U.S. SECURITIES AND 

EXCHANGE COMMISSION 

FISCAL YEAR 2014

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 2014 

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
 

Summary of EEO Plan Objectives Planned to Eliminate Identified Barriers or
 

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

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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
 

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
 

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
 

Headquarters’ Divisions and Offices Compliance with EEO Requirements . . . . . .18
 

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

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

FISCAL YEAR 2014 | iii
 

CERTIFICATION OF ESTABLISHMENT OF CONTINUING
 

EQUAL EMPLOYMENT OPPORTUNITY PROGRAMS (PART F) . . . . . . . . . . . . . . . . . .23
 

PLAN FOR ATTAINING THE ESSENTIAL ELEMENTS OF A MODEL
 

SPECIAL PROGRAM PLAN FOR THE RECRUITMENT, HIRING, AND
 

EEO PROGRAM (PART H) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
 

PLAN TO ELIMINATE IDENTIFIED BARRIER (PART I) . . . . . . . . . . . . . . . . . . . . . . . .27
 

ADVANCEMENT OF INDIVIDUALS WITH TARGETED DISABILITIES (PART J) . . . . . . . . .37
 

Part V—Goals, Objectives and Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .38
 

EQUAL EMPLOYMENT OPPORTUNITY POLICY . . . . . . . . . . . . . . . . . . . . . . . . . . .41
 

PREVENTING EEO-BASED HARASSMENT POLICY (PEHP) . . . . . . . . . . . . . . . . . . . .42
 

FISCAL YEAR 2014 462 REPORT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .43
 

SEC’S ORGANIZATIONAL STRUCTURE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .45
 

SEC Organization Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
 

WORKFORCE DATA TABLES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
 

iv | EEO PROGRAM STATUS REPORT 
 

 

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, 2013 to September 30, 2014. 

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. 4097 

2. Enter total number of temporary employees 2. 138 

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

4. TOTAL EMPLOYMENT [add lines B 1 through 3] 4. 4235 

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 

FISCAL YEAR 2014 | 1
 

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 

issues* 

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 

* The SEC previously submitted the FY 2014 462 Report to the EEOC. 

2 | EEO PROGRAM STATUS REPORT 
EXECUTIVE SUMMARY
 

(PART E)
 

EEOC FORM 

715-01 

PART E 

U.S. Equal Employment Opportunity Commission 

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT 

U.S. Securities and Exchange Commission For period covering October 1, 2013 to September 30, 2014. 

MISSION OF THE U.S. SECURITIES AND EXCHANGE COMMISSION 

The mission of the U .S . Securities and Exchange Commission (SEC or Commission) 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 . The SEC monitors a securities industry comprised of more than 

25,000 market participants, including over 11,000 investment advisers, almost 10,000 mutual funds, 

4,450 broker-dealers, 450 transfer agents, as well as the Public Company Accounting Oversight 

Board (PCAOB), the Financial Industry Regulatory Authority (FINRA), the Municipal Securities 

Rulemaking Board (MSRB), the Securities Investor Protection Corporation (SIPC), and the Financial 

Accounting Standards Board (FASB) . The SEC also has responsibility for reviewing the disclosures 

and financial statements of approximately 9,000 reporting companies, and has new or expanded 

responsibilities over the derivatives markets, an additional 2,500 exempt reporting advisers to hedge 

fund and other private funds, more than 1,000 municipal advisors, ten registered credit rating agencies, and seven registered clearing agencies . 

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, commitment to excellence, accountability, 

effectiveness, teamwork, and fairness . The SEC is headed by a bipartisan five-member Commission, 

comprised of the Chair and four Commissioners who are appointed by the President and confirmed 

by the Senate . The Chair 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 23 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 (Home Office) . The 

agency also has 11 Regional Offices located throughout the country . As of September 30, 2014, 

the SEC had 4,235 full-time employees, including 4,097 permanent employees and 138 temporary 

employees . See Table A1

FISCAL YEAR 2014 | 3
 

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 March 24, 2014, 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. 

It is for this reason that we must all support our country’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, promotions, separations, performance 

evaluations, training and career development, assignment of duties, details, reassignments, compensation, awards, and benefits. In addition, our nation’s EEO laws cover all 

employees, applicants for employment, and former employees, regardless of their race, 

color, national origin, sex (including pregnancy, gender identity, and transgender status), 

sexual orientation, religion, age (40 years or more), genetic information and disability. 

Each of us must support an individual’s right to participate in the EEO process and/or 

right to oppose employment practices which are perceived as discriminatory in the workplace without fear of retaliation. I firmly believe that we can all contribute to making the 

SEC a model EEO employer. Each of us has the responsibility to ensure that discrimination and harassment are not tolerated in our work environment. When workplace disputes 

arise, we must seek to resolve these disputes at the earliest opportunity; to do otherwise 

would undermine the collegial work environment that all of us expect at the Commission. 

Thank you for your earnest 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) has oversight responsibility for eight of the ERGs 

as part of the SEC’s EEO Special Emphasis Programs . 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 encourage employees to participate in ERG events and activities held throughout the year . 

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 . 

The 2014 Diversity and Inclusion Award recipient was one of the SEC’s ERGs, the Lesbian, Gay, 

Bisexual, and Transgender (LGBT) Committee, which received recognition for, among other things, 

developing and launching the SEC’s first survey regarding sexual orientation and gender identity . 

4 | EEO PROGRAM STATUS REPORT 
The SEC also promotes diversity and equal employment opportunity through the efforts of its Office 

of Minority and Women Inclusion (OMWI), which was established in 2011, pursuant to Section 342 

of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) .1 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, the increased participation of minority-owned and womenowned businesses in the SEC’s programs and contracts, and the assessment of the diversity policies 

and practices of entities regulated by the SEC . Since its inception, OMWI has initiated an array of 

initiatives and reports designed to enhance diversity and inclusion throughout the SEC’s workforce 

and business activities . 

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 plans to focus 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 

2014, 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 DC Chapter; National Black MBA Association; South Asian Bar Association of Washington, DC; Women’s Bar Association of the District of Columbia; Diverse Partners Network; and 

the Thurgood Marshall College Fund . 

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

further this effort, in 2011, the SEC implemented a five-year Disability Employment Plan . The plan 

 See Section 342(b)(2)(A)-(C) (12 U .S .C . § 5452(b)(2)(A)-(C)) . 

FISCAL YEAR 2014 | 5

1
 

was updated on June 10, 2014 . The SEC’s goals, as reflected in the Disability Employment Plan, continue to attract, engage, hire, and retain individuals with disabilities . The number of SEC permanent 

employees with targeted disabilities remained the same in FY 2014 as in FY 2013 (39 individuals), 

although the overall percentage decreased from 0 .98% to 0 .95% . The percentage of SEC permanent 

employees with disabilities also decreased slightly from 5 .12% in FY 2013 to 4 .95% in FY 2014 . 

See Table B1

Essential Element C:
 

Management and Program Accountability
 

The OEEO Director reports directly to the Chair of the Commission . In FY 2014, 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 . OEEO compliance program 

functions include counseling, alternative dispute resolution, investigation, and final adjudication 

processes . Throughout the year, OEEO coordinates with the nine ERGs to deliver Special Emphasis 

Programs to employees in the SEC’s Home and Regional Offices . 

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 

provides employees with training on EEO-related topics through interactive sessions, lectures, and 

seminars . Training is delivered either in-person or broadcast via video teleconferences, depending on 

budget availability . 

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 2014, 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 

2014, OEEO recruited and trained a total of ten additional collateral duty EEO Counselors from the 

SEC’s Home Office and Regional Offices . 

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

2014 . As required by the No FEAR Act, the SEC posted EEO complaint processing data on its 

internal and public websites . In FY 2014, for the fourth consecutive year, the SEC posted its FY 2013 

Annual EEO Program Report on its internal and public websites in a 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 our 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 high-traffic 

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

6 | EEO PROGRAM STATUS REPORT 
of their EEO rights and to highlight the 45-day time limit for contacting an EEO Counselor or OEEO . 

In addition, OEEO develops and distributes a newsletter, EEO Perspectives, to: 1) message information on EEO-related topics; 2) showcase the many contributions of SEC employees from various 

backgrounds; and 3) encourage all SEC employees to participate in EEO programs and initiatives . 

The SEC’s offices are accessible to persons with physical disabilities in compliance with the Architectural Barriers Act . 

Essential Element E: 

Efficiency 

In FY 2014, 35 counseling matters were initiated, 16 formal EEO complaints were filed, and two Final 

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

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

filed EEO complaints were harassment (non-sexual) and terms/conditions of employment . 

In March 2014, OEEO established and launched its alternative dispute resolution (ADR) program, 

the Conflict2Resolution Program (C2R) . C2R was established in accordance with the EEOC’s regulation at 29 C .F .R . § 1614 .102(b)(2), which requires all federal executive agencies to establish an ADR 

program for individuals who participate in the EEO complaint process . While there are various forms 

of ADR, C2R primarily offers mediation and facilitation to resolve workplace disputes that include 

allegations of employment discrimination . This program had much success in its first year . In FY 2014, 

there were a total of 41 informal complaints processed . Among these 41 complaints, ADR was offered 

33 times (reflecting approximately an 80% offer rate) and 16 individuals (approximately 48%) elected 

ADR . Through the use of C2R, the offer and acceptance rates increased significantly from FY 2013 

to FY 2014 . Since the launch of C2R, the number of individuals electing ADR within the SEC has 

more than doubled . In FY 2014, through C2R, nine mediations and two facilitations (a total of 11 or 

68 .75%) were conducted . Notably, half of the 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 . 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 . 

FISCAL YEAR 2014 | 7
 

SEC Workforce 

In FY 2014, the SEC had 4,235 employees, 4,097 permanent and 138 temporary . Of the 4,097 

permanent employees, there were 2,198 (53 .65%) males and 1,899 (46 .35%) females . The SEC 

hired 305 new permanent employees and there were 215 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 4.52 2.25 2.27 

White 72.36 67.58 40.88 26.70 

Black or African American 12.02 16.69 5.10 11.59 

Asian 3.90 10.52 5.10 5.42 

Native Hawaiian/Other Pacific Islander 0.14 0.07 0.02 0.05 

American Indian/Alaska Native 1.08 0.36 0.24 0.12 

Two or More Races 0.54 0.25 0.05 0.20 

Applicant Flow 

In FY 2014, the SEC, for the first time, was able to obtain and analyze applicant flow data . 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): 899 Applicants 

In FY 2014, the SEC received 899 applications for 24 economist positions . Of the 899 applicants, 

414 or less than half, voluntarily self-identified their diversity demographics . Of the 414 applicants, 

73 .19% were male, and 26 .81% female . The following are the demographics of the individuals who 

applied and self-identified for the economist position, those who qualified for the position, and the 

eight 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 60 40 0 

White 168 110 4 (50%) males 

African American 101 50 1 (12.50%) male 

Asian 74 39 3 (37.50%), 1 male and 

2 females 

American Indian/ 

Alaska Native 

4 1 0 

Note: The SEC hired 24 economists in FY 2014, but only eight of those 24 self-identified . 

8 | EEO PROGRAM STATUS REPORT 
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 421 299 1 (3.13%) male 

White 1528 1186 23 (71.88%), 17 males and 

6 females 

African American 539 387 3 (9.38%), 1 male and 2 females 

Asian 356 260 5 (15.63%), 2 males and 

3 females 

Native Hawaiian/ 

Other Pacific Islander 

5 4 0 

American Indian/ 

Alaska Native
 

34 24 0
 

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 224 93 0 

White 394 184 8 (61.54%), 5 males and 3 

females 

African American 225 107 3 (23.07%), 2 males and 1 

female 

Asian 161 81 2 (15.38%) males 

Native Hawaiian/ 

Other Pacific Islander 

2 0 0 

American Indian/ 

Alaska Native 

9 3 0 

With the exception of the two Asian females hired as economists, the rest of the hires who selfidentified were male . Two-thirds of the Hispanic applicants who self-identified were qualified, but none 

was selected . Virtually the same number of Hispanic and Asian applicants were deemed qualified (40 

Hispanics, and 39 Asians), and three Asians were selected . Of the 101 African American applicants 

who self-identified, 50 were qualified and one was selected . Among applicant groups who selfidentified, White males (50%) and Asians (37 .50%) had the highest hire percentages . See Table A7

General Attorney—Securities Industry (0905): 7,283 Applicants 

The SEC received 7,283 applications to fill 97 attorney positions . Only 32 of the ninety-seven (97) 

successful applicants self-identified . Of the 7,283 applicants, 2,907 self-identified . Of those who selfidentified, 1,825 (62 .78%) were male and 1,082 (37 .22%) were female . Twenty-one males and 11 

females were selected . Twenty-three (71 .88%) of those selected and self-identified were White . 

Accountant (0510): 2,345 Applicants 

Of the 2,345 applicants for 43 accountant positions, only 13 successful applicants self-identified . 

One thousand thirty-one self-identified their demographics (613 males and 418 females) . The demographics of the 474 applicants who self-identified and were deemed qualified are as follows: 

FISCAL YEAR 2014 | 9
 

Securities and Compliance Examiners (1831): 3,141 Applicants 

Of the 3,141 applicants for 25 examiner positions, 1,544 voluntarily self-identified their demographics . Of the 1,544 that self-identified, 1,016 (65 .80%) were male and 528 (34 .20%) female . 

The following are the demographics of those who self-identified, were deemed qualified, and ultimately selected for the examiner position . 

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 244 168 2 (18.18%) males 

White 676 548 7 (63.63%) 4 males and 3 

females 

African American 367 306 1 (9.09%) female 

Asian 232 198 1 (9.09%) male 

Native Hawaiian/ 

Other Pacific Islander 

4 2 0 

American Indian/ 

Alaska Native
 

3 1 0
 

Note: The SEC hired 25 compliance examiners in FY 2014, but only 11 self-identified . 

The data reflects that, although African Americans represented almost 24 .8% of those who qualified 

for the examiner position, they received only one position, representing 9 .09% of positions filled . In 

contrast, White applicants represented 44 .41% of those who were deemed qualified, but represented 

63 .63% of those who were selected . See Table A7 . 

As regards to applicant flow for individuals with disabilities, the SEC received applicant flow data for 

a three month period only, beginning in July 2014 and ending in September 2014 . Notwithstanding 

the incompleteness of the data, the SEC reports that in FY 2014, the Commission hired four individuals with disabilities under Schedule A, two of whom had targeted disabilities . See Table B7

10 | EEO PROGRAM STATUS REPORT 
New Hires 

In FY 2014, the SEC hired 305 new permanent employees, 182 (59 .7%) males and 123 (40 .3%) 

females . The following table reflects demographic information for the FY 2014 new hires . 

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 

# 305 9 5 127 64 21 34 22 18 2 0 

% 100 2.95 1.64 41.64 20.98 6.89 11.15 7.21 5.90 2.66 0 

Total # 4097 92 93 1675 1094 209 475 209 222 10 5 

Permanent 

Workforce % 100 2.25 2.27 40.88 26.70 5.10 11.59 5.10 5.42 .24 .12 

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

See Tables A1 and A8. 

The CLF does not provide benchmark data on disability statistics . Instead, the benchmark for 

employment of individuals with disabilities is based on the Office of Personnel Management’s (OPM) 

guidance issued pursuant to Executive Order 13548 . That guidance 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 . 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 . 

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 2014, the SEC hired 305 permanent employees, 13 of whom (4 .26%) reported having 

a disability . Four of the new hires (1 .3%) were hired under Schedule A, two of whom (0 .66% of the 

FY 14 hires) identified as having a targeted disability . See Tables B7 and B8

FISCAL YEAR 2014 | 11
 

Participation Rates for SEC Major Occupations 

The SEC has four major occupation groups: attorneys, accountants, securities and compliance 

examiners, and economists . In FY 2014, there were 4,097 permanent employees at the SEC . Of these 

permanent employees, there were 1,762 attorneys, 941 accountants, 176 compliance examiners, 

and 61 economists . Accountants and attorneys comprised 65 .98% of the SEC’s FY 2014 permanent 

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

1% or above the occupational CLF rates, except for the demographic groups highlighted below: 

White 

Job Title Total Male Female Male Female 

Accountants 941 535 406 421 259 

100% 56.85% 43.15% 44.74% 27.52% 

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

Attorneys 1762 1015 747 857 556 

100% 57.60% 42.40% 48.64% 31.56% 

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

See Table A6, Permanent Workforce. 

White female accountant participation at the SEC (27 .52%) is below the occupational CLF for White 

female accountants (44 .23%) . This follows the same pattern as the overall participation rate of 

female accountants at the SEC (43 .15%) compared to the occupational CLF for female accountants 

(60 .09%) . This difference of over 16 percentage points is large and merits further analysis . 

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

White male attorneys at the SEC (48 .64%) is well below the occupational CLF for White male 

attorneys (59 .68%) . Again, this follows the same pattern as the overall participation rate for male 

attorneys at the SEC (57 .60%) compared to the occupational CLF for male attorneys (66 .70%) . The 

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

occupational CLF . As such, these numbers denote triggers and require further analysis to determine if 

Commission policies, procedures, or practices may be negatively affecting these EEO groups . 

12 | EEO PROGRAM STATUS REPORT 
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; SK-15 to SK-17; and 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 1,861 permanent SK-14 employees, of whom females represent 44 .87% (or 

835 employees) and males represent 55 .13% (or 1,026 employees) . However, at the SK-15 level there 

are 334 total employees with males making up 67 .66% (or 226 employees) and females comprising 

32 .34% (or 108 employees) . There are twice as many male SK-15s than female SK-15s . White males 

comprise the highest percentage in SK-15 (52 .40%), SK-17 (50 .27%), and SO levels (59 .12%) . Of 

the male SOs, 91 .01% are White; of the male SK-17s, 87 .56% are White; and of the male SK-15s, 

77 .43% are White . Similarly, of the female SOs, 83 .33% are White; of the female SK-17s, 74 .19% 

are White; and of the female SK-15s, 62 .04% are White . See Table A4-1

SEC 

Level TOTAL 

All 

M F 

Hispanic or 

Latino 

M F 

White 

M F 

African 

American 

M F 

Asian 

M F 

SO # 137 89 48 2 1 81 40 3 5 3 2 

SO % 100 64.96 35.04 1.46 0.73 59.12 29.20 2.19 3.65 2.19 1.46 

SK 17 # 364 209 155 9 6 183 115 10 16 7 16 

SK 17 % 100 57.42 42.58 2.47 1.65 50.27 31.59 2.75 4.40 1.92 4.40 

SK 15 # 334 226 108 10 4 175 67 14 26 24 10 

SK 15 % 100 67.66 32.34 2.99 1.20 52.40 20.06 4.19 7.78 7.19 2.99 

SK 14 # 1861 1026 835 50 48 780 543 84 110 107 128 

SK 14 % 100 55.13 44.87 2.69 2.58 41.91 29.18 4.51 5.91 5.75 6.88 

In FY 2014, the number of female SOs increased from 44 to 48, and male SOs increased from 

82 to 89, as compared to FY 2013 . The growth in the number of female SOs was reflected in White 

females (37 to 40) and African American females (from four to five) . Growth in the number of male 

SOs occurred in the White male demographic . In FY 2014, females experienced some gains at the 

SK-17 level (males increased by three, and females by 14), as compared to FY 2013 . See Tables A3-1 

and A4-1. 

