Director, Office of Minority and Women 

Inclusion 

DATE OBJECTIVE INITIATED: August 14, 2014

TARGET DATE FOR COMPLETION OF OBJECTIVE: March 30, 2016, and ongoing
32 | EEO PROGRAM STATUS REPORT

EEOC FORM

715-01 

PART I

EEO Plan To Eliminate Identified Barrier

PLANNED ACTIVITIES TOWARD COMPLETION OF OBJECTIVE: TARGET DATE

(Must be specific)

The analysis required by this Part I has been completed. September 30, 2015

Begin overseeing implementation of recommendations, if appropriate, to eliminate the 

potential barriers. By March 2016 and ongoing 

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

In conducting this barrier analysis, OEEO:

• Analyzed workforce demographic data from FY 2011-FY 2015; 

• Interviewed subject matter experts in the SEC’s Office of Human Resources and Office of Minority and Women Inclusion; 

• Reviewed the agency’s hiring and promotions policies, practices, and procedures;

• Reviewed 107 selection case files (for hiring and promotions) for the second half of FY 2014 and the first half of FY 2015;

• Analyzed applicant flow data for hiring and competitive promotions in the SEC’s MCOs;

• Reviewed 2015 Federal Employee Viewpoint Survey results and the results of a vendor-conducted survey of SEC 

employees regarding promotion opportunities at the Commission;

• Conducted Focus Groups with 13 Hispanic supervisors and managers at SK-15 and SK-17 levels;

• Interviewed several law school career development personnel regarding the pipeline of Hispanic students/attorneys;

• Reviewed EEO complaint activity (FY 2011-FY 2015) and exit surveys (FY 2012-FY 2015) to better understand the reasons 

Hispanics are voluntarily separating from the agency; and

• Researched best practices in recruiting and retaining Hispanic employees in federal government and private industry. 
FISCAL YEAR 2015 | 33

EEOC FORM

715-01 

PART I

U.S. Equal Employment Opportunity Commission

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

U. S. Securities and Exchange Commission FY 2015

STATEMENT OF CONDITION THAT WAS A TRIGGER FOR A 

POTENTIAL BARRIER: 

Provide a brief narrative describing the condition at issue.

How was the condition recognized as a potential barrier?

Lower than expected participation rate of Persons with 

Targeted Disabilities (PWTD) in the total workforce and in 

promotions to higher level positions. The participation rate of 

PWTD in the SEC’s workforce was less than 1% in FY 2014.

BARRIER ANALYSIS: 

Provide a description of the steps taken and data analyzed to 

determine cause of the condition.

The Office of Equal Employment Opportunity (OEEO):

• Analyzed applicable workforce demographic data from 

FY 2011-FY 2015;

• Interviewed subject matter experts in the SEC’s OHR and 

the Office of Minority and Women Inclusion;

• Researched and reviewed the law and federally 

mandated hiring and promotions policies, practices, and 

procedures applicable to recruitment and retention of 

PWTD;

• Reviewed the agency’s hiring and promotions policies, 

practices, and procedures applicable to people with 

disabilities, including PWTD;

• Reviewed the efficiency and effectiveness of the SEC’s 

reasonable accommodation program;

• Reviewed selection case files (hiring and promotions) for 

the second half of FY 2014 and the first half of FY 2015;

• Reviewed Federal Employee Viewpoint Survey results; 

and

• Interviewed disabled student service SMEs at Gallaudet 

University and Rochester Institute of Technology.

STATEMENT OF IDENTIFIED BARRIER: 

Provide a succinct statement of the agency policy, procedure 

or practice that has been determined to be the barrier of the 

undesired condition.

As of September 30, 2015, no barrier(s) had been identified.

OBJECTIVE:

State the alternative or revised agency policy, procedure or 

practice to be implemented to correct the undesired condition.

Once potential barriers have been identified, implement action 

plans to eliminate them.

RESPONSIBLE OFFICIAL: Alta G. Rodriguez, Director, Office of EEO

Lacey Dingman, Chief Human Capital Officer, Office of Human 

Resources

DATE OBJECTIVE INITIATED: August 14, 2014

TARGET DATE FOR COMPLETION OF OBJECTIVE: February 28, 2016, and ongoing
34 | EEO PROGRAM STATUS REPORT

EEOC FORM

715-01 

PART I

EEO Plan To Eliminate Identified Barrier

PLANNED ACTIVITIES TOWARD COMPLETION OF OBJECTIVE: TARGET DATE

(Must be specific)

The analysis required by this Part I has been completed. September 2015

Begin overseeing implementation of recommendations, if appropriate, to eliminate the 

potential barriers, including holding managers and supervisors accountable for meeting the 

SEC’s hiring goals highlighted in the Disability Employment Plan.

February 2016

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

The Office of Equal Employment Opportunity (OEEO):

• Analyzed applicable workforce demographic data from FY 2011-FY 2015.

• Interviewed subject matter experts (SMEs) in the SEC’s OHR and the Office of Minority and Women Inclusion. 

• Researched and reviewed the law and federally mandated hiring and promotions policies, practices, and procedures 

applicable to recruitment and retention of PWTD.

• Reviewed the agency’s hiring and promotions policies, practices, and procedures applicable to people with disabilities, 

including PWTD.

• Reviewed the efficiency and effectiveness of the SEC’s reasonable accommodation program.

• Reviewed selection case files (hiring and promotions) for the second half of FY 2014 and the first half of FY 2015.

• Reviewed Federal Employee Viewpoint Survey (FEVS) results.

• Interviewed disabled student service SMEs at Gallaudet University and Rochester Institute of Technology.

The SEC engaged in the following recruitment/outreach initiatives:

• Partnered with the Department of the Army’s Wounded Warriors Program and Department of Labor to successfully 

implement the SEC’s first Disability Hiring Event, which resulted in the direct hire of two persons with disabilities.

• Participated in two additional Career Fairs: EOP Career Fair and Veterans Resource Expo. 

• Partnered with George Mason University and implemented the MASON Life Program at the SEC, and sponsored internships 

for students with intellectual and physical disabilities.

• Partnered with SEC’s Disability Issues Advisory Committee (DIAC) to solicit participation in Career Fairs and leverage their 

professional partnerships with other organizations. 

• Explored recruiting strategies among various Federal and state rehabilitation centers and affinity groups. 

• Attended and sponsored the New Perspectives training conference. 

Resurveyed SEC workforce to determine if there was a change in the disability status of employees.

The SEC has completed and will continue to:

• Train managers and supervisors to ensure they are aware of how the Schedule A hiring authority is used by the SEC to hire 

persons with severe disabilities and their role in the recruitment and hiring process.

• Survey disability organizations at universities near the SEC Home Office and Regional Offices to obtain information to 

improve recruitment of applicants with disabilities.

• Improve the efficiency and effectiveness of the disability accommodation program by utilizing the Disability Accommodation 

Request Tracking System (DARTS) to track requests and maintain information about accommodations provided.

• Use the Hiring Checklist in strategic conversations with hiring managers to ensure they are aware of flexibilities available to 

hire persons with disabilities.
FISCAL YEAR 2015 | 35

EEOC FORM

715-01 

PART I

U.S. Equal Employment Opportunity Commission

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

U. S. Securities and Exchange Commission FY 2015

STATEMENT OF CONDITION THAT WAS A TRIGGER FOR 

A POTENTIAL BARRIER: 

Provide a brief narrative describing the condition at issue.

How was the condition recognized as a potential barrier?

Female applicants for employment with the SEC, and in 

particular, for major occupations (economist, accountant, and 

securities compliance examiner) were hired at a lower rate 

than their representation in the Civilian Labor Force. 

BARRIER ANALYSIS: 

Provide a description of the steps taken and data analyzed to 

determine cause of the condition.

Reviewed applicant flow data for each of the major occupations 

(Table A7), and new hire data (Table A8).

STATEMENT OF IDENTIFIED BARRIER: 

Provide a succinct statement of the agency policy, procedure 

or practice that has been determined to be the barrier of the 

undesired condition.

No barrier was identified; pending further qualitative and 

quantitative data analysis. 

OBJECTIVE:

State the alternative or revised agency policy, procedure or 

practice to be implemented to correct the undesired condition.

The agency has not determined yet if any policies, procedures 

or practices need to be revised.

RESPONSIBLE OFFICIAL: Lacey Dingman, Chief Human Capital Officer, Office of Human 

Resources 

Pamela Gibbs, Director, Office of Minority and Women 

Inclusion

Alta G. Rodriguez, Director, Office of Equal Employment 

Opportunity

DATE OBJECTIVE INITIATED: December 8, 2014

TARGET DATE FOR COMPLETION OF OBJECTIVE: Modified: July 31, 2017

EEOC FORM

715-01 

PART I

EEO Plan To Eliminate Identified Barrier

PLANNED ACTIVITIES TOWARD COMPLETION OF OBJECTIVE: TARGET DATE

(Must be specific)

Review policies, practices and procedures that may be creating a barrier for the employment 

of women, and in particular, for the employment of women in major occupations. Modified: January 31, 2017

In addition to the current partnerships the SEC has with diverse professional associations 

and organizations, the SEC will partner with four colleges/universities with a high population 

of female students and host career and branding events to increase the female candidate 

talent pool.

January 31, 2017

To the extent the SEC identifies potential barriers for female applicants, develop and 

implement an action plan to eliminate the identified potential barriers. Modified: July 31, 2017

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

The SEC analyzed and will continue to analyze applicant flow data on a quarterly basis.

The SEC partnered with the National Society of Compliance Professionals (NSCP) to post vacancy announcements and also 

participated in their annual conference hosting a Career Panel. The SEC will continue its partnership with NSCP.
36 | EEO PROGRAM STATUS REPORT

EEOC FORM

715-01 

PART I

U.S. Equal Employment Opportunity Commission

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

U. S. Securities and Exchange Commission FY 2015

STATEMENT OF CONDITION THAT WAS A TRIGGER FOR A 

POTENTIAL BARRIER:

Provide a brief narrative describing the condition at issue.

How was the condition recognized as a potential barrier?

Female attorneys, accountants, examiners, and economists 

received fewer competitive promotions than their male 

counterparts in FY 2014. Notably, only 36% of applications 

were from women. Of 83 competitive promotions in the major 

occupations, females received 27, while males received 56.

Of all competitive promotions, 1 individual with a disability 

received 1 of the 83 promotions. 

BARRIER ANALYSIS: 

Provide a description of the steps taken and data analyzed to 

determine cause of the condition.

Reviewed internal promotions data, Tables A9 and B9.

STATEMENT OF IDENTIFIED BARRIER: 

Provide a succinct statement of the agency policy, procedure 

or practice that has been determined to be the barrier of the 

undesired condition.

Potential Barrier #1: Due to employee perceptions regarding 

how management fills positions, employees from certain 

demographic groups applied for promotions at lower rates than 

their comparator group.

Potential Barrier #2: Managers were not completely adhering 

to the Office of Personnel Management’s uniform personnel 

practices and guidelines, potentially resulting in unequal 

treatment of individuals competing for promotions.

OBJECTIVE:

State the alternative or revised agency policy, procedure or 

practice to be implemented to correct the undesired condition.

Begin implementing recommended action items to eliminate 

the potential barriers identified.

RESPONSIBLE OFFICIAL: Lacey Dingman, Chief Human Capital Officer, Office of Human 

Resources 

Pamela Gibbs, Director, Office of Minority and Women 

Inclusion

Alta G. Rodriguez, Director, Office of Equal Employment 

Opportunity

DATE OBJECTIVE INITIATED: December 8, 2014

TARGET DATE FOR COMPLETION OF OBJECTIVE: April 30, 2016, and ongoing

EEOC FORM

715-01 

PART I

EEO Plan To Eliminate Identified Barrier

PLANNED ACTIVITIES TOWARD COMPLETION OF 

OBJECTIVE:

TARGET DATE

(Must be specific)

Continue to monitor promotions activity for additional triggers 

and to determine the need to implement additional strategies.

Modified: October 1, 2016

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

Vendor finalized the barrier analysis on promotions. October 5, 2015

SEC developed plan to implement recommendations resulting 

from the barrier analysis on promotions.

December 1, 2015
FISCAL YEAR 2015 | 37

EEOC FORM

715-01 

PART I

U.S. Equal Employment Opportunity Commission

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

U. S. Securities and Exchange Commission FY 2015

STATEMENT OF CONDITION THAT WAS A TRIGGER FOR A 

POTENTIAL BARRIER: 

Provide a brief narrative describing the condition at issue.

How was the condition recognized as a potential barrier?

Females were given more time-off awards than males 

(approximately 52% to females and 48% to males), and males 

received more cash awards (between 51% and 55%) than 

females in FY 2014. For cash awards of $501+, males received 

an average of $1,580 while females received an average 

award of $1,422. Members of some minority groups received 

lower cash awards compared to other demographic groups.

Cash awards for individuals with disabilities were, on average, 

$1,120. 

BARRIER ANALYSIS: 

Provide a description of the steps taken and data analyzed to 

determine cause of the condition.

Reviewed Employee Recognition and Awards data, Tables A13 

and B13. 

Reviewed data from Federal Personnel Payroll System.

STATEMENT OF IDENTIFIED BARRIER: 

Provide a succinct statement of the agency policy, procedure 

or practice that has been determined to be the barrier of the 

undesired condition.

Although no barrier has been identified for this trigger, the 

SEC does note the differences in average amounts awarded 

to female employees, some minority groups, and to individuals 

with disabilities. The SEC will conduct further analysis to 

determine whether a SEC policy, practice, or procedure is 

creating any barriers in recognition and awards.

OBJECTIVE:

State the alternative or revised agency policy, procedure or 

practice to be implemented to correct the undesired condition.

The plan to conduct this barrier analysis is being developed. 

As a result, the agency has not determined if any policies, 

procedures or practices need to be revised.

RESPONSIBLE OFFICIAL: Lacey Dingman, Chief Human Capital Officer, Office of Human 

Resources 

Alta G. Rodriguez, Director, Office of Equal Employment 

Opportunity

DATE OBJECTIVE INITIATED: December 8, 2014

TARGET DATE FOR COMPLETION OF OBJECTIVE: Modified: March 31, 2017

EEOC FORM

715-01 

PART I

EEO Plan To Eliminate Identified Barrier

PLANNED ACTIVITIES TOWARD COMPLETION OF 

OBJECTIVE:

TARGET DATE

(Must be specific)

Identify existing policies and procedures regarding awards and 

develop an action plan to identify any barriers.

Modified: May 31, 2016

Start conducting in-depth analysis of employee recognition and 

awards.

Modified: June 30, 2016

Begin implementation of recommendations resulting from the 

barrier analysis on employee recognition and awards.

Modified: March 31, 2017

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

In FY 2014, the SEC implemented guidance on the scale and parameters to be used by management when developing both 

monetary and time-off award recommendations. The guidance was created to provide a more consistent approach to motivating 

and recognizing employees’ contributions and correcting potential barriers in the recognition program.
38 | EEO PROGRAM STATUS REPORT

EEOC FORM

715-01 

PART I

U.S. Equal Employment Opportunity Commission

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

U. S. Securities and Exchange Commission FY 2015

STATEMENT OF CONDITION THAT WAS A TRIGGER FOR 

A POTENTIAL BARRIER: 

Provide a brief narrative describing the condition at issue.

How was the condition recognized as a potential barrier?

Female accountants at the SEC, and in particular White 

female accountants, had participation rates lower than the 

occupational CLF (over 16 percentage points) in FY 2014. 

The White female accountant CLF is 44.23%, whereas White 

females comprised 27.52% of the SEC’s accountants. 

BARRIER ANALYSIS: 

Provide a description of the steps taken and data analyzed to 

determine cause of the condition.

Reviewed participation rate data for each of the major 

occupations (Table A6), and permanent employee data (Table 

A1).

STATEMENT OF IDENTIFIED BARRIER:

Provide a succinct statement of the agency policy, procedure 

or practice that has been determined to be the barrier of the 

undesired condition.

No barrier has been identified, pending further data analysis. 

OBJECTIVE:

State the alternative or revised agency policy, procedure or 

practice to be implemented to correct the undesired condition.

This barrier analysis is ongoing. As a result, the agency has 

not determined if any policies, procedures or practices need to 

be revised.

RESPONSIBLE OFFICIAL: Lacey Dingman, Chief Human Capital Officer, Office of Human 

Resources 

Pamela Gibbs, Director, Office of Minority and Women 

Inclusion

Alta G. Rodriguez, Director, Office of Equal Employment 

Opportunity

DATE OBJECTIVE INITIATED: September 30, 2010

TARGET DATE FOR COMPLETION OF OBJECTIVE: September 30, 2017

EEOC FORM

715-01 

PART I

EEO Plan To Eliminate Identified Barrier

PLANNED ACTIVITIES TOWARD COMPLETION OF OBJECTIVE: TARGET DATE

(Must be specific)

Review policies, practices and procedures that may be creating a barrier for the employment 

of females, and in particular, for the employment of females in accountant positions. September 30, 2016

Of the four colleges and universities that the SEC will target for recruitment and branding, 

three of the schools will focus on the universities’ Accounting programs to attract a strong 

female accounting talent pool.

