U.S. SECURITIES AND EXCHANGE COMMISSION

Annual 

Equal Employment 

Opportunity Program 

Status Report

MANAGEMENT DIRECTIVE 715

FISCAL YEAR 2016
U.S. SECURITIES AND EXCHANGE COMMISSION

ANNUAL EQUAL EMPLOYMENT 

OPPORTUNITY PROGRAM 

STATUS REPORT

MANAGEMENT DIRECTIVE 715

FISCAL YEAR 2016

Prepared by

THE OFFICE OF EQUAL EMPLOYMENT OPPORTUNITY
FISCAL YEAR 2016 | iii

CONTENTS

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

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

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

Commission’s Annual Self-Assessment against MD-715 Essential Elements . . . . . . . . 4

Essential Element A: Demonstrated Commitment from Commission Leadership 4

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

Essential Element C: Management and Program Accountability 6

Essential Element D: Proactive Prevention of Unlawful Discrimination 7

Essential Element E: Efficiency 7

Essential Element F: Responsiveness and Legal Compliance 8

Analysis of Workforce Profiles. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

SEC Workforce . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Applicant Flow 8

New Hires 12

Participation Rates for SEC Major Occupations 13

Supervisory and Management Demographics . . . . . . . . . . . . . . . . . . . .14

Internal Competitive Promotions 15

Career Ladder Promotions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16

Employee Recognition and Awards 17

Separations 17

Summary of EEO Plan Objectives Planned to Eliminate Identified Barriers or 

Correct Program Deficiencies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

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

Action Plans Implemented . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .18

Agency Accomplishments 20
iv | EEO PROGRAM STATUS REPORT

CERTIFICATION OF ESTABLISHMENT OF CONTINUING 

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

PLAN FOR ATTAINING THE ESSENTIAL ELEMENTS OF A MODEL 

EEO PROGRAM (PART H) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

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

SPECIAL PROGRAM PLAN FOR THE RECRUITMENT, HIRING, AND 

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

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

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

FISCAL YEAR 2016 462 REPORT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

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

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

WORKFORCE DATA TABLES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
FISCAL YEAR 2016 | 1

U.S. SECURITIES AND EXCHANGE 

COMMISSION INFORMATION 

(PARTS A, B, C, D)

EEOC FORM

715-01 

PART A - D 

U.S. Equal Employment Opportunity Commission

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

For period covering October 1, 2015 to September 30, 2016.

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. 4582

2. Enter total number of temporary employees 2. 103

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

4. TOTAL EMPLOYMENT [add lines B 1 through 3] 4. 4685

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. Peter J. Henry, Director (Acting), Office of Equal 

Employment Opportunity (OEEO)

3. Principal EEO Director/Official

Title/series/grade

3. Peter J. Henry, Director (Acting), OEEO/0905/SK-17

4. Title VII Affirmative EEO 

Program Official

4. Peter J. Henry, Director (Acting), OEEO

5. Section 501 Affirmative Action

Program Official

5. Peter J. Henry, Director (Acting), OEEO

6. Complaint Processing Program

Manager

6. Peter J. Henry, Director (Acting), OEEO

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

Office of Human Resources

Pamela A. Gibbs, Director, Office of Minority and 

Women Inclusion
2 | EEO PROGRAM STATUS REPORT

EEOC FORM

715-01 

PART A - D 

U.S. Equal Employment Opportunity Commission

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

PART D

List of Subordinate Components Covered 

in This Report

Subordinate Component and 

Location (City/State)

CPDF and FIPS 

codes

EEOC FORMS and Documents Included With This Report

*Executive Summary [FORM 715-01 

PART E], that includes:

X *Optional Annual Self-Assessment Checklist Against 

Essential Elements [FORM 715-01PART G]

X

*Brief paragraph describing the 

agency's mission and missionrelated functions

X *EEO Plan To Attain the Essential Elements of a 

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

programmatic essential element requiring improvement

X

*Summary of results of agency's 

annual self-assessment against 

MD-715 "Essential Elements"

X *EEO Plan To Eliminate Identified Barrier 

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

X

*Summary of Analysis of Workforce 

Profiles including net change 

analysis and comparison to RCLF

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

Advancement of Individuals With Targeted Disabilities for 

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

PART J]

X

*Summary of EEO Plan objectives 

planned to eliminate identified 

barriers or correct program 

deficiencies

X *Copy of Workforce Data Tables as necessary to support 

Executive Summary and/or EEO Plans

X

*Summary of EEO Plan action 

items implemented or accomplished

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

action items related to Complaint Processing Program 

deficiencies, ADR effectiveness, or other compliance 

issues1

N/A

*Statement of Establishment of 

Continuing Equal Employment 

Opportunity Programs

[FORM 715-01 PART F]

X *Copy of Facility Accessibility Survey results as necessary 

to support EEO Action Plan for building renovation projects

N/A

*Copies of relevant EEO Policy 

Statement(s) and/or excerpts from 

revisions made to EEO Policy 

Statements

X *Organizational Chart X

1 The SEC previously submitted the FY 2016 462 Report to the Equal Employment Opportunity Commission (EEOC).
FISCAL YEAR 2016 | 3

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, 2015 to September 30, 2016.

MISSION OF THE U.S. SECURITIES AND EXCHANGE COMMISSION

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

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

Currently, the SEC is charged with overseeing about 27,000 market participants, including more 

than 12,000 investment advisers, almost 10,700 mutual funds and exchange traded funds, almost 

4,300 broker-dealers, and about 400 transfer agents. The Agency also oversees 20 national securities 

exchanges, 10 credit rating agencies, six active registered clearing agencies, and two exempt clearing agencies, as well as the Public Company Accounting Oversight Board, the Financial Industry 

Regulatory Authority, the Municipal Securities Rulemaking Board, the Securities Investor Protection 

Corporation, and the Financial Accounting Standards Board. In addition, the SEC is responsible for 

selectively reviewing the disclosures and financial statements of about 9,000 reporting companies.

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

1934. The SEC’s core values are integrity, excellence, accountability, effectiveness, teamwork, and fairness. The SEC consists of five presidentially-appointed Commissioners, with staggered five-year terms. 

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

executive and administrative functions of the Commission. On April 10, 2013, Mary Jo White was 

sworn in as the 31st Chair of the SEC. 

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

Analysis, Investment Management, and Trading and Markets) and 24 offices. The SEC’s Headquarters is located in Washington, D.C. (Headquarters or Home Office). The Agency also has 11 Regional 

Offices located throughout the country. As of September 30, 2016, the SEC had a total workforce of 

4,685 employees, including 4,582 permanent employees and 103 temporary employees.2 See Table A1.

2 Much of the data for this report was pulled on November 7, 2016, from Datamart, the SEC’s Human Resource 

Information System (HRIS), for pay period 21 of 2016. 
4 | EEO PROGRAM STATUS REPORT

COMMISSION’S ANNUAL SELF-ASSESSMENT AGAINST MD-715 

ESSENTIAL ELEMENTS

Essential Element A: 

Demonstrated Commitment from Commission Leadership

The SEC’s commitment to equal employment opportunity is evident in Chair White’s Equal Employment Opportunity Policy, dated November 28, 2016, which reads, in part:

Our success in accomplishing the SEC’s mission of protecting investors, maintaining 

fair, orderly, and efficient markets, and facilitating capital formation depends on you 

and your commitment to being fully engaged in what we do. As Chair of the SEC, I 

am committed to providing you with a work environment that helps to achieve this 

goal – a work environment that is respectful, inclusive, and allows you to contribute 

to the best of your ability.

For this reason and because it is the right thing to do, we must all strongly support 

our nation’s equal employment opportunity (EEO) laws. These laws apply to the 

SEC’s personnel policies, practices, and procedures, including but not limited to: 

recruitment, hiring, promotion, separation, performance evaluation, training and 

career development, assignment of duties, details, reassignment, compensation, 

awards, and benefits. EEO laws protect all employees, applicants for employment, 

and former employees from discrimination on the basis of race, color, sex (which is 

not limited to conduct that is sexual in nature and includes pregnancy, gender identity, 

sexual orientation, and transgender status), age, religion, national origin, disability, or 

genetic information. 

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

(1) participate in the EEO process; and/or (2) oppose employment practices which are 

perceived as discriminatory in the workplace. We can all contribute to making the SEC 

a model EEO employer by ensuring that discrimination, harassment, and retaliation 

are simply not tolerated. We must also seek to resolve workplace disputes at the 

earliest opportunity; to do otherwise would undermine the collegial and respectful 

environment that we expect at the SEC.

All employees must fully participate in investigations into allegations of discrimination, 

harassment and/or retaliation. Managers and supervisors must also participate 

in the alternative dispute resolution program for resolving EEO allegations, 

Conflict2Resolution (C2R), when the use of C2R is approved by the EEO Director....

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

opportunity a reality.

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

Commissioner actively sponsor one or more of the nine Employee Affinity Groups (EAGs) (formerly 

referred to as “Employee Resource Groups” and “Special Emphasis Program Committees”). The 

SEC also promotes diversity and inclusion through the efforts of the Office of Minority and Women 

Inclusion (OMWI), which is responsible for all matters relating to diversity in management, employment, and business activities at the SEC and provides guidance, resources, and management support 

to eight of the EAGs. The remaining EAG, the Veterans Committee, is sponsored by the Office of 

Human Resources (OHR). EAGs foster a supportive, inclusive, and fair work environment through 
FISCAL YEAR 2016 | 5

their programs and activities, including programs to commemorate Special Observances. The SEC’s 

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

activities held throughout the year.

In FY 2016, the SEC continued to demonstrate its commitment to developing a diverse talent pipeline 

by committing time and resources to a number of initiatives, including, but not limited to: 

n Leveraging the members of the EAGs and Agency staff to recruit talented individuals to the Commission;

n Staff teaching securities law courses at Florida International University and Howard University to 

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

and securities markets; and

n Hosting hundreds of high school students from under-served communities at Headquarters and 

in the Regional Offices as part of the Agency’s successful Professionals Reaching Out to Promote 

Excellence and Learning for Students (PROPELS) program.

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

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

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

2016, the Chair recognized the nine EAGs for advancing diversity and inclusion at the Commission. 

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 support the SEC’s commitment to its workforce, the SEC developed a three-year (FY 2016 – FY 

2018) Human Capital Strategic Plan with input from OHR, OMWI, OEEO, and Division and Office 

Senior Leadership. The Human Capital Strategic Plan guides and provides focus for work toward 

key objectives under Strategic Goal 4. In support of the key Strategic Objective 4.1 listed above, the 

Human Capital Strategic Plan emphasizes increasing employee engagement and retention, enhancing 

employee development programs, and delivering a comprehensive leadership development program.

In furtherance of the SEC’s 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 2016, these organizations included, among others: Association of Latino Professionals in 

Finance and Accounting; Pan-Asian Leaders in Finance and Accounting; Hispanic Bar Association of 
6 | EEO PROGRAM STATUS REPORT

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

National Association of Black Accountants; National Bar Association; National Black MBA Association; South Asian Bar Association of Washington, D.C.; Women’s Bar Association of the District of 

Columbia; Diverse Partners Network; and the Thurgood Marshall College Fund.

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

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

and retain individuals with disabilities. The number and percentage of SEC permanent employees 

with disabilities increased from 241 (5.59%) in FY 2015 to 287 (6.26%) in FY 2016. The number 

of SEC permanent employees with targeted disabilities increased from 41 employees in FY 2015 to 

45 individuals in FY 2016.3 See Table B1. Despite this increase, the SEC’s permanent workforce with 

targeted disabilities remains 0.98%, just under half of the EEOC’s goal.

Essential Element C: 

Management and Program Accountability

During FY 2016, the SEC engaged in numerous actions to promote accountability of its EEO program, including, but not limited to, the following.

n For the sixth consecutive year, the SEC posted its Annual EEO Program Report on its internal and 

public websites in a Section 508-compliant format. The SEC also delivered its FY 2015 Annual 

EEO Program Report to the Agency’s senior leadership and the President of Chapter 293 of the 

National Treasury Employees Union (NTEU), which represents bargaining unit employees at the 

Commission.

n Pursuant to MD-715, the SEC conducted four barrier analyses in FY 2016.

n Consistent with regulations promulgated under the Equal Employment Opportunity Commission’s (EEOC) Management Directive 110, the SEC’s EEO compliance program provided timely 

counseling, alternative dispute resolution, investigation, and final adjudication processes to individuals raising complaints of discrimination. 

n The SEC posted EEO complaint processing data on its internal and public websites. Consistent 

with the Notification and Federal Employee Antidiscrimination and Retaliation Act of 2002 (No 

FEAR Act), the SEC delivered the bi-annual No FEAR Act training to its employees, as well as 

informed new employees of their rights and remedies under antidiscrimination laws and whistleblower protection laws within 90 days of their appointment.

n SEC managers and supervisors were evaluated on various competencies, including EEO and diversity and inclusion elements.

As required by EEOC regulations and directives, the EEO Director is under the direct supervision 

of the Chair of the Commission. In FY 2016, to support the Agency’s EEO programmatic responsibilities, OEEO consisted of six attorneys (including the Director and a Deputy Director), two EEO 

specialists, two management and program analysts (MPA), and a program support specialist. OEEO 

selected a third MPA with expertise in Industrial/Organizational Psychology in FY 2016. The third 

3 The EEOC has identified nine targeted disabilities: (1) hearing; (2) vision; (3) missing extremities; (4) partial paralysis; (5) 

complete paralysis; (6) epilepsy; (7) severe intellectual disability; (8) psychiatric disability; and (9) dwarfism. This population is a subset of the employees with disabilities.
FISCAL YEAR 2016 | 7

MPA started in October 2016 and is expected to enhance OEEO’s barrier analysis program, in particular. In addition, in FY 2016, OEEO had the assistance of three contract data analysts who supported 

the compliance, barrier analysis, and reporting functions.

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

addition to performing their primary duties and responsibilities, volunteered to serve as EEO Counselors in a collateral duty capacity. In FY 2016, 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 EEOC. 

Essential Element D: 

Proactive Prevention of Unlawful Discrimination

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

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

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

responsibilities of OEEO on its internal and public websites. EEO posters are placed in high-traffic 

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

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

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

Essential Element E: 

Efficiency

In FY 2016, 58 counseling matters were initiated, 30 formal EEO complaints were filed, and 12 Final 

Agency Decisions of no discrimination were issued.4 Most of the formal EEO complaints were based 

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

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

employment. As in FY 2015, all investigations completed in FY 2016 were timely. Relatedly, the average times for the completion of investigations and the issuance of final agency decisions were below 

the applicable regulatory benchmarks. Through focused effort, the average processing time for investigations has reduced substantially from the averages reported for FY 2012 and FY 2013.