FISCAL YEAR 2014 | 13
 

Internal Competitive Promotions 

Attorneys 

In FY 2014, the SEC received 310 applications for 39 attorney competitive promotions . Of the 310 

individuals, 293 were qualified for the promotions—181 males and 112 females . Of those selected 

for the promotions, 24 were male and 15 female . Although two individuals with targeted disabilities 

were qualified for promotion, neither individual was promoted . Whites comprised 243 (78 .39%) of 

the applicants and received 32 (82 .05%) of the 39 competitive promotions, with White males receiving approximately 58 .97% of the promotions and White females receiving 23 .08% of the promotions . A further demographic breakdown is as follows: 

EEO Group 

Applications 

Received 

Qualified for 

Competitive 

Promotion Promoted 

Hispanics 8 8 1 (2.56%) male 

White 243 231 32 (82.05%) 23 males and 9 females 

African American 29 25 2 (5.13%) females 

Asian 26 25 4 (10.26%) females 

American Indian/ 

Alaska Native 4 4 0 

Individuals with Disabilities 15 14 0 

Individuals with Targeted 

Disabilities 3 2 0

Accountants 

The SEC received 122 applications for 28 accountant competitive promotions . Of the 122 applicants, 

110 were deemed qualified to compete for the promotion (70 males and 40 females) . Of the individuals who received the competitive promotion, 17 were male and 11 females . One of the two qualified 

individuals with disabilities received a competitive promotion . Further demographics follow: 

14 | EEO PROGRAM STATUS REPORT 

EEO Group 

Applications 

Received 

Qualified for 

Competitive 

Promotion Promoted 

Hispanics 4 3 0 

White 99 90 23 (82.14%) 14 males and 9 females 

African American 6 5 1 (3.57%) male 

Asian 13 12 4 (14.28%) 2 males and 2 females 

Individuals with Disabilities 4 2 1 (3.57%) male 

Individuals with Targeted 

Disabilities 

0 0 0 
Securities and Compliance Examiners 

Finally, the SEC received 78 applications (54 from males and 24 from females) for 14 examiner 

promotions . Of the 78 applicants, 54 were deemed qualified (39 males and 15 females) . Of the 14 

selected, 13 were male (92 .86%) and one was a female (7 .14%) . Only one individual with a disability was qualified, and that individual was not promoted . The following chart reflects the demographic breakdown . 

EEO Group 

Applications 

Received 

Qualified for 

Competitive 

Promotion Promoted 

Hispanics 5 3 1 (7.14%) male 

White 60 41 13 (92.85%) 12 males and 1 female 

African American 8 6 0 

Asian 5 4 0 

Individuals with Disabilities 1 1 0 

Individuals with Targeted 

Disabilities
 

0 0 0
 

Economists 

During FY 2014, there were four applications for two competitive economist promotions . The four 

applications were all from White males, none of whom self-identified as having a disability . 

Career Ladder Promotions 

A review of the SEC’s non-competitive promotions reflects that of the 309 individuals eligible for 

career ladder promotions, 178 (57 .61%) were male and 131 (42 .39%) female . Eight individuals 

exceeded their time-in-grade by more than 25 months (one Hispanic male and two White males; four 

White females and one African American female) . Two individuals with targeted disabilities exceeded 

their time-in-grade without a career ladder promotion: one individual exceeded it by 1-12 months, 

and the other exceeded it by 13-24 months . See Tables A10 and B10. 

Employee Recognition and Awards 

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

received approximately 52% of all time-off awards as compared to 48% of all time-off awards to 

males . In contrast, males received higher percentages of cash awards than females . For cash awards 

in the amount of $100-$500, males received 51 .44% of these awards, and with one exception (Asian 

females), males on average received higher cash awards than females ($409 versus $379) . A review of 

Table B13 also reveals a lower than average cash award for individuals with disabilities ($365) and 

individuals with targeted disabilities ($290) . 

For cash awards of $501 and more, males received 55 .42% of these awards, with an average of 

$1,580, while females received an average award of $1,422 . Cash awards of $501 or more for 

individuals with disabilities averaged $1,120 and $1,393 for individuals with targeted disabilities . 

See Tables A13 and B13. 

FISCAL YEAR 2014 | 15
 

 

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 2014, the SEC had a separation rate of less than 6% of its total workforce . Of 

the 215 voluntary separations, seven were Hispanic, 149 were White, 38 were African American, 20 

were Asian, and one was American Indian . 

In FY 2014, 20 individuals who self-identified as having disabilities separated from the SEC, including four individuals with targeted disabilities: one deaf and two blind individuals, and one individual 

with a psychiatric disability . 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 . In letters received from the EEOC, the EEOC specified particular areas of analysis to 

serve as starting points to conduct the following barrier analyses: 

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 plans to include 

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 . See Part I, infra . 

Further quantitative and qualitative analysis is required to determine the existence of any barriers to 

equality of opportunity in these employment benefits . The objectives and methodology used for each 

barrier analysis will conform to EEOC guidelines and recommendations . 

Barriers to Executive (Senior Officer) Level Positions 

As recommended by the EEOC, the SEC will evaluate whether females, Hispanic females, and Asian 

females are encountering a blocked pipeline for executive level positions . OEEO has begun this barrier analysis with the data currently available, and will collaborate with other SEC stakeholders to 

obtain additional data . Stakeholders include OMWI, OHR, and managers from Home Office Divisions and Offices and Regional Offices, as appropriate . 

This analysis includes the following: 

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

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

n meeting with OHR and management officials about their recruitment efforts and the pool of 

qualified applicants; 

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

n collecting and reviewing the available hiring officials’ ratings; 

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

16 | EEO PROGRAM STATUS REPORT 
n reviewing employee exit survey results; and 

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

advancement experiences . 

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 1% of 

its workforce compared with the EEOC’s goal of 2 .00% . The EEOC stated it expects the SEC to 

pinpoint policies, procedures, or practices that are negatively impacting the recruitment, selection, 

advancement, and retention of PWTD . 

OEEO has started this barrier analysis with the data available to us . The MD-715 data tables reflect, 

in the aggregate, SEC employees who have identified themselves as having a specific disability . The 

preliminary analysis indicates that, in FY 2014, the SEC hired four individuals under the Schedule A 

hiring authority, two of whom have a targeted disability .2 OEEO will collaborate with OMWI, OHR 

and other managers from Home Office Divisions and Offices and Regional Offices, as appropriate, to 

obtain required information for this barrier analysis . 

The SEC has the following planned activities: 

n train managers and supervisors to insure 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; 

n conduct focus groups with employees with disabilities to discuss their recruitment, hiring, and 

career growth experiences with the SEC; 

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

occupations; 

n survey disability organizations at universities near the SEC Home Office and Regional Offices to 

obtain information that may improve recruitment of applicants with disabilities; and 

n improve the efficiency and effectiveness of the disability accommodation program by fully utilizing the recently implemented Disability Accommodation Request Tracking System (DARTS) data 

system for tracking requests for accommodations and maintaining information about accommodations provided . 

Barrier Analysis Plan for Hispanics in the SEC Workforce 

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

the SEC workforce compared to the CLF . Hispanic females represented 2 .27% of the SEC workforce 

in FY 2014 and Hispanic males represented 2 .20%, both below the corresponding availability in the 

CLF of 4 .79% for females and 5 .17% for males . In FY 2014, the SEC hired 14 Hispanics (nine males 

and five females) and separated seven (five males and two females) . See Tables A8 and A14 . Notably, 

in FY 2014, Hispanic females were not represented in the new hires or in internal promotions for 

major occupations at the SEC . 

 Schedule A, 5 CFR § 213 .3102(u), provides for the hiring of people with severe physical disabilities, psychiatric
 

disabilities, and intellectual disabilities .
 

FISCAL YEAR 2014 | 17

2
 

In FY 2015, OEEO will examine the SEC’s policies, practices, and procedures to determine the 

existence of any barriers to equality of opportunity for Hispanic applicants and employees . OEEO 

is developing a comprehensive plan to conduct this barrier analysis . As part of this plan, OEEO will 

examine the recruitment and/or selection processes for mission-critical occupations and the percentage of qualified applicants compared to their availability in the feeder pool and the occupational CLF 

for new hires . 

SUMMARY OF EEO PLAN ACTION ITEMS IMPLEMENTED OR 

ACCOMPLISHED 

In the SEC’s FY 2013 report, the Commission identified a number of primary objectives to improve 

its EEO Program . These included: obtaining applicant flow data; conducting barrier analyses; 

assessing Headquarters’ Divisions and Offices compliance with EEO requirements; and providing 

supervisors and hiring officials periodic training related to the hiring, promotion, and reasonable 

accommodation of individuals with disabilities . Progress was made on most of these action items 

in FY 2014 . 

Applicant Flow Data 

The SEC received applicant data from 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 . The applicant disability data received covers only part of FY 2014, 

July through September 2014 . This data is in Table B7 . 

Barrier Analyses 

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

The final report is expected from the vendor in FY 2015 . 

Headquarters’ Divisions and Offices Compliance with EEO Requirements 

Due to resource restrictions and a number of high priority projects, the SEC did not accomplish this 

action item in FY 2014 . The SEC intends to conduct these assessments starting in FY 2015 . 

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 new managers during new 

employee orientation and lunch and learn sessions offered to tenured managers throughout the course 

of the year . The SEC will continue to build on our 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 . More in-depth training will be provided as needed to 

officials who supervise employees with disabilities . 

Informing New Employees 

The SEC will continue to provide information about the SEC’s Disability Family Medical Program to 

new employees at 26 bi-weekly orientation sessions . 

18 | EEO PROGRAM STATUS REPORT 
 

American Sign Language Classes 

In FY 2014, the SEC University (SECU) offered classes in beginning and intermediate American Sign 

Language in the workplace to employees and managers at Headquarters . The classes are continuing 

in FY 2015 . 

Protecting Confidential Medical Information 

In FY 2014, OHR established a single point of contact for employees to provide confidential medical information if requested by the Disability Program Manager (DPM) in connection with requests 

for disability accommodation . Medical information is restricted to OHR staff in the Disability and 

Family Medical Programs in the Work Life 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 2014, the SEC’s improved information technology support telework program increased the 

number of employees with disabilities who were accommodated with telework . In FY 2015, the 

Disability Accommodation Program will ensure that effective accommodations are provided to 

employees with disabilities who telework . 

In addition to these objectives, the SEC intends 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 

Diversity Council 

In addition to the nine SEC-sponsored Employee Resource Groups (ERGs) discussed immediately 

below, in FY 2014, the SEC also established a Commissioner-led Diversity Council, which includes 

representatives from the ERGs and the National Treasury Employees Union (NTEU), to advise the 

agency on all matters relating to diversity, including employment issues . 

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 . Each group has a SEC Commissioner as 

a sponsor and receives program support from OEEO and/or OHR . 

FISCAL YEAR 2014 | 19
 

Nine ERGs were active in FY 2014: 

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 2014, the SEC sponsored a Unity Month celebration in July and observed numerous heritage, 

history and awareness months with events held in Regional Offices and at the Home Office . When 

possible, these programs were video-cast throughout the Commission . 

In FY 2014, the SEC held a number of annual Heritage Month Events that included: 

n Disability Awareness Month—Kim Pudans-Smith, Gallaudet University 

n Native American Heritage Month—Dante Desiderio, Executive Director, Native American Finance 

Officers Association 

n African American History Month—Jacqueline Berrien, EEOC Chair 

n Women’s History Month—Dr . Rangita de Silva de Alwis, Director, Global Women’s 

Leadership Initiative 

n Asian Pacific American Month—Jenny R . Yang, EEOC Chair 

n Pride Month—U .S . Representative Sean Patrick Maloney 

n Caribbean American Heritage Month—Dr . Wayne A .I . Frederick, President, 

Howard University 

n Hispanic Heritage Month—U .S . Senator Robert Menendez, Chairman, Senate Foreign 

Relations Committee 

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

n Women’s Committee: Career Conversations—SEC Women Leaders providing career 

development advice 

n LGBT Committee: Out Leadership: Cultivating Out Leaders and Global LGBT Business 

Opportunity 

n LGBT Committee: PFLAG—Straight for Equality Training 

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 . 

20 | EEO PROGRAM STATUS REPORT 
Training and Leadership Development 

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

needed to succeed in their positions and to progress in their careers . SECU provided classroomstyle and e-Learning programs and offered an extensive 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 2-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: Managing and Leading During Times of Uncertainty; Leading Transitions; Leading Culture Change; and Sustaining Employee Morale . Further 

information on building leadership skills and opportunities to learn about a number of leadership 

topics was made available to all employees through the Leading Author series . Under this program, 

authors from a variety of disciplines gave lectures and shared their career paths and strategies for 

career success . 

OEEO also provided training to employees and supervisors on the following: 

n Civil Treatment for Managers and Employees: Participants examined disruptive behaviors that 

can negatively impact the work environment and interfere with morale and productivity . Lively 

instructor-led discussions helped to foster positive communication and respect in the workplace, 

and better enable participants to check their own behavior, as well as that of others . The SEC’s Preventing EEO-Based Harassment Policy (PEHP) was thoroughly discussed, along with the integral 

relationship between the policy and a civil environment . Additionally, managers and supervisors 

learned to recognize and stop potentially disruptive behavior at the earliest possible stage . Nonsupervisory employees learned how to respectfully raise behavioral concerns with their supervisors 

before the behavior in question escalates . In FY 2014, there were 12 classes in which approximately 225 employees were trained . 

n Strength Deployment Inventory (SDI): The SDI course was launched in FY 2014 to: (a) identify 

motivational values and overdone strengths for each of the members in a particular office or on a 

particular team; and (b) reduce workplace conflict . By providing a window into what drives individual team members, both when things are going well and when there is conflict, this course gave 

participants valuable information to help teams work together more effectively to achieve desired 

results with minimal conflict . In FY 2014, OEEO delivered 16 classes in which approximately 260 

employees were trained . 

n Training for Hiring Committees: This training sought to help those involved in the hiring process 

engage a more diverse workforce . OEEO and OMWI collaborated to develop a module to meet 

this need and training was offered to address specific concerns raised by managers involved in the 

hiring process . In FY 2014, there were nine classes held in which approximately 110 employees 

were trained . 

n Preventing EEO-Based Harassment: This class provided a close examination of the SEC’s PEHP, 

and discussed how to recognize EEO-based offenses at the earliest possible stage, before rising to 

the level of illegal harassment . In FY 2014, there were 2 classes held in which a total of approximately 25 employees were trained . 

FISCAL YEAR 2014 | 21
 

 

n Open Dialogue: This class relied upon a facilitated discussion designed to elicit actual examples of 

behaviors participants found offensive on an EEO basis, and helped to foster a greater understanding of members from diverse backgrounds . In FY 2014, there was one class held in which approximately 17 employees were trained . 

In addition, OHR launched Unconscious Bias and Performance Management Training for Supervisors in September of 2014 . A total of 15 training sessions were held in September 2014, with more 

planned for the first quarter of FY 2015 . 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 EEO Anti-Harassment and Reasonable Accommodation Policies 

The SEC updated its Anti-Harassment Policy to include genetic information in FY 2014 . 

See Preventing EEO-Based Harassment Policy (PEHP) dated March 24, 2014. 

The SEC’s Disability Accommodation procedures describe disability generally and do not include a 

standard for evaluating whether an employee with an impairment has a disability . The SEC follows 

current EEOC guidance with regard to the definition . Therefore, there was no need to amend the 

procedures to be consistent with the standards of the Americans with Disabilities Act Amendments 

Act of 2008 (ADAAA) . 

Regarding the Genetic Information Nondiscrimination Act of 2008 (GINA), the SEC Disability 

Accommodation procedures states that the SEC will follow the requirements of EEOC Guidance on 

Disability-Related Inquiries and Medical Examinations of Employees . In accordance with information provided by the EEOC, the SEC includes a notice concerning GINA in all requests for medical 

information related to accommodations and specifically requests that health care providers not provide any genetic information when responding to the request for medical information . 

The SEC’s Disability Program Manager (DPM) has worked to customize a commercially-available 

software program to be used by the SEC’s Disability Program staff to track and report on requests 

for disability accommodation . Once implemented, tracking will be possible from the time of request 

through providing approved accommodations or denying requests and notifying requestors of the 

reason for denial . It will also inform them of their rights to seek reconsideration, contact an EEO 

Counselor or initiate the union grievance procedure . The SEC previously estimated that it would 

transition to a new accommodation request tracking system in August 2014; however, the SEC 

recently transitioned to the DARTS in January 2015 . 

22 | EEO PROGRAM STATUS REPORT 
CERTIFICATION OF ESTABLISHMENT
 

OF CONTINUING EQUAL
 

EMPLOYMENT OPPORTUNITY
 

PROGRAMS (PART F)
 

EEOC FORM U.S. Equal Employment Opportunity Commission 

715-01 FEDERAL AGENCY ANNUAL 

PART F 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 2014 | 23
24 | EEO PROGRAM STATUS REPORT 
 

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 2014 

STATEMENT of MODEL PROGRAM 

ESSENTIAL ELEMENT 

DEFICIENCY: 

Applicant flow data was not included in the workforce analyses. 

[Note: This deficiency was closed as of September 30, 2014.] 

OBJECTIVE: Develop and implement a pilot program to capture and report applicant flow data to 

assist with conducting workforce analyses. 