January 31, 2017

To the extent SEC identifies barriers for female accountants, develop and implement an action 

plan to eliminate the identified barriers. September 30, 2017

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

The SEC analyzed and will continue to analyze applicant flow data on a quarterly basis.
FISCAL YEAR 2015 | 39

EEOC FORM

715-01 

PART I

U.S. Equal Employment Opportunity Commission

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

U. S. Securities and Exchange Commission FY 2015

STATEMENT OF CONDITION THAT WAS A TRIGGER FOR A 

POTENTIAL BARRIER: 

Provide a brief narrative describing the condition at issue.

How was the condition recognized as a potential barrier?

Male attorneys at the SEC had participation rates lower than 

the occupational CLF (9.10 percentage points) in FY 2014. 

Male attorneys comprised 66.70% of the occupational CLF and 

57.60% of the SEC’s major occupation category.

BARRIER ANALYSIS:

Provide a description of the steps taken and data analyzed to 

determine cause of the condition.

Reviewed participation rate data for each of the major 

occupations (Table A6), and permanent employee data 

(Table A1).

STATEMENT OF IDENTIFIED BARRIER: 

Provide a succinct statement of the agency policy, procedure 

or practice that has been determined to be the barrier of the 

undesired condition.

No barrier has been identified, pending further data analysis. 

OBJECTIVE:

State the alternative or revised agency policy, procedure or 

practice to be implemented to correct the undesired condition.

This barrier analysis is ongoing. As a result, the agency has 

not determined if any policies, procedures or practices need to 

be revised.

RESPONSIBLE OFFICIAL: Lacey Dingman, Chief Human Capital Officer, Office of Human 

Resources 

Alta G. Rodriguez, Director Office of Equal Employment 

Opportunity

DATE OBJECTIVE INITIATED: September 30, 2010

TARGET DATE FOR COMPLETION OF OBJECTIVE: September 30, 2017

EEOC FORM

715-01 

PART I

EEO Plan To Eliminate Identified Barrier

PLANNED ACTIVITIES TOWARD COMPLETION OF OBJECTIVE: TARGET DATE

(Must be specific)

Review policies, practices and procedures that may be creating a barrier for the employment 

of male attorneys. September 30, 2016

To the extent the SEC identifies barriers for male attorneys, develop and implement an action 

plan to eliminate the identified barriers. September 30, 2017

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

The SEC analyzed and will continue to analyze applicant flow data on a quarterly basis.

FISCAL YEAR 2015 | 41

SPECIAL PROGRAM PLAN FOR 

THE RECRUITMENT, HIRING, AND 

ADVANCEMENT OF INDIVIDUALS 

WITH TARGETED DISABILITIES

(PART J)

EEOC FORM

715-01 

PART J

U.S. Equal Employment Opportunity Commission

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

Special Program Plan for the Recruitment, Hiring, and Advancement of Individuals With 

Targeted Disabilities

PART I

Department 

or Agency 

Information

1. Agency 1. Securities and Exchange Commission

1.a. 2nd Level Component 1.a.

1.b. 3rd Level or lower 1.b.

PART II

Employment 

Trend and 

Special 

Recruitment 

for Individuals 

With Targeted 

Disabilities

Enter Actual Number 

at the ...

... beginning of FY. ... end of FY. Net Change

Number % Number % Number Rate of 

Change

Total Workforce 4235 100.00% 4440 100.00% 205 4.84%

Reportable Disability 204 4.82% 247 5.56% 43 21.1%

Targeted Disability* 40 0.94% 42 0.95% 2 5.0%

* If the rate of change for persons with targeted disabilities is not equal to or greater than the rate of change for 

the total workforce, a barrier analysis should be conducted (see below).

1. Total Number of Applications Received From Persons With Targeted 

Disabilities during the reporting period.

601

2. Total Number of Selections of Individuals with Targeted Disabilities

during the reporting period.

2

PART III Participation Rates In Agency Employment Programs

Other Employment/Personnel 

Programs

TOTAL Reportable 

Disability

Targeted 

Disability

Not 

Identified

No Disability

# % # % # % # %

3. Competitive Promotions for major 

occupations

106 2 1.89 0 0.00 4 3.77 100 94.34

4. Non-Competitive Promotions 435 18 4.14 4 0.92 41 9.43 376 86.44

5. Employee Career Development 

Programs

52 2 3.85 0 0.00 2 3.85 48 92.31

5.a. Grades 5 - 12 7 0 0.00 0 0.00 0 0.00 7 100

5.b. Grades 13 - 14 36 2 5.56 0 0.00 2 5.56 32 88.89

5.c. Grade 15-17/SO 9 0 0.00 0 0 0 0 9 100

6. Employee Recognition and Awards

6.a. Time-Off Awards (Total hours 

awarded for 9+ hours category)

1286 69 5.37 15 1.17 68 5.29 1149 89.35
42 | EEO PROGRAM STATUS REPORT

6.b. Cash Awards (total $$$ awarded for 

$501+ category)

3944 163 4.13 23 0.58 177 4.49 3604 91.38

6.c. Quality-Step Increase N/A N/A N/A N/A N/A N/A N/A N/A N/A

EEOC FORM 

715-01

Part J

Special Program Plan for the Recruitment, Hiring, and Advancement of Individuals With Targeted 

Disabilities

Part IV

Identification and 

Elimination of 

Barriers

Agencies with 1,000 or more permanent employees MUST conduct a barrier analysis to address any 

barriers to increasing employment opportunities for employees and applicants with targeted disabilities 

using FORM 715-01 PART I. Agencies should review their recruitment, hiring, career development, 

promotion, and retention of individuals with targeted disabilities in order to determine whether there are any 

barriers.

Part V

Goals for Targeted 

Disabilities

Agencies with 1,000 or more permanent employees are to use the space provided below to describe 

the strategies and activities that will be undertaken during the coming fiscal year to maintain a special 

recruitment program for individuals with targeted disabilities and to establish specific goals for the 

employment and advancement of such individuals. For these purposes, targeted disabilities may be 

considered as a group. Agency goals should be set and accomplished in such a manner as will affect 

measurable progress from the preceding fiscal year. Agencies are encouraged to set a goal for the hiring 

of individuals with targeted disabilities that is at least as high as the anticipated losses from this group 

during the next reporting period, with the objective of avoiding a decrease in the total participation rate of 

employees with disabilities. 

Goals, objectives and strategies described below should focus on internal as well as external sources of 

candidates and include discussions of activities undertaken to identify individuals with targeted disabilities 

who can be (1) hired; (2) placed in such a way as to improve possibilities for career development; and (3) 

advanced to a position at a higher level or with greater potential than the position currently occupied.

PART V—GOALS, OBJECTIVES AND STRATEGIES

A. SELF-IDENTIFICATION, QUANTITATIVE ANALYSIS, AND GOALS AND BENCHMARKS

Action Items Key Deliverables/Output Narrative Description

1. Conduct annual review 

of current workforce.

MD-715 Report Report is completed with input from OEEO, OMWI and OHR for 

submission to the Equal Employment Opportunity Commission. 

B. OUTREACH AND RECRUITMENT

Action Items Key Deliverables/Output Narrative Description

1. Maintain list of 

disability affinity 

organizations for 

outreach.

Updated contact 

information for disability 

affinity organizations.

The Selective Placement Program Coordinator (SPPC) updates 

the SEC’s list of affinity organizations to maintain contact and foster 

relationships for recruitment events and candidate sourcing.

2. Use Veterans recruiting 

sources.

Connections with Veterans 

recruiting sources. 

In FY 2015, the SEC attended the National Capital Region Veteran 

Resource Expo and engaged with the Department of Defense’s 

Operation Warfighter program, which places wounded, ill, and injured 

service members into federal internship opportunities, to successfully 

on-board an intern in the SEC’s Forth Worth Regional Office. The 

Operation Warfighter Program presents an opportunity for transitioning 

service members to augment their employment readiness by building 

their resumes, exploring employment interests, developing job skills, 

benefitting from both formal and on-the-job training opportunities, 

and gaining valuable Federal government work experience, while 

simultaneously enabling Federal employers to familiarize themselves 

with the skills sets and challenges of ill and injured service members as 

they also benefit from the talent and dedication of program participants.

3. Attend/Sponsor 

recruitment events.

Market SEC to applicants 

with disabilities. 

In FY 2015, the SEC sponsored a Disability Hiring event which yielded 

the direct hire of 2 persons with disabilities. The SEC will host another 

SEC Disability Hiring Event in FY 2016. The SEC will partner with other 

government agencies on their best practices and institute as appropriate, 

and attend Career Events that will leverage the best branding efforts for 

the Commission.

4. Participate in 

Workforce Recruitment 

Program (WRP).

Identify eligible candidates 

from WRP database for 

vacant positions.

SPPC identified potential candidates from the WRP database for 

Schedule A hiring. 
FISCAL YEAR 2015 | 43

5. Recruit from OPM’s 

Shared List of People 

with Disabilities.

Identify candidates from 

OPM database on MAX. SPPC sourced potential candidates for open positions from the OPM’s 

Shared List of People with Disabilities. 

6. Talk to hiring managers 

about hiring flexibilities, 

including Schedule 

A before vacancy 

announcements are 

posted.

Managers encouraged 

to hire applicants with 

targeted disabilities. 

Continued to address special hiring authorities, including Schedule A, 

in conversations with hiring managers. A checklist is used by Staffing 

specialists when vacant positions are identified to ensure hiring 

managers understand all options for backfilling positions, including how 

to use Schedule A and 30% veteran authorities to fill positions quickly. 

In FY 2016, the SEC plans to expand Brown Bag sessions for hiring 

managers describing the benefits of the Schedule A hiring process.

7. Maintain 

relationships with 

Disability Employment 

focused organizations 

sponsored by the federal 

government.

Current information to aide 

in Selective Placement 

Program recruiting and 

disability hiring.

SPPC is registered to receive notifications and newsletters from the 

following groups and transmits information to OHR staff engaged in 

recruiting:

• EARN – Employer Assistance Resource Network: 

http://askearn.org

• JAN – Job Accommodation Network http://askjan.org

• ODEP – Office of Disability Employment Policy, DOL: 

http://www.dol.gov/odep/

• Additionally, the SEC established a new partnership with FEDS 

First, an organization for Federal Employees with Disabilities.

C. And D. HIRING, CAREER DEVELOPMENT AND ADVANCEMENT, AND RETENTION

Action Items Key Deliverables/Output Narrative Description

1. Review and revise 

SEC policy for disabled 

veteran hiring.

Updated SEC policy The policy for disabled veteran hiring was revised in FY 2015.

2. Monitor use of special 

hiring authorities in 

relation to hiring goals. 

Hiring metrics Every month and at the end of the fiscal year, the SEC’s Office of the 

Chief Operating Officer publishes metrics for disability hiring.

3. Survey SEC Disability 

Issues Advisory 

Committee (DIAC) for 

inclusive professional 

development training 

needs of participants.

Efficient and effective use 

of training resources by 

addressing needs identified 

by stakeholders.

(1) In a discussion with hearing impaired DIAC members, the members 

suggested training for managers to learn to be more inclusive and 

supportive of deaf and hard-of-hearing staff and colleagues.

(2) As a result, SECU established a partnership with Gallaudet University 

to provide training in American Sign Language and Deaf culture to 

interested SEC managers and employees. This partnership will continue 

into FY 2016. Attendees included a number of SEC managers who 

supervise deaf and hearing impaired employees. 

(3) All employees, regardless of ability, can access professional 

development opportunities through SEC University.

4. Attend meetings of 

SEC affinity groups with 

interests related to hiring 

and promoting persons 

with disabilities. 

Information is 

communicated and shared 

among SEC employees 

and affinity groups related 

to employment initiatives 

focusing on individuals with 

disabilities.

The SPPC maintains an ongoing relationship with the SEC’s DIAC and 

the Veterans Committee.

E. REASONABLE ACCOMMODATION POLICIES AND PROCEDURES

Action Items Key Deliverables/Output Narrative Description

1. Provide mandatory 

training to all managers 

and supervisors on 

their responsibilities for 

providing reasonable 

accommodations 

to employees with 

disabilities.

Managers and 

supervisors meeting 

their responsibilities and 

appropriately referring 

employees to OHR 

Disability Program 

for information and 

accommodations.

In FY 2015, all new SEC managers participated in mandatory training 

regarding the reasonable accommodation process as part of the LD 307 

“Fundamentals of Human Resource Management” training.
44 | EEO PROGRAM STATUS REPORT

F. EXTERNAL AND INTERNAL COMMUNICATION OF AGENCY POLICIES AND PROCEDURES

Action Items Key Deliverables/Output Narrative Description

1. Develop improved 

communications strategy.

Accessible information for 

SEC employees related to 

employment at the SEC. 

OHR maintains a portal on the SEC’s intranet which provides 

employees with information about hiring, compensation and benefits, 

employee development, performance management, and disability 

accommodations, amongst other topics. In addition, all employees 

receive a daily communication, SEC Today, which highlights important 

information including events and opportunities for details, training, and 

SEC staff accomplishments. In FY 2015, OHR updated its portal to 

include information on the Upward Mobility and Voluntary Reassignment 

programs, as well as the updated Disability Accommodation request 

procedures. The Chief Human Capital Officer 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. 

2. Make more information 

about the disability 

employment program, 

available on SEC’s public 

website and USA Jobs 

postings.

Accessible information 

for members of the public 

and job applicants related 

to the SEC’s Disability 

Employment Program. 

Information about the SEC Disability Employment Program is posted 

on SEC.gov (http://www.sec.gov/disability/sec_access.htm). This also 

includes an online method for requesting accommodations for the job 

application process. Every SEC vacancy announcement posted to 

USAJOBS includes information about obtaining accommodations. The 

name of SEC’s SPPC is on OPM’s website at http://www.opm.gov/policydata-oversight/disability-employment/selective-placement-programcoordinator-directory/. 

In FY 2015, SEC’s updated Disability Accommodation procedures were 

posted to SEC.gov.

G. TRAINING AND EDUCATION

Action Items Key Deliverables/Output Narrative Description

1. Establish a full-time 

SPPC position.

Services of subject matter 

expert to fulfill duties of 

SPPC related to recruiting 

and hiring employees with 

disabilities.

In FY 2015, the SEC named a new full-time Selective Placement 

Program Coordinator to focus on disability recruitment, hiring, and 

retention.

2. Train all managers 

about special hiring 

authorities for persons 

with severe disabilities 

under Schedule A.

Integrate disability 

employment information 

into in-depth training for 

new supervisors.

Knowledgeable managers 

supporting efforts to 

increase hiring rate of 

employees with targeted 

disabilities.

All new managers attend the Leadership Development 307 course, 

“Fundamentals of HR Management,” which highlights special hiring 

authorities, including Schedule A, and also reasonable accommodations. 

In addition, OHR held a “Brown Bag” lunch and learn session for existing 

managers in FY 2015, to educate them on the benefits and uses of 

Schedule A authority to hire individuals with disabilities.

3. Provide onsite 

instruction for ASL and 

cultural awareness 

for interested SEC 

employees and 

managers.

Improved social and 

workplace communications 

between Deaf and hearing 

employees. 

SECU coordinated with Gallaudet University to provide onsite instruction 

for American Sign Language (ASL) and cultural awareness for interested 

SEC employees and managers in FY 2015. The program will be offered 

again in FY 2016.

4. Train new employees 

about disability 

accommodations 

and related Work Life 

programs and benefits.

New employees aware 

of Work Life program 

resources and how to 

access them.

The SEC’s New Employee Orientation includes a 15 minute presentation 

by the SEC Disability Program Manager and Disability Program Assistant 

covering Disability Accommodations, Medical Leave, and Medical 

Telework. The information is also included under Resources in the New 

Employee Handbook.
FISCAL YEAR 2015 | 45

EQUAL EMPLOYMENT 

OPPORTUNITY POLICY Equal Employment 

Opportunity Policy

MARY JO WHITE

DATE

October 6, 2015

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 providing you with 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, religion, national origin, disability, or genetic 

information.

Each of us must support an individual’s right, without fear of retaliation, to: (1) participate in the 

EEO process; and/or (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 inquiries into allegations of discrimination, harassment 

and/or retaliation. 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.

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) or an EEO Counselor within 45 calendar days of the employment action you believe 

to be discriminatory to preserve your right to participate in the formal EEO complaint process. 

You can reach OEEO by 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. OEEO’s webpage on The INSIDER provides additional information.

Thank you for your continued efforts to make the promise of equal employment opportunity a reality.
46 | EEO PROGRAM STATUS REPORT

POLICY ON PREVENTING 

HARASSMENT (PPH)

As Chair of the SEC, I am committed to providing you with 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, 

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 becomes severe or pervasive 

or otherwise rises to the level of illegal harassment. EEO-based 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 or harass does not 

excuse the conduct. Immediate and appropriate corrective and disciplinary action will be recommended when it is determined 

that harassment has occurred.

Among other things, the 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.