In FY 2016, OEEO used its alternative dispute resolution (ADR) program, Conflict-2-Resolution 

(C2R), to resolve allegations of discrimination. While there are various forms of ADR, C2R primarily 

offers mediation and facilitation to resolve workplace disputes that include allegations of employment 

discrimination. In FY 2016, OEEO processed a total of 62 informal complaints (this number included 

counselings carried over from FY 2015 and new counselings initiated in FY 2016). Among these 62 

informal complaints, ADR was offered 29 times (reflecting a 46.77% offer rate) and 25 individuals 

(40.32% of the counselees) elected ADR. In FY 2016, through C2R, OEEO conducted 19 mediations 

and two facilitations. Sixteen, or approximately 76.19%, of these 21 matters settled or resulted in the 

counselee not filing a formal complaint. 

4 SEC FY 2016 462 Report: Part I, D.2; Part II, B; and Part VI, B.2 
8 | EEO PROGRAM STATUS REPORT

Essential Element F: 

Responsiveness and Legal Compliance

The SEC has conducted an annual self-assessment against the essential elements prescribed by the 

EEOC’s Management Directive 715 (MD-715). Where the Commission found non-compliance with 

the MD-715 requirements, the SEC developed a plan for addressing the gaps as further discussed in 

Part H of this report. The SEC has addressed all gaps identified in prior fiscal years. See Part H of this 

report, infra.

ANALYSIS OF WORKFORCE PROFILES

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

the existence of 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 in Part I of this 

report, infra.

SEC Workforce

At the end of FY 2016, the SEC had 4,685 employees, 4,582 permanent and 103 temporary. Of the 

4,582 permanent employees, there were 2,473 (53.97%) males and 2,109 (46.03%) females. See 

Table A1. The SEC hired 400 permanent employees, and there were 157 voluntary separations. See 

Tables A8 and A14. The following provides a summary of representation within the SEC’s permanent workforce compared to the Civilian Labor Force (CLF):

SEC Permanent Workforce % Compared to 2010 Civilian Labor Force (CLF) %

Race/Ethnicity 2010 

CLF %

Total 

SEC %

Male 

SEC %

Female 

SEC %

Hispanic or Latino 9.96 5.30 2.88 2.42

White 72.36 66.09 39.92 26.17

Black or African American 12.02 16.02 4.85 11.17

Asian 3.90 11.75 5.94 5.81

Native Hawaiian/Other Pacific Islander 0.14 0.06 0.02 0.04

American Indian/Alaska Native 1.08 0.41 0.28 0.13

Two or More Races 0.54 0.37 0.09 0.28

See Table A1.

Applicant Flow 

Applicant flow data is provided to the SEC by the U.S. Office of Personnel Management (OPM). 

This data is available through OPM’s USA Staffing tool only for SEC jobs that were posted on USAJOBS. The SEC uses USAJOBS for approximately 80% of SEC hiring actions. In FY 2016, the SEC 

did not have a tool to capture and report on applicant flow data for the remaining 20% of its hiring 

actions, specifically, those hired under its Direct Hire Authority or other hiring flexibilities. 

A few important notes about applicant flow data help to facilitate interpretation. First, the USA 

Staffing tool captures and provides information only through the point at which a selection decision 

is made. Various hiring process steps beyond a selection decision may impact success in onboarding 

a new hire (e.g., suitability assessment). Tables A7 and B7, then, show applicant flow data through 
FISCAL YEAR 2016 | 9

to selected applicants. In contrast, Tables A8 and B8 present data on new hires onboarded during 

the course of the year. Differences are observed in the demographic statistics of those selected versus 

those hired. 

Second, applicant flow data for the SEC combines applications submitted for permanent and temporary positions with the SEC. Thus, the data in Tables A7 and B7 reflect the pool of applications 

submitted for permanent and/or temporary employment.

The certificate applicant flow data provided by OPM was analyzed for four major occupations at the 

SEC: economist, attorney, accountant, and securities compliance examiner. See Table A7. Below are 

the highlights of this analysis.

Economist (0110): 299 Applicants

In FY 2016, the SEC received 299 applications and made 22 selections for economist positions. Of 

the 299 applicants, 177 voluntarily self-identified their diversity demographics. Of the 177 applicants 

who self-identified, 70.62% were male, and 29.38% were female. Eleven of the 22 selected applicants 

self-identified. The following are the demographics of the individuals who applied and self-identified 

for the economist positions, those who qualified for the positions, and the 11 applicants who were 

ultimately selected:

EEO Group

Number: 

Self-Identified

Number: 

Self-Identified and 

Qualified

Number and Percent: 

Self-Identified and Selected

Hispanic 18 10 0

White 96 57 6 (54.55%), 5 males, 1 female

Black or African 

American

26 19 3 (27.27%), 2 males, 1 female

Asian 34 17 1 (9.09%) female

Native Hawaiian/

Other Pacific 

Islander

0 0 0

American Indian/

Alaska Native

3 1 1 (9.09%)male

See Table A7.

Ten of the 18 Hispanic applicants self-identified and qualified, but none were selected. Of the 26 Black 

or African American applicants who self-identified, 19 qualified, and three were selected. Among the 

applicants who self-identified, White males (45.45%) and Black or African American males (18.18%) 

had the highest selection rates. Black or African American applicants, who self-identified and qualified 

(19), were selected at the highest rate of 15.79%, and qualified White applicants (57 qualified, six 

selected) were selected at a lower rate of 10.53%. See Table A7. 

Attorneys (0905): 9,299 Applicants

The SEC received 9,299 applications and made 146 selections for attorney positions. Of the 9,299 

applicants, 5,509 self-identified. Among those who self-identified, 3,338 (60.59%) were male and 

2,171 (39.41%) were female. Eighty-six of the 146 selected applicants self-identified. Of the 86 select-
10 | EEO PROGRAM STATUS REPORT

ees who self-identified, 41 were male and 45 were female. Although female attorneys represented less 

than 40% of the qualified applicants who self-identified, they were selected at a higher rate than their 

male counterparts (who self-identified and qualified). More specifically, self-identified White female 

attorneys had the largest increase in representation between the qualified and selected groups. Among 

those who self-identified, White females represented less than 19% of the qualified candidates, and 

more than 40% of those selected. 

EEO Group

Number: 

Self-Identified 

Number: 

Self-Identified and 

Qualified

Number and Percent:

Self-Identified and Selected

Hispanic 605 422 4 (4.65%), 2 males and 2 

females

White 2,999 2,347 67 (77.91%), 32 males and 

35 females

Black or African 

American

1,010 704 3 (3.49%), 1 male and 2 females

Asian 700 565 12 (13.95%), 6 males and 

6 females

Native Hawaiian/ 

Other Pacific Islander

29 24 0

American Indian/

Alaska Native

80 57 0

See Table A7.

Accountants (0510): 1,456 Applicants

In FY 2016, the SEC received 1,456 applications and made 27 selections for accountant positions. 

Of the 908 applicants who self-identified their demographics, 499 (54.96%) were male and 409 

(45.04%) were female. Of the 17 selectees who self-identified, 11 (64.71%) were male and six 

(35.29%) were female. There was a steady decline in the participation rate of women among applicants for accountant positions from 45.05% of those who applied and self-identified, to 39.20% 

of the qualified candidates, and finally to 35.29% of those selected. The demographics of the 908 

applicants for accountant positions who self-identified, qualified, and those who were selected are as 

follows:

EEO Group

Number: 

Self-Identified

Number: 

Self-Identified and 

Qualified

Number and Percent:

Self-Identified and Selected

Hispanic 126 58 1 (5.88%) male

White 318 163 13 (76.47%), 8 males and 

5 females

Black or African 

American

303 109 1 (5.88%) male

Asian 144 57 2 (11.76%), 1 male and 1 female

Native Hawaiian/ 

Other Pacific Islander

0 0 0

American Indian/

Alaska Native

0 0 0
FISCAL YEAR 2016 | 11

Securities and Compliance Examiners (1831): 3,225 Applicants

In FY 2016, the SEC received 3,225 applications and made 37 selections for securities and compliance examiner (examiner) positions. One thousand nine hundred and one applicants voluntarily 

self-identified their demographics. Of the 1,901 who self-identified, 1,215 (63.91%) were male and 

686 (36.09%) were female. Nineteen of those who self-identified were among the 37 selected examiners. The following are the demographics of the 1,901 applicants who self-identified, qualified, and 

ultimately were selected for the examiner positions:

EEO Group

Number: 

Self-Identified 

Number: 

Self-Identified and 

Qualified

Number and Percent:

Self-Identified and Selected

Hispanic 369 226 2 (10.53%) males

White 761 502 6 (31.58%), 4 males and 2 

females 

Black or African 

American

541 345 4 (21.05%), 1 male and 3 

females

Asian 205 130 7 (36.84%), 4 males and 3 

females

Native Hawaiian/ 

Other Pacific Islander

8 6 0

American Indian/

Alaska Native

4 4 0

See Table A7.

Asians represented less than 11% of those who self-identified and qualified for the examiner positions, and represented 36.84% of the selectees. In contrast, White applicants represented 40.98% of 

those who self-identified and qualified, and represented 31.58% of the selectees. See Table A7.

Applicant Flow Data for Individuals with Disabilities

In regard to applicant flow data for individuals with disabilities, the SEC received a total of 44,437 

applications in FY 2016. Of those 44,437 applications, 505 (1.14%) were submitted by persons who 

self-identified as having a targeted disability, and three individuals with a targeted disability were 

selected (0.56% of the selectees who self-identified). See Table B7.
12 | EEO PROGRAM STATUS REPORT

New Hires

In FY 2016, the SEC hired 400 permanent employees, 218 (54.50%) males and 182 (45.50%) 

females. The following table reflects demographic information for the FY 2016 new hires:

Permanent 

Employees Total

Hispanic White

Black or 

African 

American Asian

American 

Indian/Alaska 

Native

M F M F M F M F M F

New 

Hires

# 400 17 7 145 104 20 33 34 37 1 1

% 100 4.25 1.75 36.25 26.00 5.00 8.25 8.50 9.25 0.25 0.25

Total 

Workforce

# 4,582 132 111 1,829 1,199 222 512 272 266 13 6

% 100 2.88 2.42 39.92 26.17 4.85 11.17 5.94 5.81 0.28 0.13

2010 CLF % 100 5.17 4.79 38.33 34.03 5.49 6.53 1.97 1.93 0.55 0.53

See Tables A1 and A8.

The EEOC has established a workforce participation rate goal of two percent for persons with 

targeted disabilities (PWTD). There are nine targeted disabilities: hearing, vision, missing extremities, 

partial paralysis, complete paralysis, epilepsy, severe intellectual disability, psychiatric disability, and 

dwarfism. In addition, OPM’s guidance, issued pursuant to Executive Order 13548, requires federal 

agencies to establish Disability Employment Plans consistent with the federal government goal of hiring 100,000 additional individuals with disabilities, including those with targeted disabilities. 

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

to be individuals with disabilities, and at least 1.5% of all new hires to be individuals with targeted 

disabilities. In FY 2016, the SEC hired 444 employees (400 permanent and 44 temporary employees), 

27 of whom (6.08%) reported having a disability. Of the 27 new hires who self-identified as having 

a disability, five identified a targeted disability (4 permanent and 1 temporary), or 1.13% of all new 

hires. See Table B8.
FISCAL YEAR 2016 | 13

Participation Rates for SEC Major Occupations

This report discusses the following four mission critical occupations (MCOs): attorneys, accountants, 

examiners, and economists.5 In FY 2016, there were 4,582 permanent employees at the SEC. See 

Table A1. Of these permanent employees, there were 1,954 attorneys, 940 accountants, 290 examiners, and 98 economists. See Table A6. Accountants and attorneys comprised 63.16% of the SEC’s FY 

2016 permanent employees. Male and female SEC accountants and attorneys participated at levels 

above or within approximately 1% of the applicable Occupational CLF rate, except for the demographic groups of female accountants and male attorneys as shown in bold font in the table below:

White

Job Title Total Male Female Male Female

Accountants 940 532 408 414 256

100% 56.60% 43.40% 44.04% 27.23%

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

Attorneys 1954 1091 863 899 628

100% 55.83% 44.17% 46.01% 32.14%

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

See Table A6, Permanent Workforce.

Within the female accountant and male attorney groups, the participation rates of both White male 

attorneys and White female accountants are below their Occupational CLF as further described 

below. 

White female accountants’ participation rate at the SEC (27.23%) is below the Occupational CLF for 

White female accountants of 44.23%. This follows the same pattern as the overall participation rate 

of female accountants at the SEC (43.40%) compared to the Occupational CLF for female accountants of 60.09%. This difference of almost 17 percentage points will be further analyzed.

The participation rate for White male attorneys at the SEC (46.01%) is below the Occupational CLF 

for White male attorneys of 59.68%. Similar to the female accountants, White male attorney participation mirrors the overall participation rate for male attorneys at the SEC (55.83%) compared to the 

Occupational CLF for male attorneys of 66.70%. These numbers denote triggers that require further 

analysis. 

5 In FY 2016, the SEC identified the Information Technology (IT) Specialist occupation as an MCO. OEEO is working 

with DataMart to include the IT Specialist occupation in the data tables for the FY 2017 MD-715 Report
14 | 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 promote up to SK-15 and SK-16; SK-15 to SK-17; and SK-14 through SK-17 to Senior 

Officer (SO). 

The participation rates of males and females in SEC’s supervisor and management ranks differ within 

and across the SK-14 to SO levels. Specifically, there are a total of 2,071 permanent SK-14 employees, 

of whom females represent 44.08% (913 employees) and males represent 55.92% (1,158 employees). However, at the SK-15 level, there are 364 total permanent employees, with males making up 

67.31% (245 employees) and females comprising 32.69% (119 employees). There are more than 

twice as many male SK-15s as female SK-15s. Then, the participation rates of males and females at 

the SK-17 are more evenly distributed. There are a total of 400 SK-17 employees of whom 59.00% 

are male (236 employees) and 41.00% are female (164 employees). Finally, within the total of 142 

SOs, 62.68% are male (89 employees) and 37.32% are female (53 employees). See Table A4-1.

Of the male SOs, 89.89% are White; of the male SK-17s, 85.17% are White; and of the male 

SK-15s, 74.29% are White. Similarly, of the female SOs, 81.13% are White; of the female SK-17s, 

74.39% are White; and of the female SK-15s, 61.34% are White. 

The following table summarizes the demographic information for groups representing at least 1% of 

the total number of supervisors and managers:

SEC 

Level

 All

Hispanic or 

Latino White

Black or 

African 

American Asian

TOTAL M F M F M F M F M F

SO # 142 89 53 3 0 80 43 3 4 3 5

SO % 100 62.68 37.32 2.11 0 56.34 30.28 2.11 2.82 2.11 3.52

SK 17 # 400 236 164 10 4 201 122 11 19 14 18

SK 17 % 100 59.00 41.00 2.5 1.00 50.25 30.50 2.75 4.75 3.50 4.50

SK 15 # 364 245 119 17 4 182 73 15 27 26 15

SK 15 % 100 67.31 32.69 4.67 1.10 50.00 20.05 4.12 7.42 7.14 4.12

SK 14 # 2,071 1,158 913 59 57 871 579 84 125 140 142

SK 14 % 100 55.92 44.08 2.85 2.75 42.06 27.96 4.06 6.04 6.76 6.86

See Table A4-1.