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: March 30, 2013 

TARGET DATE FOR 

COMPLETION OF OBJECTIVE: 

Closed as of September 30, 2014 

PLANNED ACTIVITIES TOWARD COMPLETION OF OBJECTIVE: TARGET DATE 

(Must be specific) 

Benchmark the practices at other small agencies for obtaining applicant flow data N/A 

Develop a pilot program in selected divisions and offices using alternative sources of data for 

vacancies not available through USA Staffing. 

N/A 

Evaluate data from pilot program and identify resources and vehicles to implement a 

comprehensive applicant flow data process and mechanism used by the SEC. 

N/A 

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE 

USA Staffing has provided applicant data to the SEC for FY 2014 and disability data for July through September 2014. This data 

is included in the FY 2014 MD-715 Report. The SEC has begun to analyze the data and incorporate the analysis of the data in 

our recruitment and outreach efforts. As such, this deficiency has been addressed and this Part H is closed. The planned activities 

were not undertaken because of the SEC’s resolution of this previously-noted deficiency. 

FISCAL YEAR 2014 | 25
 

 

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 2014 

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. 

December 31, 2014 

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. 

February 28, 2015 

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 have begun to meet on a monthly basis to address this essential element. 

26 | EEO PROGRAM STATUS REPORT 
PLAN 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 2014 

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. 

Significant steps taken and quantitative and qualitative data 

analyzed, included, but was not limited to: SEC MD-715 

Reports, FY 2011 - FY 2014; promotion data to determine if 

women, Hispanic females and Asian females were promoted at 

rates lower than the percentage at which they are represented 

within the SEC workforce; a review of available SEC written 

promotion policies and procedures; and samplings of exit 

surveys for the FY 2014 period. 

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. 

The ongoing analysis has not yet identified any possible 

barriers. 

OBJECTIVE: 

State the alternative or revised agency policy, procedure or 

practice to be implemented to correct the undesired condition. 

The ongoing analysis has not yet identified any possible 

barriers or any revised agency policies, procedures or practices 

that need to be implemented. 

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: December 31, 2015 

FISCAL YEAR 2014 | 27
 

EEOC FORM 

715-01 

PART I 

EEO Plan To Eliminate Identified Barrier 

PLANNED ACTIVITIES TOWARD COMPLETION OF OBJECTIVE: TARGET DATE 

(Must be specific) 

Building on the EEOC’s recommendations, the SEC will: 

• Identify the typical background and experience of individuals selected to the senior 

grade levels; 

• Examine the recruitment and selection processes for the senior grade levels; 

• Meet with OHR and management officials about their recruitment efforts and the pool of 

qualified applicants; 

• Compare the applications of female candidates to those of the selected candidates; 

• Collect and review the available hiring officials' ratings; 

• Interview the hiring officials about their perception of female applicants; 

• Interview female applicants about their perception of the selection process; 

• Review employee exit survey results; and 

• Interview females in the senior grade levels regarding their career advancement 

experiences. 

June 30, 2015 

Develop recommendations to address any identified barriers. October 31, 2015 

Oversee implementation of recommendations derived from this barrier analysis to eliminate 

any identified barriers. December 31, 2015 

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE 

OEEO conducted a quantitative analysis which revealed that from FY 2011 - FY 2014 there were 77 female senior officers 

selected by the SEC. Of those 77 female senior officers, two Asian female senior officers were selected in FY 2013 and no 

Hispanic or Latina female senior officers were selected. In addition, OEEO has gathered information regarding the professional 

background and experience of individuals selected to the senior grade levels and is continuing to analyze this data. 

28 | 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 2014 

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. 

OEEO is developing a plan to conduct a barrier analysis of 

Hispanic representation at the SEC which will include, among 

other things, a quantitative and qualitative analysis of the 

following: SEC MD 715 Reports for FY 2011 - FY 2014; review 

SEC written promotion policies, practices, procedures; and 

samplings of exit surveys available during this time frame. 

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. 

The plan to conduct this barrier analysis is being developed. As 

a result, barriers have not yet been identified. 

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: 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: December 30, 2015 

EEOC FORM 

715-01 

PART I 

EEO Plan To Eliminate Identified Barrier 

PLANNED ACTIVITIES TOWARD COMPLETION OF OBJECTIVE: TARGET DATE 

(Must be specific) 

Analyze, among other things, Hispanic employees: 1) low entry rate (new hires); 2) high exit 

rate (separations); and 3) representation in mission critical occupations. July 30, 2015 

Examine: whether 1) barriers exist in the recruitment and/or selection processes of missioncritical occupations; 2) the percentage of qualified applicants as compared to their availability 

in either the feeder pool (promotions) or the occupational CLF (new hires); and 3) the 

selection rate as compared to the qualified applicant pool. 

August 30, 2015 

FISCAL YEAR 2014 | 29
 

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 2014 

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. 

Significant steps taken and quantitative and qualitative data 

analyzed, included but were not limited, to a review of the 

SEC’s MD-715 Reports for FY 2011 – FY 2014. OEEO is 

reviewing SEC written promotion policies, practices, and 

procedures affecting PWTD. 

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. 

Ongoing barrier analysis has not yet identified any possible 

barriers. 

OBJECTIVE: 

State the alternative or revised agency policy, procedure or 

practice to be implemented to correct the undesired condition. 

The ongoing analysis has not yet identified any possible 

barriers. 

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: January 31, 2016 

30 | 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) 

Explore recruiting strategies through state vocational rehabilitation centers, the Departments 

of Defense and Labor's Workforce Recruitment Program, and the Department of the Army's 

Wounded Warriors Program. 

March 31, 2015 

Continue quantitative analysis of MD-715 reports and SEC workforce demographics relating 

to PWTD. April 30, 2015 

Resurvey SEC workforce to determine if there was a change in the disability status of 

employees. June 30, 2015 

Building on the EEOC’s recommendations, the SEC will: 

• Train managers and supervisors to insure 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; 

• Evaluate the career advancement opportunities for PWTD to and through the missioncritical occupations; 

• Discuss the lower than expected participation rate of PWTD with the SEC’s Disability 

Issues Advisory Committee (DIAC) and request input on additional efforts to be made; 

• Survey disability organizations at universities near the SEC Home Office and Regional 

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

and 

• Improve the efficiency and effectiveness of the disability accommodation program by 

fully utilizing the recently implemented Disability Accommodation Request Tracking 

System (DARTS) data system for tracking requests and maintaining information about 

accommodations provided. 

September 30, 2015 

Oversee implementation of recommendations, if appropriate, to eliminate any possible 

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

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

January 31, 2016 

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE 

Reviewed data from MD-715 reports and SEC workforce demographics relating to PWTD. 

FISCAL YEAR 2014 | 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 2014 

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. 

This is the first year the SEC has been able to obtain and 

analyze applicant flow data. As such, no barrier was identified, 

pending further data analysis to identify additional triggers. 

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 

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: January 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) 

Obtain and analyze applicant flow data on a quarterly basis. March 31, 2015 

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. September 30, 2016 

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

action plan to eliminate the identified barriers. January 31, 2017 

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE 

USA Staffing has provided applicant data to the SEC for FY 2014 and disability data for July through September 2014. The SEC 

has begun to analyze the data and incorporate the analysis of the data in our recruitment and outreach efforts. The SEC will 

continue to analyze applicant flow data on a quarterly basis. 

32 | 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 2014 

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. 

This is the first year that the SEC has been able to obtain and 

analyze applicant flow data for promotions. As such, no barrier 

was identified, pending the results of a barrier analysis on 

promotions for FY 2011 - FY 2013 and further data analysis as 

necessary. 

OBJECTIVE: 

State the alternative or revised agency policy, procedure or 

practice to be implemented to correct the undesired condition. 

The plan to conduct additional barrier analysis on promotions 

has not been 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 

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 

EEOC FORM 

715-01 

PART I 

EEO Plan To Eliminate Identified Barrier 

PLANNED ACTIVITIES TOWARD COMPLETION OF 

OBJECTIVE: 

TARGET DATE 

(Must be specific) 

Vendor finalizes the barrier analysis on promotions. February 28, 2015 

SEC develops plan to implement recommendations resulting 

from the barrier analysis on promotions. 

April 30, 2015 

Continue to monitor promotions activity for additional triggers 

and to determine the need to implement additional strategies. 

October 31, 2015 

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE 

The SEC contracted with a vendor to conduct a barrier analysis of promotions at the SEC. The vendor has completed the 

quantitative and qualitative data analysis. 

FISCAL YEAR 2014 | 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 2014 

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 are given more time-off awards than males 

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

males receive more cash awards (between 51% and 55%) 

than females. 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 are, 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: September 30, 2016 

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. 

May 31, 2015 

Start conducting in-depth analysis of employee recognition and 

awards. 

August 31, 2015 

Implement recommendations resulting from the barrier analysis 

on employee recognition and awards. 

March 31, 2016 

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. 

34 | 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 2014 

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, have participation rates lower than the 

occupational CLF (over 16 percentage points). The White 

female accountant CLF is 44.23%, whereas White females 

comprise 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) 

Obtain and analyze accountant applicant flow data on a quarterly basis. March 31, 2015 

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 

To the extent the 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 

USA Staffing has provided applicant data to the SEC for FY 2014 and disability data for July through September 2014. The SEC 

has begun to analyze the data and incorporate the analysis of the data in our recruitment and outreach efforts. The SEC will 

continue to analyze applicant flow data on a quarterly basis. 

FISCAL YEAR 2014 | 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 2014 

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 have participation rates lower than 

the occupational CLF (9.10 percentage points). Male attorneys 

comprise 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) 

Obtain and analyze attorney applicant flow data on a quarterly basis. March 31, 2015 

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 

USA Staffing has provided applicant data to the SEC for FY 2014 and disability data for July through September 2014. The SEC 

has begun to analyze the data and incorporate the analysis of the data in our recruitment and outreach efforts. The SEC will 

continue to analyze applicant flow data on a quarterly basis. 

36 | EEO PROGRAM STATUS REPORT 
SPECIAL PROGRAM PLAN FOR
 

THE RECRUITMENT, HIRING, AND
 

ADVANCEMENT OF INDIVIDUALS
 

WITH TARGETED DISABILITIES
 

(PART J)
 

FISCAL YEAR 2014 | 37

EEOC FORM U.S. Equal Employment Opportunity Commission 

715-01 FEDERAL AGENCY ANNUAL 

PART J EEO PROGRAM STATUS REPORT 

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

Targeted Disabilities 

PART I 1. Agency 1.Securities and Exchange Commission 

Department 

or Agency 1.a. 2nd Level Component 1.a. 

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

PART II Enter Actual Number ... beginning of FY. ... end of FY. Net Change 

Employment at the ... 

Trend and Number % Number % Number Rate of 

Special Change 

Recruitment Total Workforce 4138 100.00% 4235 100.00% 97 2.34% for Individuals 

With Targeted Reportable Disability 211 5.10% 206 4.86% -5 -2.37% 

Disabilities 

Targeted Disability* 41 0.99% 40 0.94% -1 -2.44% 

* 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 Complete data is not 

Disabilities during the reporting period. available for FY 2014. 

2. Total Number of Selections of Individuals with Targeted Disabilities 2 

during the reporting period. 

PART III Participation Rates In Agency Employment Programs 

Other Employment/Personnel TOTAL Reportable Targeted Not No Disability 

Programs Disability Disability Identified 

# % # % # % # % 

3. Competitive Promotions for major 83 1 1.20 0 0 3 3.61 79 95.18 

occupations 

4. Non-Competitive Promotions 309 11 3.56 5 1.62 17 5.50 281 90.94 

5. Employee Career Development 

Programs 

5.a. Grades 5 - 12 0 0 0 0 0 0 0 0 0 

5.b. Grades 13 - 14 14 0 0 0 0 0 0 14 100 

5.c. Grade 15-17/SO 19 0 0 0 0 0 0 19 100 

6. Employee Recognition and Awards 

6.a. Time-Off Awards (Total hrs. awarded 1724 76 4.41 16 0.93 75 4.35 1573 91.24 

for 9+ hours category) 
 

 

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

$501+ category) 

5754 184 3.2 27 0.47 250 4.34 5320 92.46 

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 2014, the SEC attended two recruitment events targeted toward 

veterans and veterans with disabilities: 

Military Officers Association of America http://www.moaa.org 

Corporate Gray Job Fairs for Job Seekers with Military Experience 

http://www.corporategray.com/welcome 

3. Attend/Sponsor 

recruitment events. 

Market SEC to applicants 

with disabilities. 

In FY 2014, the SEC attended the U.S. Business Leadership Network 

Annual Conference + Expo. The U.S. Business Leadership Network® 

(USBLN®) is a national non-profit that helps businesses drive 

performance by leveraging disability inclusion in the workplace, supply 

chain, and marketplace. http://www.usbln.org 

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. 

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. 

38 | EEO PROGRAM STATUS REPORT 
6. Talk to hiring managers Managers encouraged Added special hiring authorities, including Schedule A, to checklist about hiring flexibilities, to hire applicants with used for conversations with hiring managers. This checklist is used by including Schedule targeted disabilities. Staffing specialists when vacant positions are identified to ensure hiring A before vacancy managers understand all options for backfilling positions, including how announcements are to use Schedule A and 30% veteran authorities to fill positions quickly. posted. 

Current information to aide SPPC is registered to receive notifications and newsletters from the 

in Selective Placement following groups and transmits information to OHR staff engaged in 

7. Maintain Program recruiting and recruiting: 

relationships with disability hiring. 

Disability Employment EARN – Employer Assistance Resource Network: http://askearn.org. 

focused organizations 

sponsored by the federal JAN – Job Accommodation Network http://askjan.org 

government. 

ODEP – Office of Disability Employment Policy, DOL: 

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

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

Action Items Key Deliverables/Output Narrative Description 

1. Review and revise Updated SEC policy The policy for disabled veteran hiring was revised in FY 2014. 

SEC policy for disabled 

veteran hiring. 

2. Monitor use of special Hiring metrics Every month and at the end of the fiscal year, the SEC’s OCOO 

hiring authorities in publishes metrics for disability hiring. 

relation to hiring goals. 

3. Survey SEC Disability Efficient and effective use In a discussion with deaf and hard-of-hearing DIAC members, the 

Issues Advisory of training resources by members suggested training for managers to learn to be more inclusive 

Committee (DIAC) for addressing needs identified and supportive of deaf and hard-of-hearing staff and colleagues. 

inclusive professional by stakeholders. 

development training As a result, SECU established a partnership with Gallaudet University

needs of participants. to provide training in American Sign Language and Deaf culture to 

interested SEC managers and employees. Attendees included a number 

of SEC managers who supervise deaf and hard-of-hearing employees. 

All employees, regardless of ability, can access professional 

development opportunities through SEC University. 

4. Attend meetings of Information is The SPPC maintains an ongoing relationship with the SEC’s DIAC and 

SEC affinity groups with communicated and shared the Veterans Committee. 

interests related to hiring among SEC employees 

and promoting persons and affinity groups related 

with disabilities. to employment initiatives 

focusing on individuals with 

disabilities. 

E. REASONABLE ACCOMMODATION POLICIES AND PROCEDURES 

Action Items Key Deliverables/Output Narrative Description 

1. Provide mandatory Managers and In FY 2015, all SEC managers will be required to complete 

training to all managers supervisors meeting training focused on Rehabilitation Act basics, the SEC’s Disability 

and supervisors on their responsibilities and Employment Plan, and policies and practices with respect to hiring and 

their responsibilities for appropriately referring accommodating persons with disabilities. 

providing reasonable employees to OHR 

accommodations Disability Program 

to employees with for information and 

disabilities. accommodations. 

F. EXTERNAL AND INTERNAL COMMUNICATION OF AGENCY POLICIES AND PROCEDURES 

Action Items Key Deliverables/Output Narrative Description 

1. Develop improved Accessible information for OHR has a new portal on the SEC’s intranet, and all employees 

communications strategy. SEC employees related to receive a daily communication, SEC Today, which highlights important 

employment at the SEC. information including events and opportunities for details, training, 

and SEC staff accomplishments. In FY 2014, OEEO’s newsletter to all 

employees featured profiles of SEC employees with disabilities. In FY 

2015, OHR will add the Veterans’ Corner to its intranet portal to create 

a single place where Veterans can access information about resources 

including resources related to employment. 

FISCAL YEAR 2014 | 39
 

 

 

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, contact information for the SPPC will be posted on SEC.gov. 

G. TRAINING AND EDUCATION 

Action Items Key Deliverables/Output Narrative Description 

1. Establish a full-time Services of subject matter The SPPC position was collateral-duty in FY 2013 and FY 2014. A 

SPPC position. expert to fulfill duties of 

SPPC related to recruiting 

and hiring employees with 

disabilities. 

new full-time employee was appointed the SPPC as collateral-duty in 

FY 2015. Given the SEC’s size and hiring rate, the SPPC functions 

do not justify a dedicated full-time SPPC without other compatible 

responsibilities for recruiting and hiring. In FY 2015, the SEC will 

consider whether the position should become a full-time responsibility. 

2. Train all managers Knowledgeable managers Managers were offered training that incorporated information about 

about special hiring supporting efforts to disability employment in FY 2014. In FY 2015, SECU will coordinate 

authorities for persons increase hiring rate of with the Disability Program Manager to deliver mandatory training 

with severe disabilities employees with targeted on the managers’ responsibilities under the Rehabilitation Act and 

under Schedule A. disabilities. SEC’s Disability Employment Plan, with the idea that managers who 

Integrate disability understand the goals and benefits of hiring employees with targeted 

employment information disabilities are more likely to use Schedule A hiring authorities and 

into in-depth training for will understand how to handle disability accommodation requests in 

new supervisors. accordance with SEC policy. 

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 ASL and cultural awareness for interested SEC employees and 

managers in FY 2014. The program is being offered again in FY 2015, 

running from November 2014 through March 2015. 

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. 

40 | EEO PROGRAM STATUS REPORT 
EQUAL EMPLOYMENT
 

OPPORTUNITY POLICY
 

FISCAL YEAR 2014 | 41
 
 

PREVENTING EEO-BASED
 

HARASSMENT POLICY (PEHP)
 

42 | EEO PROGRAM STATUS REPORT 
FISCAL YEAR 2014 462 REPORT 

The SEC previously submitted the FY 2014 462 Report to the EEOC .
 

FISCAL YEAR 2014 | 43
 
44 | EEO PROGRAM STATUS REPORT 
SEC’S ORGANIZATIONAL
 

STRUCTURE
 

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

Washington, DC . 