The PPH applies 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 telephone (202) 551-6040, fax (202) 772-9316, or in person (SPIII, Suite 2900). OEEO will accept reports from individuals 

who prefer to remain anonymous. Additional information is also available on OEEO’s webpage on The INSIDER. TTY users should 

call the Federal Relay Service at (800) 877-8339 to be connected with OEEO.

Reporting Responsibility of Managers/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.

OEEO’s Responsibility

OEEO, in coordination with management and/or the Office of Human Resources, 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 its inquiry, OEEO will: (1) explain to the involved parties the obligations under the PPH; (2) explain to the alleged harasser the 

behavior considered objectionable; and (3) notify the appropriate management officials so that the alleged objectionable conduct 

is addressed immediately. 

Retaliation Prohibited

The SEC will not tolerate retaliation against anyone who reports harassing conduct or cooperates with or participates in any 

investigation of alleged harassing conduct.

PPH Inquiry/EEO Complaint

An 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 days of an act of 

alleged discrimination or retaliation under the EEO complaint process, should the individual choose to pursue an EEO complaint.

Confidentiality

Information provided to SEC officials in connection with an 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 MARY JO WHITE

Policy on Preventing 

Harassment (PEHP)

October 6, 2015
FISCAL YEAR 2015 | 47

FISCAL YEAR 2015 462 REPORT

The SEC previously submitted the FY 2015 462 Report to the EEOC.
48 | EEO PROGRAM STATUS REPORT
FISCAL YEAR 2015 | 49

SEC’S ORGANIZATIONAL STRUCTURE

The SEC’s leadership includes a Chair and four Commissioners located at the SEC’s Headquarters in 

Washington, D.C.

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 five divisions and 

24 Offices, each of which is headquartered in Washington, D.C. The Commission’s staff is located in 

Washington, D.C., and 11 Regional Offices throughout the country. Divisions and Offices Include:

Five Divisions

n Corporation Finance

n Enforcement

n Investment Management

Twenty-four Offices

n Acquisitions

n Administrative Law Judges

n Chair

n Chief Accountant

n Chief Operating Officer

n Compliance Inspections and Examinations

n Credit Ratings

n Equal Employment Opportunity

n Ethics Counsel

n Financial Management

n General Counsel

n Human Resources

The SEC’s Regional Offices report to both the Division of Enforcement and the Office of Compliance 

Inspections and Examinations and operate within the authority of the Commission.

n Information Technology

n Inspector General

n International Affairs

n Investor Advocate

n Investor Education and Advocacy

n Legislative and Intergovernmental Affairs

n Minority and Women Inclusion

n Municipal Securities

n Public Affairs

n Secretary

n Strategic Initiatives

n Support Operations

n Economic and Risk Analysis

n Trading and Markets
50 | EEO PROGRAM STATUS REPORT

San Francisco

Los Angeles

Denver

Salt Lake City

Fort Worth

Miami

Atlanta

Chicago

Boston

New York

Philadelphia

Washington, DC

U.S. SECURITIES AND EXCHANGE COMMISSION HEADQUARTERS AND REGIONAL OFFICES U.S. SECURITIES AND EXCHANGE COMMISSION 

HEADQUARTERS AND REGIONAL OFFICES
FISCAL YEAR 2015 | 51

SEC ORGANIZATION CHART

Trading &

Markets

Commissioner Commissioner Chair Office of the Chair Commissioner Commissioner

Enforcement

General

Counsel

Inspector

General

International

Affairs

Investor

Advocate

Investor

Education &

Advocacy

Minority &

Women

Inclusion

Acquisitions

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

Financial

Management

Human

Resources

Information

Technology

Support

Operations

Municipal

Securities

Public

Affairs Secretary Legislative & Inter-Governmental Affairs

Corporation

Finance

Investment

Management

Economic &

Risk Analysis

Administrative

Law Judges

Chief

Accountant

Credit

Ratings

Chief

Operating

Officer

Equal

Employment

Opportunity

Ethics

Counsel

Compliance

Inspections &

Examinations

Strategic

 Initiatives
52 | EEO PROGRAM STATUS REPORT
FISCAL YEAR 2015 | 53

Employment Tenure TOTAL WORKFORCE

RACE/ETHNICITY

Hispanic or Latino

Non-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

TOTALPrior FY # 4235 2284 1951 93 96 1733 1119 219 486 226 232 1 4 10 5 2 9

% 100% 53.93% 46.07% 2.20% 2.27% 40.92% 26.42% 5.17% 11.48% 5.34% 5.48% 0.02% 0.09% 0.24% 0.12% 0.05% 0.21%

Current FY # 4440 2402 2038 116 107 1792 1159 222 500 256 246 1 4 12 6 3 16

% 100% 54.10% 45.90% 2.61% 2.41% 40.36% 26.10% 5.00% 11.26% 5.77% 5.54% 0.02% 0.09% 0.27% 0.14% 0.07% 0.36%

CLF (2010) % 51.86% 48.14% 5.17% 4.79% 38.33% 34.03% 5.49% 6.53% 1.97% 1.93% 0.07% 0.07% 0.55% 0.53% 0.26% 0.28%

Difference # 205 118 87 23 11 59 40 3 14 30 14 0 0 2 1 1 7

Ratio Change % 0.00% 0.17% -0.17% 0.42% 0.14% -0.56% -0.32% -0.17% -0.21% 0.43% 0.06% 0.00% 0.00% 0.03% 0.02% 0.02% 0.15%

Net Change % 4.84% 5.17% 4.46% 24.73% 11.46% 3.40% 3.57% 1.37% 2.88% 13.27% 6.03% 0.00% 0.00% 20.00% 20.00% 50.00% 77.78%

PERMANENT

Prior FY # 4097 2198 1899 92 93 1675 1094 209 475 209 222 1 2 10 5 2 8

% 100% 53.65% 46.35% 2.25% 2.27% 40.88% 26.70% 5.10% 11.59% 5.10% 5.42% 0.02% 0.05% 0.24% 0.12% 0.05% 0.20%

Current FY # 4310 2321 1989 112 103 1741 1139 215 491 237 233 1 2 12 6 3 15

% 100% 53.85% 46.15% 2.60% 2.39% 40.39% 26.43% 4.99% 11.39% 5.50% 5.41% 0.02% 0.05% 0.28% 0.14% 0.07% 0.35%

Difference # 213 123 90 20 10 66 45 6 16 28 11 0 0 2 1 1 7

Ratio Change % 0.00% 0.20% -0.20% 0.35% 0.12% -0.49% -0.28% -0.11% -0.20% 0.40% -0.01% 0.00% 0.00% 0.03% 0.02% 0.02% 0.15%

Net Change % 5.20% 5.60% 4.74% 21.74% 10.75% 3.94% 4.11% 2.87% 3.37% 13.40% 4.95% 0.00% 0.00% 20.00% 20.00% 50.00% 87.50%

TEMPORARY

Prior FY # 138 86 52 1 3 58 25 10 11 17 10 0 2 0 0 0 1

% 100% 62.32% 37.68% 0.72% 2.17% 42.03% 18.12% 7.25% 7.97% 12.32% 7.25% 0.00% 1.45% 0.00% 0.00% 0.00% 0.72%

Current FY # 130 81 49 4 4 51 20 7 9 19 13 0 2 0 0 0 1

% 100% 62.31% 37.69% 3.08% 3.08% 39.23% 15.38% 5.38% 6.92% 14.62% 10.00% 0.00% 1.54% 0.00% 0.00% 0.00% 0.77%

Difference # -8 -5 -3 3 1 -7 -5 -3 -2 2 3 0 0 0 0 0 0

Ratio Change % 0.00% -0.01% 0.01% 2.35% 0.90% -2.80% -2.73% -1.86% -1.05% 2.30% 2.75% 0.00% 0.09% 0.00% 0.00% 0.00% 0.04%

Net Change % -5.80% -5.81% -5.77% 300.00% 33.33% -12.07% -20.00% -30.00% -18.18% 11.76% 30.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Table A1: TOTAL WORKFORCE

WORKFORCE DATA TABLES

—DISTRIBUTION BY RACE/ETHNICITY AND SEX FOR PAY PERIOD 201421 TO 201521
54 | EEO PROGRAM STATUS REPORT PERMANENT EMPLOYEES TOTAL EMPLOYEES RACE/ETHNICITY Hispanic or Latino Non-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 TOTAL FY # 4310 2321 1989 112 103 1741 1139 215 491 237 233 1 2 12 6 3 15

% 100% 53.85% 46.15% 2.60% 2.39% 40.39% 26.43% 4.99% 11.39% 5.50% 5.41% 0.02% 0.05% 0.28% 0.14% 0.07% 0.35%

CLF (2010)

% 100% 51.86% 48.14% 5.17% 4.79% 38.33% 34.03% 5.49% 6.53% 1.97% 1.93% 0.07% 0.07% 0.55% 0.53% 0.26% 0.28%

HQ # 2731 1426 1305 61 50 1041 713 162 383 148 141 1 2 10 4 3 12

% 100% 52.22% 47.78% 2.23% 1.83% 38.12% 26.11% 5.93% 14.02% 5.42% 5.16% 0.04% 0.07% 0.37% 0.15% 0.11% 0.44%

NYRO # 377 211 166 11 13 166 102 8 28 25 22 0 0 1 0 0 1

% 100% 55.97% 44.03% 2.92% 3.45% 44.03% 27.06% 2.12% 7.43% 6.63% 5.84% 0.00% 0.00% 0.27% 0.00% 0.00% 0.27%

CHRO # 221 129 92 4 7 115 56 5 22 5 7 0 0 0 0 0 0

% 100% 58.37% 41.63% 1.81% 3.17% 52.04% 25.34% 2.26% 9.95% 2.26% 3.17% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

LARO # 162 85 77 7 6 50 40 3 13 25 18 0 0 0 0 0 0

% 100% 52.47% 47.53% 4.32% 3.70% 30.86% 24.69% 1.85% 8.02% 15.43% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

BRO # 146 84 62 1 1 72 48 4 4 7 9 0 0 0 0 0 0

% 100% 57.53% 42.47% 0.68% 0.68% 49.32% 32.88% 2.74% 2.74% 4.79% 6.16% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

PLRO # 125 73 52 2 3 57 38 9 9 5 2 0 0 0 0 0 0

% 100% 58.40% 41.60% 1.60% 2.40% 45.60% 30.40% 7.20% 7.20% 4.00% 1.60% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

FWRO # 116 68 48 4 3 55 40 6 3 3 1 0 0 0 0 0 1

% 100% 58.62% 41.38% 3.45% 2.59% 47.41% 34.48% 5.17% 2.59% 2.59% 0.86% 0.00% 0.00% 0.00% 0.00% 0.00% 0.86%

SFRO # 110 56 54 3 2 38 23 2 5 13 22 0 0 0 1 0 1

% 100% 50.91% 49.09% 2.73% 1.82% 34.55% 20.91% 1.82% 4.55% 11.82% 20.00% 0.00% 0.00% 0.00% 0.91% 0.00% 0.91%

ARO # 102 64 38 3 1 49 17 11 18 1 1 0 0 0 1 0 0

% 100% 62.75% 37.25% 2.94% 0.98% 48.04% 16.67% 10.78% 17.65% 0.98% 0.98% 0.00% 0.00% 0.00% 0.98% 0.00% 0.00%

MIRO # 102 59 43 16 12 38 20 3 6 2 5 0 0 0 0 0 0

% 100% 57.84% 42.16% 15.69% 11.76% 37.25% 19.61% 2.94% 5.88% 1.96% 4.90% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

DRO # 95 51 44 0 4 50 37 0 0 0 3 0 0 1 0 0 0

% 100% 53.68% 46.32% 0.00% 4.21% 52.63% 38.95% 0.00% 0.00% 0.00% 3.16% 0.00% 0.00% 1.05% 0.00% 0.00% 0.00%

SLRO # 23 15 8 0 1 10 5 2 0 3 2 0 0 0 0 0 0

100% 65.22% 34.78% 0.00% 4.35% 43.48% 21.74% 8.70% 0.00% 13.04% 8.70% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Table A-2: REGIONAL OFFICES AND DIVISIONS—DISTRIBUTION BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE PAY PERIOD 201521
FISCAL YEAR 2015 | 55

Occupational Categories

TOTAL EMPLOYEES

RACE/ETHNICITY

Hispanic or Latino

Non-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

Officials and Managers

Executive/Senior Level # 143 87 56 3 1 79 45 3 5 2 5 0 0 0 0 0 0

% 100% 60.84% 39.16% 2.10% 0.70% 55.24% 31.47% 2.10% 3.50% 1.40% 3.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Mid-level 

# 376 216 160 10 6 189 117 9 18 8 17 0 1 0 0 0 1

% 100% 57.45% 42.55% 2.66% 1.60% 50.27% 31.12% 2.39% 4.79% 2.13% 4.52% 0.00% 0.27% 0.00% 0.00% 0.00% 0.27%

First-Level # 338 218 120 9 3 164 72 16 29 24 16 1 0 4 0 0 0

% 100% 64.50% 35.50% 2.66% 0.89% 48.52% 21.30% 4.73% 8.58% 7.10% 4.73% 0.30% 0.00% 1.18% 0.00% 0.00% 0.00%

Other

# 5 3 2 0 0 2 2 0 0 1 0 0 0 0 0 0 0% 100% 60.00% 40.00% 0.00% 0.00% 40.00% 40.00% 0.00% 0.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Officials and Managers TOTAL

# 862 524 338 22 10 434 236 28 52 35 38 1 1 4 0 0 1

% 100% 60.79% 39.21% 2.55% 1.16% 50.35% 27.38% 3.25% 6.03% 4.06% 4.41% 0.12% 0.12% 0.46% 0.00% 0.00% 0.12%

Professionals - Program Work

# 2412 1379 1033 60 54 1097 708 83 108 134 154 0 1 4 3 1 5% 100% 57.17% 42.83% 2.49% 2.24% 45.48% 29.35% 3.44% 4.48% 5.56% 6.38% 0.00% 0.04% 0.17% 0.12% 0.04% 0.21%

Professionals - Business / Financial Administration

# 883 385 498 29 33 195 171 87 248 68 34 0 0 4 3 2 9

% 100% 43.60% 56.40% 3.28% 3.74% 22.08% 19.37% 9.85% 28.09% 7.70% 3.85% 0.00% 0.00% 0.45% 0.34% 0.23% 1.02%

Administrative Support Workers

# 153 33 120 1 6 15 24 17 83 0 7 0 0 0 0 0 0

% 100% 21.57% 78.43% 0.65% 3.92% 9.80% 15.69% 11.11% 54.25% 0.00% 4.58% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Table A3-1: OCCUPATIONAL CATEGORIES—DISTRIBUTION BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE PAY PERIOD 201521
56 | EEO PROGRAM STATUS REPORT Occupational Categories TOTAL EMPLOYEES RACE/ETHNICITY Hispanic or Latino Non-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 Officials and Managers Executive/Senior Level # 143 87 56 3 1 79 45 3 5 2 5 0 0 0 0 0 0

% 3.32% 3.75% 2.82% 2.68% 0.97% 4.54% 3.95% 1.40% 1.02% 0.84% 2.15% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Mid-level 

# 376 216 160 10 6 189 117 9 18 8 17 0 1 0 0 0 1

% 8.72% 9.31% 8.04% 8.93% 5.83% 10.86% 10.27% 4.19% 3.67% 3.38% 7.30% 0.00% 50.00% 0.00% 0.00% 0.00% 6.67%

First-Level # 338 218 120 9 3 164 72 16 29 24 16 1 0 4 0 0 0

% 7.84% 9.39% 6.03% 8.04% 2.91% 9.42% 6.32% 7.44% 5.91% 10.13% 6.87% 100.00% 0.00% 33.33% 0.00% 0.00% 0.00%

Other

# 5 3 2 0 0 2 2 0 0 1 0 0 0 0 0 0 0

% 0.12% 0.13% 0.10% 0.00% 0.00% 0.11% 0.18% 0.00% 0.00% 0.42% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Officials and Managers TOTAL

# 862 524 338 22 10 434 236 28 52 35 38 1 1 4 0 0 1

% 20.00% 22.58% 16.99% 19.64% 9.71% 24.93% 20.72% 13.02% 10.59% 14.77% 16.31% 100.00% 50.00% 33.33% 0.00% 0.00% 6.67%

Professionals - Program Work

# 2412 1379 1033 60 54 1097 708 83 108 134 154 0 1 4 3 1 5

% 55.96% 59.41% 51.94% 53.57% 52.43% 63.01% 62.16% 38.60% 22.00% 56.54% 66.09% 0.00% 50.00% 33.33% 50.00% 33.33% 33.33%

Professionals - Business / Financial Administration

# 883 385 498 29 33 195 171 87 248 68 34 0 0 4 3 2 9

%

20.49% 16.59% 25.04% 25.89% 32.04% 11.20% 15.01% 40.47% 50.51% 28.69% 14.59% 0.00% 0.00% 33.33% 50.00% 66.67% 60.00%

Administrative Support Workers

# 153 33 120 1 6 15 24 17 83 0 7 0 0 0 0 0 0

% 3.55% 1.42% 6.03% 0.89% 5.83% 0.86% 2.11% 7.91% 16.90% 0.00% 3.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Total Workforce # 4,310 2,321 1,989 112 103 1,741 1,139 215 491 237 233 1 2 12 6 3 15

% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100%

Table

NOTE: Percentages computed down columns and NOT across rows. 