In FY 2016, the number of female SOs decreased from 56 to 53, and male SOs increased from 87 to 

89, as compared to FY 2015. The decrease in the number of female SOs was reflected in the groups 

of White (45 to 43) and Hispanic (from one to zero) SOs. The increase in the number of male SOs 

occurred in the White male and Asian male groups, with an increase of one in each group. In FY 

2016, there was an increase in both males and females at the SK-17 level (males increased by 19, and 

females increased by eight), as compared to FY 2015. See Table A4-1.
FISCAL YEAR 2016 | 15

Internal Competitive Promotions 

Attorneys

In FY 2016, the SEC received 652 applications for 76 attorney competitive promotions. Of the 

652 individuals, 577 qualified for promotion, 364 males and 213 females. Of those selected for the 

promotions, 40 were male and 36 female. White employees comprised 437 (75.74%) of the qualified 

applicants and received 59 (77.63%) of the 76 competitive promotions, with White males receiving 

43.42% of the promotions and White females receiving 34.21% of the promotions. Although eight 

individuals with a targeted disability qualified for promotion, none were promoted. 

A further demographic breakdown of internal promotions among groups representing at least 1% of 

the applications received follows:

EEO Group

Applications 

Received 

Qualified for 

Competitive 

Promotion Promoted

Hispanics 35 31 4 (5.26%), 2 males and 2 females

White 485 437 59 (77.63%), 33 males and 26 females

Black or African American 57 49 4 (5.26%), 1 male and 3 females

Asian 67 52 9 (11.84%), 4 males and 5 females

American Indian/

Alaska Native

8 8 0

Individuals with Disabilities 16 13 0

Individuals with Targeted 

Disabilities

9 8 0

See Tables A9 and B9.

Accountants

The SEC received 113 applications for 26 accountant competitive promotions. Of the 113 applicants, 

95 qualified (65 males and 30 females). Of the 26 individuals who received competitive promotion, 

19 were male and seven female. None of the four qualified individuals with disabilities were promoted. Detailed demographics follow:

EEO Group

Applications 

Received 

Qualified for 

Competitive 

Promotion Promoted

Hispanics 8 6 2 (7.69%) males

White 60 58 18 (69.23%), 12 males and 6 females

Black or African American 12 12 1 (3.85%) male

Asian 32 18 5 (19.23%), 4 males and 1 female

Individuals with Disabilities 5 4 0

Individuals with Targeted 

Disabilities

0 0 0

See Tables A9 and B9.
16 | EEO PROGRAM STATUS REPORT

Securities and Compliance Examiners

The SEC received 281 applications (197 from males and 84 from females) for 18 examiner promotions. Of the 281 applicants, 257 qualified (178 males and 79 females). Of the 18 selected, 10 were 

male (55.56%) and eight were female (44.44%). Although 15 individuals with a disability qualified, 

none were promoted. The following table reflects the demographic breakdown: 

EEO Group

Applications 

Received 

Qualified for 

Competitive 

Promotion Promoted

Hispanics 40 35 1 (5.56%) male

White 152 146 8 (44.44%), 5 males and 3 females

Black or African American 28 19 5 (27.78%), 1 male and 4 females

Asian 61 57 4 (22.22%), 3 males and 1 female

Individuals with Disabilities 20 15 0

Individuals with Targeted 

Disabilities

0 0 0

See Tables A9 and B9.

Economists

During FY 2016, there were nine applications for five competitive economist promotions. The applications reflected candidates from two demographic groups: Asian and White employees. Eight of 

those nine applicants qualified. The eight qualified applicants included five White males, two White 

females, and one Asian female. None of those who qualified self-identified as having a disability. 

Of the five selected, two were male (40.00%) and three were female (60.00%). The following table 

reflects the demographic breakdown: 

EEO Group

Applications 

Received 

Qualified for 

Competitive 

Promotion Promoted

Hispanics 0 0 0

White 8 7 4 (80.00%), 2 males and 2 females

Black or African American 0 0 0

Asian 1 1 1 (20.00%) female

Individuals with Disabilities 0 0 0

Individuals with Targeted 

Disabilities

0 0 0

See Tables A9 and B9.

Career Ladder Promotions

A review of the SEC’s non-competitive promotions reflects that of the 443 individuals eligible for 

career ladder promotions, 238 (53.72%) were male and 205 (46.28%) were female. Four individuals 

exceeded their time-in-grade beyond 24 months. No individuals with targeted disabilities exceeded 

minimum time in grade for a career ladder promotion. See Tables A10 and B10.
FISCAL YEAR 2016 | 17

Employee Recognition and Awards

A review of Table A13 reflects that males and females received similar time-off awards in FY 2016. 

For cash awards in the amount of $100 - $500, males received 47.25% of these awards (as compared 

to females who received 52.75% of these awards), but males had a higher average amount of $435 

compared to the average amount for females of $420. A review of Table B13 also reveals a lower-thanaverage cash award for individuals with a targeted disability ($403) compared to the average amount 

of $429 for individuals with no disability.

For cash awards of $501 and more, males received 56.55% of these awards, with an average award 

amount of $1,384, while females received 43.45% of the awards, with an average award of $1,402. 

Cash awards of $501 or more averaged $1,400 for individuals with disabilities (above the average 

amount of $1,397 for those with no disability) and $1,119 for individuals with targeted disabilities. 

Separations 

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

eight percent (8%) per year.6 In FY 2016, the SEC had a separation rate of less than four percent (4%) 

of its total workforce. Of the 157 voluntary separations, six were Hispanic, 115 were White, 25 were 

Black or African American, and nine were Asian employees.

In FY 2016, 13 employees who self-identified as having a disability separated from the SEC, including 

four employees with targeted disabilities. See Tables A14 and B14.

SUMMARY OF EEO PLAN OBJECTIVES PLANNED TO ELIMINATE 

IDENTIFIED BARRIERS OR CORRECT PROGRAM DEFICIENCIES

In 2014, the SEC engaged an independent vendor to conduct an analysis of barriers to promotions at 

the Commission. At the beginning of FY 2016, the vendor identified two potential barriers and highlighted seven recommendations to eliminate the potential barriers. Additional information about the 

status of this analysis is provided in Part I of this report, infra.

During FY 2016, OEEO analyzed: whether females encounter a glass ceiling as they seek promotion 

to senior officer (SO), i.e., executive positions; the reason(s) that male and female Hispanic employees 

participate in the SEC workforce at rates below their participation in the private sector workforce; and 

the reason(s) that the participation of persons with targeted disabilities (PWTD) in the SEC’s workforce is below the EEOC’s goal of 2.00%.

OEEO staff completed the following actions in conducting the three barrier analyses:

n Analyzed five years of SEC workforce demographic data (FY 2011 - FY 2015) to identify trends 

and triggers;

n Reviewed personnel policies and corresponding written procedures that relate to recruitment, hiring, promotion, and retention; 

n Reviewed over 100 selection case files (for hiring and promotions) for FY 2014 and FY 2015, comparing the resumes of the successful candidate(s) against the resumes of unsuccessful candidates;

6 U.S. Securities and Exchange Commission Strategic Plan, FY 2014 – FY 2018, Strategic Goal 4, 

Strategic Objective 4.1 (p. 48)
18 | EEO PROGRAM STATUS REPORT

n Analyzed applicant flow data, i.e., the demographics of individuals seeking employment or promotion and how successful they were at various stages of the selection process; 

n Interviewed subject matter experts in OHR and OMWI;

n Interviewed subject matter experts at various colleges and universities (for barrier analyses regarding Hispanics and PWTD); 

n Analyzed responses to a survey conducted by the independent vendor in July 2014 regarding 

promotions at the SEC;

n Conducted focus group discussions with SK-15s, SK-17s, and SOs (for barrier analyses regarding 

females and Hispanics); 

n Analyzed Federal Employee Viewpoint Survey (FEVS) results for FY 2011 - FY 2015, with particular emphasis on responses from female and Hispanic employees, and employees with disabilities;

n Analyzed EEO complaint activity (FY 2011 - FY 2015) and exit surveys (FY 2012 - FY 2015) to 

better understand why women, Hispanics, and employees with disabilities were voluntarily separating from the Agency; and

n Researched best practices within the government and private industry for recruiting and retaining 

women, Hispanics, and PWTD.

Additional information about the status of these analyses is provided in Part I of this report, infra.

SUMMARY OF EEO PLAN ACTION ITEMS IMPLEMENTED OR 

ACCOMPLISHED 

Action Plans Implemented

Barrier Analyses

As highlighted above, the SEC undertook four barrier analyses in FY 2016. Three of the analyses 

were undertaken by OEEO staff and one was conducted by a vendor. The SEC began implementing recommendations made to eliminate the potential barriers identified. Part I of this report, infra, 

provides more detailed information about these analyses.

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

Promotion, and Reasonable Accommodation of Individuals with Disabilities

The SEC currently provides training on the Disability Program to all new managers through the mandatory Leadership Development (LD) 307 Fundamentals of HR Management course offered by the 

Agency’s learning office, SEC University (SECU). Through LD 307, the SEC trained new managers 

and supervisors on Schedule A hiring authority, Temporary Medical Telework (TMT), and Reasonable Accommodation (RA) to ensure their awareness of their role in hiring and retaining employees 

with temporary or permanent disabilities. In addition, the SEC conducted training classes entitled 

Conversations with OHR: How to Quickly Fill Vacancy Announcements that provided supervisors 

and managers with tools on the various hiring authorities, including Schedule A for hiring individuals 

with disabilities.
FISCAL YEAR 2016 | 19

 

In-depth, situation-specific training was provided as needed to individual managers who supervise 

employees with disabilities. The SEC will continue to provide training to supervisors and hiring 

officials to ensure that they are aware of their responsibilities with regard to hiring and supervising 

employees with disabilities. The training will cover restrictions on questions related to medical information, Schedule A hiring authorities, SEC’s disability accommodation procedures, overlap between 

the Family Medical Leave Act and the Rehabilitation Act of 1973, and confidentiality requirements.

Finally, the SEC trained Administrative Officers, who may advise supervisors and hiring officials, on 

Reasonable Accommodation during the 2016 Administrative Officers conference.

Hiring and Accommodating Individuals with Disabilities

In FY 2016, the SEC completed the following activities:

n Hosted a Disability Hiring event to recruit candidates with disabilities in an effort to continue 

building a pipeline of applicants for future vacancies and to educate prospective applicants on the 

SEC recruitment, hiring and RA processes;

n Processed 73 TMT requests; 

n Processed 180 RA requests, of which 38 were requests for telework as a reasonable 

accommodation;

n Trained all new employees on WorkLife, TMT, RA, and leave programs to ensure awareness of 

various solutions or flexibilities for employees (The SEC will continue to provide information 

about these programs to new employees at bi-weekly orientation sessions.); and 

n Under the WorkSmart Redesign initiative, OHR reviewed and proposed system enhancements for 

the WorkSmart system and the Disability Accommodation Request Tracking System (DARTS) to 

better help employees and managers. These efforts are designed to streamline the TMT, RA, and 

leave processes where feasible.

Telework Enhancements to Improve Reasonable Accommodations

In FY 2016, the Disability Program developed and issued a new administrative regulation and standard operating procedures to clarify the process and guidelines for the TMT program. The updated 

information was published on the SEC Intranet (The Insider), to include a Section 508-compliant 

version, accessible to all employees.

In FY 2016, the SEC continued to support a robust telework program, to include TMT for employees who need to telework on a temporary basis for their own medical needs or that of a family 

member and for employees with disabilities who request telework as a reasonable accommodation. 

The Disability Program also conducted a business process re-engineering effort to optimize the TMT 

and RA processes. In FY 2017, the Disability Program will work on updating language to clarify the 

TMT automation process and enhance automation for the RA process.

The SEC also provides equipment for individuals to use at home in support of their need for telework. In FY 2016, the SEC Telework program began working on automation of the equipment selection process to streamline coordination among OHR, the Office of Information Technology, and the 

requesting individual as much as possible. 
20 | EEO PROGRAM STATUS REPORT

Agency Accomplishments

In FY 2016, the SEC achieved a number of accomplishments in the areas of EEO, Diversity and 

Inclusion, and Leadership Development, including, but not limited to, the accomplishments listed 

below.

Outreach and Recruitment of Diverse Talent

In 2016, OMWI took a number of affirmative steps to seek diversity in the SEC workforce by: 

n Conducting over 60 workforce diversity outreach and recruitment events at universities and associations to inform professionals and students about SEC employment and internship opportunities; 

n Engaging more than 170 SEC staff from Divisions and Offices across the Commission in workforce diversity and outreach efforts nationwide; 

n Hosting an on-the-spot recruitment event in SEC’s Chicago Regional Office entitled SEC Career 

Open House for Accountants and Examiners in partnership with the Office of Compliance Inspections and Examinations; 

n Distributing job advertisements to 265 recruitment sources used to attract diverse talent for current employment and internship opportunities; 

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

diverse professionals and students about SEC career and internship opportunities; 

n Providing mentoring and financial literacy information to more than 790 students from 26 partner 

high schools across the country;

n Publishing more than 170 workforce demographic reports, including customized analyses and 

assessments to help inform decision-making and monitor and evaluate ongoing workforce diversity efforts; and

n Presenting more than 15 trainings to enhance workforce diversity and inclusion at the SEC.

Employee Engagement: Employee Affinity Groups

All employees are encouraged to participate in Employee Affinity Groups (EAGs) at the SEC. These 

groups provide networking, mentoring, and outreach opportunities to interested employees; sponsor cultural and educational programs; and support the SEC’s Diversity and Inclusion efforts. In FY 

2016, each group had a SEC Commissioner as a sponsor and received program support from OMWI 

or OHR.