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

of the Commissioners is designated by the President as the Chair of the Commission—the Commission’s chief executive . The agency’s functional responsibilities are organized into five divisions and 

23 Offices, each of which is headquartered in Washington, DC . The Commission’s staff is located in 

Washington, DC, and 11 Regional Offices throughout the country . Divisions and Offices include: 

Five Divisions 

n Corporation Finance 

n Enforcement 

n Investment Management 

n Economic and Risk Analysis 

n Trading and Markets 

Twenty-three 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 

n Information Technology 

n Inspector General 

n International Affairs 

n Investor Advocate 

FISCAL YEAR 2014 | 45
U.S. SECURITIES AND EXCHANGE COMMISSION HEADQUARTERS AND REGIONAL OFFICES

 

n Investor Education and Advocacy 

n Legislative and Intergovernmental Affairs 

n Minority and Women Inclusion 

n Municipal Securities 

n Public Affairs 

n Secretary 

n Support Operations 

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 . 

U.S. SECURITIES AND EXCHANGE COMMISSION 

HEADQUARTERS AND REGIONAL OFFICES 

Salt Lake City 

San Francisco 

Los Angeles 

Denver 

Fort Worth 

Miami 

Atlanta 

Chicago 

Boston 

New York 

Philadelphia 

Washington, DC 

46 | EEO PROGRAM STATUS REPORT 
SEC ORGANIZATION CHART

Commissioner Commissioner Chair Office of the Chair Commissioner Commissioner 

Trading &

Markets Enforcement

General

Counsel 

Inspector

General 

International

Affairs 

Investor

Advocate 

Investor

Education &

Advocacy 

Minority &

Women

Inclusion 

Acquisitions Financial Management Human Resources Information Technology Support Operations 

Municipal

Securities 

Public

Affairs Secretary 

Legislative &

Inter-Government

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

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 

FISCAL YEAR 2014 | 47
48 | EEO PROGRAM STATUS REPORT 
WORKFORCE DATA TABLES
 

Table A1: TOTAL WORKFORCE—DISTRIBUTION BY RACE/ETHNICITY AND SEX FOR PAY PERIOD 201321 TO 201421 

Employment Tenure TOTAL WORKFORCE 

RACE/ETHNICITY 

Hispanic or Latino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

NativeHawaiian orOther PacificIslander 

American Indianor 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 # 4138 2215 1923 91 89 1692 1117 215 480 206 223 1 4 9 5 1 5 

% 100% 53.53% 46.47% 2.20% 2.15% 40.89% 26.99% 5.20% 11.60% 4.98% 5.39% 0.02% 0.10% 0.22% 0.12% 0.02% 0.12% 

Current 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% 

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 # 97 69 28 2 7 41 2 4 6 20 9 0 0 1 0 1 4 

Ratio Change % 0.00% 0.40% -0.40% 0.00% 0.12% 0.03% -0.57% -0.02% -0.12% 0.36% 0.09% 0.00% 0.00% 0.02% 0.00% 0.02% 0.09% 

Net Change % 2.34% 3.12% 1.46% 2.20% 7.87% 2.42% 0.18% 1.86% 1.25% 9.71% 4.04% 0.00% 0.00% 11.11% 0.00% 100% 80.00% 

PERMANENTPrior FY # 3982 2117 1865 89 85 1620 1090 205 465 193 213 1 2 8 5 1 5 

% 100% 53.16% 46.84% 2.24% 2.13% 40.68% 27.37% 5.15% 11.68% 4.85% 5.35% 0.03% 0.05% 0.20% 0.13% 0.03% 0.13% 

Current 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% 

Difference # 115 81 34 3 8 55 4 4 10 16 9 0 0 2 0 1 3 

Ratio Change % 0.00% 0.48% -0.48% 0.01% 0.14% 0.20% -0.67% -0.05% -0.08% 0.25% 0.07% 0.00% 0.00% 0.04% 0.00% 0.02% 0.07% 

Net Change % 2.89% 3.83% 1.82% 3.37% 9.41% 3.40% 0.37% 1.95% 2.15% 8.29% 4.23% 0.00% 0.00% 25.00% 0.00% 100% 60.00% 

TEMPORARYPrior FY # 156 98 58 2 4 72 27 10 15 13 10 0 2 1 0 0 0 

% 100% 62.82% 37.18% 1.28% 2.56% 46.15% 17.31% 6.41% 9.62% 8.33% 6.41% 0.00% 1.28% 0.64% 0.00% 0.00% 0.00% 

Current 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% 

Difference # -18 -12 -6 -1 -1 -14 -2 0 -4 4 0 0 0 -1 0 0 1 

Ratio Change % 0.00% -0.50% 0.50% -0.56% -0.39% -4.12% 0.81% 0.84% -1.64% 3.99% 0.84% 0.00% 0.17% -0.64% 0.00% 0.00% 0.72% 

Net Change % -11.54% -12.24% -10.34% -50.00% -25.00% -19.44% -7.41% 0.00% -26.67% 30.77% 0.00% 0.00% 0.00% -100% 0.00% 0.00% 0.00% 

FISCAL YEAR 2014 | 49
 

Table A3-1: OCCUPATIONAL CATEGORIES—DISTRIBUTION BY RACE/ETHNICITY AND SEX—PERMANENT WORKFORCE PAY PERIOD 201421 

Occupational Categories 

TOTAL EMPLOYEES 

RACE/ETHNICITY 

Hispanic orLatino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

NativeHawaiian orOther PacificIslander 

AmericanIndian orAlaska 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 # 137 89 48 2 1 81 40 3 5 3 2 0 0 0 0 0 0 

% 100% 64.96% 35.04% 1.46% 0.73% 59.12% 29.20% 2.19% 3.65% 2.19% 1.46% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Mid-level 

# 364 209 155 9 6 183 115 10 16 7 16 0 1 0 1 0 0 

% 100% 57.42% 42.58% 2.47% 1.65% 50.27% 31.59% 2.75% 4.40% 1.92% 4.40% 0.00% 0.27% 0.00% 0.27% 0.00% 0.00% 

First-Level # 334 226 108 10 4 175 67 14 26 24 10 1 0 2 0 0 1 

% 100% 67.66% 32.34% 2.99% 1.20% 52.40% 20.06% 4.19% 7.78% 7.19% 2.99% 0.30% 0.00% 0.60% 0.00% 0.00% 0.30% 

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 

# 840 527 313 21 11 441 224 27 47 35 28 1 1 2 1 0 1 % 100% 62.74% 37.26% 2.50% 1.31% 52.50% 26.67% 3.21% 5.60% 4.17% 3.33% 0.12% 0.12% 0.24% 0.12% 0.00% 0.12% 

Professionals—Program Work 

# 2261 1287 974 48 47 1036 669 79 103 119 149 0 1 5 2 0 3 

% 100% 56.92% 43.08% 2.12% 2.08% 45.82% 29.59% 3.49% 4.56% 5.26% 6.59% 0.00% 0.04% 0.22% 0.09% 0.00% 0.13% 

Professionals—Business/Financial Administration 

# 845 354 491 21 29 189 183 85 236 54 37 0 0 3 2 2 4 

% 100% 41.89% 58.11% 2.49% 3.43% 22.37% 21.66% 10.06% 27.93% 6.39% 4.38% 0.00% 0.00% 0.36% 0.24% 0.24% 0.47% 

Administrative Support Workers 

# 151 30 121 2 6 9 18 18 89 1 8 0 0 0 0 0 0 

% 100% 19.87% 80.13% 1.32% 3.97% 5.96% 11.92% 11.92% 58.94% 0.66% 5.30% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

50 | EEO PROGRAM STATUS REPORT 
Table A3-2: OCCUPATIONAL CATEGORIES—DISTRIBUTION BY RACE/ETHNICITY AND SEX—

PERMANENT WORKFORCE PAY PERIOD 201421 

Occupational Categories 

TOTAL EMPLOYEES 

RACE/ETHNICITY 

Hispanic orLatino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

Native Hawaiianor Other PacificIslander 

American Indianor 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 # 137 89 48 2 1 81 40 3 5 3 2 0 0 0 0 0 0 

% 3.34% 4.05% 2.53% 2.17% 1.08% 4.84% 3.66% 1.44% 1.05% 1.44% 0.90% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Mid-level 

# 364 209 155 9 6 183 115 10 16 7 16 0 1 0 1 0 0 

% 8.88% 9.51% 8.16% 9.78% 6.45% 10.93% 10.51% 4.78% 3.37% 3.35% 7.21% 0.00% 50.00% 0.00% 20.00% 0.00% 0.00% 

First-Level # 334 226 108 10 4 175 67 14 26 24 10 1 0 2 0 0 1 

% 8.15% 10.28% 5.69% 10.87% 4.30% 10.45% 6.12% 6.70% 5.47% 11.48% 4.50% 100.00% 0.00% 20.00% 0.00% 0.00% 12.50% 

Other 

# 5 3 2 0 0 2 2 0 0 1 0 0 0 0 0 0 0 

% 0.12% 0.14% 0.11% 0.00% 0.00% 0.12% 0.18% 0.00% 0.00% 0.48% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Officials and ManagersTOTAL 

# 840 527 313 21 11 441 224 27 47 35 28 1 1 2 1 0 1 

% 20.50% 23.98% 16.48% 22.83% 11.83% 26.33% 20.48% 12.92% 9.89% 16.75% 12.61% 100.00% 50.00% 20.00% 20.00% 0.00% 12.50% 

Professionals -Program Work 

# 2261 1287 974 48 47 1036 669 79 103 119 149 0 1 5 2 0 3 

% 55.19% 58.55% 51.29% 52.17% 50.54% 61.85% 61.15% 37.80% 21.68% 56.94% 67.12% 0.00% 50.00% 50.00% 40.00% 0.00% 37.50% 

Professionals -Business / FinancialAdministration 

# 845 354 491 21 29 189 183 85 236 54 37 0 0 3 2 2 4 

% 

20.62% 16.11% 25.86% 22.83% 31.18% 11.28% 16.73% 40.67% 49.68% 25.84% 16.67% 0.00% 0.00% 30.00% 40.00% 100.00% 50.00% 

Administrative SupportWorkers 

# 151 30 121 2 6 9 18 18 89 1 8 0 0 0 0 0 0 

% 3.69% 1.36% 6.37% 2.17% 6.45% 0.54% 1.65% 8.61% 18.74% 0.48% 3.60% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Total Workforce 

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

% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 

NOTE: Percentages computed down columns and NOT across rows. 

FISCAL YEAR 2014 | 51
 

Table A4-1: PARTICIPATION RATES FOR SK GRADES BY RACE/ETHNICITY AND SEX—PERMANENT EMPLOYEES PAY PERIOD 201421 

SK, SO, AND RELATED GRADES 

TOTAL EMPLOYEES 

RACE/ETHNICITY 

Hispanic or Latino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

Native Hawaiianor Other PacificIslander 

American Indianor 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 # 5 2 3 0 1 1 0 1 2 0 0 0 0 0 0 0 0 % 100% 40.00% 60.00% 0.00% 20.00% 20.00% 0.00% 20.00% 40.00% 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 # 15 4 11 0 0 2 1 2 9 0 1 0 0 0 0 0 0 % 100% 26.67% 73.33% 0.00% 0.00% 13.33% 6.67% 13.33% 60.00% 0.00% 6.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-07 # 91 18 73 2 5 5 11 10 53 1 4 0 0 0 0 0 0 % 100% 19.78% 80.22% 2.20% 5.49% 5.49% 12.09% 10.99% 58.24% 1.10% 4.40% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-08 # 28 3 25 0 0 1 4 2 19 0 2 0 0 0 0 0 0 % 100% 10.71% 89.29% 0.00% 0.00% 3.57% 14.29% 7.14% 67.86% 0.00% 7.14% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-09 # 60 15 45 1 4 4 8 9 31 1 1 0 0 0 0 0 1 % 100% 25.00% 75.00% 1.67% 6.67% 6.67% 13.33% 15.00% 51.67% 1.67% 1.67% 0.00% 0.00% 0.00% 0.00% 0.00% 1.67% 

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 # 134 35 99 1 8 21 33 10 53 3 5 0 0 0 0 0 0 % 100% 26.12% 73.88% 0.75% 5.97% 15.67% 24.63% 7.46% 39.55% 2.24% 3.73% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-12 # 222 72 150 1 7 47 58 17 67 5 16 0 0 2 1 0 1 % 100% 32.43% 67.57% 0.45% 3.15% 21.17% 26.13% 7.66% 30.18% 2.25% 7.21% 0.00% 0.00% 0.90% 0.45% 0.00% 0.45% 

SK-13 # 407 234 173 11 7 154 78 36 67 31 19 0 0 1 1 1 1 % 100% 57.49% 42.51% 2.70% 1.72% 37.84% 19.16% 8.85% 16.46% 7.62% 4.67% 0.00% 0.00% 0.25% 0.25% 0.25% 0.25% 

SK-14 # 1861 1026 835 50 48 780 543 84 110 107 128 0 0 4 2 1 4 % 100% 55.13% 44.87% 2.69% 2.58% 41.91% 29.18% 4.51% 5.91% 5.75% 6.88% 0.00% 0.00% 0.21% 0.11% 0.05% 0.21% 

SK-15 # 334 226 108 10 4 175 67 14 26 24 10 1 0 2 0 0 1 % 100% 67.66% 32.34% 2.99% 1.20% 52.40% 20.06% 4.19% 7.78% 7.19% 2.99% 0.30% 0.00% 0.60% 0.00% 0.00% 0.30% 

SK-16 # 427 261 166 5 2 219 132 10 14 26 17 0 1 1 0 0 0 % 100% 61.12% 38.88% 1.17% 0.47% 51.29% 30.91% 2.34% 3.28% 6.09% 3.98% 0.00% 0.23% 0.23% 0.00% 0.00% 0.00% 

SK-17 # 364 209 155 9 6 183 115 10 16 7 16 0 1 0 1 0 0 % 100% 57.42% 42.58% 2.47% 1.65% 50.27% 31.59% 2.75% 4.40% 1.92% 4.40% 0.00% 0.27% 0.00% 0.27% 0.00% 0.00% 

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 # 137 89 48 2 1 81 40 3 5 3 2 0 0 0 0 0 0 % 100% 64.96% 35.04% 1.46% 0.73% 59.12% 29.20% 2.19% 3.65% 2.19% 1.46% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

52 | EEO PROGRAM STATUS REPORT 
Table A4-1: PARTICIPATION RATES FOR SK GRADES BY RACE/ETHNICITY AND SEX—

TEMPORARY EMPLOYEES PAY PERIOD 201421 

SK, SO, AND RELATED GRADES 

TOTAL EMPLOYEES 

RACE/ETHNICITY 

Hispanic or Latino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

Native Hawaiianor Other PacificIslander 

American Indian orAlaska Native Two or more races

All male female male female male female male female male female male female male female male female 

SK-03 # 6 3 3 0 0 1 2 2 1 0 0 0 0 0 0 0 0 % 100% 50.00% 50.00% 0.00% 0.00% 16.67% 33.33% 33.33% 16.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-04 # 11 5 6 0 1 4 2 1 1 0 1 0 0 0 0 0 1 % 100% 45.45% 54.55% 0.00% 9.09% 36.36% 18.18% 9.09% 9.09% 0.00% 9.09% 0.00% 0.00% 0.00% 0.00% 0.00% 9.09% 

SK-05 # 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-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 # 2 1 1 0 0 0 0 1 1 0 0 0 0 0 0 0 0 % 100% 50.00% 50.00% 0.00% 0.00% 0.00% 0.00% 50.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-08 # 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 % 100% 0.00% 100.00% 0.00% 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-09 # 5 3 2 0 0 3 0 0 2 0 0 0 0 0 0 0 0 % 100% 60.00% 40.00% 0.00% 0.00% 60.00% 0.00% 0.00% 40.00% 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 # 11 6 5 0 0 3 4 2 1 1 0 0 0 0 0 0 0 % 100% 54.55% 45.45% 0.00% 0.00% 27.27% 36.36% 18.18% 9.09% 9.09% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-12 # 2 1 1 0 0 1 1 0 0 0 0 0 0 0 0 0 0 % 100% 50.00% 50.00% 0.00% 0.00% 50.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-13 # 7 3 4 0 0 1 1 0 0 2 3 0 0 0 0 0 0 % 100% 42.86% 57.14% 0.00% 0.00% 14.29% 14.29% 0.00% 0.00% 28.57% 42.86% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-14 # 49 36 13 0 1 24 5 1 1 11 6 0 0 0 0 0 0 % 100% 73.47% 26.53% 0.00% 2.04% 48.98% 10.20% 2.04% 2.04% 22.45% 12.24% 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 # 28 19 9 1 0 13 7 2 1 3 0 0 1 0 0 0 0 % 100% 67.86% 32.14% 3.57% 0.00% 46.43% 25.00% 7.14% 3.57% 10.71% 0.00% 0.00% 3.57% 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) # 3 2 1 0 0 2 1 0 0 0 0 0 0 0 0 0 0 % 100% 66.67% 33.33% 0.00% 0.00% 66.67% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Senior Officer, EX # 7 5 2 0 0 5 1 0 0 0 0 0 1 0 0 0 0 % 100% 71.43% 28.57% 0.00% 0.00% 71.43% 14.29% 0.00% 0.00% 0.00% 0.00% 0.00% 14.29% 0.00% 0.00% 0.00% 0.00% 

FISCAL YEAR 2014 | 53
 

Table A4-2: PARTICIPATION RATES FOR SK GRADES BY RACE/ETHNICITY AND SEX—

PERMANENT WORKFORCE PAY PERIOD 201421 

SK, SO, AND RELATED GRADES 

TOTAL EMPLOYEES 

RACE/ETHNICITY 

Hispanic orLatino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

Native Hawaiianor Other PacificIslander 

American Indianor 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 # 5 2 3 0 1 1 0 1 2 0 0 0 0 0 0 0 0 % 0.12% 0.09% 0.16% 0.00% 1.08% 0.06% 0.00% 0.48% 0.42% 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% 0.05% 0.21% 0.00% 0.00% 0.00% 0.09% 0.48% 0.42% 0.00% 0.45% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-06 # 15 4 11 0 0 2 1 2 9 0 1 0 0 0 0 0 0 % 0.37% 0.18% 0.58% 0.00% 0.00% 0.12% 0.09% 0.96% 1.89% 0.00% 0.45% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-07 # 91 18 73 2 5 5 11 10 53 1 4 0 0 0 0 0 0 % 2.22% 0.82% 3.84% 2.17% 5.38% 0.30% 1.01% 4.78% 11.16% 0.48% 1.80% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-08 # 28 3 25 0 0 1 4 2 19 0 2 0 0 0 0 0 0 % 0.68% 0.14% 1.32% 0.00% 0.00% 0.06% 0.37% 0.96% 4.00% 0.00% 0.90% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-09 # 60 15 45 1 4 4 8 9 31 1 1 0 0 0 0 0 1 % 1.46% 0.68% 2.37% 1.09% 4.30% 0.24% 0.73% 4.31% 6.53% 0.48% 0.45% 0.00% 0.00% 0.00% 0.00% 0.00% 12.50% 