 A3-2: OCCUPATIONAL CATEGORIES—DISTRIBUTION BY RACE/ETHNICITY AND SEX—

PERMANENT WORKFORCE PAY PERIOD 201521
FISCAL YEAR 2015 | 57

SK, SO, AND RELATED GRADES

TOTAL EMPLOYEES

RACE/ETHNICITY

Hispanic or Latino

Non-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-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 # 4 2 2 0 0 1 0 1 2 0 0 0 0 0 0 0 0 % 100% 50.00% 50.00% 0.00% 0.00% 25.00% 0.00% 25.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-05 # 5 1 4 0 0 0 1 1 2 0 1 0 0 0 0 0 0 % 100% 20.00% 80.00% 0.00% 0.00% 0.00% 20.00% 20.00% 40.00% 0.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-06 # 12 4 8 0 0 2 1 2 7 0 0 0 0 0 0 0 0 % 100% 33.33% 66.67% 0.00% 0.00% 16.67% 8.33% 16.67% 58.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-07 # 81 19 62 1 5 10 11 8 42 0 4 0 0 0 0 0 0 % 100% 23.46% 76.54% 1.23% 6.17% 12.35% 13.58% 9.88% 51.85% 0.00% 4.94% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-08 # 24 2 22 0 0 1 3 1 18 0 1 0 0 0 0 0 0 % 100% 8.33% 91.67% 0.00% 0.00% 4.17% 12.50% 4.17% 75.00% 0.00% 4.17% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-09 # 79 22 57 0 3 8 13 11 37 3 2 0 0 0 0 0 2 % 100% 27.85% 72.15% 0.00% 3.80% 10.13% 16.46% 13.92% 46.84% 3.80% 2.53% 0.00% 0.00% 0.00% 0.00% 0.00% 2.53%

SK-10 # 2 0 2 0 0 0 1 0 1 0 0 0 0 0 0 0 0 % 100% 0.00% 100.00% 0.00% 0.00% 0.00% 50.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-11 # 141 47 94 5 14 25 26 12 49 5 4 0 0 0 0 0 1 % 100% 33.33% 66.67% 3.55% 9.93% 17.73% 18.44% 8.51% 34.75% 3.55% 2.84% 0.00% 0.00% 0.00% 0.00% 0.00% 0.71%

SK-12 # 250 83 167 3 10 50 62 20 74 10 19 0 0 0 1 0 1 % 100% 33.20% 66.80% 1.20% 4.00% 20.00% 24.80% 8.00% 29.60% 4.00% 7.60% 0.00% 0.00% 0.00% 0.40% 0.00% 0.40%

SK-13 # 449 237 212 17 7 148 109 35 78 32 16 0 0 3 1 2 1 % 100% 52.78% 47.22% 3.79% 1.56% 32.96% 24.28% 7.80% 17.37% 7.13% 3.56% 0.00% 0.00% 0.67% 0.22% 0.45% 0.22%

SK-14 # 1934 1080 854 56 52 812 541 87 116 121 134 0 0 3 2 1 9 % 100% 55.84% 44.16% 2.90% 2.69% 41.99% 27.97% 4.50% 6.00% 6.26% 6.93% 0.00% 0.00% 0.16% 0.10% 0.05% 0.47%

SK-15 # 347 230 117 10 3 177 73 14 27 24 14 1 0 4 0 0 0 % 100% 66.28% 33.72% 2.88% 0.86% 51.01% 21.04% 4.03% 7.78% 6.92% 4.03% 0.29% 0.00% 1.15% 0.00% 0.00% 0.00%

SK-16 # 461 287 174 7 2 236 137 11 15 31 17 0 1 2 2 0 0 % 100% 62.26% 37.74% 1.52% 0.43% 51.19% 29.72% 2.39% 3.25% 6.72% 3.69% 0.00% 0.22% 0.43% 0.43% 0.00% 0.00%

SK-17 # 373 217 156 10 6 190 114 9 18 8 16 0 1 0 0 0 1 % 100% 58.18% 41.82% 2.68% 1.61% 50.94% 30.56% 2.41% 4.83% 2.14% 4.29% 0.00% 0.27% 0.00% 0.00% 0.00% 0.27%

All other (Non-SK) # 5 3 2 0 0 2 2 0 0 1 0 0 0 0 0 0 0 % 100% 60.00% 40.00% 0.00% 0.00% 40.00% 40.00% 0.00% 0.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Senior Officer # 143 87 56 3 1 79 45 3 5 2 5 0 0 0 0 0 0 % 100% 60.84% 39.16% 2.10% 0.70% 55.24% 31.47% 2.10% 3.50% 1.40% 3.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Table A4-1: PARTICIPATION RATES FOR SK GRADES BY RACE/ETHNICITY AND SEX—PERMANENT EMPLOYEES PAY PERIOD 201521
58 | EEO PROGRAM STATUS REPORT SK, SO, AND RELATED GRADES TOTAL EMPLOYEES RACE/ETHNICITY Hispanic or Latino Non-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-03 # 3 2 1 0 0 1 1 1 0 0 0 0 0 0 0 0 0

% 100% 66.67% 33.33% 0.00% 0.00% 33.33% 33.33% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-04 # 3 0 3 0 0 0 0 0 1 0 1 0 0 0 0 0 1

% 100% 0.00% 100.00% 0.00% 0.00% 0.00% 0.00% 0.00% 33.33% 0.00% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 33.33%

SK-05 # 7 5 2 0 1 2 0 2 1 1 0 0 0 0 0 0 0

% 100% 71.43% 28.57% 0.00% 14.29% 28.57% 0.00% 28.57% 14.29% 14.29% 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 # 1 1 0 1 0 0 0 1 1 0 0 0 0 0 0 0 0

% 100% 100.00% 0.00% 100.00% 0.00% 0.00% 0.00% 100.00% 100.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

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 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0

% 100% 0.00% 100.00% 0.00% 0.00% 0.00% 0.00% 0.00% 100.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-10 # 2 0 2 0 0 0 1 0 1 0 0 0 0 0 0 0 0

% 100% 0.00% 100.00% 0.00% 0.00% 0.00% 50.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-11 # 16 9 7 0 0 6 4 1 2 2 1 0 0 0 0 0 0

% 100% 56.25% 43.75% 0.00% 0.00% 37.50% 25.00% 6.25% 12.50% 12.50% 6.25% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-12 # 3 0 3 0 1 0 1 0 0 0 1 0 0 0 0 0 0

% 100% 0.00% 100.00% 0.00% 33.33% 0.00% 33.33% 0.00% 0.00% 0.00% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-13 # 4 3 1 0 0 0 0 1 0 2 1 0 0 0 0 0 0

% 100% 75.00% 25.00% 0.00% 0.00% 0.00% 0.00% 25.00% 0.00% 50.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-14 # 42 28 14 1 1 18 5 1 1 8 7 0 0 0 0 0 0

% 100% 66.67% 33.33% 2.38% 2.38% 42.86% 11.90% 2.38% 2.38% 19.05% 16.67% 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 # 32 23 9 1 1 16 4 1 2 5 1 0 1 0 0 0 0

% 100% 71.88% 28.13% 3.13% 3.13% 50.00% 12.50% 3.13% 6.25% 15.63% 3.13% 0.00% 3.13% 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) # 8 4 4 0 0 3 3 0 0 1 1 0 0 0 0 0 0

% 100% 50.00% 50.00% 0.00% 0.00% 37.50% 37.50% 0.00% 0.00% 12.50% 12.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Senior Officer, EX # 8 6 2 1 0 5 1 0 0 0 0 0 1 0 0 0 0

% 100% 75.00% 25.00% 12.50% 0.00% 62.50% 12.50% 0.00% 0.00% 0.00% 0.00% 0.00% 12.50% 0.00% 0.00% 0.00% 0.00%

Table A4-1: PARTICIPATION RATES FOR SK GRADES BY RACE/ETHNICITY AND SEX

—

TEMPORARY EMPLOYEES PAY PERIOD 201521
FISCAL YEAR 2015 | 59

SK, SO, AND RELATED GRADES

TOTAL EMPLOYEES

RACE/ETHNICITY

Hispanic or Latino

Non-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-03 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-04 # 4 2 2 0 0 1 0 1 2 0 0 0 0 0 0 0 0

% 0.09% 0.09% 0.10% 0.00% 0.00% 0.06% 0.00% 0.47% 0.41% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-05 # 5 1 4 0 0 0 1 1 2 0 1 0 0 0 0 0 0

% 0.12% 0.04% 0.20% 0.00% 0.00% 0.00% 0.09% 0.47% 0.41% 0.00% 0.43% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-06 # 12 4 8 0 0 2 1 2 7 0 0 0 0 0 0 0 0

% 0.28% 0.17% 0.40% 0.00% 0.00% 0.11% 0.09% 0.93% 1.43% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-07 # 81 19 62 1 5 10 11 8 42 0 4 0 0 0 0 0 0

% 1.88% 0.82% 3.12% 0.89% 4.85% 0.57% 0.97% 3.72% 8.55% 0.00% 1.72% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-08 # 24 2 22 0 0 1 3 1 18 0 1 0 0 0 0 0 0

% 0.56% 0.09% 1.11% 0.00% 0.00% 0.06% 0.26% 0.47% 3.67% 0.00% 0.43% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-09 # 79 22 57 0 3 8 13 11 37 3 2 0 0 0 0 0 2

% 1.83% 0.95% 2.87% 0.00% 2.91% 0.46% 1.14% 5.12% 7.54% 1.27% 0.86% 0.00% 0.00% 0.00% 0.00% 0.00% 13.33%

SK-10 # 2 0 2 0 0 0 1 0 1 0 0 0 0 0 0 0 0

% 0.05% 0.00% 0.10% 0.00% 0.00% 0.00% 0.09% 0.00% 0.20% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-11 # 141 47 94 5 14 25 26 12 49 5 4 0 0 0 0 0 1

% 3.27% 2.02% 4.73% 4.46% 13.59% 1.44% 2.28% 5.58% 9.98% 2.11% 1.72% 0.00% 0.00% 0.00% 0.00% 0.00% 6.67%

SK-12 # 250 83 167 3 10 50 62 20 74 10 19 0 0 0 1 0 1

% 5.80% 3.58% 8.40% 2.68% 9.71% 2.87% 5.44% 9.30% 15.07% 4.22% 8.15% 0.00% 0.00% 0.00% 16.67% 0.00% 6.67%

SK-13 # 449 237 212 17 7 148 109 35 78 32 16 0 0 3 1 2 1

% 10.42% 10.21% 10.66% 15.18% 6.80% 8.50% 9.57% 16.28% 15.89% 13.50% 6.87% 0.00% 0.00% 25.00% 16.67% 66.67% 6.67%

SK-14 # 1934 1080 854 56 52 812 541 87 116 121 134 0 0 3 2 1 9

% 44.87% 46.53% 42.94% 50.00% 50.49% 46.64% 47.50% 40.47% 23.63% 51.05% 57.51% 0.00% 0.00% 25.00% 33.33% 33.33% 60.00%

SK-15 # 347 230 117 10 3 177 73 14 27 24 14 1 0 4 0 0 0

% 8.05% 9.91% 5.88% 8.93% 2.91% 10.17% 6.41% 6.51% 5.50% 10.13% 6.01% 100% 0.00% 33.33% 0.00% 0.00% 0.00%

SK-16 # 461 287 174 7 2 236 137 11 15 31 17 0 1 2 2 0 0

% 10.70% 12.37% 8.75% 6.25% 1.94% 13.56% 12.03% 5.12% 3.05% 13.08% 7.30% 0.00% 50.00% 16.67% 33.33% 0.00% 0.00%

SK-17 # 373 217 156 10 6 190 114 9 18 8 16 0 1 0 0 0 1

% 8.65% 9.35% 7.84% 8.93% 5.83% 10.91% 10.01% 4.19% 3.67% 3.38% 6.87% 0.00% 50.00% 0.00% 0.00% 0.00% 6.67%

All other (Non-SK) # 5 3 2 0 0 2 2 0 0 1 0 0 0 0 0 0 0

% 0.12% 0.13% 0.10% 0.00% 0.00% 0.11% 0.18% 0.00% 0.00% 0.42% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Senior Officer # 143 87 56 3 1 79 45 3 5 2 5 0 0 0 0 0 0

% 3.32% 3.75% 2.82% 2.68% 0.97% 4.54% 3.95% 1.40% 1.02% 0.84% 2.15% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTAL # 4310 2321 1989 112 103 1741 1139 215 491 237 233 1 2 12 6 3 15

% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100%

Table

NOTE: Percentages computed down columns and NOT across rows. 

 A4-2: PARTICIPATION RATES FOR SK GRADES BY RACE/ETHNICITY AND SEX—

PERMANENT WORKFORCE PAY PERIOD 201521
60 | EEO PROGRAM STATUS REPORT SK, SO, AND RELATED GRADES TOTAL EMPLOYEES RACE/ETHNICITY Hispanic or Latino Non-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-03 # 3 2 1 0 0 1 1 1 0 0 0 0 0 0 0 0 0

% 2.31% 2.47% 2.04% 0.00% 0.00% 1.96% 5.00% 12.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-04 # 3 0 3 0 0 0 0 0 1 0 1 0 0 0 0 0 1

% 2.31% 0.00% 6.12% 0.00% 0.00% 0.00% 0.00% 0.00% 10.00% 0.00% 7.69% 0.00% 0.00% 0.00% 0.00% 0.00% 100.00%

SK-05 # 7 5 2 0 1 2 0 2 1 1 0 0 0 0 0 0 0

% 5.38% 6.17% 4.08% 0.00% 25.00% 3.92% 0.00% 25.00% 10.00% 5.26% 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

% 0.00% 0.00% 0.00% 0.00% 0.00% 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 # 1 1 0 1 0 0 0 1 1 0 0 0 0 0 0 0 0

% 0.77% 1.23% 0.00% 25.00% 0.00% 0.00% 0.00% 12.50% 10.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-08 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-09 # 1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0

% 0.77% 0.00% 2.04% 0.00% 0.00% 0.00% 0.00% 0.00% 10.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-10 # 2 0 2 0 0 0 1 0 1 0 0 0 0 0 0 0 0

% 1.54% 0.00% 4.08% 0.00% 0.00% 0.00% 5.00% 0.00% 10.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-11 # 16 9 7 0 0 6 4 1 2 2 1 0 0 0 0 0 0

% 12.31% 11.11% 14.29% 0.00% 0.00% 11.76% 20.00% 12.50% 20.00% 10.53% 7.69% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-12 # 3 0 3 0 1 0 1 0 0 0 1 0 0 0 0 0 0

% 2.31% 0.00% 6.12% 0.00% 25.00% 0.00% 5.00% 0.00% 0.00% 0.00% 7.69% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-13 # 4 3 1 0 0 0 0 1 0 2 1 0 0 0 0 0 0

% 3.08% 3.70% 2.04% 0.00% 0.00% 0.00% 0.00% 12.50% 0.00% 10.53% 7.69% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-14 # 42 28 14 1 1 18 5 1 1 8 7 0 0 0 0 0 0

% 32.31% 34.57% 28.57% 25.00% 25.00% 35.29% 25.00% 12.50% 10.00% 42.11% 53.85% 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

% 0.00% 0.00% 0.00% 0.00% 0.00% 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 # 32 23 9 1 1 16 4 1 2 5 1 0 1 0 0 0 0

% 24.62% 28.40% 18.37% 25.00% 25.00% 31.37% 20.00% 12.50% 20.00% 26.32% 7.69% 0.00% 50.00% 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

% 0.00% 0.00% 0.00% 0.00% 0.00% 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) # 8 4 4 0 0 3 3 0 0 1 1 0 0 0 0 0 0

% 6.15% 4.94% 8.16% 0.00% 0.00% 5.88% 15.00% 0.00% 0.00% 5.26% 7.69% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Senior Officer # 8 6 2 1 0 5 1 0 0 0 0 0 1 0 0 0 0

% 6.15% 7.41% 4.08% 25.00% 0.00% 9.80% 5.00% 0.00% 0.00% 0.00% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00%

TOTAL # 130 81 49 4 4 51 20 8 10 19 13 0 2 0 0 0 1

% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100%

Table

NOTE: Percentages computed down columns and NOT across rows. 