Nine Employee Affinity Groups were active in FY 2016:

n African American Council; 

n American Indian Heritage Committee;

n Asian American and Pacific Islander Committee;

n Caribbean American Heritage Committee;

n Disability Interests Advisory Committee (DIAC);

n Hispanic and Latino Opportunity, Leadership, and Advocacy Committee (HALO);

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

n Veterans Committee; and

n Women’s Committee.
FISCAL YEAR 2016 | 21

In FY 2016, EAGs helped to plan, coordinate, and conduct SEC-sponsored programs and activities 

for Special Observances, including, but not limited to: 

n Hispanic Heritage Month —Federal Trade Commission Chair Edith Ramirez 

n Disability Awareness Month—Interviews with SEC Management

n Veterans Day Commemoration—Vice Admiral James Alvin Sagerholm, U.S. Navy (retired)

n American Indian Heritage Month—Vincent Logan, Special Trustee for American Indians, 

Department of the Interior

n African American History Month—Gregory S. Bell, Author and Director of Speechwriting for the 

U.S. Department of Housing and Urban Development

n Women’s History Month—United States Attorney General Loretta Lynch

n Asian American Pacific Islander Month—Sharon Wong, then Acting Director, Office of Diversity 

and Inclusion, Office of Personnel Management 

n Caribbean American Heritage Month—Claudia Gordon, Chief of Staff, Department of Labor

n Pride Month—Melissa Brand, Civil Rights Attorney, EEOC

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

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

Federal Employee Viewpoint Survey Results by Demographic Groups

The Federal Employee Viewpoint Survey (FEVS) measures employees’ perceptions in a number of 

important areas, including drivers of employee engagement and diversity and inclusion. With respect 

to FEVS rankings published by OPM, the SEC ranked third in OPM’s Global Satisfaction Index, 

and sixth in their Employee Engagement Index among large agencies.7

 Within these indices, the SEC 

scores higher than the government-wide average among employees representing different demographic groups (e.g., gender, race, ethnicity, age groups, and disability status). 

The Partnership for Public Service publishes annually the Best Places to Work (BPTW) in the Federal Government rankings. This year, the SEC ranked sixth out of 27 mid-size agencies,8

 and was 

recognized as the most improved, having had an increase of 7.5 percentage points in the BPTW 

index score. Through improved management practices, the work of EAGs, and collaboration with 

the NTEU Chapter 293, the SEC has been able to positively impact its employees, as demonstrated 

in improvements in the FEVS. For example, in the BPTW rankings, the SEC ranked in the top four 

among employees representing major demographic groups: female (third), male (third), Asian (third), 

Black or African-American (fourth), Hispanic or Latino (second), White (third), Employees with Disabilities (second), and LGBT (fourth). In the past year, the SEC made significant gains in a number of 

areas within the FEVS across all demographic groups.

7 For purposes of FEVS, OPM defines a large agency as one with 800 or more employees or all cabinet-level departments/

agencies (Source: The Keys to Unlocking Engagement: An Analysis of the Conditions that Drive Employee Engagement: 

Technical Report 2016; downloaded on 12/21/2016 from https://www.fedview.opm.gov/2016FILES/Keys_Unlocking_

Engagement.pdf).

8 The Partnership for Public Service defines a mid-size agency as one with at least 1000 and not more than 14,999 employees

(Source: Partnership for Public Service; Best Places to Work; Methodology; accessed on 12/22/2016 from http://bestplacestowork.org/BPTW/about/methodology.php).
22 | 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 classroom-style and 

e-Learning programs and offered an extensive array of learning opportunities in technical areas (e.g., 

courses on Hedge Funds, Mutual Funds, and Credit Derivatives) as well as in leadership development 

to SEC senior leaders and non-supervisory staff alike. 

Senior Officers

SECU developed and delivered leadership seminars to provide Agency Senior Officers leadership best 

practices. Courses included: Emotional Intelligence and Understanding Your Behavior Style; Leadership Communication; Leadership Presence; Coaching Skills for Leaders; and Dynamics of Teams and 

Groups.

SK-17 Managers

SECU offered a new leadership development course for second-level supervisors (managers). The program included 90-minute virtual seminars with best-selling authors and Harvard researchers emphasizing how to lead effectively. Topics included: Unlocking Your Leadership, Results Through Teams, 

Next Level Leadership, and Leader as Coach.

SK-16 Employees

SECU offered leadership training tailored specifically for SK-16s, which provides a unique opportunity for individuals at this senior technical grade level to engage in leading edge professional development with a group of their peers. The program includes an individualized leadership coaching 

component, as well as monthly, in-class workshops focused on providing key pieces of knowledge 

and skills that are critical for success at the SEC. Topics included: Communication Styles, Emotional 

Intelligence, Leading People, Leadership Communication, Leading with the Brain in Mind, and 

Leadership Presence.

Career Development Programs

The SEC offered four career development programs: Women in Leadership, Excellence in Government (EIG) Fellows Program, Aspiring Leaders, and Upward Mobility. The demographic information for employees participating in these programs is presented in Tables A12 and B12.
FISCAL YEAR 2016 | 23

Women in Leadership

The Women in Leadership program is offered under the auspices of the Brookings Institute. Each 

year, the SEC offers managers and staff the opportunity to participate in this leadership development 

program in one of two cohorts. The first cohort is offered to SK-15 and SK-17 supervisors, while the 

second cohort is offered to staff at the SK-14 and SK-16 levels. Through the Women in Leadership

program, individuals from across federal agencies learn how to strengthen leadership qualities and 

explore key elements of senior leadership success while maintaining authenticity and balance. The 

learning objectives of this program include:

n Building self-awareness of workplace behaviors (such as emotional intelligence, resiliency, and 

communication), and implementing self-directed strategies to promote continued leadership 

competency; 

n Promoting effective relationships and network-building; and

n Understanding individual leadership competency strengths and opportunities for development.

Excellence in Government Fellows

The Excellence in Government (EIG) Fellows program, coordinated by the Partnership for Public 

Service, strengthens the leadership skills of experienced federal employees through a combination 

of innovative coursework, best practices benchmarking, challenging action-learning projects, executive coaching, and government-wide networking. During this competitively-based program, Fellows 

remain in their full-time jobs, meet every six weeks, and spend approximately 21 days total in sessions. Fellows also devote up to five hours per week to their results projects. This program is offered 

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

In addition to activities with the Partnership for Public Service, SEC’s EIG Fellows attend facilitated 

cohort meetings at SEC Headquarters to share what they are learning and to explore how this information can be applied to improve organizational performance, workplace relationships, and productivity within the SEC.

Aspiring Leaders

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

leadership and management skills of SEC non-supervisory (SK-13 and SK-14) employees. The learning objectives of the program include:

n Applying critical leadership skills necessary for effective supervision;

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

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

the Federal government; and

n Increasing self-awareness through guided self-assessments and feedback from course instructors.
24 | EEO PROGRAM STATUS REPORT

Upward Mobility

The SEC’s Upward Mobility program is a two-year program for SEC bargaining unit employees. 

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

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

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

Training on EEO, Diversity & Inclusion, and Team Effectiveness

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

n Diversity and Inclusion: Two new courses related to non-conscious bias training and leadership 

diversity listening sessions were developed by SECU and rolled out in FY 2016. Each course discusses the non-conscious processes that affect decision making and the implications those systems 

have. Both courses allow participants to discuss the impact of non-conscious bias in their work 

environment and mitigation strategies.

n American Sign Language: In FY 2016, SECU held an Open House for interested managers and 

staff to encourage enrollment in the American Sign Language (ASL) courses offered – Levels I, II, 

and III – as well as in the Business Writing for Professionals taught in ASL. All of these courses 

were taught by Gallaudet University.

n Fundamentals of Human Resource Management: The two-day in-depth course includes training 

on EEO laws and a detailed overview of human resource management policies and procedures 

and related SEC policies.

n Team Effectiveness: SECU also offers Intact Team training for supervisors/managers and their 

teams through a variety of Team Effectiveness workshops. These workshops are typically two 

to four hours in length, can be taken individually to address a need or to learn about a specific 

topic or as part of a workshop series, or are custom-designed for a team to address their unique 

challenges and opportunities. The Team Effectiveness workshops offered in FY 2016 by the SEC 

included: Communication Styles; Workplace Trust; Achieving Results; Feedback as a Performance 

Tool; Leading People; Team Dynamics; Understanding Your Personality at Work (Workplace 

Big 5 Assessment); DiSC Behavioral Styles; Myers-Briggs Type Indicator; and Vision, Value and 

Future State.
FISCAL YEAR 2016 | 25

CERTIFICATION OF ESTABLISHMENT 

OF CONTINUING EQUAL 

EMPLOYMENT OPPORTUNITY 

PROGRAMS (PART F)
26 | 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 2016

STATEMENT of MODEL PROGRAM 

ESSENTIAL ELEMENT 

DEFICIENCY:

Currently, the SEC has not met the goal of processing 90% of accommodation 

requests within the time frame set forth in the Agency’s procedures for reasonable 

accommodation.

OBJECTIVE: Establish a process that allows the SEC to confirm that 90% of accommodation 

requests are processed in the time frame identified in the SEC’s reasonable 

accommodation procedures. 

RESPONSIBLE OFFICIAL: Lacey Dingman, Chief Human Capital Officer, OHR 

DATE OBJECTIVE INITIATED: October 1, 2016

TARGET DATE FOR 

COMPLETION OF OBJECTIVE:

September 30, 2017

PLANNED ACTIVITIES TOWARD COMPLETION OF OBJECTIVE: TARGET DATE

(Must be specific)

In FY 2017, the Disability Program will enhance automation of the reasonable accommodation 

process to meet the 90% benchmark. The plan is to improve the efficiency and effectiveness 

of the disability accommodation program by improving the technology system and standard 

procedures used to submit, track, and report on requests for accommodation and to maintain 

information about accommodations provided. This system will also allow the Commission 

to assess and analyze trends that occur in the Agency that warrant increased outreach and 

education efforts with managers and/or employees.

September 30, 2017

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

In FY 2016, the Disability Program conducted a business process re-engineering effort to optimize the TMT and RA processes. 
FISCAL YEAR 2016 | 27

PLANS TO ELIMINATE 

IDENTIFIED BARRIER 

(PART I)

EEOC FORM

715-01 

PART I

U.S. Equal Employment Opportunity Commission 

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

U. S. Securities and Exchange Commission FY 2016

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 [senior officer] 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.

In conducting the barrier analysis, OEEO:

• Analyzed workforce demographic data for FY 2011 - 

FY 2015; 

• Conducted 14 focus groups with SEC female supervisors 

and managers at the SK-15, SK-17, and SO levels, 

interviewing a total of 72 female leaders;

• Interviewed subject matter experts in SEC’s OHR and 

OMWI;

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

and promotion of SOs at the SEC and corresponding 

written procedures; (2) Federal Employee Viewpoint 

Survey results for FY 2011 - FY 2015, with particular 

emphasis on responses from female employees; (3) 

female employees’ responses to a survey conducted by a 

vendor in July 2014 regarding promotions at the SEC; (4) 

complaint activity from females at the SK-15, SK-17 and 

SO levels; (5) selection case files (hiring and promotions) 

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

2015; and (6) female candidates’ resumes for SK-15, 

SK-17 and SO positions compared to the resumes of 

successful male candidates;

• Interviewed hiring officials about their experiences with 

female candidates;

• Interviewed females regarding their experiences in the 

hiring and promotions process;

• Reviewed applicant flow data for new hires and 

promotion to SK-15 to SO levels for the period FY 2011 

- FY 2015;

• Analyzed exit surveys for the FY 2012 - FY 2015 period; 

and

• Conducted benchmarking of best practices of 

government and private industry.
28 | EEO PROGRAM STATUS REPORT

STATEMENT OF IDENTIFIED BARRIER: 

Provide a succinct statement of the agency policy, procedure 

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

undesired condition.

As of September 30, 2016, the following areas have been 

identified for continued analysis: 

• The impact of the succession planning process on the 

participation rates of females in SO positions;

• The steps in the process between qualification and 

selection; and

• The impact that any ambiguity in the process for 

promoting SOs to the full performance level may have on 

females.

OBJECTIVE:

State the alternative or revised agency policy, procedure or 

practice to be implemented to correct the undesired condition.

Implement action plans to eliminate any identified barriers.

RESPONSIBLE OFFICIAL: Lacey Dingman, Chief Human Capital Officer, OHR

Pamela Gibbs, Director, OMWI 

Peter Henry, Acting Director, OEEO

DATE OBJECTIVE INITIATED: August 14, 2014

TARGET DATE FOR COMPLETION OF OBJECTIVE: Modified: September 30, 2017, and ongoing

EEOC FORM

715-01 

PART I

EEO Plan To Eliminate Identified Barrier

PLANNED ACTIVITIES TOWARD COMPLETION OF OBJECTIVE: TARGET DATE

(Must be specific)

OEEO will continue to monitor the data that triggered this analysis along with additional 

quantitative and qualitative data. April 13, 2016, and ongoing

OEEO will make just-in-time training available to individuals involved in the hiring process 

regarding the applicable federal EEO laws and principles. September 30, 2017

OHR and OMWI will explore continued enhancements to the SEC’s leadership succession 

program, including additional training opportunities to foster diversity among SEC employees 

preparing for senior level positions.

September 30, 2017

OMWI will continue to implement a recruitment strategy to attract female applicants, including 

Hispanic, Asian, and African American applicants, for leadership positions. OMWI will also hold 

brown bag sessions with female employees to explore career paths at SEC and encourage 

internal candidates to apply for promotion to leadership positions.

September 30, 2017

OHR and OMWI will explore additional opportunities to enhance the diversity of selection 

panels that make recommendations for hiring/promotion and career development programs. September 30, 2017

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

Since 2013, OMWI has leveraged the participation of female SOs as well as other employees for all of its outreach events. OMWI 

will continue to include this as an element of its multi-prong strategy to enhance diversity at the SEC.

OHR developed and implemented a Selection Policy Memorandum setting forth the requirements for screening and interviewing 

job candidates as well as document retention. OHR published the Memorandum on September 26, 2016. 

As of October 31, 2016, and on an ongoing basis, OHR communicated the importance of leaders/managers providing actionable 

feedback to all employees who apply for promotions to SK-15 through SO positions.
FISCAL YEAR 2016 | 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 2016

STATEMENT OF CONDITION THAT WAS A TRIGGER FOR 

A POTENTIAL BARRIER: 

Provide a brief narrative describing the condition at issue.

How was the condition recognized as a potential barrier?

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

SEC workforce, below their representation in the CLF of 4.79%. 

In FY 2014, Hispanic males represented 2.20% of the total SEC 

workforce, below their representation in the CLF of 5.17%.

BARRIER ANALYSIS: 

Provide a description of the steps taken and data analyzed to 

determine cause of the condition.

In conducting the barrier analysis, OEEO:

• Analyzed workforce demographic data from 

• FY 2011 - FY 2015; 

• Interviewed subject matter experts in OHR and OMWI; 

• Reviewed the Agency’s hiring and promotions policies, 

practices, and procedures;

• Reviewed 107 selection case files (for hiring and 

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

half of FY 2015;

• Analyzed applicant flow data for hiring and competitive 

promotions in the SEC’s mission critical occupations;

• Reviewed 2015 Federal Employee Viewpoint Survey 

results and the results of a vendor-conducted survey of 

SEC employees regarding promotion opportunities at the 

Commission;

• Conducted focus groups with 13 Hispanic supervisors and 

managers at the SK-15 and 

• SK-17 levels;

• Interviewed several law school career development 

representatives regarding the pipeline of Hispanic 

students/attorneys;

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

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

the reasons Hispanics were voluntarily separating from 

the Agency; and

• Researched best practices in recruiting and retaining 

Hispanic employees in federal government and private 

industry. 