SK-10 # 2 0 2 0 0 0 1 0 1 0 0 0 0 0 0 0 0 % 0.05% 0.00% 0.11% 0.00% 0.00% 0.00% 0.09% 0.00% 0.21% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-11 # 134 35 99 1 8 21 33 10 53 3 5 0 0 0 0 0 0 % 3.27% 1.59% 5.21% 1.09% 8.60% 1.25% 3.02% 4.78% 11.16% 1.44% 2.25% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-12 # 222 72 150 1 7 47 58 17 67 5 16 0 0 2 1 0 1 % 5.42% 3.28% 7.90% 1.09% 7.53% 2.81% 5.30% 8.13% 14.11% 2.39% 7.21% 0.00% 0.00% 20.00% 20.00% 0.00% 12.50% 

SK-13 # 407 234 173 11 7 154 78 36 67 31 19 0 0 1 1 1 1 % 9.93% 10.65% 9.11% 11.96% 7.53% 9.19% 7.13% 17.22% 14.11% 14.83% 8.56% 0.00% 0.00% 10.00% 20.00% 50.00% 12.50% 

SK-14 # 1861 1026 835 50 48 780 543 84 110 107 128 0 0 4 2 1 4 % 45.42% 46.68% 37.99% 2.27% 2.18% 35.49% 24.70% 3.82% 5.00% 4.87% 5.82% 0.00% 0.00% 0.18% 0.09% 0.05% 0.18% 

SK-15 # 334 226 108 10 4 175 67 14 26 24 10 1 0 2 0 0 1 % 8.15% 10.28% 5.69% 10.87% 4.30% 10.45% 6.12% 6.70% 5.47% 11.48% 4.50% 100.00% 0.00% 20.00% 0.00% 0.00% 12.50% 

SK-16 # 427 261 166 5 2 219 132 10 14 26 17 0 1 1 0 0 0 % 10.42% 11.87% 8.74% 5.43% 2.15% 13.07% 12.07% 4.78% 2.95% 12.44% 7.66% 0.00% 50.00% 10.00% 0.00% 0.00% 0.00% 

SK-17 # 364 209 155 9 6 183 115 10 16 7 16 0 1 0 1 0 0 % 8.88% 9.51% 8.16% 9.78% 6.45% 10.93% 10.51% 4.78% 3.37% 3.35% 7.21% 0.00% 50.00% 0.00% 20.00% 0.00% 0.00% 

All other (Non-SK) # 5 3 2 0 0 2 2 0 0 1 0 0 0 0 0 0 0 % 0.12% 0.14% 0.11% 0.00% 0.00% 0.12% 0.18% 0.00% 0.00% 0.48% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Senior Officer # 137 89 48 2 1 81 40 3 5 3 2 0 0 0 0 0 0 % 3.34% 4.05% 2.53% 2.17% 1.08% 4.84% 3.66% 1.44% 1.05% 1.44% 0.90% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

TOTAL # 4097 2198 1899 92 93 1675 1094 209 475 209 222 1 2 10 5 2 8 % 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 

NOTE: Percentages computed down columns and NOT across rows. 

54 | EEO PROGRAM STATUS REPORT 
Table A4-2: PARTICIPATION RATES FOR SK GRADES BY RACE/ETHNICITY AND SEX—

TEMPORARY WORKFORCE PAY PERIOD 201421

SK, SO, AND RELATED GRADES 

TOTAL EMPLOYEES 

RACE/ETHNICITY 

Hispanic orLatino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

Native Hawaiianor Other PacificIslander 

American Indianor 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 # 6 3 3 0 0 1 2 2 1 0 0 0 0 0 0 0 0 % 4.35% 3.49% 5.77% 0.00% 0.00% 1.72% 8.00% 20.00% 9.09% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-04 # 11 5 6 0 1 4 2 1 1 0 1 0 0 0 0 0 1 % 7.97% 5.81% 11.54% 0.00% 33.33% 6.90% 8.00% 10.00% 9.09% 0.00% 10.00% 0.00% 0.00% 0.00% 0.00% 0.00% 100.00% 

SK-05 # 4 2 2 0 0 1 0 1 2 0 0 0 0 0 0 0 0 % 2.90% 2.33% 3.85% 0.00% 0.00% 1.72% 0.00% 10.00% 18.18% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-06 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 % 0.00% 0.00% 0.00% 0.00% 0.00% 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 # 2 1 1 0 0 0 0 1 1 0 0 0 0 0 0 0 0 % 1.45% 1.16% 1.92% 0.00% 0.00% 0.00% 0.00% 10.00% 9.09% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-08 # 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 % 0.72% 0.00% 1.92% 0.00% 33.33% 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 # 5 3 2 0 0 3 0 0 2 0 0 0 0 0 0 0 0 % 3.62% 3.49% 3.85% 0.00% 0.00% 5.17% 0.00% 0.00% 18.18% 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 % 1.45% 0.00% 3.85% 0.00% 0.00% 0.00% 4.00% 0.00% 9.09% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-11 # 11 6 5 0 0 3 4 2 1 1 0 0 0 0 0 0 0 % 7.97% 6.98% 9.62% 0.00% 0.00% 5.17% 16.00% 20.00% 9.09% 5.88% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-12 # 2 1 1 0 0 1 1 0 0 0 0 0 0 0 0 0 0 % 1.45% 1.16% 1.92% 0.00% 0.00% 1.72% 4.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-13 # 7 3 4 0 0 1 1 0 0 2 3 0 0 0 0 0 0 % 5.07% 3.49% 7.69% 0.00% 0.00% 1.72% 4.00% 0.00% 0.00% 11.76% 30.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-14 # 49 36 13 0 1 24 5 1 1 11 6 0 0 0 0 0 0 % 35.51% 41.86% 15.12% 0.00% 1.16% 27.91% 5.81% 1.16% 1.16% 12.79% 6.98% 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 # 28 19 9 1 0 13 7 2 1 3 0 0 1 0 0 0 0 % 20.29% 22.09% 17.31% 100.00% 0.00% 22.41% 28.00% 20.00% 9.09% 17.65% 0.00% 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) # 3 2 1 0 0 2 1 0 0 0 0 0 0 0 0 0 0 % 2.17% 2.33% 1.92% 0.00% 0.00% 3.45% 4.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Senior Officer, EX # 7 5 2 0 0 5 1 0 0 0 0 0 1 0 0 0 0 % 5.07% 5.81% 3.85% 0.00% 0.00% 8.62% 4.00% 0.00% 0.00% 0.00% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 

TOTAL # 138 86 52 1 3 58 25 10 11 17 10 0 2 0 0 0 1 % 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 

NOTE: Percentages computed down columns and NOT across rows. 

FISCAL YEAR 2014 | 55
 

— CE/ETHNICITY AND SEX Y RA TRIBUTION B TIONS—DIS ACUP OR MAJOR OC

1421 

TES F TION RA

ORCE PAY PERIOD 20

A

ORKF

TICIPAR A6: PableT

PERMANENT W

Job Title/Series 

TOTAL EMPLOYEES 

RACE/ETHNICITY 

Hispanic orLatino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

Native Hawaiianor Other PacificIslander 

American Indianor 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 

# 61 45 16 1 0 32 11 2 0 9 5 0 0 1 0 0 0 

% 100% 73.77% 26.23% 1.64% 0.00% 52.46% 18.03% 3.28% 0.00% 14.75% 8.20% 0.00% 0.00% 1.64% 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 

# 941 535 406 29 26 421 259 33 50 50 69 0 0 2 1 0 1 

% 100% 56.85% 43.15% 3.08% 2.76% 44.74% 27.52% 3.51% 5.31% 5.31% 7.33% 0.00% 0.00% 0.21% 0.11% 0.00% 0.11% 

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 GeneralAttorney 

# 1762 1015 747 30 27 857 556 54 67 71 93 0 1 3 2 0 1 

% 100% 57.60% 42.40% 1.70% 1.53% 48.64% 31.56% 3.06% 3.80% 4.03% 5.28% 0.00% 0.06% 0.17% 0.11% 0.00% 0.06% 

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 SecuritiesComplianceExamining 

# 176 127 49 6 2 103 31 3 8 15 7 0 0 0 0 0 1 % 100% 72.16% 27.84% 3.41% 1.14% 58.52% 17.61% 1.70% 4.55% 8.52% 3.98% 0.00% 0.00% 0.00% 0.00% 0.00% 0.57% 

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% 

56 | EEO PROGRAM STATUS REPORT 
— CE/ETHNICITY AND SEX Y RA TRIBUTION B TIONS—DIS ACUP OR MAJOR OC

1421 

TES F

Y PERIOD 20 AORCE P

ATION RA

ORKF

TICIPAR

Y W

A6: P able T

TEMPORAR

Job Title/Series 

TOTAL EMPLOYEES 

RACE/ETHNICITY 

Hispanic orLatino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

Native Hawaiianor Other PacificIslander 

American Indianor 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 

# 24 14 10 0 1 8 3 0 1 6 5 0 0 0 0 0 0 

% 100% 58.33% 41.67% 0.00% 4.17% 33.33% 12.50% 0.00% 4.17% 25.00% 20.83% 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 

# 16 11 5 0 0 9 5 1 0 1 0 0 0 0 0 0 0 

% 100% 68.75% 31.25% 0.00% 0.00% 56.25% 31.25% 6.25% 0.00% 6.25% 0.00% 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 GeneralAttorney 

# 19 11 8 0 0 9 5 1 1 1 1 0 1 0 0 0 0 

% 100% 57.89% 42.11% 0.00% 0.00% 47.37% 26.32% 5.26% 5.26% 5.26% 5.26% 0.00% 5.26% 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 SecuritiesComplianceExamining 

# 2 2 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 

% 100% 100.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

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% 

FISCAL YEAR 2014 | 57
 CE/ETHNICITY AND SEX Y RA ATIONS B CUP OR MAJOR OC S AND HIRES F 14) A7: APPLICANT ableOSING DATES IN FY 20 CL

T(

TOTAL 

RACE/ETHNICITY 

Hispanic orLatino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

Native Hawaiianor Other PacificIslander 

American Indianor 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 2014, 24 economists were hired. Total Received # 899 

Voluntarily Identified 

# 414 303 111 37 23 125 43 80 21 52 22 0 0 3 1 6 1 

% 100% 73.19% 26.81% 8.94% 5.56% 30.19% 10.39% 19.32% 5.07% 12.56% 5.31% 0.00% 0.00% 0.72% 0.24% 1.45% 0.24% 

Qualified of thoseIdentified 

# 246 169 77 23 17 83 27 36 14 22 17 0 0 0 1 5 1 % 100% 68.70% 31.30% 9.35% 6.91% 33.74% 10.98% 14.63% 5.69% 8.94% 6.91% 0.00% 0.00% 0.00% 0.41% 2.03% 0.41% 

Selected of thoseIdentified 

# 8 6 2 0 0 4 0 1 0 1 2 0 0 0 0 0 0 

% 

100% 75.00% 25.00% 0.00% 0.00% 50.00% 0.00% 12.50% 0.00% 12.50% 25.00% 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 2014, 97 attorneys were hired.

Total Received # 7283 

Voluntarily Identified 

# 2907 1825 1082 276 145 1058 470 249 290 205 151 2 3 24 10 11 13 

% 100% 62.78% 37.22% 9.49% 4.99% 36.39% 16.17% 8.57% 9.98% 7.05% 5.19% 0.07% 0.10% 0.83% 0.34% 0.38% 0.45% 

Qualified of thoseIdentified 

# 2173 1335 838 185 114 826 360 165 222 136 124 2 2 15 9 6 7 

% 100% 61.44% 38.56% 8.51% 5.25% 38.01% 16.57% 7.59% 10.22% 6.26% 5.71% 0.09% 0.09% 0.69% 0.41% 0.28% 0.32% 

Selected of thoseIdentified 

# 32 21 11 1 0 17 6 1 2 2 3 0 0 0 0 0 0 % 100% 65.63% 34.38% 3.13% 0.00% 53.13% 18.75% 3.13% 6.25% 6.25% 9.38% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

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% 

58 | EEO PROGRAM STATUS REPORT 
CE/ETHNICITY AND SEX Y RA ATIONS B CUP OR MAJOR OC S AND HIRES F

ontinued C 14) TES IN FY 20

 A7: APPLICANT

OSING DA CL

Table(

TOTAL 

RACE/ETHNICITY 

Hispanic orLatino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

Native Hawaiianor Other PacificIslander 

American Indianor 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 2014, 43 accountants were hired.Total Received # 2345 

Voluntarily Identified 

# 1031 613 418 148 76 260 134 92 133 95 66 2 0 7 2 9 7 

% 100% 59.46% 40.54% 14.35% 7.37% 25.22% 13.00% 8.92% 12.90% 9.21% 6.40% 0.19% 0.00% 0.68% 0.19% 0.87% 0.68% 

Qualified of thoseIdentified 

# 474 288 186 65 28 132 52 39 68 47 34 0 0 3 0 2 4 

% 100% 60.76% 39.24% 13.71% 5.91% 27.85% 10.97% 8.23% 14.35% 9.92% 7.17% 0.00% 0.00% 0.63% 0.00% 0.42% 0.84% 

Selected of thoseIdentified 

# 13 9 4 0 0 5 3 2 1 2 0 0 0 0 0 0 0 

% 100% 69.23% 30.77% 0.00% 0.00% 38.46% 23.08% 15.38% 7.69% 15.38% 0.00% 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 2014, 25 examiners were hired. 

Total Received # 3141 

Voluntarily Identified 

# 1544 1016 528 151 93 497 179 201 166 150 82 0 4 2 1 15 3 

% 100% 65.80% 34.20% 9.78% 6.02% 32.19% 11.59% 13.02% 10.75% 9.72% 5.31% 0.00% 0.26% 0.13% 0.06% 0.97% 0.19% 

Qualified of thoseIdentified 

# 1234 839 395 109 59 413 135 171 135 138 60 0 2 0 1 8 3 

% 100% 67.99% 32.01% 8.83% 4.78% 33.47% 10.94% 13.86% 10.94% 11.18% 4.86% 0.00% 0.16% 0.00% 0.08% 0.65% 0.24% 

Selected of thoseIdentified 

# 11 7 4 2 0 4 3 0 1 1 0 0 0 0 0 0 0 

% 100% 63.64% 36.36% 18.18% 0.00% 36.36% 27.27% 0.00% 9.09% 9.09% 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% 

Note: This table contains data for both permanent and temporary positions. 

FISCAL YEAR 2014 | 59
 CE/ETHNICITY AND SEX Y RA TRIBUTION B Y TYPE OF APPOINTMENT—DIS 30) 14-09- O 201 T A8: NEW HIRES B 10-0 able T(FOR PERIOD 2013-

Employment Tenure 

TOTAL 

RACE/ETHNICITY 

Hispanic or Latino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

Native Hawaiianor Other PacificIslander 

American Indianor Alaska Native 

Two or more races 

All male female male female male female male female male female male female male female male female 

Permanent 

# 305 182 123 9 5 127 64 21 34 22 18 0 0 2 0 1 2 

% 100% 59.67% 40.33% 2.95% 1.64% 41.64% 20.98% 6.89% 11.15% 7.21% 5.90% 0.00% 0.00% 0.66% 0.00% 0.33% 0.66% 

Temporary 

# 76 48 28 0 1 34 17 5 6 9 4 0 0 0 0 0 0 

% 100% 63.16% 36.84% 0.00% 1.32% 44.74% 22.37% 6.58% 7.89% 11.84% 5.26% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

TOTAL 

# 381 230 151 9 6 161 81 26 40 31 22 0 0 2 0 1 2 

% 100% 60.37% 39.63% 2.36% 1.57% 42.26% 21.26% 6.82% 10.50% 8.14% 5.77% 0.00% 0.00% 0.52% 0.00% 0.26% 0.52% 

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% 

60 | EEO PROGRAM STATUS REPORT 
ATIONS CUP OR MAJOR OC TIONS F OMPETITIVE PROMO OR INTERNAL C Table A9: SELECTIONS F

Y RACE/ETHNICITY AND SEX B

TOTAL 

RACE/ETHNICITY 

Hispanic orLatino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

Native Hawaiianor Other PacificIslander 

American Indianor Alaska Native 

Two or more races 

All male female male female male female male female male female male female male female male female 

Job Series of Vacancy: General Attorney (0905)

Total Applications Received # 

310 189 121 4 4 162 81 12 17 7 19 0 0 4 0 0 0 

Qualified 

# 293 181 112 4 4 155 76 11 14 7 18 0 0 4 0 0 0 

% 100% 61.77% 38.23% 1.37% 1.37% 52.90% 25.94% 3.75% 4.78% 2.39% 6.14% 0.00% 0.00% 1.37% 0.00% 0.00% 0.00% 

Selected 

# 39 24 15 1 0 23 9 0 2 0 4 0 0 0 0 0 0 

% 100% 61.54% 38.46% 2.56% 0.00% 58.97% 23.08% 0.00% 5.13% 0.00% 10.26% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Relevant Applicant Pool % 100% 57.34% 42.66% 1.52% 1.59% 47.62% 31.36% 3.45% 3.86% 4.55% 5.65% 0.00% 0.07% 0.21% 0.07% 0.00% 0.07% 

Job Series of Vacancy: Accounting (0510)Total Applications Received # 

122 81 41 3 1 68 31 2 4 8 5 0 0 0 0 0 0 

Qualified 

# 110 70 40 2 1 60 30 1 4 7 5 0 0 0 0 0 0 

% 100% 63.64% 36.36% 1.82% 0.91% 54.55% 27.27% 0.91% 3.64% 6.36% 4.55% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Selected 

# 28 17 11 0 0 14 9 1 0 2 2 0 0 0 0 0 0 

% 100% 60.71% 39.29% 0.00% 0.00% 50.00% 32.14% 3.57% 0.00% 7.14% 7.14% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Relevant Applicant Pool % 100% 59.18% 40.82% 3.30% 2.53% 46.26% 25.85% 3.21% 5.25% 6.22% 7.00% 0.00% 0.00% 0.19% 0.10% 0.00% 0.10% 

FISCAL YEAR 2014 | 61
 

TIONSACUP OR MAJOR OC TIONS F OMPETITIVE PROMO OR INTERNAL C A9: SELECTIONS F able

Y RACE/ETHNICITY AND SEX Continued 

TB

TOTAL 

RACE/ETHNICITY 

Hispanic orLatino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

Native Hawaiianor Other PacificIslander 

American Indianor Alaska Native 

Two or more races 

All male female male female male female male female male female male female male female male female 

Job Series of Vacancy: Securities Compliance Examining (1831)Total Applications Received # 

78 54 24 4 1 42 18 4 4 4 1 0 0 0 0 0 0 

Qualified 

# 54 39 15 2 1 31 10 3 3 3 1 0 0 0 0 0 0 

% 100% 72.22% 27.78% 3.70% 1.85% 57.41% 18.52% 5.56% 5.56% 5.56% 1.85% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Selected 

# 14 13 1 1 0 12 1 0 0 0 0 0 0 0 0 0 

% 100% 92.86% 7.14% 7.14% 0.00% 85.71% 7.14% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Relevant Applicant Pool % 100% 77.78% 22.22% 4.44% 1.11% 64.44% 15.56% 2.22% 3.33% 6.67% 2.22% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Job Series of Vacancy: Economist (0110)

Total Applications Received # 

4 4 0 0 0 4 0 0 0 0 0 0 0 0 0 0 0 

Qualified 

# 2 2 0 0 0 2 0 0 0 0 0 0 0 0 0 0 0 

% 100% 100% 0.00% 0.00% 0.00% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Selected 

# 2 2 0 0 0 2 0 0 0 0 0 0 0 0 0 0 0 

% 100% 100% 0.00% 0.00% 0.00% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Relevant Applicant Pool % 100% 67.35% 32.65% 0.00% 2.04% 46.94% 14.29% 0.00% 2.04% 20.41% 14.29% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% "Relevant Applicant Pool" = all employees in the next lower pay grade and in all series that qualify them for the position announced. 