 A4-2: PARTICIPATION RATES FOR SK GRADES BY RACE/ETHNICITY AND SEX—

TEMPORARY WORKFORCE PAY PERIOD 201521
FISCAL YEAR 2015 | 61

Job Title/Series

TOTAL EMPLOYEES

RACE/ETHNICITY

Hispanic or Latino

Non-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

# 80 55 25 1 2 43 14 2 0 8 9 0 0 1 0 0 0

% 100% 68.75% 31.25% 1.25% 2.50% 53.75% 17.50% 2.50% 0.00% 10.00% 11.25% 0.00% 0.00% 1.25% 0.00% 0.00% 0.00%

Occupational CLF 100% 67.07% 32.93% 3.34% 1.85% 55.79% 25.20% 2.84% 2.66% 4.46% 3.02% 0.00% 0.05% 0.47% 0.13% 0.18% 0.02%

0510 Accountant

# 946 541 405 31 27 420 257 33 49 55 69 0 0 2 1 0 2

% 100% 57.19% 42.81% 3.28% 2.85% 44.40% 27.17% 3.49% 5.18% 5.81% 7.29% 0.00% 0.00% 0.21% 0.11% 0.00% 0.21%

Occupational CLF 100% 39.91% 60.09% 2.19% 3.93% 31.79% 44.23% 2.49% 5.66% 3.06% 5.49% 0.02% 0.06% 0.19% 0.43% 0.17% 0.29%

0905 General Attorney 

# 1840 1045 795 37 32 872 591 55 73 77 94 0 1 3 2 1 2

% 100% 56.79% 43.21% 2.01% 1.74% 47.39% 32.12% 2.99% 3.97% 4.18% 5.11% 0.00% 0.05% 0.16% 0.11% 0.05% 0.11%

Occupational CLF 100% 66.70% 33.30% 2.52% 1.85% 59.68% 26.68% 2.13% 2.60% 1.82% 1.74% 0.02% 0.01% 0.31% 0.23% 0.22% 0.18%

1831 Securities Compliance Examining

# 215 153 62 9 1 117 37 7 10 20 13 0 0 0 0 0 1

% 100% 71.16% 28.84% 4.19% 0.47% 54.42% 17.21% 3.26% 4.65% 9.30% 6.05% 0.00% 0.00% 0.00% 0.00% 0.00% 0.47%

Occupational CLF 100% 54.75% 45.25% 3.06% 3.65% 44.11% 28.34% 3.57% 8.71% 3.69% 3.96% 0.00% 0.00% 0.08% 0.31% 0.24% 0.27%

Table A6: PARTICIPATION RATES FOR MAJOR OCCUPATIONS—DISTRIBUTION BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE PAY PERIOD 201521
62 | EEO PROGRAM STATUS REPORT Job Title/Series TOTAL EMPLOYEES RACE/ETHNICITY Hispanic or Latino Non-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

# 32 18 14 0 1 12 5 0 1 6 7 0 0 0 0 0 0

% 100% 56.25% 43.75% 0.00% 3.13% 37.50% 15.63% 0.00% 3.13% 18.75% 21.88% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Occupational CLF 100% 67.07% 32.93% 3.34% 1.85% 55.79% 25.20% 2.84% 2.66% 4.46% 3.02% 0.00% 0.05% 0.47% 0.13% 0.18% 0.02%

0510 Accountant

# 19 13 6 0 1 11 4 0 0 2 1 0 0 0 0 0 0

% 100% 68.42% 31.58% 0.00% 5.26% 57.89% 21.05% 0.00% 0.00% 10.53% 5.26% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Occupational CLF 100% 39.91% 60.09% 2.19% 3.93% 31.79% 44.23% 2.49% 5.66% 3.06% 5.49% 0.02% 0.06% 0.19% 0.43% 0.17% 0.29%

0905 General Attorney 

# 15 10 5 2 0 7 2 1 1 0 1 0 1 0 0 0 0

% 100% 66.67% 33.33% 13.33% 0.00% 46.67% 13.33% 6.67% 6.67% 0.00% 6.67% 0.00% 6.67% 0.00% 0.00% 0.00% 0.00%

Occupational CLF 100% 66.70% 33.30% 2.52% 1.85% 59.68% 26.68% 2.13% 2.60% 1.82% 1.74% 0.02% 0.01% 0.31% 0.23% 0.22% 0.18%

1831 Securities Compliance Examining

# 7 6 1 1 0 2 0 0 1 3 0 0 0 0 0 0 0

% 100% 85.71% 14.29% 14.29% 0.00% 28.57% 0.00% 0.00% 14.29% 42.86% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Occupational CLF 100% 54.75% 45.25% 3.06% 3.65% 44.11% 28.34% 3.57% 8.71% 3.69% 3.96% 0.00% 0.00% 0.08% 0.31% 0.24% 0.27%

Table A6: PARTICIPATION RATES FOR MAJOR OCCUPATIONS—DISTRIBUTION BY RACE/ETHNICITY AND SEX

—

TEMPORARY WORKFORCE PAY PERIOD 201521
FISCAL YEAR 2015 | 63

TOTAL

RACE/ETHNICITY

Hispanic or Latino

Non-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

Job Title/Series: Economist (0110) *In FY 2015, 21 economists were selected. Total Received # 318

Voluntarily Identified

# 145 99 46 10 7 54 11 14 10 19 16 0 0 2 2 0 0

% 100% 68.28% 31.72% 6.90% 4.83% 37.24% 7.59% 9.66% 6.90% 13.10% 11.03% 0.00% 0.00% 1.38% 1.38% 0.00% 0.00%

Qualified of those Identified

# 52 36 16 5 2 23 5 5 5 3 4 0 0 0 0 0 0% 100% 69.23% 30.77% 9.62% 3.85% 44.23% 9.62% 9.62% 9.62% 5.77% 7.69% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected of those Identified

# 7 4 3 0 1 4 0 0 0 0 2 0 0 0 0 0 0

%

100% 57.14% 42.86% 0.00% 14.29% 57.14% 0.00% 0.00% 0.00% 0.00% 28.57% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

CLF % 100% 67.07% 32.93% 3.34% 1.85% 55.79% 25.20% 2.84% 2.66% 4.46% 3.02% 0.00% 0.05% 0.47% 0.13% 0.18% 0.02%

Job Title/Series: General Attorney (0905) *In FY 2015, 142 attorneys were selected.Total Received # 9814

Voluntarily Identified

# 4311 2611 1700 357 216 1491 740 465 363 246 313 0 3 18 48 34 17

% 100% 60.57% 39.43% 8.28% 5.01% 34.59% 17.17% 10.79% 8.42% 5.71% 7.26% 0.00% 0.07% 0.42% 1.11% 0.79% 0.39%

Qualified of those Identified

# 3416 2069 1347 265 175 1208 617 356 265 199 234 0 3 15 39 26 14

% 100% 60.57% 39.43% 7.76% 5.12% 35.36% 18.06% 10.42% 7.76% 5.83% 6.85% 0.00% 0.09% 0.44% 1.14% 0.76% 0.41%

Selected of those Identified

# 47 18 29 1 1 12 15 1 5 4 6 0 0 0 1 0 1% 100% 38.30% 61.70% 2.13% 2.13% 25.53% 31.91% 2.13% 10.64% 8.51% 12.77% 0.00% 0.00% 0.00% 2.13% 0.00% 2.13%

CLF % 100% 66.70% 33.30% 2.52% 1.85% 59.68% 26.68% 2.13% 2.60% 1.82% 1.74% 0.02% 0.01% 0.31% 0.23% 0.22% 0.18%

Table A7: APPLICANTS AND HIRES FOR MAJOR OCCUPATIONS BY RACE/ETHNICITY AND SEX(CLOSING DATES IN FY 2015)
64 | EEO PROGRAM STATUS REPORT TOTAL RACE/ETHNICITY Hispanic or Latino Non-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 Job Title/Series: Accounting (0510) *In FY 2015, 63 accountants were selected. Total Received # 4506 Voluntarily Identified

# 2145 1147 998 219 120 446 257 262 434 188 165 2 2 8 4 22 16

% 100% 53.47% 46.53% 10.21% 5.59% 20.79% 11.98% 12.21% 20.23% 8.76% 7.69% 0.09% 0.09% 0.37% 0.19% 1.03% 0.75%

Qualified of those Identified

# 1294 675 619 120 78 269 153 143 280 119 92 2 2 5 3 17 11

% 100% 52.16% 47.84% 9.27% 6.03% 20.79% 11.82% 11.05% 21.64% 9.20% 7.11% 0.15% 0.15% 0.39% 0.23% 1.31% 0.85%

Selected of those Identified

# 27 13 14 5 2 4 8 0 1 4 3 0 0 0 0 0 0

% 100% 48.15% 51.85% 18.52% 7.41% 14.81% 29.63% 0.00% 3.70% 14.81% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

CLF

% 100% 39.91% 60.09% 2.19% 3.93% 31.79% 44.23% 2.49% 5.66% 3.06% 5.49% 0.02% 0.06% 0.19% 0.43% 0.17% 0.29%

Job Title/Series: Securities Compliance Examining (1831) *In FY 2015, 43 examiners were selected. Total Received # 6178

Voluntarily Identified

# 3093 1998 1095 364 184 878 263 522 499 193 105 12 2 7 9 22 33

% 100% 64.60% 35.40% 11.77% 5.95% 28.39% 8.50% 16.88% 16.13% 6.24% 3.39% 0.39% 0.06% 0.23% 0.29% 0.71% 1.07%

Qualified of those Identified

# 2237 1412 825 244 123 630 193 371 403 144 73 7 1 2 9 14 23

% 100% 63.12% 36.88% 10.91% 5.50% 28.16% 8.63% 16.58% 18.02% 6.44% 3.26% 0.31% 0.04% 0.09% 0.40% 0.63% 1.03%

Selected of those Identified

# 17 10 7 0 0 8 6 1 1 1 0 0 0 0 0 0 0

% 100% 58.82% 41.18% 0.00% 0.00% 47.06% 35.29% 5.88% 5.88% 5.88% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

CLF

% 100% 54.75% 45.25% 3.06% 3.65% 44.11% 28.34% 3.57% 8.71% 3.69% 3.96% 0.00% 0.00% 0.08% 0.31% 0.24% 0.27%

Table

Note: This table contains data for both permanent and temporary positions.

 A7: APPLICANTS AND HIRES FOR MAJOR OCCUPATIONS BY RACE/ETHNICITY AND SEX

(CLOSING DATES IN FY 2015) Continued
FISCAL YEAR 2015 | 65

Employment Tenure

TOTAL 

RACE/ETHNICITY

Hispanic or Latino

Non-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

# 394 218 176 17 13 146 106 17 33 36 21 0 0 2 0 0 3

% 100% 55.33% 44.67% 4.31% 3.30% 37.06% 26.90% 4.31% 8.38% 9.14% 5.33% 0.00% 0.00% 0.51% 0.00% 0.00% 0.76%

Temporary

# 62 37 25 1 2 29 11 1 5 6 7 0 0 0 0 0 0

% 100% 59.68% 40.32% 1.61% 3.23% 46.77% 17.74% 1.61% 8.06% 9.68% 11.29% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

TOTAL

# 456 255 201 18 15 175 117 18 38 42 28 0 0 2 0 0 3

% 100% 55.92% 44.08% 3.95% 3.29% 38.38% 25.66% 3.95% 8.33% 9.21% 6.14% 0.00% 0.00% 0.44% 0.00% 0.00% 0.66%

CLF % 100% 51.86% 48.14% 5.17% 4.79% 38.33% 34.03% 5.49% 6.53% 1.97% 1.93% 0.07% 0.07% 0.55% 0.53% 0.26% 0.28%

Table A8: NEW HIRES BY TYPE OF APPOINTMENT—DISTRIBUTION BY RACE/ETHNICITY AND SEX (FOR PERIOD 2014-10-01 TO 2015-09-30)
66 | EEO PROGRAM STATUS REPORT TOTAL RACE/ETHNICITY Hispanic or Latino Non-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 Job Title/Series: General Attorney (0905) Total Applications Received # 387 233 154 11 7 184 107 23 15 12 25 0 0 3 0 0 0 Qualified # 359 217 142 9 7 175 101 19 13 12 21 0 0 2 0 0 0 % 100% 60.45% 39.55% 2.51% 1.95% 48.75% 28.13% 5.29% 3.62% 3.34% 5.85% 0.00% 0.00% 0.56% 0.00% 0.00% 0.00%

Selected

# 48 21 27 1 0 18 21 0 1 2 5 0 0 0 0 0 0

% 100% 43.75% 56.25% 2.08% 0.00% 37.50% 43.75% 0.00% 2.08% 4.17% 10.42% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Relevant Applicant Pool % 100% 56.64% 43.36% 1.98% 1.85% 46.40% 32.06% 3.37% 4.10% 4.76% 5.29% 0.00% 0.07% 0.07% 0.00% 0.07% 0.00%

Job Title/Series: Accounting (0510)Total Applications Received #

129 75 54 7 4 56 27 1 14 11 9 0 0 0 0 0 0

Qualified

# 112 66 46 7 3 52 25 0 9 7 9 0 0 0 0 0 0

% 100% 58.93% 41.07% 6.25% 2.68% 46.43% 22.32% 0.00% 8.04% 6.25% 8.04% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected

# 42 23 19 1 2 19 15 0 0 3 2 0 0 0 0 0 0

% 100% 54.76% 45.24% 2.38% 4.76% 45.24% 35.71% 0.00% 0.00% 7.14% 4.76% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Relevant Applicant Pool % 100% 60.17% 39.83% 3.56% 2.53% 46.30% 24.84% 3.37% 5.15% 6.94% 7.22% 0.00% 0.00% 0.00% 0.00% 0.00% 0.09%

Table A9: SELECTIONS FOR INTERNAL COMPETITIVE PROMOTIONS FOR MAJOR OCCUPATIONS BY RACE/ETHNICITY AND SEX FOR FY 2015
FISCAL YEAR 2015 | 67

TOTAL

RACE/ETHNICITY

Hispanic or Latino

Non-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

Job Title/Series: Securities Compliance Examining (1831)Total Applications Received #

102 79 23 5 2 62 14 1 4 11 3 0 0 0 0 0 0

Qualified

# 79 60 19 2 2 46 11 1 3 11 3 0 0 0 0 0 0

% 100% 75.95% 24.05% 2.53% 2.53% 58.23% 13.92% 1.27% 3.80% 13.92% 3.80% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected

# 13 8 5 0 0 4 4 1 0 3 1 0 0 0 0 0 0

% 100% 61.54% 38.46% 0.00% 0.00% 30.77% 30.77% 7.69% 0.00% 23.08% 7.69% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Relevant Applicant Pool % 100% 74.11% 25.89% 5.36% 0.00% 57.14% 15.18% 4.46% 3.57% 7.14% 7.14% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%Job Title/Series: Economist (0110)Total Applications Received #

9 9 0 0 0 9 0 0 0 0 0 0 0 0 0 0 0

Qualified

# 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%

Selected

# 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%

Relevant Applicant Pool % 100% 65.00% 35.00% 0.00% 3.33% 50.00% 11.67% 0.00% 1.67% 15.00% 18.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Table

"Relevant Applicant Pool" = all employees in the next lower pay grade and in all series that qualify them for the position announced.