STATEMENT OF IDENTIFIED BARRIER: 

Provide a succinct statement of the agency policy, procedure 

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

undesired condition.

As of September 30, 2016, the following areas have been 

identified for continued analysis: 

• The root cause(s) of the net increase in the number of 

Hispanic employees in the SEC workforce that began in 

FY 2014;

• The extent to which the increase in Hispanic employees 

is also seen in the participation rate within mission critical 

occupations; and

• The steps in the process between qualification and 

selection.

OBJECTIVE:

State the alternative or revised agency policy, procedure or 

practice to be implemented to correct the undesired condition.

Implement action plans to eliminate any identified barriers.

RESPONSIBLE OFFICIAL: Lacey Dingman, Chief Human Capital Officer, OHR

Pamela Gibbs, Director, OMWI 

Peter Henry, Acting Director, OEEO 

DATE OBJECTIVE INITIATED: August 14, 2014

TARGET DATE FOR COMPLETION OF OBJECTIVE: Modified: September 30, 2017, and ongoing
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)

OEEO will continue to monitor the data that triggered this analysis along with additional 

quantitative and qualitative data. April 13, 2016, and ongoing

OMWI will continue to expand its partnerships with external Hispanic affinity groups and 

professional organizations. OMWI will continue to engage with the SEC’s Hispanic employee 

affinity group, HALO, and work with professional organizations, law schools, graduate schools, 

and colleges/universities with high Hispanic populations. OHR will support OMWI’s outreach 

and recruitment efforts and will include this objective in its 2017 Strategic Recruitment Plan.

September 30, 2017

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

In FY 2014, OMWI introduced specific and targeted outreach to Hispanic professionals. Starting in FY 2014, the net change in 

Hispanic employment at the SEC began to increase. That trend continued in FY 2016. The participation rate of Hispanic males and 

females remains below the corresponding CLF benchmarks.

As part of OMWI’s multi-prong strategy for enhancing diversity, OMWI has engaged HALO in its outreach events. 

OHR developed and implemented a Selection Policy Memorandum setting forth the requirements for screening and interviewing 

job candidates as well as document retention. OHR published the Memorandum on 

September 26, 2016. 
FISCAL YEAR 2016 | 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 2016

STATEMENT OF CONDITION THAT WAS A TRIGGER FOR A 

POTENTIAL BARRIER: 

Provide a brief narrative describing the condition at issue.

How was the condition recognized as a potential barrier?

There is a 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.

In conducting this barrier analysis, OEEO:

• Analyzed applicable workforce demographic data from 

FY 2011 - FY 2015;

• Interviewed subject matter experts in OHR and OMWI;

• Researched and reviewed the law and federally 

mandated hiring and promotions policies, practices, and 

procedures applicable to recruitment and retention of 

PWTD;

• Reviewed the Agency’s hiring and promotions policies, 

practices, and procedures applicable to people with 

disabilities, including PWTD;

• Reviewed the efficiency and effectiveness of the SEC’s 

reasonable accommodation program;

• Reviewed selection case files (hiring and promotions) for 

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

• Reviewed Federal Employee Viewpoint Survey results; 

and

• Interviewed disabled student service SMEs at Gallaudet 

University and Rochester Institute of Technology.

STATEMENT OF IDENTIFIED BARRIER: 

Provide a succinct statement of the agency policy, procedure 

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

undesired condition.

As of September 30, 2016, the following areas have been 

identified for continued analysis: 

• The gaps that may exist in the SEC’s policies relating to 

recruitment, hiring, retaining, or promoting PWTD;

• The impact of relevant portions of the SEC’s FY 2017 

Strategic Recruitment Plan on the participation rate of 

PWTD;

• The impact of the SEC’s Selective Placement Program 

Coordinator’s efforts to increase the participation rate of 

PWTD; and

• The steps in the process between qualification and 

selection.

OBJECTIVE:

State the alternative or revised agency policy, procedure or 

practice to be implemented to correct the undesired condition.

Implement action plans to eliminate any identified barriers.

RESPONSIBLE OFFICIAL: Lacey Dingman, Chief Human Capital Officer, OHR

Peter Henry, Acting Director, OEEO

DATE OBJECTIVE INITIATED: August 14, 2014

TARGET DATE FOR COMPLETION OF OBJECTIVE: Modified: September 30, 2017, and ongoing
32 | EEO PROGRAM STATUS REPORT

EEOC FORM

715-01 

PART I

EEO Plan To Eliminate Identified Barrier

PLANNED ACTIVITIES TOWARD COMPLETION OF OBJECTIVE: TARGET DATE

(Must be specific)

OEEO will continue to monitor the data that triggered this analysis along with additional 

quantitative and qualitative data. April 13, 2016 and ongoing

OHR will include specific action plans to recruit, select, advance, and retain PWTD in its FY

2017 Strategic Recruitment Plan. OHR will monitor compliance with the action plans. September 30, 2017

OHR will explore training available for supervisors and non-supervisory employees regarding 

the treatment of employees with disabilities. September 30, 2017

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

OHR engaged in the following recruitment/outreach initiatives:

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

implement a Disability Hiring Event, which resulted in the direct hire of two persons with disabilities;

• Participated in two Career Fairs: EOP Career Fair and Veterans’ Resource Expo;

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

for students with intellectual and physical disabilities;

• Partnered with SEC’s Disability Interests Advisory Committee to solicit participation in career fairs and leverage their 

professional networks/partnerships with other organizations;

• Explored recruiting strategies among various federal and state rehabilitation centers and affinity groups; and

• Attended and sponsored the New Perspectives training conference. 

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

OHR has completed, and will continue to focus on, the following:

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

hire persons with severe disabilities and the role of managers/supervisors in the recruitment and hiring process;

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

improve recruitment of applicants with disabilities;

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

to hire persons with disabilities;

• Implementing and monitoring compliance with the Agency’s Selection Policy Memorandum outlining the requirements for 

screening and interviewing job candidates (published on September 26, 2016) (It is expected that this new policy and its 

requirements will help the SEC better understand how candidates with targeted disabilities are proceeding through the 

selection process.); and

• Developing and refining its targeted recruitment strategy and performance metrics to measure the effectiveness of the 

Agency’s outreach efforts to applicants with disabilities. 

In FY 2015, the SEC’s PWTD workforce grew at a rate (5.00%) that was just above that of the total workforce (4.84%). In FY 

2016, the PWTD workforce grew at a rate (9.52%) nearly double the rate of growth in the total workforce (5.52%). OEEO will 

continue to monitor PWTD workforce participation for signs of continued or accelerated growth. OEEO also recognizes that 

because of the relatively small size of the PWTD population, small changes in workforce participation can have large impacts on 

the observed rates of change.
FISCAL YEAR 2016 | 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 2016

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 respective OCLF. 

BARRIER ANALYSIS: 

Provide a description of the steps taken and data analyzed to 

determine cause of the condition.

In conducting the barrier analysis, OEEO:

• Reviewed applicant flow data and new hire data for each 

of the major occupations; 

• Analyzed workforce demographic data from FY 2012 - 

FY 2016; 

• Interviewed subject matter experts in the SEC’s OHR 

and OMWI; 

• Reviewed the Agency’s hiring policies and formally 

established procedures;

• Reviewed resumes submitted in response to a total of 

approximately 20 vacancy announcements for Examiner, 

Accountant, and Economist positions; 

• Reviewed EEO complaint activity (FY 2012 - 

• FY 2016) to determine if female applicants perceived 

they had been discriminated against in the SEC’s hiring 

process; and

• Researched best practices in recruiting female applicants 

for employment in the federal government and private 

industry.

STATEMENT OF IDENTIFIED BARRIER: 

Provide a succinct statement of the agency policy, procedure 

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

undesired condition.

No barrier was identified, pending further qualitative and 

quantitative data analysis. 

OBJECTIVE:

State the alternative or revised agency policy, procedure or 

practice to be implemented to correct the undesired condition.

The Agency has not yet determined if any policies, practices, 

or procedures need to be revised.

RESPONSIBLE OFFICIAL: Peter Henry, Acting Director, OEEO

Lacey Dingman, Chief Human Capital Officer, OHR 

Pamela Gibbs, Director, OMWI 

DATE OBJECTIVE INITIATED: December 8, 2014

TARGET DATE FOR COMPLETION OF OBJECTIVE: Modified: March 31, 2018
34 | EEO PROGRAM STATUS REPORT

EEOC FORM

715-01 

PART I

EEO Plan To Eliminate Identified Barrier

PLANNED ACTIVITIES TOWARD COMPLETION OF OBJECTIVE: TARGET DATE

(Must be specific)

Review additional resumes submitted in response to vacancy announcements for the major 

occupations of Accountant, Examiner, and Economist. January 31, 2017

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

implement an action plan to eliminate the identified potential barriers. Modified: March 31, 2018

Monitor implementation of action plans developed to eliminate any potential barriers 

identified. July 31, 2018

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

OEEO analyzed and will continue to analyze, applicant flow data on a quarterly basis. OEEO reviewed relevant written 

policies and established procedures affecting the employment of women, and in particular, the employment of women in major 

occupations.

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

participated in their annual conference hosting a Career Panel. The SEC will continue its partnership with NSCP.

OMWI conducted outreach at colleges/universities with a high population of female students and participated in career and 

branding events to increase the female candidate talent pool. In FY 2016, OMWI participated in career fairs at the following 

colleges/universities with high female student populations: 

• Wellesley College Fair: 2/26/16

• Trinity Washington University On-Campus Recruitment: 4/22/16

• Boston College 2016 Fall Career and Internship Fair: 9/13/16

• Montclair State University Accounting Career Fair: 9/15/16

• Alabama State University Career Fair: 9/29/16
FISCAL YEAR 2016 | 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 2016

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, female attorneys, accountants, examiners, and 

economists received fewer competitive promotions than their 

male counterparts. 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.

The SEC hired a vendor in 2014 to conduct an analysis of 

barriers to promotions at the Commission. This analysis 

concluded at the beginning of FY 2016. The vendor identified 

two potential barriers and provided seven recommendations to 

eliminate the potential barriers.

STATEMENT OF IDENTIFIED BARRIER: 

Provide a succinct statement of the agency policy, procedure 

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

undesired condition.

Potential Barrier 1: Due to employee perceptions regarding 

how management fills positions, employees from certain 

demographic groups applied for promotions at lower rates than 

their comparator group.

Potential Barrier 2: Managers were not completely adhering 

to the Office of Personnel Management’s uniform personnel 

practices and guidelines, potentially resulting in unequal 

treatment of individuals competing for promotions.

OBJECTIVE:

State the alternative or revised agency policy, procedure or 

practice to be implemented to correct the undesired condition.

The vendor recommended the following: 

• Institute workshops for supervisors and selecting officials 

on diversity and inclusion and ways to communicate 

promotional opportunities within the SEC;

• Identify promotional opportunities and actively engage 

employees who have demonstrated skills and aspirations 

outside of the Area of Consideration when promotional 

opportunities arise within the SEC;

• Continue to develop, utilize, implement, and monitor 

policies for recommending training and offering career 

development opportunities to non-selected and/or 

interested employees to increase competitiveness for 

promotions; 

• Implement guidelines for processing promotional actions 

that ensure principles and practices are applied in a 

uniform and consistent manner to promote transparency 

and avoid the appearance of pre-selection;

• Develop cohesive working relationships among the 

Divisions and Offices to promote and underscore 

the importance of following uniform procedures and 

guidelines to create an atmosphere that is as free of 

negative perceptions as possible;

• Publish a set of stand-alone standard operating 

procedures for promotions and disseminate when 

upcoming promotional opportunities become available; 

and 

• Improve the transparency of promotion procedures by 

taking steps to address employees’ perceptions that 

promotions are based on favoritism or other non-merit 

factors.

RESPONSIBLE OFFICIAL: Lacey Dingman, Chief Human Capital Officer, OHR 

Pamela Gibbs, Director, OMWI

Peter Henry, Acting Director, OEEO

DATE OBJECTIVE INITIATED: December 8, 2014

TARGET DATE FOR COMPLETION OF OBJECTIVE: Modified: September 30, 2017, and ongoing
36 | 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)

OEEO will make just-in-time training available to individuals 

involved in the hiring process regarding the applicable federal 

EEO laws and principles. 

September 30, 2017

Monitor results of responsive actions taken. Modified: September 30, 2017

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

As of November 24, 2015, and ongoing, the SEC had taken the following steps addressing the vendor’s recommendations:

1. Annual mandatory training for all management on Merit Promotion Principles as well as EEO and Diversity and Inclusion 

topics;

2. Formation of the Diversity Council – with representatives from across the SEC, including Commissioners’ offices, the 

Chair’s Office, OHR, OMWI, and OEEO;

3. Incorporation of a diversity and inclusion standard in all management’s performance work plans;

4. Regular and recurring meetings between Divisions/Offices and OHR/OMWI/OEEO to identify and address any diversity 

and EEO issues at the Commission;

5. Standardized the selection process for key mission critical positions (i.e., Enforcement Attorneys, NEP Examiners, and 

SOs);

6. Launch of the Hiring Toolkit – a guide to best practices for selecting candidates at the SEC, for all SEC positions;

7. Launch of the Career Horizons Employee Development Center nationwide;

8. Establishment of the enhanced Upward Mobility program, in collaboration with NTEU Chapter 293;

9. Creation of three key programs to further develop employees: Aspiring Leaders, Excellence in Government Fellows, and 

the Women in Leadership programs;

10. Through the auspices of the Employee Affinity Groups (e.g., the Women’s Committee, the Asian Pacific American 

Committee, the African American Council), delivered various workshops/programs focused on career development; and

11. Complete review of the hiring practices at the SEC and implementation of all recommended enhancements to the process 

(e.g., hiring checklist, accountability program, peer audit, and service level agreements).

As of September 30, 2016, and ongoing, the SEC implemented a number of initiatives responsive to the vendor’s 

recommendations that included the following:

1. Developing an enhanced communication plan to further educate SEC employees on available promotion opportunities and 

resources to assist them with the promotion process. Continuing to establish standardized selection tools for key mission 

critical positions;

2. Establishing additional training opportunities for management on the hiring process;

3. Requiring additional information from hiring managers on the selection process;

4. Enhancing OHR recordkeeping by completing the transition to electronic case files;

5. Continuing to evaluate applicant flow data to determine progress towards removing the potential barriers;

6. Creating the MyCareer@SEC career pathing website to assist employees with opportunities for promotion;

7. Increasing the use of the Hiring Toolkit by management to utilize selection best practices;

8. Enhancing the use of the Individual Development Plan to assist employees with potential development opportunities;

9. Expanding the area of consideration on appropriate hiring announcements to allow for the broadest applicant pool;

10. Maintaining the active participation of OEEO and OMWI in the development and implementation of the Agency’s Human 

Capital Strategy; and

11. Working with NTEU, the Diversity Council, employees, and managers in support of efforts to promote equality of 

opportunity and diversity at the Agency.
FISCAL YEAR 2016 | 37

EEOC FORM

715-01 

PART I

U.S. Equal Employment Opportunity Commission

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

U. S. Securities and Exchange Commission FY 2016

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, females were given more time-off awards than 

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

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

than females. For cash awards of $501+, males received an 

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

$1,422. Members of some minority groups received lower cash 

awards compared to other demographic groups.