62 | EEO PROGRAM STATUS REPORT 
TRIBUTION BY TIME IN GRADE—DIS TIONS—

1421 

OMPETITIVE PROMO A10: NON-C Table

RACE/ETHNICITY AND SEX PAY PERIOD 20

Employment Tenure 

TOTAL 

RACE/ETHNICITY 

Hispanic orLatino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

Native Hawaiianor Other PacificIslander 

American Indianor 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 CareerLadder Promotions 

# 

309 178 131 6 7 137 60 16 43 17 20 0 0 2 0 0 1 

% 

100% 57.61% 42.39% 1.94% 2.27% 44.34% 19.42% 5.18% 13.92% 5.50% 6.47% 0.00% 0.00% 0.65% 0.00% 0.00% 0.32% 

Time in grade in excess of minimum1 - 12 months 

# 16 10 6 0 0 7 2 1 4 2 0 0 0 0 0 0 0 

% 100% 62.50% 37.50% 0.00% 0.00% 43.75% 12.50% 6.25% 25.00% 12.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

13 - 24 months 

# 12 6 6 0 1 3 2 3 2 0 1 0 0 0 0 0 0 

% 100% 50.00% 50.00% 0.00% 8.33% 25.00% 16.67% 25.00% 16.67% 0.00% 8.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

25+ months 

# 8 3 5 1 0 2 4 0 1 0 0 0 0 0 0 0 0 

% 

100% 37.50% 62.50% 12.50% 0.00% 25.00% 50.00% 0.00% 12.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

FISCAL YEAR 2014 | 63
 Y RACE/ETHNICITY AND SEX* 17) B 13 – SK- SITIONS (SK- OR SENIOR LEVEL PO A11: INTERNAL SELECTIONS F Table

TOTAL 

RACE/ETHNICITY 

Hispanic orLatino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

Native Hawaiianor Other PacificIslander 

AmericanIndian orAlaska Native 

Two or more races 

All male female male female male female male female male female male female male female male female 

Grade(s) of Vacancy: SK-13Total Applications Received 

# 33 10 23 2 0 4 2 3 19 0 2 0 0 1 0 0 0 

% 

100% 30.30% 69.70% 6.06% 0.00% 12.12% 6.06% 9.09% 57.58% 0.00% 6.06% 0.00% 0.00% 3.03% 0.00% 0.00% 0.00% 

Qualified # 21 7 14 1 0 2 1 3 11 0 2 0 0 1 0 0 0 % 100% 33.33% 66.67% 4.76% 0.00% 9.52% 4.76% 14.29% 52.38% 0.00% 9.52% 0.00% 0.00% 4.76% 0.00% 0.00% 0.00% 

Selected # 8 3 5 0 0 1 1 2 4 0 0 0 0 0 0 0 0 % 100% 37.50% 62.50% 0.00% 0.00% 12.50% 12.50% 25.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Relevant Applicant Pool 100% 32.59% 67.47% 0.45% 3.13% 21.43% 26.34% 7.59% 29.91% 2.23% 7.14% 0.00% 0.00% 0.89% 0.45% 0.00% 0.45% 

Grade(s) of Vacancy: SK-14Total Applications Received 

# 91 56 35 2 0 43 26 5 6 6 3 0 0 0 0 0 0 

% 100% 61.54% 38.46% 2.20% 0.00% 47.25% 28.57% 5.49% 6.59% 6.59% 3.30% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Qualified # 74 45 29 1 0 36 21 4 5 4 3 0 0 0 0 0 0 % 100% 60.81% 39.19% 1.35% 0.00% 48.65% 28.38% 5.41% 6.76% 5.41% 4.05% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Selected # 35 24 11 1 0 20 9 2 1 1 1 0 0 0 0 0 0 % 100% 68.57% 31.43% 2.86% 0.00% 57.14% 25.71% 5.71% 2.86% 2.86% 2.86% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Relevant Applicant Pool 100% 57.25% 42.75% 2.66% 1.69% 37.44% 19.08% 8.70% 16.18% 7.97% 5.31% 0.00% 0.00% 0.24% 0.24% 0.24% 0.24% 

Grade(s) of Vacancy: SK-16Total Applications Received 

# 215 125 90 4 5 91 55 11 13 16 17 0 0 3 0 0 0 

% 100% 58.14% 41.86% 1.86% 2.33% 42.33% 25.58% 5.12% 6.05% 7.44% 7.91% 0.00% 0.00% 1.40% 0.00% 0.00% 

Qualified # 199 116 83 4 4 84 51 10 12 15 16 0 0 3 0 0 0 % 100% 58.29% 41.71% 2.01% 2.01% 42.21% 25.63% 5.03% 6.03% 7.54% 8.04% 0.00% 0.00% 1.51% 0.00% 0.00% 0.00% 

Selected # 30 18 12 1 0 16 6 1 2 0 4 0 0 0 0 0 0 % 100% 60.00% 40.00% 3.33% 0.00% 53.33% 20.00% 3.33% 6.67% 0.00% 13.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Relevant Applicant Pool 100% 57.40% 42.60% 2.67% 2.36% 43.63% 27.41% 4.41% 6.11% 6.33% 6.42% 0.04% 0.00% 0.27% 0.09% 0.04% 0.22% 

Grade(s) of Vacancy: SK-15 & SK-17Total Applications Received 

# 316 215 101 8 4 165 62 14 24 27 11 1 0 0 0 0 0 

% 100% 68.04% 31.96% 2.53% 1.27% 52.22% 19.62% 4.43% 7.59% 8.54% 3.48% 0.32% 0.00% 0.00% 0.00% 0.00% 0.00% 

Qualified # 275 191 84 7 3 147 53 12 17 24 11 1 0 0 0 0 0 % 100% 69.45% 30.55% 2.55% 1.09% 53.45% 19.27% 4.36% 6.18% 8.73% 4.00% 0.36% 0.00% 0.00% 0.00% 0.00% 0.00% 

Selected # 35 22 13 0 0 19 8 2 3 1 2 0 0 0 0 0 0 % 100% 62.86% 37.14% 0.00% 0.00% 54.29% 22.86% 5.71% 8.57% 2.86% 5.71% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Relevant Applicant Pool 100% 58.10% 41.90% 2.45% 2.04% 44.87% 27.94% 4.11% 5.63% 6.34% 5.97% 0.04% 0.07% 0.26% 0.07% 0.04% 0.19% 

"Relevant Applicant Pool" = all employees in the next lower pay grade and in all series that qualify them for the position announced. *There were no internal vacancy announcements for Senior Officer

Positions in FY 2014. 

64 | EEO PROGRAM STATUS REPORT 
Y RACE/ETHNICITY AND SEX TRIBUTION B —DIS OPMENT ATION IN CAREER DEVEL TICIPAR A12: P Table

TOTAL 

RACE/ETHNICITY 

Hispanic orLatino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

Native Hawaiianor Other PacificIslander 

American Indianor 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 to SK-12Slots # 0 

Relevant Pool % Applied 

#% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Participants 

#% 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% 

Career Development Programs for SK-13 to SK-14Slots # 14 

Relevant Pool % Applied 

# 16 5 11 2 0 2 10 1 1 0 0 0 0 0 0 0 0 

% 100% 31.25% 68.75% 12.50% 0.00% 12.50% 62.50% 6.25% 6.25% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Participants 

# 10 2 8 1 0 1 7 0 1 0 0 0 0 0 0 0 0 

% 100% 20.00% 80.00% 10.00% 0.00% 10.00% 70.00% 0.00% 10.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Career Development Programs for SK-15, SK-17Slots # 19 

Relevant Pool % Applied 

# 15 2 13 0 0 2 11 0 1 0 2 0 0 0 0 0 0 

% 100% 13.33% 86.67% 0.00% 0.00% 13.33% 73.33% 0.00% 6.67% 0.00% 13.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Participants 

# 9 2 7 0 0 2 6 0 0 0 1 0 0 0 0 0 0 

% 100% 22.22% 77.78% 0.00% 0.00% 22.22% 66.67% 0.00% 0.00% 0.00% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

"Relevant Pool" includes all employees in pay grades eligible for the career development program. 

FISCAL YEAR 2014 | 65
 — CE/ETHNICITY AND SEX Y RA TRIBUTION B

30 14-09-

S—DIS

O 20

ARD

1 T

W OGNITION AND A

10-0 OR PERIOD 2013-

YEE REC

ORCE F

O

ORKF

able A13: EMPL T

PERMANENT W

Awards 

TOTAL 

RACE/ETHNICITY 

Hispanic or Latino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

Native Hawaiianor Other PacificIslander 

American Indianor 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 

# 1266 602 664 25 29 461 392 67 186 49 52 0 0 0 2 0 3 

% 100% 47.55% 52.45% 1.97% 2.29% 36.41% 30.96% 5.29% 14.69% 3.87% 4.11% 0.00% 0.00% 0.00% 0.16% 0.00% 0.24% 

Total Hours 8084 4037 4047 176 176 3085 2423 444 1094 332 326 0 0 0 12 0 16 

Average Hours 6 7 6 7 6 7 6 7 6 7 6 0 0 0 6 0 5 

Time-Off Awards: 9+ hours Total Time-Off Awards Given 

# 1724 823 901 29 40 659 577 58 156 72 124 0 1 5 2 0 1 

% 100% 47.74% 52.26% 1.68% 2.32% 38.23% 33.47% 3.36% 9.05% 4.18% 7.19% 0.00% 0.06% 0.29% 0.12% 0.00% 0.06% 

Total Hours 25868 15938 17335 568 752 12846 11267 1066 2780 1338 2448 0 16 120 48 0 24 

Average Hours 15 19 19 20 19 19 20 18 18 19 20 0 16 24 24 0 24 

Cash Awards: $100-$500Total Cash Awards Given 

# 1427 734 693 37 44 514 368 117 229 63 41 0 2 2 1 1 8 

% 100% 51.44% 48.56% 2.59% 3.08% 36.02% 25.79% 8.20% 16.05% 4.41% 2.87% 0.00% 0.14% 0.14% 0.07% 0.07% 0.56% 

Total Amount $563,269 $300,342 $262,927 $16,406 $15,380 $215,596 $146,572 $41,116 $77,951 $25,724 $18,074 $0 $1,000 $1,000 $500 $ 500 $ 3,450 

Average Amount $395 $409 $379 $443 $350 $419 $ 398 $351 $340 $408 $441 $0 $500 $500 $500 $500 $431 

Cash Awards: $501+Total Cash Awards Given 

# 5754 3189 2565 153 109 2575 1671 173 477 274 294 5 6 9 2 0 6 

% 100% 55.42% 44.58% 2.66% 1.89% 44.75% 29.04% 3.01% 8.29% 4.76% 5.11% 0.09% 0.10% 0.16% 0.03% 0.00% 0.10% 

Total Amount $8,685,827 $5,039,162 $3,646,665 $211,500 $136,452 $4,115,129 $2,483,468 $248,328 $631,885 $438,001 $375,896 $12,500 $9,564 $13,704 $1,400 $0 $8,000 

Average Amount $ 1,510 $ 1,580 $ 1,422 $ 1,382 $ 1,252 $ 1,598 $ 1,486 $ 1,435 $ 1,325 $ 1,599 $ 1,279 $ 2,500 $1,594 $1,523 $700 $0 $ 1,333 

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% 

66 | EEO PROGRAM STATUS REPORT 
— CE/ETHNICITY AND SEX Y RA TRIBUTION B

30 14-09-

TION—DIS

O 201 T10-0

ARA

13-

Y TYPE OF SEP

OR PERIOD 20 ORCE F

TIONS B

ORKF

ARA A14: SEP ableT

PERMANENT W

Type of Separation 

TOTAL 

RACE/ETHNICITY 

Hispanic orLatino 

Non-Hispanic or Latino 

White 

Black or African American Asian 

Native Hawaiianor Other PacificIslander 

American Indianor Alaska Native 

Two or more races 

All male female male female male female male female male female male female male female male female 

Voluntary 

# 215 123 92 5 2 91 58 17 21 9 11 0 0 1 0 0 0 

% 100% 57.21% 42.79% 2.33% 0.93% 42.33% 26.98% 7.91% 9.77% 4.19% 5.12% 0.00% 0.00% 0.47% 0.00% 0.00% 0.00% 

Involuntary 

# 7 1 6 1 0 0 3 0 2 0 1 0 0 0 0 0 0 

% 100% 14.29% 85.71% 14.29% 0.00% 0.00% 42.86% 0.00% 28.57% 0.00% 14.29% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Total Separations 

# 222 124 98 6 2 91 61 17 23 9 12 0 0 1 0 0 0 

% 100% 55.86% 44.14% 2.70% 0.90% 40.99% 27.48% 7.66% 10.36% 4.05% 5.41% 0.00% 0.00% 0.45% 0.00% 0.00% 0.00% 

Total Workforce 

# 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% 

FISCAL YEAR 2014 | 67
 

ORM 256 SELF— OPM F ABILITY [

1421 

Y DIS

O 20

TRIBUTION B

1321 T Y PERIOD 20

ORCE—DIS

A

ORKF

ODES] P

TAL WO

TION C

 B1: TTable

IDENTIFICA

Employment Tenure TOTAL 

Total by Disability Status Detail for Targeted Disabilities 

[05] NoDisability 

[01] NotIdentified 

[06-94]Disability 

Targeted Disability 

[16, 17]Deafness 

[23, 25]Blindness 

[28,32-38]MissingLimbs 

[64-68]PartialParalysis 

[71-78]Total Paralysis 

[82]ConvulsiveDisorder 

[90] MentalRetardation 

[91]MentalIllness 

[92]Distortionof Limb/Spine 

TOTALPrior FY 

# 4,138 3,732 195 211 41 8 5 2 3 3 7 1 11 1 % 100% 90.19% 4.71% 5.10% 0.99% 0.19% 0.12% 0.05% 0.07% 0.07% 0.17% 0.02% 0.27% 0.02% 

Current FY 

# 4,235 3,826 205 204 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% 

Difference Ratio Change 

# 97 94 10 -7 -1 -1 -1 0 0 0 -1 0 2 0 % 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 

Net Change % 2.34% 2.52% 5.13% -3.32% -2.44% -12.50% -20.00% 0.00% 0.00% 0.00% -14.29% 0.00% 18.18% 0.00% 

Federal High % 2.23% 

PERMANENTPrior FY 

# 3,982 3,593 185 204 39 8 5 2 3 3 5 1 11 1 

% 100% 90.23% 4.65% 5.12% 0.98% 0.20% 0.13% 0.05% 0.08% 0.08% 0.13% 0.03% 0.28% 0.03% 

Current 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% 

Difference 

Ratio Change 

# 115 109 9 -3 0 -1 -1 0 0 0 0 0 2 0 

% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 

Net Change % 2.89% 3.03% 4.86% -1.47% 0.00% -12.50% -20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 18.18% 0.00% 

TEMPORARYPrior FY 

# 156 139 10 7 2 0 0 0 0 0 2 0 0 0 

% 100% 89.10% 6.41% 4.49% 1.28% 0.00% 0.00% 0.00% 0.00% 0.00% 1.28% 0.00% 0.00% 0.00% 

Current 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% 

Difference 

Ratio Change 

# -18 -15 1 -4 -1 0 0 0 0 0 -1 0 0 0 

% 0% 1% 2% -2% -1% 0% 0% 0% 0% 0% -1% 0% 0% 0% 

Net Change % -11.54% -10.79% 10.00% -57.14% -50.00% 0.00% 0.00% 0.00% 0.00% 0.00% -50.00% 0.00% 0.00% 0.00% 