 A9: SELECTIONS FOR INTERNAL COMPETITIVE PROMOTIONS FOR MAJOR OCCUPATIONS 

BY RACE/ETHNICITY AND SEX Continued
68 | EEO PROGRAM STATUS REPORT Employment Tenure TOTAL RACE/ETHNICITY Hispanic or Latino Non-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 Total Employees Eligible for Career Ladder Promotions

#

435 250 185 14 14 182 101 24 43 29 27 0 0 0 0 1 0

%

100% 57.47% 42.53% 3.22% 3.22% 41.84% 23.22% 5.52% 9.89% 6.67% 6.21% 0.00% 0.00% 0.00% 0.00% 0.23% 0.00%

Time in grade in excess of minimum1 - 12 months

# 11 3 8 1 1 2 2 0 2 0 3 0 0 0 0 0 0

% 100% 27.27% 72.73% 9.09% 9.09% 18.18% 18.18% 0.00% 18.18% 0.00% 27.27% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

13 - 24 months

# 3 2 1 0 0 1 0 1 1 0 0 0 0 0 0 0 0

% 100% 66.67% 33.33% 0.00% 0.00% 33.33% 0.00% 33.33% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

25+ months

# 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%

Table A10: NON-COMPETITIVE PROMOTIONS—TIME IN GRADE—DISTRIBUTION BY RACE/ETHNICITY AND SEX PAY PERIOD 201521
FISCAL YEAR 2015 | 69

TOTAL

RACE/ETHNICITY

Hispanic or Latino

Non-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

Grade of Vacancy: SK-13Total Applications Received

# 71 17 54 2 1 12 14 1 37 2 2 0 0 0 0 0 0

%

100% 23.94% 76.06% 2.82% 1.41% 16.90% 19.72% 1.41% 52.11% 2.82% 2.82% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Qualified # 41 10 31 2 1 6 13 1 15 1 2 0 0 0 0 0 0 % 100% 24.39% 75.61% 4.88% 2.44% 14.63% 31.71% 2.44% 36.59% 2.44% 4.88% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected # 14 2 12 0 1 1 7 1 4 0 0 0 0 0 0 0 0 % 100% 14.29% 85.71% 0.00% 7.14% 7.14% 50.00% 7.14% 28.57% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%Relevant Applicant Pool 100% 32.81% 67.19% 1.19% 4.35% 19.76% 24.90% 7.91% 29.25% 3.95% 7.91% 0.00% 0.00% 0.00% 0.40% 0.00% 0.40%

Grade of Vacancy: SK-14Total Applications Received

# 175 105 70 10 4 75 40 8 21 12 5 0 0 0 0 0 0

% 100% 60.00% 40.00% 5.71% 2.29% 42.86% 22.86% 4.57% 12.00% 6.86% 2.86% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Qualified # 137 78 59 4 4 61 37 4 14 9 4 0 0 0 0 0 0 % 100% 56.93% 43.07% 2.92% 2.92% 44.53% 27.01% 2.92% 10.22% 6.57% 2.92% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%Selected # 43 20 23 0 2 18 14 0 5 2 2 0 0 0 0 0 0 % 100% 46.51% 53.49% 0.00% 4.65% 41.86% 32.56% 0.00% 11.63% 4.65% 4.65% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Relevant Applicant Pool 100% 52.98% 47.02% 3.75% 1.55% 32.67% 24.06% 7.95% 17.22% 7.51% 3.75% 0.00% 0.00% 0.66% 0.22% 0.44% 0.22%

Grade of Vacancy: SK-16Total Applications Received

# 295 185 110 12 6 107 62 22 22 42 20 0 0 2 0 0 0

% 100% 62.71% 37.29% 4.07% 2.03% 36.27% 21.02% 7.46% 7.46% 14.24% 6.78% 0.00% 0.00% 0.68% 0.00% 0.00% 0.00%

Qualified # 256 161 95 10 5 96 58 17 15 37 17 0 0 1 0 0 0 % 100% 62.89% 37.11% 3.91% 1.95% 37.50% 22.66% 6.64% 5.86% 14.45% 6.64% 0.00% 0.00% 0.39% 0.00% 0.00% 0.00%Selected # 31 19 12 1 0 13 9 0 0 5 3 0 0 0 0 0 0 % 100% 61.29% 38.71% 3.23% 0.00% 41.94% 29.03% 0.00% 0.00% 16.13% 9.68% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Relevant Applicant Pool 100% 57.60% 42.40% 2.88% 2.41% 43.35% 26.65% 4.39% 6.20% 6.59% 6.67% 0.04% 0.00% 0.30% 0.09% 0.04% 0.39%

Grade of Vacancy: SK-15 & SK-17Total Applications Received

# 449 308 141 14 7 221 85 25 26 46 19 0 0 1 2 1 2

% 100% 68.60% 31.40% 3.12% 1.56% 49.22% 18.93% 5.57% 5.79% 10.24% 4.23% 0.00% 0.00% 0.22% 0.45% 0.22% 0.45%

Qualified # 369 252 117 12 4 184 73 15 18 40 19 0 0 1 1 0 2 % 100% 68.29% 31.71% 3.25% 1.08% 49.86% 19.78% 4.07% 4.88% 10.84% 5.15% 0.00% 0.00% 0.27% 0.27% 0.00% 0.54%

Selected # 67 37 30 2 0 28 23 3 2 4 4 0 0 0 0 0 1 % 100% 55.22% 44.78% 2.99% 0.00% 41.79% 34.33% 4.48% 2.99% 5.97% 5.97% 0.00% 0.00% 0.00% 0.00% 0.00% 1.49%

Relevant Applicant Pool 100% 58.52% 41.48% 2.66% 2.10% 44.71% 26.99% 4.05% 5.72% 6.71% 6.14% 0.04% 0.07% 0.32% 0.14% 0.04% 0.32%

*There were no internal vacancy announcements for Senior Officer Positions in FY 2015. "Relevant Applicant Pool" = all employees in the next lower pay grade and in all series that qualify them for the 

Table

position announced. 

 A11: INTERNAL SELECTIONS FOR SENIOR LEVEL POSITIONS (SK-13 – SK-17) BY RACE/ETHNICITY AND SEX*
70 | EEO PROGRAM STATUS REPORT TOTAL RACE/ETHNICITY Hispanic or Latino Non-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 Programs for SK 5 - 12 Slots # 7 Relevant Pool % Applied # 54 10 44 0 3 3 4 7 37 0 0 0 0 0 0 0 0 % 100% 18.52% 81.48% 0.00% 5.56% 5.56% 7.41% 12.96% 68.52% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% Participants # 7 2 5 0 0 0 1 2 4 0 0 0 0 0 0 0 0 % 100% 28.57% 71.43% 0.00% 0.00% 0.00% 14.29% 28.57% 57.14% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Career Development Programs for SK 13 - 14Slots # 36

Relevant Pool %Applied

# 49 20 29 6 0 10 18 3 9 1 2 0 0 0 0 0 0

% 100% 40.82% 59.18% 12.24% 0.00% 20.41% 36.73% 6.12% 18.37% 2.04% 4.08% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Participants

# 36 15 21 4 0 8 13 2 8 1 0 0 0 0 0 0 0

% 100% 41.67% 58.33% 11.11% 0.00% 22.22% 36.11% 5.56% 22.22% 2.78% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Career Development Programs for SK 15, 17Slots # 19

Relevant Pool %Applied

# 17 2 15 0 0 2 11 0 2 0 2 0 0 0 0 0 0

% 100% 11.76% 88.24% 0.00% 0.00% 11.76% 64.71% 0.00% 11.76% 0.00% 11.76% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Participants

# 9 2 7 0 0 2 5 0 1 0 1 0 0 0 0 0 0

% 100% 22.22% 77.78% 0.00% 0.00% 22.22% 55.56% 0.00% 11.11% 0.00% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Table

"Relevant Pool" includes all employees in pay grades eligible for the career development program. 

 A12: PARTICIPATION IN CAREER DEVELOPMENT—DISTRIBUTION BY RACE/ETHNICITY AND SEX FOR FY 2015
FISCAL YEAR 2015 | 71

Awards

TOTAL 

RACE/ETHNICITY

Hispanic or Latino

Non-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: 1-9 hours Total Time-Off Awards Given

# 1373 722 651 39 32 541 363 70 174 70 76 0 0 2 4 0 2

% 100% 52.59% 47.41% 2.84% 2.33% 39.40% 26.44% 5.10% 12.67% 5.10% 5.54% 0.00% 0.00% 0.15% 0.29% 0.00% 0.15%

Total Hours 9266 4921 4345 272 210 3697 2438 452 1156 488 507 0 0 12 26 0 8

Average Hours 7 7 7 7 7 7 7 6 7 7 7 0 0 6 7 0 4

Time-Off Awards: 9+ hours Total Time-Off Awards Given 

# 1286 676 610 33 42 516 398 50 106 74 59 0 0 3 3 0 2

% 100% 52.57% 47.43% 2.57% 3.27% 40.12% 30.95% 3.89% 8.24% 5.75% 4.59% 0.00% 0.00% 0.23% 0.23% 0.00% 0.16%

Total Hours 24396 12788 11608 648 822 9848 7694 891 1906 1345 1098 0 0 56 56 0 32

Average Hours 19 19 19 20 20 19 19 18 18 18 19 0 0 19 19 0 16

Cash Awards: $100 - $500Total Cash Awards Given

# 1331 635 696 34 46 447 324 94 266 50 50 3 0 4 4 3 6

% 100% 47.71% 52.29% 2.55% 3.46% 33.58% 24.34% 7.06% 19.98% 3.76% 3.76% 0.23% 0.00% 0.30% 0.30% 0.23% 0.45%

Total Amount 499,827 244,251 255,576 13,569 18,541 174,947 123,973 31,911 91,324 20,324 17,737 1,200 $0.00 1,100 1,524 1,200 2,477 

Average Amount 376 385 367 399 403 391 383 339 343 406 355 400 $0.00 275 381 400 413 

Cash Awards: $501+Total Cash Awards Given

# 3944 2270 1674 112 75 1778 1036 158 347 211 192 2 4 9 5 0 15

% 100% 57.56% 42.44% 2.84% 1.90% 45.08% 26.27% 4.01% 8.80% 5.35% 4.87% 0.05% 0.10% 0.23% 0.13% 0.00% 0.38%

Total Amount 5,143,119 2,976,029 2,167,090 145,257 90,517 2,352,019 1,366,955 188,607 399,107 275,374 268,700 2,250 9,400 12,522 8,000 $0.00 24,411 

Average Amount 1,304 1,311 1,295 1,297 1,207 1,323 1,319 1,194 1,150 1,305 1,399 1,125 2,350 1,391 1,600 $0.00 1,627 

Quality Step Increases (QSI) (N/A)Total QSIs Awarded 

# 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 Benefit 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00

Average Benefit 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

Table A13: EMPLOYEE RECOGNITION AND AWARDS—DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE FOR PERIOD 2014-10-01 TO 2015-09-30
72 | EEO PROGRAM STATUS REPORT Type of Separation TOTAL RACE/ETHNICITY Hispanic or Latino Non-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 Voluntary

# 214 114 100 6 8 87 62 11 18 10 10 0 0 0 1 0 1

% 100% 53.27% 46.73% 2.80% 3.74% 40.65% 28.97% 5.14% 8.41% 4.67% 4.67% 0.00% 0.00% 0.00% 0.47% 0.00% 0.47%

Involuntary

# 7 6 1 1 0 2 1 2 0 1 0 0 0 0 0 0 0

% 100% 85.71% 14.29% 14.29% 0.00% 28.57% 14.29% 28.57% 0.00% 14.29% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Total Separations 

# 221 120 101 7 8 89 63 13 18 11 10 0 0 0 1 0 1

% 100% 54.30% 45.70% 3.17% 3.62% 40.27% 28.51% 5.88% 8.14% 4.98% 4.52% 0.00% 0.00% 0.00% 0.45% 0.00% 0.45%

Total Workforce

# 4440 2402 2038 116 107 1792 1159 222 500 256 246 1 4 12 6 3 16

% 100% 54.10% 45.90% 2.61% 2.41% 40.36% 26.10% 5.00% 11.26% 5.77% 5.54% 0.02% 0.09% 0.27% 0.14% 0.07% 0.36%

Table A14: SEPARATIONS BY TYPE OF SEPARATION—DISTRIBUTION BY RACE/ETHNICITY AND SEX— PERMANENT WORKFORCE FOR PERIOD 2014-10-01 TO 2015-09-30
FISCAL YEAR 2015 | 73

Employment Tenure TOTAL 

Total by Disability Status Detail for Targeted Disabilities

No Disability [05] 

Not Identified [01]

Disability [06-98]

Targeted Disability

Hearing [16/17 or 18]

Vision [23/25 or 21]

Missing Extremities [28, 32-38 or 30]

Partial Paralysis [64-68 or 69]

Complete Paralysis [71-78 or 79]

Epilepsy [82]

Severe Intellectual Disability [90]

Psychiatric Disability [91]

Dwarfism [92]

TOTALPrior FY

# 4235 3826 205 204 40 7 4 2 3 3 6 1 13 1% 100% 90.34% 4.84% 4.82% 0.94% 0.17% 0.09% 0.05% 0.07% 0.07% 0.14% 0.02% 0.31% 0.02%

Current FY 

# 4440 3962 231 247 42 8 4 2 2 3 7 1 14 1% 100% 89.23% 5.20% 5.56% 0.95% 0.18% 0.09% 0.05% 0.05% 0.07% 0.16% 0.02% 0.32% 0.02%

Difference # 205 136 26 43 2 1 0 0 -1 0 1 0 1 0

Ratio Change % 0.00% -1.11% 0.36% 0.75% 0.01% 0.01% 0.00% 0.00% -0.03% 0.00% 0.02% 0.00% 0.01% 0.00%

Net Change % 4.84% 3.55% 12.68% 21.08% 5.00% 14.29% 0.00% 0.00% -33.33% 0.00% 16.67% 0.00% 7.69% 0.00%

Federal Goal % 2.00%

PERMANENTPrior FY

# 4097 3702 194 201 39 7 4 2 3 3 5 1 13 1% 100% 90.36% 4.74% 4.91% 0.95% 0.17% 0.10% 0.05% 0.07% 0.07% 0.12% 0.02% 0.32% 0.02%

Current FY

# 4310 3848 221 241 41 8 4 2 2 3 6 1 14 1

% 100% 89.28% 5.13% 5.59% 0.95% 0.19% 0.09% 0.05% 0.05% 0.07% 0.14% 0.02% 0.32% 0.02%

Difference # 213 146 27 40 2 1 0 0 -1 0 1 0 1 0

Ratio Change % 0.00% -1.08% 0.39% 0.69% 0.00% 0.01% 0.00% 0.00% -0.03% 0.00% 0.02% 0.00% 0.01% 0.00%

Net Change % 5.20% 3.94% 13.92% 19.90% 5.13% 14.29% 0.00% 0.00% -33.33% 0.00% 20.00% 0.00% 7.69% 0.00%

TEMPORARYPrior FY

# 138 124 11 3 1 0 0 0 0 0 1 0 0 0% 100% 89.86% 7.97% 2.17% 0.72% 0.00% 0.00% 0.00% 0.00% 0.00% 0.72% 0.00% 0.00% 0.00%

Current FY

# 130 114 10 6 1 0 0 0 0 0 1 0 0 0

% 100% 87.69% 7.69% 4.62% 0.77% 0.00% 0.00% 0.00% 0.00% 0.00% 0.77% 0.00% 0.00% 0.00%

Difference # -8 -10 -1 3 0 0 0 0 0 0 0 0 0 0

Ratio Change % 0.00% -2.16% -0.28% 2.44% 0.04% 0.00% 0.00% 0.00% 0.00% 0.00% 0.04% 0.00% 0.00% 0.00%

Net Change % -5.80% -8.06% -9.09% 100.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Table B1: TOTAL WORKFORCE— DISTRIBUTION BY DISABILITY [OPM FORM 256 SELF—IDENTIFICATION CODES] PAY PERIOD 201421 TO 201521
74 | EEO PROGRAM STATUS REPORT Occupational Category TOTAL Total by Disability Status Detail for Targeted Disabilities No Disability [05] Not Identified [01] Disability [06-98] Targeted Disability Hearing [16/17 or 18] Vision [23/25 or 21] Missing Extremities [28, 32-38 or 30] Partial Paralysis [64-68 or 69] Complete Paralysis [71-78 or 79] Epilepsy [82] Severe Intellectual Disability [90] Psychiatric Disability [91] Dwarfism [92] Executive/Senior Level # 143 121 14 8 1 0 0 0 0 1 0 0 0 0

% 100% 84.62% 9.79% 5.59% 0.70% 0.00% 0.00% 0.00% 0.00% 0.70% 0.00% 0.00% 0.00% 0.00%

Mid-level 

# 376 355 10 11 1 0 0 0 0 0 0 0 0 1

% 100% 94.41% 2.66% 2.93% 0.27% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.27%

First-Level # 338 313 9 16 2 0 0 1 0 0 0 0 1 0

% 100% 92.60% 2.66% 4.73% 0.59% 0.00% 0.00% 0.30% 0.00% 0.00% 0.00% 0.00% 0.30% 0.00%

Other

# 5 5 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 100.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Officials and Managers 

TOTAL

# 862 794 33 35 4 0 0 1 0 1 0 0 1 1

% 100% 92.11% 3.83% 4.06% 0.46% 0.00% 0.00% 0.12% 0.00% 0.12% 0.00% 0.00% 0.12% 0.12%

Professionals—Program Work

# 2412 2197 121 94 15 0 2 1 1 2 5 0 4 0

% 100% 91.09% 5.02% 3.90% 0.62% 0.00% 0.08% 0.04% 0.04% 0.08% 0.21% 0.00% 0.17% 0.00%

Professionals—Business/ Financial Administration

# 883 741 58 84 16 4 2 0 1 0 1 0 8 0

% 100% 83.92% 6.57% 9.51% 1.81% 0.45% 0.23% 0.00% 0.11% 0.00% 0.11% 0.00% 0.91% 0.00%

Administrative Support Workers

# 153 116 9 28 6 4 0 0 0 0 0 1 1 0

% 100% 75.82% 5.88% 18.30% 3.92% 2.61% 0.00% 0.00% 0.00% 0.00% 0.00% 0.65% 0.65% 0.00%

Table B3-1: OCCUPATIONAL CATEGORIES—DISTRIBUTION BY DISABILITY—PERMANENT EMPLOYEES PAY PERIOD 201521
FISCAL YEAR 2015 | 75

Occupational Category TOTAL 

Total by Disability Status Detail for Targeted Disabilities

No Disability [05] 

Not Identified [01]

Disability [06-98]

Targeted Disability

Hearing [16/17 or 18]

Vision [23/25 or 21]

Missing Extremities [28, 32-38 or 30]

Partial Paralysis [64-68 or 69]

Complete Paralysis [71-78 or 79]

Epilepsy [82]

Severe Intellectual Disability [90]

Psychiatric Disability [91]

Dwarfism [92]

Executive/Senior Level # 143 121 14 8 1 0 0 0 0 1 0 0 0 0

% 3.32% 3.14% 6.33% 3.32% 2.44% 0.00% 0.00% 0.00% 0.00% 33.33% 0.00% 0.00% 0.00% 0.00%

Mid-level 

# 376 355 10 11 1 0 0 0 0 0 0 0 0 1

% 8.72% 9.23% 4.52% 4.56% 2.44% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 100.00%

First-Level # 338 313 9 16 2 0 0 1 0 0 0 0 1 0

% 7.84% 8.13% 4.07% 6.64% 4.88% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 7.14% 0.00%

Other

# 5 5 0 0 0 0 0 0 0 0 0 0 0 0

% 0.12% 0.13% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Officials and Managers 

TOTAL

# 862 794 33 35 4 0 0 1 0 1 0 0 1 1

% 20.00% 20.63% 14.93% 14.52% 9.76% 0.00% 0.00% 50.00% 0.00% 33.33% 0.00% 0.00% 7.14% 100.00%

Professionals—Program Work

# 2412 2197 121 94 15 0 2 1 1 2 5 0 4 0

% 55.96% 57.09% 54.75% 39.00% 36.59% 0.00% 50.00% 50.00% 50.00% 66.67% 83.33% 0.00% 28.57% 0.00%

Professionals—Business/ Financial Administration

# 883 741 58 84 16 4 2 0 1 0 1 0 8 0

% 20.49% 19.26% 26.24% 34.85% 39.02% 50.00% 50.00% 0.00% 50.00% 0.00% 16.67% 0.00% 57.14% 0.00%

Administrative Support Workers

# 153 116 9 28 6 4 0 0 0 0 0 1 1 0

% 3.55% 3.01% 4.07% 11.62% 14.63% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 100% 7.14% 0.00%

TOTAL WORKFORCE 

# 4,310 3,848 221 241 41 8 4 2 2 3 6 1 14 1

% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100%

Table

NOTE: Percentages computed down columns and NOT across rows.