Cash awards for individuals with disabilities were, on average, 

$1,120. 

BARRIER ANALYSIS: 

Provide a description of the steps taken and data analyzed to 

determine cause of the condition.

In conducting the barrier analysis, OEEO:

• Reviewed Employee Recognition and Awards data;

• Reviewed awards data from Federal Personnel Payroll 

System, Agency-wide as well as by Divisions/Offices; 

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

Office of Financial Management; 

• Reviewed the Agency’s awards and recognition written 

policies and established procedures;

• Reviewed Federal Employee Viewpoint Survey results 

related to recognition and awards; and

• Reviewed EEO complaint activity (FY 2012 - FY 2016) 

to determine if employees had complained about 

inequitable treatment with regards to the distribution of 

time-off and cash awards.

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 for this trigger and the SEC is 

conducting 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.

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: Peter Henry, Acting Director, OEEO

Lacey Dingman, Chief Human Capital Officer, OHR 

DATE OBJECTIVE INITIATED: December 8, 2014

TARGET DATE FOR COMPLETION OF OBJECTIVE: Modified: December 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)

Conduct in-depth analysis of employee recognition and awards. December 31, 2017

Begin overseeing implementation of any recommendations 

resulting from the barrier analysis on employee recognition and 

awards and monitor results.

Modified: April 30, 2018

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

In FY 2015, OHR updated its guidance on the parameters to be used by management when developing both monetary and timeoff 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. 

In FY 2016, OEEO: (1) identified existing policies and established procedures regarding awards and developed a project plan 

for research to identify any barriers to equality of opportunity in the distribution of time-off and cash awards and (2) started an indepth analysis of the distribution of awards to employees.
38 | EEO PROGRAM STATUS REPORT

EEOC FORM

715-01 

PART I

U.S. Equal Employment Opportunity Commission

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

U. S. Securities and Exchange Commission FY 2016

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, female accountants at the SEC, and in particular, 

White female accountants, had participation rates lower than 

the Occupational CLF (over 16 percentage points). The White 

female accountant CLF is 44.23%, whereas White females 

comprised 27.52% of the SEC’s accountants. 

BARRIER ANALYSIS: 

Provide a description of the steps taken and data analyzed to 

determine cause of the condition.

In conducting the barrier analysis, OEEO:

• Reviewed participation rates for women in the total 

workforce and in each of the major occupations;

• Analyzed workforce demographic data from FY 2012 -FY 

2016; 

• Interviewed subject matter experts in OHR and OMWI; 

• Reviewed the Agency’s hiring policies and formally 

established procedures;

• Reviewed resumes submitted in response to 

approximately eight vacancy announcements for 

Accountant positions; 

• Analyzed applicant flow data for Accountant hiring;

• Reviewed EEO complaint activity (FY 2012 - FY 2016) to 

determine if female accountants perceived they had been 

discriminated against in the SEC’s hiring process; and

• Researched best practices in recruiting female 

accountants for employment in the federal government 

and private industry.

STATEMENT OF IDENTIFIED BARRIER:

Provide a succinct statement of the agency policy, procedure 

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

undesired condition.

No barrier has been identified, pending further 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 

yet determined if any policies, procedures or practices need to 

be revised.

RESPONSIBLE OFFICIAL: Peter Henry, Acting Director, OEEO

Lacey Dingman, Chief Human Capital Officer, OHR 

Pamela Gibbs, Director, OMWI

DATE OBJECTIVE INITIATED: September 30, 2010

TARGET DATE FOR COMPLETION OF OBJECTIVE: Modified: September 30, 2018
FISCAL YEAR 2016 | 39

EEOC FORM

715-01 

PART I

EEO Plan To Eliminate Identified Barrier

PLANNED ACTIVITIES TOWARD COMPLETION OF OBJECTIVE: TARGET DATE

(Must be specific)

Review written policies and formally established procedures affecting the employment of 

females, and in particular, the employment of females in Accountant positions. Modified: April 30, 2017

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

plan to eliminate the identified barriers. Modified: September 30, 2018

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

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

OMWI conducted outreach at colleges/universities with a high population of female students and participated in career and 

branding events to increase the female candidate talent pool. At three of these schools, OMWI focused on the universities’ 

accounting programs to attract a strong female accounting talent pool. In FY 2016, OMWI participated in the following career fairs 

at colleges/universities with high female student populations:

• Wellesley College Fair: 2/26/16

• Trinity Washington University On-Campus Recruitment: 4/22/16

• Boston College 2016 Fall Career and Internship Fair: 9/13/16

• Montclair State University Accounting Career Fair: 9/15/16

• Alabama State University Career Fair: 9/29/16
40 | 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 2016

STATEMENT OF CONDITION THAT WAS A TRIGGER FOR 

A POTENTIAL BARRIER: 

Provide a brief narrative describing the condition at issue.

How was the condition recognized as a potential barrier?

Male attorneys at the SEC had participation rates lower than 

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

Male attorneys comprised 66.70% of the Occupational CLF 

and 57.60% of the SEC’s major occupation category.

BARRIER ANALYSIS:

Provide a description of the steps taken and data analyzed to 

determine cause of the condition.

In conducting the barrier analysis, OEEO:

• Reviewed participation rates for men in the total 

workforce and in the attorney occupation;

• Analyzed workforce demographic data from 

• FY 2012 - FY 2016; 

• Began reviewing the Agency’s hiring policies and formally 

established procedures; and

• Analyzed available applicant flow data for Attorney hiring.

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 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: Peter Henry, Acting Director, OEEO 

Lacey Dingman, Chief Human Capital Officer, OHR 

DATE OBJECTIVE INITIATED: September 30, 2010

TARGET DATE FOR COMPLETION OF OBJECTIVE: Modified: January 31, 2019

EEOC FORM

715-01 

PART I

EEO Plan To Eliminate Identified Barrier

PLANNED ACTIVITIES TOWARD COMPLETION OF OBJECTIVE: TARGET DATE

(Must be specific)

Complete project plan for research to explore any barriers to equal opportunity for men in the 

attorney occupation. March 31, 2017

REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

The SEC analyzed, and will continue to analyze applicant flow data on a quarterly basis and began reviewing relevant written 

policies and established procedures related to the employment of male attorneys.
FISCAL YEAR 2016 | 41

SPECIAL PROGRAM PLAN FOR 

THE RECRUITMENT, HIRING, AND 

ADVANCEMENT OF INDIVIDUALS 

WITH TARGETED DISABILITIES

(PART J)

EEOC FORM

715-01 

PART J

U.S. Equal Employment Opportunity Commission

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT

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

Targeted Disabilities

PART I

Department 

or Agency 

Information

1. Agency 1. Securities and Exchange Commission

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

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

PART II

Employment 

Trend and 

Special 

Recruitment 

for Individuals 

With Targeted 

Disabilities

Enter Actual Number 

at the ...

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

Number % Number % Number Rate of 

Change

Total Workforce 4440 100.00% 4685 100.00% 245 5.52%

Reportable Disability 247 5.56% 292 6.23% 45 18.22%

Targeted Disability* 42 0.95% 46 0.98% 4 9.52%

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

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

1. Total Number of Applications Received From Persons With Targeted 

Disabilities during the reporting period.

505

2. Total Number of Selections of Individuals with Targeted Disabilities

during the reporting period.

3

PART III Participation Rates In Agency Employment Programs

Other Employment/Personnel 

Programs

TOTAL Reportable 

Disability

Targeted 

Disability

Not 

Identified

No Disability

# % # % # % # %

3. Competitive Promotions for major 

occupations

125 0 0 0 0 2 1.60 123 98.40

4. Non-Competitive Promotions 443 28 6.32 6 1.35 38 8.58 377 85.10

5. Employee Career Development 

Programs

76 3 3.95 0 0.00 6 7.89 67 88.16

5.a. Grades 5 - 12 * 0 0.00 0 0.00 * * * *

5.b. Grades 13 - 14 58 * * 0 0.00 * * 50 86.21

5.c. Grade 15-17/SO 16 0 0.00 0 0 0 0 16 100.00

6. Employee Recognition and Awards

6.a. Time-Off Awards (Total hours 

awarded for 9+ hours category)

1007 50 4.97 6 0.60 52 5.16 905 89.87

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

$501+ category)

3666 173 4.72 20 0.55 176 4.80 3317 90.48

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

* Data has been redacted to protect individual privacy.
42 | EEO PROGRAM STATUS REPORT

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

OHR for submission to the EEOC. 

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 

To improve its outreach to veterans, the SEC participated in Vets on 

Wall Street and Boots to Suits. The SEC also addressed professional 

veteran-focused organizations and veterans’ hiring events. 

3. Attend/Sponsor 

recruitment events.

Market SEC to applicants 

with disabilities. 

In FY 2016, the SEC attended the Careers & the Disabled Magazine’s 

Career Expo and Gallaudet University’s Career Fair. These events 

allowed the SEC to reach a key constituency and promote a variety of 

positions.

The SEC also hosted an Informational and Networking Event for 

Individuals with Disabilities at SEC Headquarters. The event provided 

guests the opportunity to learn more about the SEC’s mission, hear 

about the Agency’s benefits and reasonable accommodations, and 

network with SEC hiring managers. The SEC plans to continue these 

efforts in 2017.

4. Participate in 

Workforce Recruitment 

Program (WRP).

Identify eligible candidates 

from WRP database for 

vacant positions.

The 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 hosted on 

the Office of Management 

and Budget’s (OMB) MAX 

collaboration website.9

The SPPC sourced potential candidates for open positions from the 

OPM’s Shared List of People with Disabilities. 

 9 The OMB MAX website is found here: https://max.omb.gov/maxportal/home.do.
FISCAL YEAR 2016 | 43

6. Talk to hiring managers 

about hiring flexibilities, 

including Schedule 

A before vacancy 

announcements are 

posted.

Managers encouraged 

to hire applicants with 

targeted disabilities 

OHR continued to address special hiring authorities, including Schedule 

A, in conversations with hiring managers. A checklist is used by OHR 

Staffing Specialists when vacant positions are identified to ensure hiring 

managers understand all their options for filling positions, including using 

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

In FY 2017, the SEC plans to expand Brown Bag sessions for hiring 

managers focused on the benefits of the Schedule A hiring process.

7. Maintain 

relationships with 

Disability Employment 

focused organizations 

sponsored by the federal 

government.

Current information to aid 

in Selective Placement 

Program recruiting and 

disability hiring

The SPPC is registered to receive notifications and newsletters from 

the following groups and transmits information to OHR staff engaged in 

recruiting:

• EARN – Employer Assistance Resource Network: 

http://askearn.org

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

• ODEP – Office of Disability Employment Policy, DOL: 

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

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

Action Items Key Deliverables/Output Narrative Description

1. Review and revise 

SEC policy for disabled 

veteran hiring.

Updated SEC policy The policy for disabled veteran hiring is under its scheduled biannual 

revision, which will be completed in FY 2017.

2. Monitor use of special 

hiring authorities in 

relation to hiring goals. 

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

Chief Operating Officer publishes metrics for disability hiring.

4. Attend meetings of 

SEC affinity groups with 

interests related to hiring 

and promoting persons 

with disabilities. 

Information is 

communicated and shared 

among SEC employees 

and affinity groups related 

to employment initiatives 

focusing on individuals with 

disabilities.

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

the Veterans Committee.

E. REASONABLE ACCOMMODATION POLICIES AND PROCEDURES

Action Items Key Deliverables/Output Narrative Description

1. Provide mandatory 

training to all managers 

and supervisors on 

their responsibilities for 

providing reasonable 

accommodations 

to employees with 

disabilities.

Managers and 

supervisors meeting 

their responsibilities and 

appropriately referring 

employees to OHR’s 

Disability Program 

for information and 

accommodations

In FY 2016, new SEC managers participated in mandatory training 

regarding the reasonable accommodation process as part of the LD 307 

Fundamentals of Human Resource Management training. 

F. EXTERNAL AND INTERNAL COMMUNICATION OF AGENCY POLICIES AND PROCEDURES

Action Items Key Deliverables/Output Narrative Description

1. Develop improved 

communications strategy.

Accessible information for 

SEC employees related to 

employment at the SEC 

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

employees with information about hiring, compensation and benefits, 

employee development, performance management, and disability 

accommodations among a number of topics. In addition, all employees 

receive a daily communication, SEC Today, which highlights important 

information about events and opportunities for details, training, and SEC 

staff accomplishments. The Chief Human Capital Officer is an active 

member of the SEC Veterans Committee, which hosts a website that 

includes information concerning veterans’ benefits, to include a link to 

the Feds Hire Vets website that highlights special hiring authorities for 

veterans. 

2. Make more information 

about the disability 

employment program 

available on SEC’s public 

website and USAJOBs 

postings.

Accessible information 

for members of the public 

and job applicants related 

to the SEC’s Disability 

Employment Program 

Information about the SEC’s 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/. 
44 | EEO PROGRAM STATUS REPORT

G. TRAINING AND EDUCATION

Action Items Key Deliverables/Output Narrative Description

1. Train all managers 

about special hiring 

authorities for persons 

with severe disabilities 

under Schedule A. 

Integrate disability 

employment information 

into in-depth training for 

new supervisors.

Knowledgeable managers 

supporting efforts to 

increase hiring rate of 

employees with targeted 

disabilities

All new managers attend the Leadership Development 307 course, 

Fundamentals of HR Management, which highlights special hiring 

authorities, including Schedule A, and requests for reasonable 

accommodation. 

2. Provide onsite 

instruction for ASL and 

cultural awareness 

for interested SEC 

employees and 

managers.

Improved social and 

workplace communications 

between deaf and hearing 

employees 

In FY 2016, the SEC University (SECU) held an Open House for 

interested employees and managers to encourage enrollment in the 

American Sign Language I, II, III and Business Writing for Professionals 

taught in ASL. SECU also made a presentation to the DIAC employee 

group to highlight these ASL training courses offered by Gallaudet 

University.

3. Train new employees 

about disability 

accommodations 

and related Work Life 

programs and benefits.

New employees are 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 in the New Employee 

Handbook.
FISCAL YEAR 2016 | 45

EQUAL EMPLOYMENT 

OPPORTUNITY POLICY Equal Employment 

Opportunity Policy

Our success in accomplishing the SEC’s mission of protecting investors, maintaining 

fair, orderly, and efficient markets, and facilitating capital formation depends on you 

and your commitment to being fully engaged in what we do. As Chair of the SEC, I 

am committed to providing you with a work environment that helps to achieve this 

goal—a work environment that is respectful, inclusive, and allows you to contribute to the best 

of your ability.