68 | EEO PROGRAM STATUS REPORT 
— ABILITY Y DIS TRIBUTION B TEGORIES—DIS

1421 

TIONAL CA ACUP1: OC B3-able T

PERMANENT EMPLOYEES PAY PERIOD 20

Occupational Category TOTAL 

Total by Disability Status Detail for Targeted Disabilities 

[05] NoDisability 

[01] NotIdentified 

[06-94]Disability 

Targeted Disability 

[16, 17]Deafness 

[23, 25]Blindness 

[28,32-38]MissingLimbs 

[64-68]PartialParalysis 

[71-78]Total Paralysis 

[82]ConvulsiveDisorder 

[90] MentalRetardation 

[91]MentalIllness 

[92]Distortionof Limb/Spine 

Executive/Senior Level # 137 117 15 5 1 0 0 0 0 1 0 0 0 0 

% 100% 85.40% 10.95% 3.65% 0.73% 0.00% 0.00% 0.00% 0.00% 0.73% 0.00% 0.00% 0.00% 0.00% 

Mid-level 

# 364 341 12 11 1 0 0 0 0 0 0 0 0 1 

% 100% 93.68% 3.30% 3.02% 0.27% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.27% 

First-Level # 334 313 8 13 2 0 0 1 0 0 0 0 1 0 

% 100% 93.71% 2.40% 3.89% 0.60% 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 

# 840 776 35 29 4 0 0 1 0 1 0 0 1 1 

% 100% 92.38% 4.17% 3.45% 0.48% 0.00% 0.00% 0.12% 0.00% 0.12% 0.00% 0.00% 0.12% 0.12% 

Professionals—ProgramWork 

# 2261 2080 100 81 16 0 3 1 1 2 4 0 5 0 

% 100% 91.99% 4.42% 3.58% 0.71% 0.00% 0.13% 0.04% 0.04% 0.09% 0.18% 0.00% 0.22% 0.00% 

Professionals—Business/Financial Administration 

# 845 724 51 70 14 4 1 0 2 0 1 0 6 0 

% 100% 85.68% 6.04% 8.28% 1.66% 0.47% 0.12% 0.00% 0.24% 0.00% 0.12% 0.00% 0.71% 0.00% 

Administrative SupportWorkers 

# 151 122 8 21 5 3 0 0 0 0 0 1 1 0 

% 100% 80.79% 5.30% 13.91% 3.31% 1.99% 0.00% 0.00% 0.00% 0.00% 0.00% 0.66% 0.66% 0.00% 

FISCAL YEAR 2014 | 69
 

TUS A ABILITY ST Y DIS TRIBUTION B TEGORIES—DIS ATIONAL CA CUP B3-2: OC Table

Occupational Category TOTAL 

Total by Disability Status Detail for Targeted Disabilities 

[05] NoDisability 

[01] NotIdentified 

[06-94]Disability 

Targeted Disability 

[16, 17]Deafness 

[23, 25]Blindness 

[28,32-38]MissingLimbs 

[64-68]PartialParalysis 

[71-78]Total Paralysis 

[82]ConvulsiveDisorder 

[90] MentalRetardation 

[91]MentalIllness 

[92]Distortionof Limb/Spine 

Executive/Senior Level # 137 117 15 5 1 0 0 0 0 1 0 0 0 0 

% 3.34% 3.16% 7.73% 2.49% 2.56% 0.00% 0.00% 0.00% 0.00% 33.33% 0.00% 0.00% 0.00% 0.00% 

Mid-level 

# 364 341 12 11 1 0 0 0 0 0 0 0 0 1 

% 8.88% 9.21% 6.19% 5.47% 2.56% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 100.00% 

First-Level # 334 313 8 13 2 0 0 1 0 0 0 0 1 0 

% 8.15% 8.45% 4.12% 6.47% 5.13% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 7.69% 0.00% 

Other 

# 5 5 0 0 0 0 0 0 0 0 0 0 0 0 

% 0.12% 0.14% 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 ManagersTOTAL 

# 840 776 35 29 4 0 0 1 0 1 0 0 1 1 

% 20.50% 20.96% 18.04% 14.43% 10.26% 0.00% 0.00% 50.00% 0.00% 33.33% 0.00% 0.00% 7.69% 100.00% 

Professionals—Program Work 

# 2261 2080 100 81 16 0 3 1 1 2 4 0 5 0 

% 55.19% 56.19% 51.55% 40.30% 41.03% 0.00% 75.00% 50.00% 33.33% 66.67% 80.00% 0.00% 38.46% 0.00% 

Professionals—Business/Financial Administration 

# 845 724 51 70 14 4 1 0 2 0 1 0 6 0 

% 20.62% 19.56% 26.29% 34.83% 35.90% 57.14% 25.00% 0.00% 66.67% 0.00% 20.00% 0.00% 46.15% 0.00% 

Administrative SupportWorkers 

# 151 122 8 21 5 3 0 0 0 0 0 1 1 0 

% 3.69% 3.30% 4.12% 10.45% 12.82% 42.86% 0.00% 0.00% 0.00% 0.00% 0.00% 100.00% 7.69% 0.00% 

TOTAL WORKFORCE 

# 4,097 3,702 194 201 39 7 4 2 3 3 5 1 13 1 

% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 

NOTE: Percentages computed down columns and NOT across rows. 

70 | EEO PROGRAM STATUS REPORT 
1421 Y PERIOD 20 AORCE P ORKF —PERMANENT W ABILITY Y DIS OR SK GRADES B TES F TION RAATICIPAR1: PB4- able T

SK, SO, and RelatedGrades TOTAL 

Total by Disability Status Detail for Targeted Disabilities 

[05] NoDisability 

[01] NotIdentified 

[06-94]Disability 

Targeted Disability 

[16, 17]Deafness 

[23, 25]Blindness 

[28,32-38]MissingLimbs 

[64-68]PartialParalysis 

[71-78]Total Paralysis 

[82]ConvulsiveDisorder 

[90] MentalRetardation 

[91]MentalIllness 

[92]Distortion ofLimb/Spine 

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 # 5 2 1 2 0 0 0 0 0 0 0 0 0 0 % 100% 40.00% 20.00% 40.00% 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 # 15 10 0 5 2 2 0 0 0 0 0 0 0 0 % 100% 66.67% 0.00% 33.33% 13.33% 13.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-07 # 91 74 6 11 2 0 0 0 0 0 0 1 1 0 % 100% 81.32% 6.59% 12.09% 2.20% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 1.10% 1.10% 0.00% 

SK-08 # 28 26 2 0 0 0 0 0 0 0 0 0 0 0 % 100% 92.86% 7.14% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-09 # 60 46 8 6 4 1 0 0 1 0 0 0 2 0 % 100% 76.67% 13.33% 10.00% 6.67% 1.67% 0.00% 0.00% 1.67% 0.00% 0.00% 0.00% 3.33% 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 # 134 113 7 14 2 0 0 0 1 1 0 0 0 0 % 100% 84.33% 5.22% 10.45% 1.49% 0.00% 0.00% 0.00% 0.75% 0.75% 0.00% 0.00% 0.00% 0.00% 

SK-12 # 222 192 10 20 5 2 0 0 0 0 0 0 3 0 % 100% 86.49% 4.50% 9.01% 2.25% 0.90% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 1.35% 0.00% 

SK-13 # 407 370 16 21 2 0 1 0 0 0 1 0 0 0 % 100% 90.91% 3.93% 5.16% 0.49% 0.00% 0.25% 0.00% 0.00% 0.00% 0.25% 0.00% 0.00% 0.00% 

SK-14 # 1861 1691 92 78 13 0 3 1 1 1 1 0 6 0 % 100% 90.87% 4.94% 4.19% 0.70% 0.00% 0.16% 0.05% 0.05% 0.05% 0.05% 0.00% 0.32% 0.00% 

SK-15 # 334 313 8 13 2 0 0 1 0 0 0 0 1 0 % 100% 93.71% 2.40% 3.89% 0.60% 0.00% 0.00% 0.30% 0.00% 0.00% 0.00% 0.00% 0.30% 0.00% 

SK-16 # 427 399 17 11 3 0 0 0 0 0 3 0 0 0 % 100% 93.44% 3.98% 2.58% 0.70% 0.00% 0.00% 0.00% 0.00% 0.00% 0.70% 0.00% 0.00% 0.00% 

SK-17 # 364 341 12 11 1 0 0 0 0 0 0 0 0 1 % 100% 93.68% 3.30% 3.02% 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 # 137 117 15 5 1 0 0 0 0 1 0 0 0 0 

% 100% 85.40% 10.95% 3.65% 0.73% 0.00% 0.00% 0.00% 0.00% 0.73% 0.00% 0.00% 0.00% 0.00% 

Total Workforce # 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% 

FISCAL YEAR 2014 | 71
 

1421 Y PERIOD 20 AORCE P ORKFY W TEMPORAR —ABILITY Y DIS OR SK GRADES B TES F TION RAATICIPAR1: P B4-ableT

SK, SO, andRelated Grades TOTAL 

Total by Disability Status Detail for Targeted Disabilities 

[05] NoDisability 

[01] NotIdentified 

[06-94]Disability 

Targeted Disability 

[16, 17]Deafness 

[23, 25]Blindness 

[28,32-38]MissingLimbs 

[64-68]PartialParalysis 

[71-78]Total Paralysis 

[82]ConvulsiveDisorder 

[90] MentalRetardation 

[91]MentalIllness 

[92]Distortion ofLimb/Spine 

SK-03 # 6 5 1 0 0 0 0 0 0 0 0 0 0 0 % 100% 83.33% 16.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-04 # 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% 

SK-05 # 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-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 # 2 2 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% 

SK-08 # 1 1 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% 

SK-09 # 5 4 1 0 0 0 0 0 0 0 0 0 0 0 % 100% 80.00% 20.00% 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% 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 # 11 9 0 2 1 0 0 0 0 0 1 0 0 0 % 100% 81.82% 0.00% 18.18% 9.09% 0.00% 0.00% 0.00% 0.00% 0.00% 9.09% 0.00% 0.00% 0.00% 

SK-12 # 2 2 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% 

SK-13 # 7 5 2 0 0 0 0 0 0 0 0 0 0 0 % 100% 71.43% 28.57% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-14 # 49 49 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% 

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 # 28 25 3 0 0 0 0 0 0 0 0 0 0 0 % 100% 89.29% 10.71% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-17 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 % 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 # 3 3 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% 

SeniorOfficer, EX 

# 7 5 2 0 0 0 0 0 0 0 0 0 0 0 

% 100% 71.43% 28.57% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Total # 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% 

72 | EEO PROGRAM STATUS REPORT 
ORCE ORKF —PERMANENT W ABILITY Y DIS OR SK GRADES B TES F TION RAA

1421 

TICIPAR B4-2: P

AY PERIOD 20

able

OR P

TF

SK, SO, and RelatedGrades TOTAL 

Total by Disability Status Detail for Targeted Disabilities 

[05] NoDisability 

[01] NotIdentified 

[06-94]Disability 

Targeted Disability 

[16, 17]Deafness 

[23, 25]Blindness 

[28, 32-38]MissingLimbs 

[64-68]PartialParalysis 

[71-78]Total Paralysis 

[82]ConvulsiveDisorder 

[90] MentalRetardation 

[91] MentalIllness 

[92]Distortionof Limb/Spine 

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 # 5 2 1 2 0 0 0 0 0 0 0 0 0 0 

% 0.12% 0.05% 0.52% 1.00% 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 

% 0.12% 0.05% 0.00% 1.49% 2.56% 14.29% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-06 # 15 10 0 5 2 2 0 0 0 0 0 0 0 0 

% 0.37% 0.27% 0.00% 2.49% 5.13% 28.57% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-07 # 91 74 6 11 2 0 0 0 0 0 0 1 1 0 

% 2.22% 2.00% 3.09% 5.47% 5.13% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 100.00% 7.69% 0.00% 

SK-08 # 28 26 2 0 0 0 0 0 0 0 0 0 0 0 

% 0.68% 0.70% 1.03% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-09 # 60 46 8 6 4 1 0 0 1 0 0 0 2 0 

% 1.46% 1.24% 4.12% 2.99% 10.26% 14.29% 0.00% 0.00% 33.33% 0.00% 0.00% 0.00% 15.38% 0.00% 

SK-10 # 2 1 0 1 1 1 0 0 0 0 0 0 0 0 

% 0.05% 0.03% 0.00% 0.50% 2.56% 14.29% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-11 # 134 113 7 14 2 0 0 0 1 1 0 0 0 0 

% 3.27% 3.05% 3.61% 6.97% 5.13% 0.00% 0.00% 0.00% 33.33% 33.33% 0.00% 0.00% 0.00% 0.00% 

SK-12 # 222 192 10 20 5 2 0 0 0 0 0 0 3 0 

% 5.42% 5.19% 5.15% 9.95% 12.82% 28.57% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 23.08% 0.00% 

SK-13 # 407 370 16 21 2 0 1 0 0 0 1 0 0 0 

% 9.93% 9.99% 8.25% 10.45% 5.13% 0.00% 25.00% 0.00% 0.00% 0.00% 20.00% 0.00% 0.00% 0.00% 

SK-14 # 1861 1691 92 78 13 0 3 1 1 1 1 0 6 0 

% 45.42% 45.68% 47.42% 38.81% 33.33% 0.00% 75.00% 50.00% 33.33% 33.33% 20.00% 0.00% 46.15% 0.00% 

SK-15 # 334 313 8 13 2 0 0 1 0 0 0 0 1 0 

% 8.15% 8.45% 4.12% 6.47% 5.13% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 7.69% 0.00% 

SK-16 # 427 399 17 11 3 0 0 0 0 0 3 0 0 0 

% 10.42% 10.78% 8.76% 5.47% 7.69% 0.00% 0.00% 0.00% 0.00% 0.00% 60.00% 0.00% 0.00% 0.00% 

SK-17 # 364 341 12 11 1 0 0 0 0 0 0 0 0 1 

% 8.88% 9.21% 6.19% 5.47% 2.56% 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% 0.14% 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 # 137 117 15 5 1 0 0 0 0 1 0 0 0 0 % 3.34% 3.16% 7.73% 2.49% 2.56% 0.00% 0.00% 0.00% 0.00% 33.33% 0.00% 0.00% 0.00% 0.00% 

Total Workforce # 4097 3702 194 201 39 7 4 2 3 3 5 1 13 1 % 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 

NOTE: Percentages computed down columns and NOT across rows. 

FISCAL YEAR 2014 | 73
 

ORCE ORKFY W TEMPORAR —ABILITY Y DIS OR SK GRADES B TES F TION RAA

1421 

TICIPAR B4-2: P

AY PERIOD 20

able

OR P

TF

74 | EEO PROGRAM STATUS REPORT SK, SO, and Related Grades TOTAL Total by Disability Status Detail for Targeted Disabilities [05] No Disability [01] Not Identified [06-94] Disability Targeted Disability [16, 17] Deafness [23, 25] Blindness [28, 32-38] Missing Limbs [64-68] Partial Paralysis [71-78] Total Paralysis [82] Convulsive Disorder [90] Mental Retardation [91] Mental Illness [92] Distortion of Limb/ Spine SK-03 # 6 5 1 0 0 0 0 0 0 0 0 0 0 0 % 4.35% 4.03% 9.09% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% SK-04 # 11 9 2 0 0 0 0 0 0 0 0 0 0 0 % 7.97% 7.26% 18.18% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% SK-05 # 4 3 0 1 0 0 0 0 0 0 0 0 0 0 % 2.90% 2.42% 0.00% 33.33% 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 # 2 2 0 0 0 0 0 0 0 0 0 0 0 0 % 1.45% 1.61% 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 # 1 1 0 0 0 0 0 0 0 0 0 0 0 0 % 0.72% 0.81% 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 # 5 4 1 0 0 0 0 0 0 0 0 0 0 0 

% 3.62% 3.23% 9.09% 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 

% 1.45% 1.61% 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 # 11 9 0 2 1 0 0 0 0 0 1 0 0 0 

% 7.97% 7.26% 0.00% 66.67% 100.00% 0.00% 0.00% 0.00% 0.00% 0.00% 100.00% 0.00% 0.00% 0.00% 

SK-12 # 2 2 0 0 0 0 0 0 0 0 0 0 0 0 

% 1.45% 1.61% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-13 # 7 5 2 0 0 0 0 0 0 0 0 0 0 0 

% 5.07% 4.03% 18.18% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-14 # 49 49 0 0 0 0 0 0 0 0 0 0 0 0 

% 35.51% 39.52% 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-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 # 28 25 3 0 0 0 0 0 0 0 0 0 0 0 

% 20.29% 20.16% 27.27% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

SK-17 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 

% 0.00% 0.00% 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 # 3 3 0 0 0 0 0 0 0 0 0 0 0 0 % 2.17% 2.42% 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 

# 7 5 2 0 0 0 0 0 0 0 0 0 0 0 

% 5.07% 4.03% 18.18% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Total Workforce # 138 124 11 3 1 0 0 0 0 0 1 0 0 0 % 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 

NOTE: Percentages computed down columns and NOT across rows. 
— ABILITY Y DIS TRIBUTION B TIONS—DIS ACUP OR MAJOR OC

1421 

TES F TION RA

ORCE PAY PERIOD 20

A

ORKF

TICIPAR B6: PableT

PERMANENT W

SK, SO, and RelatedGrades TOTAL 

Total by Disability Status Detail for Targeted Disabilities

[05] NoDisability 

[01] NotIdentified 

[06-94]Disability 

Targeted Disability 

[16, 17]Deafness 

[23, 25]Blindness 

[28, 32-38]MissingLimbs 

[64-68]PartialParalysis 

[71-78]Total Paralysis 

[82]ConvulsiveDisorder 

[90] MentalRetardation 

[91]MentalIllness 

[92]Distortion ofLimb/Spine 

0110 Economist # 61 56 5 0 0 0 0 0 0 0 0 0 0 0 

% 100% 91.80% 8.20% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

0510 Accountant # 941 874 28 39 6 0 0 1 0 0 2 0 3 0 

% 100% 92.88% 2.98% 4.14% 0.64% 0.00% 0.00% 0.11% 0.00% 0.00% 0.21% 0.00% 0.32% 0.00% 

0905 GeneralAttorney 

# 1762 1,618 86 58 13 0 3 1 1 3 2 0 3 0 

% 100% 91.83% 4.88% 3.29% 0.74% 0.00% 0.17% 0.06% 0.06% 0.17% 0.11% 0.00% 0.17% 0.00% 

1831 SecuritiesComplianceExamining 

# 176 164 8 4 1 0 0 0 0 0 0 0 0 1 

% 100% 93.18% 4.55% 2.27% 0.57% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.57% 

FISCAL YEAR 2014 | 75
 

— ABILITY Y DIS TRIBUTION B TIONS—DIS ACUP OR MAJOR OC

1421 

TES F

Y PERIOD 20 AORCE P

ATION RA

ORKF

TICIP AR B6: PableT

Y W TEMPORAR

SK, SO, and RelatedGrades TOTAL 

Total by Disability Status Detail for Targeted Disabilities

[05] NoDisability 

[01] NotIdentified 

[06-94]Disability 

Targeted Disability 

[16, 17]Deafness 

[23, 25]Blindness 

[28, 32-38]MissingLimbs 

[64-68]PartialParalysis 

[71-78]Total Paralysis 

[82]ConvulsiveDisorder 

[90] MentalRetardation 

[91]MentalIllness 

[92]Distortion ofLimb/Spine 

0110 Economist # 24 24 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% 

0510Accountant 

# 16 16 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% 

0905 GeneralAttorney 

# 19 17 2 0 0 0 0 0 0 0 0 0 0 0 

% 100% 89.47% 10.53% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

1831 SecuritiesCompliance

Examining 

# 2 1 1 0 0 0 0 0 0 0 0 0 0 0 

% 100% 50.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

76 | EEO PROGRAM STATUS REPORT 
14) ATES IN FY 20 OSING D CL ABILITY ( Y DIS TIONS AND HIRES B B7: APPLICA Table

TOTAL 

Total by Disability Status Detail for Targeted Disabilities 

NoDisability[05] 

NotIdentified[01] 

Disability[06-94] 

Targeted Disability 

Hearing[16/17 or18] 

Vision [23/25 or21] 

MissingExtremities[28, 32-38or 30] 

PartialParalysis[64-68 or69] 

CompleteParalysis[71-78 or79] 

Total Paralysis[64-68 &71-78 or69/79] 

Epilepsy[82] 

SevereIntellectualDisability[90] 

PsychiatricDisability[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 

# 4 0 0 4 2 0 1 0 0 0 0 0 0 1 0 

% 0.00% 0.00% 100% 50.00% 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 

# 379 275 0 104 26 9 3 0 3 2 0 15 0 

% 72.56% 0.00% 27.44% 6.86% 2.37% 0.79% 0.00% 0.00% 0.00% 0.79% 0.53% 0.00% 3.96% 0.00%

 Hires 

# 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% 

Note: This table contains data for the 3-month period July-September 2014, and contains both permanent and temporary positions. 