 B3-2: OCCUPATIONAL CATEGORIES—DISTRIBUTION BY DISABILITY EMPLOYEES PAY PERIOD 201521
76 | EEO PROGRAM STATUS REPORT SK, SO, and Related Grades TOTAL Total by Disability Status Detail for Targeted Disabilities No Disability [05] Not Identified [01] Disability [06-98] Targeted Disability Hearing [16/17 or 18] Vision [23/25 or 21] Missing Extremities [28, 32-38 or 30] Partial Paralysis [64-68 or 69] Complete Paralysis [71-78 or 79] Epilepsy [82] Severe Intellectual Disability [90] Psychiatric Disability [91] Dwarfism [92] SK-03 # 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%

SK-04 # 4 2 1 1 0 0 0 0 0 0 0 0 0 0

% 100% 50.00% 25.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-05 # 5 2 0 3 1 1 0 0 0 0 0 0 0 0

% 100% 40.00% 0.00% 60.00% 20.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-06 # 12 6 0 6 2 2 0 0 0 0 0 0 0 0

% 100% 50.00% 0.00% 50.00% 16.67% 16.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-07 # 81 62 5 14 3 1 0 0 0 0 0 1 1 0

% 100% 76.54% 6.17% 17.28% 3.70% 1.23% 0.00% 0.00% 0.00% 0.00% 0.00% 1.23% 1.23% 0.00%

SK-08 # 24 20 3 1 0 0 0 0 0 0 0 0 0 0

% 100% 83.33% 12.50% 4.17% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-09 # 79 66 8 5 1 1 0 0 0 0 0 0 0 0

% 100% 83.54% 10.13% 6.33% 1.27% 1.27% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-10 # 2 1 0 1 1 1 0 0 0 0 0 0 0 0

% 100% 50.00% 0.00% 50.00% 50.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-11 # 141 118 6 17 4 0 0 0 1 1 0 0 2 0

% 100% 83.69% 4.26% 12.06% 2.84% 0.00% 0.00% 0.00% 0.71% 0.71% 0.00% 0.00% 1.42% 0.00%

SK-12 # 250 207 19 24 5 2 0 0 0 0 0 0 3 0

% 100% 82.80% 7.60% 9.60% 2.00% 0.80% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 1.20% 0.00%

SK-13 # 449 397 25 27 3 0 0 0 0 0 2 0 1 0

% 100% 88.42% 5.57% 6.01% 0.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.45% 0.00% 0.22% 0.00%

SK-14 # 1934 1748 95 91 13 0 4 1 1 1 1 0 5 0

% 100% 90.38% 4.91% 4.71% 0.67% 0.00% 0.21% 0.05% 0.05% 0.05% 0.05% 0.00% 0.26% 0.00%

SK-15 # 347 322 9 16 2 0 0 1 0 0 0 0 1 0

% 100% 92.80% 2.59% 4.61% 0.58% 0.00% 0.00% 0.29% 0.00% 0.00% 0.00% 0.00% 0.29% 0.00%

SK-16 # 461 419 26 16 4 0 0 0 0 0 3 0 1 0

% 100% 90.89% 5.64% 3.47% 0.87% 0.00% 0.00% 0.00% 0.00% 0.00% 0.65% 0.00% 0.22% 0.00%

SK-17 # 373 352 10 11 1 0 0 0 0 0 0 0 0 1

% 100% 94.37% 2.68% 2.95% 0.27% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.27%

Other # 5 5 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 100.00% 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 # 143 121 14 8 1 0 0 0 0 1 0 0 0 0

% 100% 84.62% 9.79% 5.59% 0.70% 0.00% 0.00% 0.00% 0.00% 0.70% 0.00% 0.00% 0.00% 0.00%

Total Workforce # 4310 3848 221 241 41 8 4 2 2 3 6 1 14 1

% 100% 89.28% 5.13% 5.59% 0.95% 0.19% 0.09% 0.05% 0.05% 0.07% 0.14% 0.02% 0.32% 0.02%

Table B4-1: PARTICIPATION RATES FOR SK GRADES BY DISABILITY—PERMANENT WORKFORCE PAY PERIOD 201521
FISCAL YEAR 2015 | 77

SK, SO, and Related Grades TOTAL

Total by Disability Status Detail for Targeted Disabilities

No Disability [05] 

Not Identified [01]

Disability [06-98]

Targeted Disability

Hearing [16/17 or 18]

Vision [23/25 or 21]

Missing Extremities [28, 32-38 or 30]

Partial Paralysis [64-68 or 69]

Complete Paralysis [71-78 or 79]

Epilepsy [82]

Severe Intellectual Disability [90]

Psychiatric Disability [91]

Dwarfism [92]

SK-03 # 3 2 1 0 0 0 0 0 0 0 0 0 0 0 % 100% 66.67% 33.33% 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 3 0 0 0 0 0 0 0 0 0 0 0 0 % 100% 100.00% 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-05 # 7 6 0 1 0 0 0 0 0 0 0 0 0 0 % 100% 85.71% 0.00% 14.29% 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 % 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-07 # 1 1 0 0 0 0 0 0 0 0 0 0 0 0 % 100% 100.00% 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-08 # 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%SK-09 # 1 1 0 0 0 0 0 0 0 0 0 0 0 0 % 100% 100.00% 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 # 2 2 0 0 0 0 0 0 0 0 0 0 0 0 % 100% 100.00% 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 # 16 13 1 2 1 0 0 0 0 0 1 0 0 0 % 100% 81.25% 6.25% 12.50% 6.25% 0.00% 0.00% 0.00% 0.00% 0.00% 6.25% 0.00% 0.00% 0.00%

SK-12 # 3 2 1 0 0 0 0 0 0 0 0 0 0 0 % 100% 66.67% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-13 # 4 3 0 1 0 0 0 0 0 0 0 0 0 0 % 100% 75.00% 0.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%SK-14 # 42 39 2 1 0 0 0 0 0 0 0 0 0 0 % 100% 92.86% 4.76% 2.38% 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 % 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-16 # 32 28 3 1 0 0 0 0 0 0 0 0 0 0 % 100% 87.50% 9.38% 3.13% 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 % 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%

Other # 8 8 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 100.00% 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, EX

# 8 6 2 0 0 0 0 0 0 0 0 0 0 0

% 100% 75.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Total # 130 114 10 6 1 0 0 0 0 0 1 0 0 0

% 100% 87.69% 7.69% 4.62% 0.77% 0.00% 0.00% 0.00% 0.00% 0.00% 0.77% 0.00% 0.00% 0.00%

Table B4-1: PARTICIPATION RATES FOR SK GRADES BY DISABILITY—TEMPORARY WORKFORCE PAY PERIOD 201521
78 | EEO PROGRAM STATUS REPORT SK, SO, and Related Grades TOTAL Total by Disability Status Detail for Targeted Disabilities No Disability [05] Not Identified [01] Disability [06-98] Targeted Disability Hearing [16/17 or 18] Vision [23/25 or 21] Missing Extremities [28, 32-38 or 30] Partial Paralysis [64-68 or 69] Complete Paralysis [71-78 or 79] Epilepsy [82] Severe Intellectual Disability [90] Psychiatric Disability [91] Dwarfism [92] SK-03 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-04 # 4 2 1 1 0 0 0 0 0 0 0 0 0 0

% 0.09% 0.05% 0.45% 0.41% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-05 # 5 2 0 3 1 1 0 0 0 0 0 0 0 0

% 0.12% 0.05% 0.00% 1.24% 2.44% 12.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-06 # 12 6 0 6 2 2 0 0 0 0 0 0 0 0

% 0.28% 0.16% 0.00% 2.49% 4.88% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-07 # 81 62 5 14 3 1 0 0 0 0 0 1 1 0

% 1.88% 1.61% 2.26% 5.81% 7.32% 12.50% 0.00% 0.00% 0.00% 0.00% 0.00% 100.00% 7.14% 0.00%

SK-08 # 24 20 3 1 0 0 0 0 0 0 0 0 0 0

% 0.56% 0.52% 1.36% 0.41% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-09 # 79 66 8 5 1 1 0 0 0 0 0 0 0 0

% 1.83% 1.72% 3.62% 2.07% 2.44% 12.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-10 # 2 1 0 1 1 1 0 0 0 0 0 0 0 0

% 0.05% 0.03% 0.00% 0.41% 2.44% 12.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-11 # 141 118 6 17 4 0 0 0 1 1 0 0 2 0

% 3.27% 3.07% 2.71% 7.05% 9.76% 0.00% 0.00% 0.00% 50.00% 33.33% 0.00% 0.00% 14.29% 0.00%

SK-12 # 250 207 19 24 5 2 0 0 0 0 0 0 3 0

% 5.80% 5.38% 8.60% 9.96% 12.20% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 21.43% 0.00%

SK-13 # 449 397 25 27 3 0 0 0 0 0 2 0 1 0

% 10.42% 10.32% 11.31% 11.20% 7.32% 0.00% 0.00% 0.00% 0.00% 0.00% 33.33% 0.00% 7.14% 0.00%

SK-14 # 1934 1748 95 91 13 0 4 1 1 1 1 0 5 0

% 44.87% 45.43% 42.99% 37.76% 31.71% 0.00% 100.00% 50.00% 50.00% 33.33% 16.67% 0.00% 35.71% 0.00%

SK-15 # 347 322 9 16 2 0 0 1 0 0 0 0 1 0

% 8.05% 8.37% 4.07% 6.64% 4.88% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 7.14% 0.00%

SK-16 # 461 419 26 16 4 0 0 0 0 0 3 0 1 0

% 10.70% 10.89% 11.76% 6.64% 9.76% 0.00% 0.00% 0.00% 0.00% 0.00% 50.00% 0.00% 7.14% 0.00%

SK-17 # 373 352 10 11 1 0 0 0 0 0 0 0 0 1

% 8.65% 9.15% 4.52% 4.56% 2.44% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 100.00%

Other # 5 5 0 0 0 0 0 0 0 0 0 0 0 0

% 0.12% 0.13% 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 # 143 121 14 8 1 0 0 0 0 1 0 0 0 0

% 3.32% 3.14% 6.33% 3.32% 2.44% 0.00% 0.00% 0.00% 0.00% 33.33% 0.00% 0.00% 0.00% 0.00%

Total Workforce # 4310 3848 221 241 41 8 4 2 2 3 6 1 14 1

% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100%

Table

NOTE: Percentages computed down columns and NOT across rows. 

 B4-2: PARTICIPATION RATES FOR SK GRADES BY DISABILITY—PERMANENT WORKFORCE 

FOR PAY PERIOD 201521
FISCAL YEAR 2015 | 79

SK, SO, and Related Grades TOTAL

Total by Disability Status Detail for Targeted Disabilities

No Disability [05] 

Not Identified [01]

Disability [06-98]

Targeted Disability

Hearing [16/17 or 18]

Vision [23/25 or 21]

Missing Extremities [28, 32-38 or 30]

Partial Paralysis [64-68 or 69]

Complete Paralysis [71-78 or 79]

Epilepsy [82]

Severe Intellectual Disability [90]

Psychiatric Disability [91]

Dwarfism [92]

SK-03 # 3 2 1 0 0 0 0 0 0 0 0 0 0 0

% 2.31% 1.75% 10.00% 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 3 0 0 0 0 0 0 0 0 0 0 0 0

% 2.31% 2.63% 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-05 # 7 6 0 1 0 0 0 0 0 0 0 0 0 0

% 5.38% 5.26% 0.00% 16.67% 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

% 0.00% 0.00% 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 # 1 1 0 0 0 0 0 0 0 0 0 0 0 0

% 0.77% 0.88% 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-08 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-09 # 1 1 0 0 0 0 0 0 0 0 0 0 0 0

% 0.77% 0.88% 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 # 2 2 0 0 0 0 0 0 0 0 0 0 0 0

% 1.54% 1.75% 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 # 16 13 1 2 1 0 0 0 0 0 1 0 0 0

% 12.31% 11.40% 10.00% 33.33% 100.00% 0.00% 0.00% 0.00% 0.00% 0.00% 100.00% 0.00% 0.00% 0.00%

SK-12 # 3 2 1 0 0 0 0 0 0 0 0 0 0 0

% 2.31% 1.75% 10.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-13 # 4 3 0 1 0 0 0 0 0 0 0 0 0 0

% 3.08% 2.63% 0.00% 16.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-14 # 42 39 2 1 0 0 0 0 0 0 0 0 0 0

% 32.31% 34.21% 20.00% 16.67% 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

% 0.00% 0.00% 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 # 32 28 3 1 0 0 0 0 0 0 0 0 0 0

% 24.62% 24.56% 30.00% 16.67% 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

% 0.00% 0.00% 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 # 8 8 0 0 0 0 0 0 0 0 0 0 0 0 % 6.15% 7.02% 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, EX

# 8 6 2 0 0 0 0 0 0 0 0 0 0 0

% 6.15% 5.26% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Total Workforce # 130 114 10 6 1 0 0 0 0 0 1 0 0 0 % 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100%

Table

NOTE: Percentages computed down columns and NOT across rows. 

 B4-2: PARTICIPATION RATES FOR SK GRADES BY DISABILITY—TEMPORARY WORKFORCE 

FOR PAY PERIOD 201521
80 | EEO PROGRAM STATUS REPORT Job Title/Series TOTAL Total by Disability Status Detail for Targeted Disabilities No Disability [05] Not Identified [01] Disability [06-98] Targeted Disability Hearing [16/17 or 18] Vision [23/25 or 21] Missing Extremities [28, 32-38 or 30] Partial Paralysis [64-68 or 69] Complete Paralysis [71-78 or 79] Epilepsy [82] Severe Intellectual Disability [90] Psychiatric Disability [91] Dwarfism [92] 0110 Economist # 80 72 8 0 0 0 0 0 0 0 0 0 0 0

% 90.00% 10.00% 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 Accountant # 946 874 30 42 5 0 0 1 0 0 2 0 2 0

% 100% 92.39% 3.17% 4.44% 0.53% 0.00% 0.00% 0.11% 0.00% 0.00% 0.21% 0.00% 0.21% 0.00%

0905 General Attorney # 1840 1680 92 68 13 0 2 1 1 3 3 0 3 0

% 100% 91.30% 5.00% 3.70% 0.71% 0.00% 0.11% 0.05% 0.05% 0.16% 0.16% 0.00% 0.16% 0.00%

1831 Securities Compliance Examining

# 215 193 17 5 1 0 0 0 0 0 0 0 0 1

% 100% 89.77% 7.91% 2.33% 0.47% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.47%

Table B6: PARTICIPATION RATES FOR MAJOR OCCUPATIONS—DISTRIBUTION BY DISABILITY—PERMANENT WORKFORCE PAY PERIOD 201521
FISCAL YEAR 2015 | 81

Job Title/Series TOTAL

Total by Disability Status Detail for Targeted Disabilities

No Disability [05] 

Not Identified [01]

Disability [06-98]

Targeted Disability

Hearing [16/17 or 18]

Vision [23/25 or 21]

Missing Extremities [28, 32-38 or 30]

Partial Paralysis [64-68 or 69]

Complete Paralysis [71-78 or 79]

Epilepsy [82]

Severe Intellectual Disability [90]

Psychiatric Disability [91]

Dwarfism [92]

0110 Economist # 32 30 2 0 0 0 0 0 0 0 0 0 0 0

% 100% 93.75% 6.25% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

0510 Accountant

# 19 18 1 0 0 0 0 0 0 0 0 0 0 0

% 100% 94.74% 5.26% 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

# 15 13 2 0 0 0 0 0 0 0 0 0 0 0

% 100% 86.67% 13.33% 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

# 7 5 1 1 0 0 0 0 0 0 0 0 0 0

% 100% 71.43% 14.29% 14.29% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Table B6: PARTICIPATION RATES FOR MAJOR OCCUPATIONS—DISTRIBUTION BY DISABILITY—TEMPORARY WORKFORCE PAY PERIOD 201521
82 | EEO PROGRAM STATUS REPORT TOTAL Total by Disability Status Detail for Targeted Disabilities No Disability [05] Not Identified [01] Disability [06-98] Targeted Disability Hearing [16/17 or 18] Vision [23/25 or 21] Missing Extremities [28, 32-38 or 30] Partial Paralysis [64-68 or 69] Complete Paralysis [71-78 or 79] Total Paralysis [64-68 & 71-78 or 69/79] Epilepsy [82] Severe Intellectual Disability [90] Psychiatric Disability [91] Dwarfism [92] Schedule A Applications #

% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

 Hires # 7 0 1 6 0 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 14.29% 85.71% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 50.00% 0.00%

Voluntarily Identified (Outside of Schedule A Applicants) Applications # 48557 46974 1583 601 71 80 10 54 54 16 312 4

% 100% 96.74% 0.00% 3.26% 1.24% 0.15% 0.16% 0.02% 0.00% 0.00% 0.11% 0.11% 0.03% 0.64% 0.01%

 Hires # 725 723 0 2 0 0 0 0 0 0 0 0 0 0 0

% 100% 99.72% 0.00% 0.28% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Table

NOTE: This table contains data for both permanent and temporary positions. No Disability and Not Identified are combined in Cognos Applicant Flow Data. 