For this reason and because it is the right thing to do, we must all strongly support our nation’s 

equal employment opportunity (EEO) laws. These laws apply to the SEC’s personnel policies, 

practices, and procedures, including but not limited to: recruitment, hiring, promotion, separation, 

performance evaluation, training and career development, assignment of duties, details, 

reassignment, compensation, awards, and benefits. EEO laws protect all employees, applicants 

for employment, and former employees from discrimination on the basis of race, color, sex 

(which is not limited to conduct that is sexual in nature and includes pregnancy, gender identity, 

sexual orientation, and transgender status), age, religion, national origin, disability, or genetic 

information. 

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

EEO process; and/or (2) oppose employment practices which are perceived as discriminatory 

in the workplace. We can all contribute to making the SEC a model EEO employer by ensuring 

that discrimination, harassment, and retaliation are simply not tolerated. We must also seek to 

resolve workplace disputes at the earliest opportunity; to do otherwise would undermine the 

collegial and respectful environment that we expect at the SEC.

All employees must fully participate in investigations into allegations of discrimination, harassment 

and/or retaliation. Managers and supervisors must also participate in the alternative dispute 

resolution program for resolving EEO allegations, Conflict2Resolution (C2R), when the use of 

C2R is approved by the EEO Director.

If you believe you have been subjected to discrimination, harassment, or retaliation in violation 

of federal EEO laws or SEC policy, please contact the Office of Equal Employment Opportunity 

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

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

You can reach OEEO by telephone (202) 551-6040, fax (202) 772-9316, or in person (SPIII, Suite 

2900) to allege discrimination and/or obtain additional information regarding your EEO rights 

and responsibilities. TTY users should call the Federal Relay Service at (800) 877-8339 to be 

connected with OEEO. OEEO’s webpage on The INSIDER provides additional information.

Thank you for your continued efforts to make the promise of equal employment opportunity a reality.

MARY JO WHITE

DATE

November 28, 2016
46 | EEO PROGRAM STATUS REPORT

POLICY ON PREVENTING 

HARASSMENT (PPH) Policy on Preventing 

Harassment (PPH)

As Chair of the SEC, I am committed to providing you with a work environment that is respectful, inclusive, and allows you 

to deliver maximum performance in support of the SEC’s mission. Harassment is absolutely prohibited because it is wrong, 

negatively impacts our collegial work environment, and undermines our mission.

The SEC prohibits harassment on each of the following equal employment opportunity (EEO) bases: race, color, sex (which is not 

limited to conduct that is sexual in nature and includes pregnancy, gender identity, sexual orientation, and transgender status), age, 

religion, national origin, disability, genetic information, or in retaliation for engaging in protected EEO activity. Harassing conduct 

against or by any employee, intern, contractor, or applicant for employment has no place at the SEC and will not be tolerated.

The SEC will address and put an immediate end to conduct—whether verbal, written, or physical—of which it is aware that is 

offensive (i.e., degrading, derogatory, or demeaning) or unwelcome on any EEO basis before it becomes severe or pervasive 

or otherwise rises to the level of illegal harassment. EEO-based harassment may be illegal where: (1) enduring the conduct is a 

condition of continued employment or is the basis of a decision affecting the terms, conditions, or privileges of employment; or 

(2) the conduct is sufficiently severe or pervasive to create a hostile work environment. Lack of intent to offend or harass does not 

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

that harassment has occurred.

Among other things, the PPH prohibits the use of SEC equipment or networks to access or distribute material that is offensive on 

any of the bases listed above, including, but not limited to, sexually explicit, pornographic, sexist, racist, or homophobic material, 

or material that is offensive to a religious belief. Unwelcome sexual advances, requests for sexual favors, and other verbal or 

physical harassment of a sexual nature should never occur at the SEC. In addition, some personal relationships (romantic or 

otherwise) involving SEC employees—particularly between managers/supervisors and their subordinates—may raise EEO-based 

harassment concerns. Such relationships may create perceptions of favoritism by other employees that lead to allegations of an 

EEO-based hostile work environment. Consensual relationships, once they end, may also give rise to claims that the relationships 

were not consensual or that continued overtures have become offensive or unwelcome. A supervisor who has a romantic or sexual 

relationship with a subordinate employee or an applicant when the supervisor has a role in the selection process must notify his or 

her supervisor immediately.

The PPH applies in places where SEC employees, interns, and on-site contractors work, and at SEC-sanctioned activities and 

events, including those outside of the workplace. The PPH prohibits the use of social media (e.g., Twitter, Tumblr, Facebook, 

LinkedIn, Instagram, FLICKR, etc.) to engage in harassment covered by this policy.

Reporting Harassment

Those who believe they are victims of harassment, or are otherwise aware of conduct that is offensive or unwelcome on an EEO 

basis, are encouraged to report the conduct immediately, preferably within three business days from the date of the alleged 

incident, to the Office of EEO (OEEO) and/or any SEC manager/supervisor.

To report harassment or to obtain more information on the SEC’s PPH, EEO Policy, or other EEO-related matters, please contact 

OEEO by telephone (202) 551-6040, fax (202) 772-9316, or in person (SPIII, Suite 2900). OEEO will accept and process anonymous 

allegations to the extent possible. Additional information is also available on OEEO’s webpage on The INSIDER. TTY users should 

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

Reporting Responsibility of Managers/Supervisors

Managers/supervisors must immediately contact OEEO upon learning of conduct that might be inconsistent with the PPH. Failure 

to do so may result in disciplinary or other corrective action.

OEEO’s Responsibility

OEEO, in coordination with management and/or the Office of Human Resources, as appropriate, will conduct a prompt, thorough, 

and impartial inquiry into conduct that may violate the PPH. All SEC employees must fully participate in any such inquiry. As part 

of its inquiry: (1) the rights and obligations under the PPH will be explained to the involved parties and (2) the behavior considered 

objectionable will be explained to the alleged harasser and he/she will be instructed to stop the behavior immediately. 

Retaliation Prohibited

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

into alleged harassing conduct.

PPH Inquiry/EEO Complaint

An harassment inquiry conducted pursuant to the PPH is separate from, and may be conducted at the same time as, a related 

EEO complaint processed under Equal Employment Opportunity Commission regulations set forth in 29 C.F.R. Pt. 1614. An inquiry 

under the PPH process does not satisfy an individual’s responsibility to initiate EEO counseling within 45 days of an act of alleged 

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

Confidentiality

Information provided to SEC officials in connection with an harassment inquiry conducted pursuant to the PPH will be kept 

confidential to the extent possible and will be shared only on a need-to-know basis or as required by law. Unauthorized 

disclosure of confidential information may result in disciplinary action.

Thank you for your continued efforts to make the SEC a workplace that is inclusive, respectful, and free of harassment.

November 28, 2016

DATE MARY JO WHITE
FISCAL YEAR 2016 | 47

FISCAL YEAR 2016 462 REPORT

The SEC previously submitted the FY 2016 462 Report to the EEOC.
48 | EEO PROGRAM STATUS REPORT
FISCAL YEAR 2016 | 49

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 

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

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

Five Divisions

n Corporation Finance

n Enforcement

n Investment Management

n Economic and Risk Analysis

n Trading and Markets

Twenty-four Offices

n Acquisitions

n Administrative Law Judges

n Chair

n Chief Accountant

n Chief Operating Officer

n Compliance Inspections and Examinations

n Credit Ratings

n Equal Employment Opportunity

n Ethics Counsel

n Financial Management

n General Counsel

n Human Resources

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

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

n Information Technology

n Inspector General

n International Affairs

n Investor Advocate

n Investor Education and Advocacy

n Legislative and Intergovernmental Affairs

n Minority and Women Inclusion

n Municipal Securities

n Public Affairs

n Secretary

n Strategic Initiatives

n Support Operations
50 | EEO PROGRAM STATUS REPORT

San Francisco

Los Angeles

Denver

Salt Lake City

Fort Worth

Miami

Atlanta

Chicago

Boston

New York

Philadelphia

Washington, DC

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

HEADQUARTERS AND REGIONAL OFFICES
FISCAL YEAR 2016 | 51

SEC ORGANIZATION CHART

Trading &

Markets

Commissioner Commissioner Chairman Office of the Chairman Commissioner Commissioner

Enforcement

General

Counsel

Inspector

General

International

Affairs

Investor

Advocate

Investor

Education &

Advocacy

Minority &

Women

Inclusion

Acquisitions

Atlanta

Regional Office

Boston

Regional Office

Chicago

Regional Office

Denver

Regional Office

Fort Worth

Regional Office

Los Angeles

Regional Office

Miami

Regional Office

New York

Regional Office

Philadelphia

Regional Office

Salt Lake

Regional Office

San Francisco

Regional Office

Financial

Management

Human

Resources

Information

Technology

Support

Operations

Municipal

Securities

Public

Affairs Secretary Legislative & Inter-Governmental Affairs

Corporation

Finance

Investment

Management

Economic &

Risk Analysis

Administrative

Law Judges

Chief

Accountant

Credit

Ratings

Chief

Operating

Officer

Equal

Employment

Opportunity

Ethics

Counsel

Compliance

Inspections &

Examinations

Strategic

 Initiatives
52 | EEO PROGRAM STATUS REPORT
FISCAL YEAR 2016 | 53

WORKFORCE DATA TABLES

Table A1: TOTAL WORKFORCE–DISTRIBUTION BY RACE/ETHNICITY AND SEX–PAY PERIOD 201521 TO 201621

Employment Tenure TOTAL WORKFORCE

RACE/ETHNICITY

Hispanic or Latino

Non-Hispanic or Latino

White

Black or African American Asian

Native Hawaiian or Other Pacific Islander

American Indian or Alaska Native 

Two or more races

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

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

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

Current FY # 4685 2537 2148 133 115 1868 1217 230 517 288 275 1 4 13 6 4 14

% 100% 54.15% 45.85% 2.84% 2.45% 39.87% 25.98% 4.91% 11.04% 6.15% 5.87% 0.02% 0.09% 0.28% 0.13% 0.09% 0.30%

CLF (2010) % 1 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 # 245 135 110 17 8 76 58 8 17 32 29 0 0 1 0 1 -2

Ratio Change % 0.00% 0.05% -0.05% 0.23% 0.04% -0.49% -0.13% -0.09% -0.23% 0.38% 0.33% 0.00% 0.00% 0.01% -0.01% 0.02% -0.06%

Net Change % 5.52% 5.62% 5.40% 14.66% 7.48% 4.24% 5.00% 3.60% 3.40% 12.50% 11.79% 0.00% 0.00% 8.33% 0.00% 33.33% -12.50%

PERMANENT

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

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

Current FY # 4582 2473 2109 132 111 1829 1199 222 512 272 266 1 2 13 6 4 13

% 100% 53.97% 46.03% 2.88% 2.42% 39.92% 26.17% 4.85% 11.17% 5.94% 5.81% 0.02% 0.04% 0.28% 0.13% 0.09% 0.28%

Difference # 272 152 120 20 8 88 60 7 21 35 33 0 0 1 0 1 -2

Ratio Change % 0.00% 0.12% -0.12% 0.28% 0.03% -0.48% -0.26% -0.14% -0.22% 0.44% 0.40% 0.00% 0.00% 0.01% -0.01% 0.02% -0.06%

Net Change % 6.31% 6.55% 6.03% 17.86% 7.77% 5.05% 5.27% 3.26% 4.28% 14.77% 14.16% 0.00% 0.00% 8.33% 0.00% 33.33% -13.33%

TEMPORARY

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

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

Current FY # 103 64 39 1 4 39 18 8 5 16 9 0 2 0 0 0 1

% 100% 62.14% 37.86% 0.97% 3.88% 37.86% 17.48% 7.77% 4.85% 15.53% 8.74% 0.00% 1.94% 0.00% 0.00% 0.00% 0.97%

Difference # -27 -17 -10 -3 0 -12 -2 1 -4 -3 -4 0 0 0 0 0 0

Ratio Change % 0.00% -0.17% 0.17% -2.11% 0.81% -1.37% 2.09% 2.38% -2.07% 0.92% -1.26% 0.00% 0.40% 0.00% 0.00% 0.00% 0.20%

Net Change % -20.77% -20.99% -20.41% -75.00% 0.00% -23.53% -10.00% 14.29% -44.44% -15.79% -30.77% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

NOTE: Total calculations shown may not match that derived from detail data presented due to rounding. Source: Datamart EEO 715 Application for pay period 201621, downloaded on 11/07/2016.
54 | EEO PROGRAM STATUS REPORT Table A-2: REGIONAL OFFICES AND DIVISIONS–DISTRIBUTION BY RACE/ETHNICITY AND SEX PERMANENT WORKFORCE–PAY PERIOD 201621 PERMANENT EMPLOYEES TOTAL EMPLOYEES RACE/ETHNICITY Hispanic or Latino Non-Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or more races All male female male female male female male female male female male female male female male female TOTAL FY # 4582 2473 2109 132 111 1829 1199 222 512 272 266 1 2 13 6 4 13

% 100% 53.97% 46.03% 2.88% 2.42% 39.92% 26.17% 4.85% 11.17% 5.94% 5.81% 0.02% 0.04% 0.28% 0.13% 0.09% 0.28%

CLF (2010)

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

HQ # 2920 1537 1383 70 57 1108 751 165 396 180 164 1 2 10 4 3 9

% 100% 52.64% 47.36% 2.40% 1.95% 37.95% 25.72% 5.65% 13.56% 6.16% 5.62% 0.03% 0.07% 0.34% 0.14% 0.10% 0.31%

NYRO # 404 224 180 14 14 175 110 7 29 27 26 0 0 1 0 0 1

% 100% 55.45% 44.55% 3.47% 3.47% 43.32% 27.23% 1.73% 7.18% 6.68% 6.44% 0.00% 0.00% 0.25% 0.00% 0.00% 0.25%

CHRO # 239 140 99 5 7 122 57 6 25 7 10 0 0 0 0 0 0

% 100% 58.58% 41.42% 2.09% 2.93% 51.05% 23.85% 2.51% 10.46% 2.93% 4.18% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

LARO # 167 87 80 8 7 52 39 4 13 23 21 0 0 0 0 0 0

% 100% 52.10% 47.90% 4.79% 4.19% 31.14% 23.35% 2.40% 7.78% 13.77% 12.57% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

BRO # 151 84 67 2 0 70 51 4 5 7 11 0 0 0 0 1 0

% 100% 55.63% 44.37% 1.32% 0.00% 46.36% 33.77% 2.65% 3.31% 4.64% 7.28% 0.00% 0.00% 0.00% 0.00% 0.66% 0.00%

PLRO # 136 79 57 3 3 59 42 11 10 6 2 0 0 0 0 0 0

% 100% 58.09% 41.91% 2.21% 2.21% 43.38% 30.88% 8.09% 7.35% 4.41% 1.47% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