FISCAL YEAR 2014 | 77
 

ABILITY Y DIS TRIBUTION B —DIS Y TYPE OF APPOINTMENT

30 14-09- O 20

 B8: NEW HIRES B

1 T10-0

ableT

FOR PERIOD 2013-

Type of Appointment TOTAL 

Total by Disability Status Detail for Targeted Disabilities 

(05) NoDisability 

(01) NotIdentified 

(06-94)Disability 

Targeted Disability 

(16, 17)Deafness 

(23, 25)Blindness 

(28, 32-38)MissingLimbs 

(64-68)PartialParalysis 

(71-78)Total Paralysis 

(82)ConvulsiveDisorder 

(90) MentalRetardation 

(91)MentalIllness 

(92)Distortionof Limb/Spine 

Permanent 

# 305 270 24 11 2 0 1 0 0 0 0 0 1 0 

% 100% 88.52% 7.87% 3.61% 0.66% 0.00% 0.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.33% 0.00% 

Temporary 

# 76 66 8 2 0 0 0 0 0 0 0 0 0 0 

% 100% 86.84% 10.53% 2.63% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Total 

# 381 336 32 13 2 0 1 0 0 0 0 0 1 0 

% 100% 88.19% 8.40% 3.41% 0.52% 0.00% 0.26% 0.00% 0.00% 0.00% 0.00% 0.00% 0.26% 0.00% 

78 | EEO PROGRAM STATUS REPORT 
ABILITY Y DIS ATIONS B CUP OR MAJOR OC TIONS F OMPETITIVE PROMO OR INTERNAL C B9: SELECTIONS F Table

TOTAL 

Total by Disability Status Detail for Targeted Disabilities

NoDisability[05] 

NotIdentified[01] 

Disability[06-94] 

Targeted Disability 

Hearing[16/17 or18] 

Vision [23/25 or21] 

MissingExtremities[28, 32-38or 30] 

PartialParalysis[64-68 or69] 

CompleteParalysis[71-78 or79] 

Epilepsy[82] 

SevereIntellectualDisability[90] 

PsychiatricDisability[91] 

Dwarfism[92] 

Job Series: General Attorney (0905)Total Applications Received # 310 273 19 15 3 0 0 1 1 0 0 0 1 0 % 100% 88.06% 6.13% 4.84% 0.97% 0.00% 0.00% 0.32% 0.32% 0.00% 0.00% 0.00% 0.32% 0.00% 

Qualified # 293 259 18 14 2 0 0 0 1 0 0 0 1 0 % 100% 88.40% 6.14% 4.78% 0.68% 0.00% 0.00% 0.00% 0.34% 0.00% 0.00% 0.00% 0.34% 0.00%

 Selected # 39 37 2 0 0 0 0 0 0 0 0 0 0 0 % 100% 94.87% 5.13% 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% 91.80% 4.76% 3.45% 0.83% 0.00% 0.21% 0.07% 0.07% 0.14% 0.14% 0.00% 0.21% 0.00% 

Job Series: Accounting (0510)Total Applications Received # 122 114 3 4 0 0 0 0 0 0 0 0 0 0 % 100% 93.44% 2.46% 3.28% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Qualified # 110 104 3 2 0 0 0 0 0 0 0 0 0 0 % 100% 94.55% 2.73% 1.82% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

 Selected # 28 26 1 1 0 0 0 0 0 0 0 0 0 0 % 100% 92.86% 3.57% 3.57% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Relevant Applicant Pool % 100% 93.10% 3.11% 3.21% 0.58% 0.00% 0.00% 0.10% 0.00% 0.00% 0.19% 0.00% 0.29% 0.00% 

Job Series: Securities Compliance Examining (1831)Total Applications Received # 78 74 3 1 0 0 0 0 0 0 0 0 0 0 % 100% 94.87% 3.85% 1.28% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Qualified # 54 52 1 1 0 0 0 0 0 0 0 0 0 0 % 100% 96.30% 1.85% 1.85% 0.00% 0.00% 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% 100.00% 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% 93.33% 4.44% 2.22% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Job Series: Economist (0110)Total Applications Received # 4 4 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% 

Qualified # 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%

 Selected # 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% 

Relevant Applicant Pool % 100% 93.88% 6.12% 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" = all employees in the next lower pay grade and in all series that qualify them for the position announced. 

FISCAL YEAR 2014 | 79
 

1421 AY PERIOD 20 OR P ABILITY F Y DIS TIME IN GRADE B TIONS— OMPETITIVE PROMO B10: NON-C Table 

TOTAL 

Total by Disability Status Detail for Targeted Disabilities 

(05) NoDisability 

(01) NotIdentified 

(06-94)Disability 

Targeted Disability 

(16, 17)Deafness 

(23, 25)Blindness 

(28,32-38)MissingLimbs 

(64-68)PartialParalysis 

(71-78)Total Paralysis 

(82)ConvulsiveDisorder 

(90) MentalRetardation 

(91)MentalIllness 

(92)Distortionof Limb/Spine 

Total Employees in Career Ladder 

# 309 281 17 11 5 – 1 - 1 1 - - 2 -

% 90.94% 5.50% 3.56% 1.62% 0.00% 0.32% 0.00% 0.32% 0.32% 0.00% 0.00% 0.65% 0.00% 

Time in Grade in excess of minimum

1-12 months 

# 16 13 2 1 1 0 0 0 0 1 0 0 0 0 

% 81.25% 12.50% 6.25% 6.25% 0.00% 0.00% 0.00% 0.00% 6.25% 0.00% 0.00% 0.00% 0.00% 

13-24 months 

# 12 11 0 1 1 0 0 0 1 0 0 0 0 0 

% 91.67% 0.00% 8.33% 8.33% 0.00% 0.00% 0.00% 8.33% 0.00% 0.00% 0.00% 0.00% 0.00% 

25+ months 

# 8 7 1 0 0 0 0 0 0 0 0 0 0 0 

% 87.50% 12.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

80 | EEO PROGRAM STATUS REPORT 
ABILITY* Y DIS SITIONS B 17) PO O SK-13 T OR SENIOR LEVEL (SK- B11: INTERNAL SELECTIONS F Table

TOTAL 

Total by Disability Status Detail for Targeted Disabilities

NoDisability[05] 

NotIdentified[01] 

Disability[06-94] 

Targeted Disability 

Hearing[16/17 or18] 

Vision [23/25or 21] 

MissingExtremities[28, 32-38or 30] 

PartialParalysis[64-68 or69] 

CompleteParalysis[71-78 or79] 

Epilepsy[82] 

SevereIntellectualDisability[90] 

PsychiatricDisability[91] 

Dwarfism[92] 

Grade(s) of Vacancy: SK-13Relevant Pool 100% 86.61% 4.46% 6.70% 2.23% 0.89% 0.0% 0.00% 0.00% 0.00% 0.00% 0.00% 1.34% 0.00% Total Applications Received 

# 33 31 1 0 0 0 0 0 0 0 0 0 0 0 

% 100% 93.94% 3.03% 0.00% 0.00% 0.00% 0.0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Qualified 

# 21 20 0 0 0 0 0 0 0 0 0 0 0 0 

% 100% 95.24% 0.00% 0.00% 0.00% 0.00% 0.0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

 Selected 

# 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% 0.0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Job Series/Grade(s) of Vacancy: SK-14Relevant Pool 100% 90.58% 4.35% 4.59% 0.48% 0.00% 0.2% 0.00% 0.00% 0.00% 0.24% 0.00% 0.00% 0.00% 

Total Applications 

Received 

# 91 84 2 4 0 0 0 0 0 0 0 0 0 0 

% 100% 92.31% 2.20% 4.40% 0.00% 0.00% 0.0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Qualified 

# 74 70 2 1 0 0 0 0 0 0 0 0 0 0 

% 100% 94.59% 2.70% 1.35% 0.00% 0.00% 0.0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

 Selected 

# 35 32 1 1 0 0 0 0 0 0 0 0 0 0 

% 100% 91.43% 2.86% 2.86% 0.00% 0.00% 0.0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

Job Series/Grade(s) of Vacancy: SK-16Relevant Pool 100% 91.49% 4.46% 3.39% 0.67% 0.00% 0.1% 0.09% 0.04% 0.04% 0.04% 0.00% 0.31% 0.00% 

Total Applications Received 

# 215 194 12 7 0 0 0 0 0 0 0 0 0 0 

% 100% 90.23% 5.58% 3.26% 0.00% 0.00% 0.0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.0% 

Qualified 

# 199 180 11 7 0 0 0 0 0 0 0 0 0 0 

% 100% 90.45% 5.53% 3.52% 0.00% 0.00% 0.0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.0%

 Selected 

# 30 28 2 0 0 0 0 0 0 0 0 0 0 0 

% 100% 93.33% 6.67% 0.00% 0.00% 0.00% 0.0% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.0% 

FISCAL YEAR 2014 | 81
 

ontinued ABILITY* 

C Y DIS SITIONS B 17) PO O SK-13 T OR SENIOR LEVEL (SK- Table B11: INTERNAL SELECTIONS F

TOTAL 

Total by Disability Status Detail for Targeted Disabilities

NoDisability[05] 

NotIdentified[01] 

Disability[06-94] 

Targeted Disability 

Hearing[16/17 or18] 

Vision [23/25or 21] 

MissingExtremities[28, 32-38or 30] 

PartialParalysis[64-68 or69] 

CompleteParalysis[71-78 or79] 

Epilepsy[82] 

SevereIntellectualDisability[90] 

PsychiatricDisability[91] 

Dwarfism[92] 

Job Series/Grade(s) of Vacancy: SK-15 & SK-17Relevant Pool 100% 91.77% 4.45% 3.11% 0.67% 0.00% 0.11% 0.07% 0.04% 0.04% 0.15% 0.00% 0.26% 0.00% 

Total Applications Received 

# 316 277 16 21 3 0 0 1 1 0 0 0 1 0 

% 100% 87.66% 5.06% 6.65% 0.95% 0.00% 0.00% 0.32% 0.32% 0.00% 0.00% 0.00% 0.32% 0.00% 

Qualified 

# 275 241 14 18 2 0 0 0 1 0 0 0 1 0 

% 100% 87.64% 5.09% 6.55% 0.73% 0.00% 0.00% 0.00% 0.36% 0.00% 0.00% 0.00% 0.36% 0.00%

 Selected 

# 35 33 1 1 0 0 0 0 0 0 0 0 0 0 

% 100% 94.29% 2.86% 2.86% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 

"Relevant Applicant Pool"= all employees in the next lower pay grade and in all series that qualify for the position announced. *There were no internal vacancy announcements for Senior Officer Positions in FY 2014. 

82 | EEO PROGRAM STATUS REPORT 
ABILITY
 Y DIS TRIBUTION B —DIS OPMENT ATION IN CAREER DEVEL TICIPAR TABLE B12: P

Total by Disability Status Detail for Targeted Disabilities 

TOTAL 

(05) NoDisability 

(01) NotIdentified 

(06-94)Disability 

Targeted Disability 

(16, 17)Deafness 

(23, 25)Blindness 

(28, 32-38)MissingLimbs 

(64-68)PartialParalysis 

(71-78)Total Paralysis 

(82)ConvulsiveDisorder 

(90) MentalRetardation 

(91)MentalIllness 

(92)Distortionof Limb/Spine 

Career Development Programs for SK-5 to SK-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 

#

% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

 Participants 

#

% 0.00% 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 to SK-14Slots # 14

 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 

# 16 16 

% 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 

# 10 10 

% 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-15, SK-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 

# 15 15 

% 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 

% 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 Pool" includes all employees in pay grades eligible for the career development program. 

FISCAL YEAR 2014 | 83
 

ABILITY Y DIS TRIBUTION B S—DIS ARD OGNITION AND AW

30 14-09- O 20

YEE REC

1 T10-0

O ABLE B13: EMPL T

FOR PERIOD 2013-

Awards TOTAL 

Total by Disability Status Detail for Targeted Disabilities 

(05) NoDisability 

(01) NotIdentified 

(06-94)Disability 

Targeted Disability 

(16, 17)Deafness 

(23, 25)Blindness 

(28,32-38)MissingLimbs 

(64-68)PartialParalysis 

(71-78)Total Paralysis 

(82)ConvulsiveDisorder 

(90) MentalRetardation 

(91) MentalIllness 

(92)Distortionof Limb/Spine 

Time-Off Awards: 1-9 hoursTotal Time-Off Awards Given 

# 1,266 1,136 50 80 4 0 1 0 0 0 2 0 0 1 

% 100% 89.73% 3.95% 6.32% 0.32% 0.00% 0.08% 0.00% 0.00% 0.00% 0.16% 0.00% 0.00% 0.08% 

Total Hours 8084 7300 312 472 28 0 8 0 0 0 8 0 0 4 Average Hours 6 6 6 6 7 0 8 0 0 0 4 0 0 4 Time-Off Awards: 9+ hoursTotal Time-Off Awards Given 

# 1724 1573 75 76 16 0 6 0 0 1 3 0 6 0 % 100% 91.24% 4.35% 4.41% 0.93% 0.00% 0.35% 0.00% 0.00% 0.06% 0.17% 0.00% 0.35% 0.00% 

Total Hours 33273 30294 1486 1493 331 0 128 0 0 24 67 0 112 0 

Average Hours 19 19 20 20 21 0 21 0 0 24 22 0 19 0 

Cash Awards: $100 - $500 

Total Cash Awards Given 

# 1427 1258 81 88 10 5 1 0 0 0 3 1 0 0 % 100% 88.16% 5.68% 6.17% 0.70% 0.35% 0.07% 0.00% 0.00% 0.00% 0.21% 0.07% 0.00% 0.00% 

Total Amount $563,069 $499,850 $31,134 $32,085 $2,900 $1,350 $450 $0 $0 $0 $1,100 $200 $0 $0 

Average Amount $395 $397 $384 $365 $290 $270 $450 $0 $0 $0 $367 $200 $0 $0 Cash Awards: $501+Total Cash Awards Given 

# 5754 5320 250 184 27 4 4 7 2 4 3 0 20 2 % 100% 92.46% 4.34% 3.20% 0.47% 0.07% 0.07% 0.12% 0.03% 0.07% 0.05% 0.00% 0.35% 10.00% 

Total Amount $8,621,714 $7,985,496 $430,126 $206,092 $37,617 $3,106 $4,550 $10,855 $10,948 $3,750 $3,125 $0 $27,304 $3,600 

Average Amount $ 1,498 $ 1,501 $ 1,721 $1,120 $1,393 $777 $1,138 $1,551 $5,474 $938 $1,042 $0 $1,365 $1,800 

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% 

84 | EEO PROGRAM STATUS REPORT 
ABILITY
 Y DIS TRIBUTION B TION—DIS ARA Y TYPE OF SEP TIONS B ARA TABLE B14: SEP

Type of Separation TOTAL 

Total by Disability Status Detail for Targeted Disabilities 

(05) NoDisability 

(01) NotIdentified 

(06-94)Disability 

Targeted Disability 

(16, 17)Deafness 

(23, 25)Blindness 

(28, 32-38)MissingLimbs 

(64-68)PartialParalysis 

(71-78)Total Paralysis 

(82)ConvulsiveDisorder 

(90) MentalRetardation 

(91) MentalIllness 

(92)Distortionof Limb/Spine 

Voluntary 

# 215 177 19 19 4 1 2 0 0 0 0 0 1 0 

% 100% 82.33% 8.84% 8.84% 1.86% 0.47% 0.93% 0.00% 0.00% 0.00% 0.00% 0.00% 0.47% 0.00% 

Involuntary 

# 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% 

Total Separations 

# 222 183 19 20 4 1 2 0 0 0 0 0 1 0 

% 100% 82.43% 8.56% 9.01% 1.80% 0.45% 0.90% 0.00% 0.00% 0.00% 0.00% 0.00% 0.45% 0.00% 

Total Workforce 

# 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% 

FISCAL YEAR 2014 | 85

OFFICE OF EQUAL EMPLOYMENT OPPORTUNITY 

U.S. Securities and Exchange Commission 

100 F Street NE 

Washington, DC 20549