 B7: APPLICATIONS AND HIRES BY DISABILITY (CLOSING DATES IN FY 2015)
FISCAL YEAR 2015 | 83

Type of Appointment TOTAL

Total by Disability Status Detail for Targeted Disabilities

No Disability [05] 

Not Identified [01]

Disability [06-98]

Targeted Disability

Hearing [16/17 or 18]

Vision [23/25 or 21]

Missing Extremities [28, 32-38 or 30]

Partial Paralysis [64-68 or 69]

Complete Paralysis [71-78 or 79]

Epilepsy [82]

Severe Intellectual Disability [90]

Psychiatric Disability [91]

Dwarfism [92]

Permanent

# 394 330 42 22 2 0 0 0 0 0 1 0 1 0

% 100% 83.76% 10.66% 5.58% 0.51% 0.00% 0.00% 0.00% 0.00% 0.00% 0.25% 0.00% 0.25% 0.00%

Temporary

# 62 52 5 5 0 0 0 0 0 0 0 0 0 0

% 100% 83.87% 8.06% 8.06% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Total

# 456 382 47 27 2 0 0 0 0 0 1 0 1 0

% 100% 83.77% 10.31% 5.92% 0.44% 0.00% 0.00% 0.00% 0.00% 0.00% 0.22% 0.00% 0.22% 0.00%

Table B8: NEW HIRES BY TYPE OF APPOINTMENT—DISTRIBUTION BY DISABILITY FOR PERIOD 2014-10-01 TO 2015-09-30
84 | EEO PROGRAM STATUS REPORT TOTAL Total by Disability Status Detail for Targeted Disabilities No Disability [05] Not Identified [01] Disability [06-98] Targeted Disability Hearing [16/17 or 18] Vision [23/25 or 21] Missing Extremities [28, 32-38 or 30] Partial Paralysis [64-68 or 69] Complete Paralysis [71-78 or 79] Epilepsy [82] Severe Intellectual Disability [90] Psychiatric Disability [91] Dwarfism [92] Job Title/Series: General Attorney (0905) Total Applications Received # 387 336 40 11 1 0 0 0 0 0 0 0 1 0

% 100% 86.82% 10.34% 2.84% 0.26% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.26% 0.00%

Qualified # 359 312 36 11 1 0 0 0 0 0 0 0 1 0

% 100% 86.91% 10.03% 3.06% 0.28% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.28% 0.00%

 Selected # 48 45 3 0 0 0 0 0 0 0 0 0 0 0

% 100% 93.75% 6.25% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Relevant Applicant Pool 

% 100% 91.28% 5.02% 3.70% 0.79% 0.00% 0.13% 0.07% 0.07% 0.13% 0.20% 0.00% 0.20% 0.00%

Job Title/Series: Accounting (0510)Total Applications Received # 129 120 5 4 0 0 0 0 0 0 0 0 0 0

% 100% 93.02% 3.88% 3.10% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Qualified # 112 105 5 2 0 0 0 0 0 0 0 0 0 0

% 100% 93.75% 4.46% 1.79% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

 Selected # 42 40 0 2 0 0 0 0 0 0 0 0 0 0

% 100% 95.24% 0.00% 4.76% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Relevant Applicant Pool 

% 100% 92.03% 3.94% 4.03% 0.47% 0.00% 0.00% 0.09% 0.00% 0.00% 0.19% 0.00% 0.19% 0.00%

Job Title/Series: Securities Compliance Examining (1831)Total Applications Received # 102 97 3 2 0 0 0 0 0 0 0 0 0 0

% 100% 95.10% 2.94% 1.96% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Qualified # 79 76 1 2 0 0 0 0 0 0 0 0 0 0

% 100% 96.20% 1.27% 2.53% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

 Selected # 13 13 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 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%

Relevant Applicant Pool 

% 100% 86.61% 10.71% 2.68% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Job Title/Series: Economist (0110)Total Applications Received # 9 8 1 0 0 0 0 0 0 0 0 0 0 0

% 100% 88.89% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Qualified # 3 2 1 0 0 0 0 0 0 0 0 0 0 0

% 100% 66.67% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

 Selected # 3 2 1 0 0 0 0 0 0 0 0 0 0 0

% 100% 66.67% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Relevant Applicant Pool 

% 100% 88.33% 11.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Table

"Relevant Applicant Pool" = all employees in the next lower pay grade and in all series that qualify them for the position announced.

 B9: SELECTIONS FOR INTERNAL COMPETITIVE PROMOTIONS FOR MAJOR OCCUPATIONS BY DISABILITY 
FISCAL YEAR 2015 | 85

TOTAL

Total by Disability Status Detail for Targeted Disabilities

No Disability [05] 

Not Identified [01]

Disability [06-98]

Targeted Disability

Hearing [16/17 or 18]

Vision [23/25 or 21]

Missing Extremities [28, 32-38 or 30]

Partial Paralysis [64-68 or 69]

Complete Paralysis [71-78 or 79]

Epilepsy [82]

Severe Intellectual Disability [90]

Psychiatric Disability [91]

Dwarfism [92]

Total Employees in Career Ladder

# 435 376 41 18 4 0 0 0 0 1 1 0 2 0

% 86.44% 9.43% 4.14% 0.92% 0.00% 0.00% 0.00% 0.00% 0.23% 0.23% 0.00% 0.46% 0.00%

Time in Grade in excess of minimum1-12 months

# 11 9 2 0 0 0 0 0 0 0 0 0 0 0

% 100% 81.82% 18.18% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

13-24 months

# 3 2 1 0 0 0 0 0 0 0 0 0 0 0

% 100% 66.67% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

25+ months

# 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%

Table B10: NON-COMPETITIVE PROMOTIONS—TIME IN GRADE BY DISABILITY FOR PAY PERIOD 201521
86 | EEO PROGRAM STATUS REPORT TOTAL Total by Disability Status Detail for Targeted Disabilities No Disability [05] Not Identified [01] Disability [06-98] Targeted Disability Hearing [16/17 or 18] Vision [23/25 or 21] Missing Extremities [28, 32-38 or 30] Partial Paralysis [64-68 or 69] Complete Paralysis [71-78 or 79] Epilepsy [82] Severe Intellectual Disability [90] Psychiatric Disability [91] Dwarfism [92] Grade of Vacancy: SK-13 Relevant Pool 100% 82.61% 7.91% 9.49% 1.98% 0.79% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 1.19% 0.00% Total Applications Received

# 71 55 8 8 2 2 0 0 0 0 0 0 0 0

% 100% 77.46% 11.27% 11.27% 2.82% 2.82% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Qualified # 41 33 4 4 1 1 0 0 0 0 0 0 0 0

% 100% 80.49% 9.76% 9.76% 2.44% 2.44% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

 Selected # 14 14 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 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%

Job Series/Grade of Vacancy: SK-14Relevant Pool 100% 88.30% 5.52% 6.18% 0.66% 0.00% 0.00% 0.00% 0.00% 0.00% 0.44% 0.00% 0.22% 0.00%

Total Applications Received

# 175 163 7 5 0 0 0 0 0 0 0 0 0 0

% 100% 93.14% 4.00% 2.86% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Qualified # 137 127 6 4 0 0 0 0 0 0 0 0 0 0

% 100% 92.70% 4.38% 2.92% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

 Selected # 43 40 1 2 0 0 0 0 0 0 0 0 0 0

% 100% 93.02% 2.33% 4.65% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Job Series/Grade of Vacancy: SK-16Relevant Pool 100% 90.79% 4.56% 4.65% 0.65% 0.00% 0.17% 0.09% 0.04% 0.04% 0.04% 0.00% 0.26% 0.00%

Total Applications Received

# 295 265 21 9 0 0 0 0 0 0 0 0 0 0

% 100% 89.83% 7.12% 3.05% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Qualified # 256 231 18 7 0 0 0 0 0 0 0 0 0 0

% 100% 90.23% 7.03% 2.73% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

 Selected # 31 29 2 0 0 0 0 0 0 0 0 0 0 0

% 100% 93.55% 6.45% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Job Series/Grade of Vacancy: SK-15 & SK-17

Relevant Pool 100% 90.77% 4.79% 4.44% 0.67% 0.00% 0.14% 0.07% 0.04% 0.04% 0.14% 0.00% 0.25% 0.00%

Total Applications Received

# 449 397 32 20 1 0 0 0 0 0 0 0 1 0

% 100% 88.42% 7.13% 4.45% 0.22% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.22% 0.00%

Qualified # 369 329 26 14 1 0 0 0 0 0 0 0 1 0

% 100% 89.16% 7.05% 3.79% 0.27% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.27% 0.00%

 Selected # 67 63 2 2 0 0 0 0 0 0 0 0 0 0

% 100% 94.03% 2.99% 2.99% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

*There were no internal vacancy announcements for Senior Officer Positions in FY 2015. “Relevant Applicant Pool” = all employees in the next lower pay grade and in all series that qualify for 

Table

the position announced. 

 B11: INTERNAL SELECTIONS FOR SENIOR LEVEL (SK-13 - SK-17) POSITIONS BY DISABILITY* FOR FY 2015
FISCAL YEAR 2015 | 87

TOTAL

Total by Disability Status Detail for Targeted Disabilities

No Disability [05] 

Not Identified [01]

Disability [06-98]

Targeted Disability

Hearing [16/17 or 18]

Vision [23/25 or 21]

Missing Extremities [28, 32-38 or 30]

Partial Paralysis [64-68 or 69]

Complete Paralysis [71-78 or 79]

Epilepsy [82]

Severe Intellectual Disability [90]

Psychiatric Disability [91]

Dwarfism [92]

Career Development Programs for SK 5-12Slots #

 Relevant Pool % 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

 Applied

# 54 48 5 1 0 0 0 0 0 0 0 0 0 0

% 100% 88.89% 9.26% 1.85% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

 Participants

# 7 7 0 0 0 0 0 0 0 0 0 0 0 0

% 100% 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%

Career Development Programs for SK 13-14Slots #

 Relevant Pool % 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

 Applied

# 49 44 3 2 0 0 0 0 0 0 0 0 0 0.00%

% 100% 90% 6.12% 4.08% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

 Participants

# 36 32 2 2 0 0 0 0 0 0 0 0 0 0.00%

% 100% 88.89% 5.56% 5.56% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Career Development Programs for SK 15-17Slots # 19

 Relevant Pool % 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

 Applied

# 17 17 0 0 0 0 0 0 0 0 0 0 0 0.00%

% 100% 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%

 Participants

# 9 9 0 0 0 0 0 0 0 0 0 0 0 0.00%

% 100% 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%

TABLE B12: PARTICIPATION IN CAREER DEVELOPMENT—DISTRIBUTION BY DISABILITY 

"Relevant Pool" includes all employees in the next lower pay grade and in all series that qualify them for the career development program.

FOR FY 2015
88 | EEO PROGRAM STATUS REPORT Awards TOTAL Total by Disability Status Detail for Targeted Disabilities No Disability [05] Not Identified [01] Disability [06-98] Targeted Disability Hearing [16/17 or 18] Vision [23/25 or 21] Missing Extremities [28, 32-38 or 30] Partial Paralysis [64-68 or 69] Complete Paralysis [71-78 or 79] Epilepsy [82] Severe Intellectual Disability [90] Psychiatric Disability [91] Dwarfism [92] Time-Off Awards: 1-9 hours Total Time-Off Awards Given # 1373 1203 83 87 10 2 2 0 0 1 0 0 4 1 % 100% 87.62% 6.05% 6.34% 0.73% 0.15% 0.15% 0.00% 0.00% 0.07% 0.00% 0.00% 0.29% 0.07% Total Hours 9266 8166 571 529 60 12 12 0 0 4 0 0 24 8 Average Hours 7 7 7 6 6 6 6 0 0 4 0 0 6 4 Time-Off Awards: 9+ hours Total Time-Off Awards Given # 1286 1149 68 69 15 1 4 0 0 0 6 0 4 0 % 100% 89.35% 5.29% 5.37% 1.17% 0.08% 0.31% 0.00% 0.00% 0.00% 0.47% 0.00% 0.31% 0.00%

Total Hours 24396 21866 1242 1288 268 16 64 0 0 0 116 0 72 0

Average Hours 19 19 18 19 18 0 16 0 0 0 19 0 18 0

Cash Awards: $100 - $500 Total Cash Awards Given

# 1331 1108 94 129 28 9 6 1 0 0 6 0 6 0

% 100% 83.25% 7.06% 9.69% 2.10% 0.68% 0.45% 0.08% 0.00% 0.00% 0.45% 0.00% 0.45% 0.00%

Total Amount $499,827 423,558 32,245 44,024 8,794 2,257 1,837 250 0 0 2,275 0 2,175 0 Average Amount $376 382 343 341 314 251 306 250 0 0 379 0 363 0 

Cash Awards: $501+Total Cash Awards Given

# 3944 3604 177 163 23 3 2 2 1 0 1 0 12 2

% 100% 91.38% 4.49% 4.13% 0.58% 0.08% 0.05% 0.05% 0.03% 0.00% 0.03% 0.00% 0.30% 16.67%

Total Amount $5,143,119 4,719,575 214,771 208,773 33,882 3,962 1,770 1,500 1,000 0 1,000 0 19,250 5,400

Average Amount $1,304 1,310 1,213 1,281 1,473 1,321 885 750 1,000 0 1,000 0 1,604 2,700 

Quality Step Increases (N/A)Total QSI Award

 # 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%

TABLE B13: EMPLOYEE RECOGNITION AND AWARDS—DISTRIBUTION BY DISABILITY FOR PERIOD 2014-10-01 TO 2015-09-30
FISCAL YEAR 2015 | 89

Type of Separation TOTAL

Total by Disability Status Detail for Targeted Disabilities

No Disability [05] 

Not Identified [01]

Disability [06-98]

Targeted Disability

Hearing [16/17 or 18]

Vision [23/25 or 21]

Missing Extremities [28, 32-38 or 30]

Partial Paralysis [64-68 or 69]

Complete Paralysis [71-78 or 79]

Epilepsy [82]

Severe Intellectual Disability [90]

Psychiatric Disability [91]

Dwarfism [92]

Voluntary

# 214 183 13 18 2 0 0 0 1 0 0 0 1 0

% 100% 85.51% 6.07% 8.41% 0.93% 0.00% 0.00% 0.00% 0.47% 0.00% 0.00% 0.00% 0.47% 0.00%

Involuntary

# 7 5 1 1 0 0 0 0 0 0 0 0 0 0

% 100% 71.43% 14.29% 14.29% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Total Separations

# 221 187 14 19 2 0 0 0 1 0 0 0 1 0

% 100% 84.62% 6.33% 8.60% 0.90% 0.00% 0.00% 0.00% 0.45% 0.00% 0.00% 0.00% 0.45% 0.00%

Total Workforce

# 4440 3962 231 247 42 8 4 2 2 3 7 1 14 1

% 100% 89.23% 5.20% 5.56% 0.95% 0.18% 0.09% 0.05% 0.05% 0.07% 0.16% 0.02% 0.32% 0.02%

TABLE B14: SEPARATIONS BY TYPE OF SEPARATION—DISTRIBUTION BY DISABILITY FOR FY 2015

OFFICE OF EQUAL EMPLOYMENT OPPORTUNITY

U.S. Securities and Exchange Commission

100 F Street NE

Washington, DC 20549