FWRO # 121 69 52 4 3 56 43 6 4 3 1 0 0 0 0 0 1

% 100% 57.02% 42.98% 3.31% 2.48% 46.28% 35.54% 4.96% 3.31% 2.48% 0.83% 0.00% 0.00% 0.00% 0.00% 0.00% 0.83%

SFRO # 124 64 60 4 2 42 30 3 5 14 20 0 0 1 1 0 2

% 100% 51.61% 48.39% 3.23% 1.61% 33.87% 24.19% 2.42% 4.03% 11.29% 16.13% 0.00% 0.00% 0.81% 0.81% 0.00% 1.61%

ARO # 103 64 39 4 1 48 18 11 18 1 1 0 0 0 1 0 0

% 100% 62.14% 37.86% 3.88% 0.97% 46.60% 17.48% 10.68% 17.48% 0.97% 0.97% 0.00% 0.00% 0.00% 0.97% 0.00% 0.00%

MIRO # 101 61 40 18 12 38 16 3 7 2 5 0 0 0 0 0 0

% 100% 60.40% 39.60% 17.82% 11.88% 37.62% 15.84% 2.97% 6.93% 1.98% 4.95% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

DRO # 99 55 44 0 4 52 37 0 0 2 3 0 0 1 0 0 0

% 100% 55.56% 44.44% 0.00% 4.04% 52.53% 37.37% 0.00% 0.00% 2.02% 3.03% 0.00% 0.00% 1.01% 0.00% 0.00% 0.00%

SLRO # 17 9 8 0 1 7 5 2 0 0 2 0 0 0 0 0 0

100% 52.94% 47.06% 0.00% 5.88% 41.18% 29.41% 11.76% 0.00% 0.00% 11.76% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

NOTE: Total calculations shown may not match that derived from detail data presented due to rounding. Source: Datamart EEO 715 Application for pay period 201621, downloaded on 11/07/2016.
FISCAL YEAR 2016 | 55

Table A3-1: OCCUPATIONAL CATEGORIES–DISTRIBUTION BY RACE/ETHNICITY AND SEXPERMANENT WORKFORCE–PAY PERIOD 201621

Occupational Categories

TOTAL EMPLOYEES

RACE/ETHNICITY

Hispanic or Latino

Non-Hispanic or Latino

White

Black or African American Asian

Native Hawaiian or Other Pacific Islander

American Indian or Alaska Native Two or more races

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

Officials and Managers

Executive/Senior Level # 142 89 53 3 0 80 43 3 4 3 5 0 1 0 0 0 0

% 100% 62.68% 37.32% 2.11% 0.00% 56.34% 30.28% 2.11% 2.82% 2.11% 3.52% 0.00% 0.70% 0.00% 0.00% 0.00% 0.00%

Mid-level 

# 403 234 169 10 4 199 125 11 20 14 19 0 0 0 0 0 1% 100% 58.06% 41.94% 2.48% 0.99% 49.38% 31.02% 2.73% 4.96% 3.47% 4.71% 0.00% 0.00% 0.00% 0.00% 0.00% 0.25%

First-Level # 358 234 124 16 4 171 73 16 30 26 17 1 0 4 0 0 0

% 100% 65.36% 34.64% 4.47% 1.12% 47.77% 20.39% 4.47% 8.38% 7.26% 4.75% 0.28% 0.00% 1.12% 0.00% 0.00% 0.00%

Other

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

Officials and Managers TOTAL

# 908 560 348 29 8 452 243 30 54 44 41 1 1 4 0 0 1

% 100% 61.67% 38.33% 3.19% 0.88% 49.78% 26.76% 3.30% 5.95% 4.85% 4.52% 0.11% 0.11% 0.44% 0.00% 0.00% 0.11%

Professionals - Program Work

# 2585 1453 1132 70 63 1145 757 90 120 142 181 0 1 4 4 2 6

% 100% 56.21% 43.79% 2.71% 2.44% 44.29% 29.28% 3.48% 4.64% 5.49% 7.00% 0.00% 0.04% 0.15% 0.15% 0.08% 0.23%

Professionals - Business / Financial Administration

# 939 430 509 32 33 219 174 86 257 86 37 0 0 5 2 2 6% 100% 45.79% 54.21% 3.41% 3.51% 23.32% 18.53% 9.16% 27.37% 9.16% 3.94% 0.00% 0.00% 0.53% 0.21% 0.21% 0.64%

Administrative Support Workers

# 150 30 120 1 7 13 25 16 81 0 7 0 0 0 0 0 0

% 100% 20.00% 80.00% 0.67% 4.67% 8.67% 16.67% 10.67% 54.00% 0.00% 4.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

NOTE: Total calculations shown may not match that derived from detail data presented due to rounding. Source: Datamart EEO 715 Application for pay period 201621, downloaded on 11/07/2016.
56 | EEO PROGRAM STATUS REPORT Table A3-2: OCCUPATIONAL CATEGORIES–DISTRIBUTION BY RACE/ETHNICITY AND SEX PERMANENT WORKFORCE–PAY PERIOD 201621 Occupational Categories TOTAL EMPLOYEES RACE/ETHNICITY Hispanic or Latino Non-Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or more races All male female male female male female male female male female male female male female male female Officials and Managers Executive/Senior Level # 142 89 53 3 0 80 43 3 4 3 5 0 1 0 0 0 0

% 3.10% 3.60% 2.51% 2.27% 0.00% 4.37% 3.59% 1.35% 0.78% 1.10% 1.88% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00%

Mid-level 

# 403 234 169 10 4 199 125 11 20 14 19 0 0 0 0 0 1

% 8.80% 9.46% 8.01% 7.58% 3.60% 10.88% 10.43% 4.95% 3.91% 5.15% 7.14% 0.00% 0.00% 0.00% 0.00% 0.00% 7.69%

First-Level # 358 234 124 16 4 171 73 16 30 26 17 1 0 4 0 0 0

% 7.81% 9.46% 5.88% 12.12% 3.60% 9.35% 6.09% 7.21% 5.86% 9.56% 6.39% 100% 0.00% 30.77% 0.00% 0.00% 0.00%

Other

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

% 0.11% 0.12% 0.09% 0.00% 0.00% 0.11% 0.17% 0.00% 0.00% 0.37% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Officials and Managers TOTAL

# 908 560 348 29 8 452 243 30 54 44 41 1 1 4 0 0 1

% 19.82% 22.64% 16.50% 21.97% 7.21% 24.71% 20.27% 13.51% 10.55% 16.18% 15.41% 100% 50.00% 30.77% 0.00% 0.00% 7.69%

Professionals - Program Work

# 2585 1453 1132 70 63 1145 757 90 120 142 181 0 1 4 4 2 6

% 56.42% 58.75% 53.67% 53.03% 56.76% 62.60% 63.14% 40.54% 23.44% 52.21% 68.05% 0.00% 50.00% 30.77% 66.67% 50.00% 46.15%

Professionals - Business / Financial Administration

# 939 430 509 32 33 219 174 86 257 86 37 0 0 5 2 2 6

%

20.49% 17.39% 24.13% 24.24% 29.73% 11.97% 14.51% 38.74% 50.20% 31.62% 13.91% 0.00% 0.00% 38.46% 33.33% 50.00% 46.15%

Administrative Support Workers

# 150 30 120 1 7 13 25 16 81 0 7 0 0 0 0 0 0

% 3.27% 1.21% 5.69% 0.76% 6.31% 0.71% 2.09% 7.21% 15.82% 0.00% 2.63% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Total Workforce # 4582 2473 2109 132 111 1829 1199 222 512 272 266 1 2 13 6 4 13

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

NOTES: Percentages computed down columns and NOT across rows.Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart EEO 715 Application for pay period 201621, downloaded on 11/07/2016.
FISCAL YEAR 2016 | 57

Table A4-1: PARTICIPATION RATES WITHIN GRADES BY RACE/ETHNICITY AND SEX–PERMANENT EMPLOYEES–PAY PERIOD 201621

SK, SO, AND RELATED GRADES

TOTAL EMPLOYEES

RACE/ETHNICITY

Hispanic or Latino

Non-Hispanic or Latino

White

Black or African American Asian

Native Hawaiian or Other Pacific Islander

American Indian or Alaska Native Two or more races

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

SK-02 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 % 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% 0.00% 0.00% 0.00% 0.00%

SK-03 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 % 100.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-04 # 4 2 2 0 0 1 0 1 2 0 0 0 0 0 0 0 0 % 100.00% 50.00% 50.00% 0.00% 0.00% 25.00% 0.00% 25.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-05 # 3 1 2 0 0 0 1 1 1 0 0 0 0 0 0 0 0 % 100.00% 33.33% 66.67% 0.00% 0.00% 0.00% 33.33% 33.33% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-06 # 10 3 7 0 0 2 1 1 6 0 0 0 0 0 0 0 0 % 100.00% 30.00% 70.00% 0.00% 0.00% 20.00% 10.00% 10.00% 60.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-07 # 74 14 60 1 5 5 10 8 40 0 5 0 0 0 0 0 0 % 100.00% 18.92% 81.08% 1.35% 6.76% 6.76% 13.51% 10.81% 54.05% 0.00% 6.76% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-08 # 21 0 21 0 1 0 3 0 16 0 1 0 0 0 0 0 0 % 100.00% 0.00% 100.00% 0.00% 4.76% 0.00% 14.29% 0.00% 76.19% 0.00% 4.76% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-09 # 79 25 54 3 3 12 10 8 38 1 1 0 0 0 0 1 2 % 100.00% 31.65% 68.35% 3.80% 3.80% 15.19% 12.66% 10.13% 48.10% 1.27% 1.27% 0.00% 0.00% 0.00% 0.00% 1.27% 2.53%

SK-10 # 2 0 2 0 0 0 1 0 1 0 0 0 0 0 0 0 0 % 100.00% 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 # 158 57 101 6 11 34 36 12 46 5 8 0 0 0 0 0 0 % 100.00% 36.08% 63.92% 3.80% 6.96% 21.52% 22.78% 7.59% 29.11% 3.16% 5.06% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-12 # 288 108 180 7 10 62 67 26 82 12 18 0 0 1 1 0 2 % 100.00% 37.50% 62.50% 2.43% 3.47% 21.53% 23.26% 9.03% 28.47% 4.17% 6.25% 0.00% 0.00% 0.35% 0.35% 0.00% 0.69%

SK-13 # 446 217 229 14 10 124 103 40 86 35 29 0 0 3 1 1 0 % 100.00% 48.65% 51.35% 3.14% 2.24% 27.80% 23.09% 8.97% 19.28% 7.85% 6.50% 0.00% 0.00% 0.67% 0.22% 0.22% 0.00%

SK-14 # 2071 1158 913 59 57 871 579 84 125 140 142 0 0 3 2 1 8 % 100.00% 55.92% 44.08% 2.85% 2.75% 42.06% 27.96% 4.06% 6.04% 6.76% 6.86% 0.00% 0.00% 0.14% 0.10% 0.05% 0.39%

SK-15 # 364 245 119 17 4 182 73 15 27 26 15 1 0 4 0 0 0 % 100.00% 67.31% 32.69% 4.67% 1.10% 50.00% 20.05% 4.12% 7.42% 7.14% 4.12% 0.27% 0.00% 1.10% 0.00% 0.00% 0.00%

SK-16 # 515 315 200 12 6 253 148 12 19 35 24 0 1 2 2 1 0 % 100.00% 61.17% 38.83% 2.33% 1.17% 49.13% 28.74% 2.33% 3.69% 6.80% 4.66% 0.00% 0.19% 0.39% 0.39% 0.19% 0.00%

SK-17 # 400 236 164 10 4 201 122 11 19 14 18 0 0 0 0 0 1 % 100.00% 59.00% 41.00% 2.50% 1.00% 50.25% 30.50% 2.75% 4.75% 3.50% 4.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.25%

All other(Non-SK, NonSO) 

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

%

100.00% 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 # 142 89 53 3 0 80 43 3 4 3 5 0 1 0 0 0 0 % 100.00% 62.68% 37.32% 2.11% 0.00% 56.34% 30.28% 2.11% 2.82% 2.11% 3.52% 0.00% 0.70% 0.00% 0.00% 0.00% 0.00%

NOTE: Total calculations shown may not match that derived from detail data presented due to rounding. Source: Datamart EEO 715 Application for pay period 201621, downloaded on 11/07/2016.
58 | EEO PROGRAM STATUS REPORT Table A4-1: PARTICIPATION RATES WITHIN GRADES BY RACE/ETHNICITY AND SEX–TEMPORARY EMPLOYEES–PAY PERIOD 201621 SK, SO, AND RELATED GRADES TOTAL EMPLOYEES RACE/ETHNICITY Hispanic or Latino Non-Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or more races All male female male female male female male female male female male female male female male female SK-02 # 1 0 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0

% 100.00% 0.00% 100.00% 0.00% 0.00% 0.00% 100.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-03 # 2 2 0 0 0 2 0 0 0 0 0 0 0 0 0 0 0

% 100.00% 100.00% 0.00% 0.00% 0.00% 100.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-04 # 4 2 2 0 0 1 0 1 1 0 1 0 0 0 0 0 0

% 100.00% 50.00% 50.00% 0.00% 0.00% 25.00% 0.00% 25.00% 25.00% 0.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-05 # 6 4 2 0 0 1 0 3 2 0 0 0 0 0 0 0 0

% 100.00% 66.67% 33.33% 0.00% 0.00% 16.67% 0.00% 50.00% 33.33% 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

% 100.00% 0.00% 0.00% 0.00% 0.00% 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 # 3 1 2 0 0 0 0 0 0 1 1 0 0 0 0 0 1

% 100.00% 33.33% 66.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 33.33% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 33.33%

SK-08 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 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% 0.00% 0.00% 0.00% 0.00%

SK-09 # 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0

% 100.00% 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-10 # 1 0 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0

% 100.00% 0.00% 100.00% 0.00% 0.00% 0.00% 100.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-11 # 8 4 4 0 1 2 1 1 1 1 1 0 0 0 0 0 0

% 100.00% 50.00% 50.00% 0.00% 12.50% 25.00% 12.50% 12.50% 12.50% 12.50% 12.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-12 # 4 2 2 0 1 2 1 0 0 0 0 0 0 0 0 0 0

% 100.00% 50.00% 50.00% 0.00% 25.00% 50.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-13 # 2 0 2 0 0 0 0 0 1 0 1 0 0 0 0 0 0

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

SK-14 # 28 19 9 0 0 9 6 1 0 9 3 0 0 0 0 0 0

% 100.00% 67.86% 32.14% 0.00% 0.00% 32.14% 21.43% 3.57% 0.00% 32.14% 10.71% 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

% 100.00% 0.00% 0.00% 0.00% 0.00% 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 # 27 18 9 0 1 13 5 1 0 4 2 0 1 0 0 0 0

% 100.00% 66.67% 33.33% 0.00% 3.70% 48.15% 18.52% 3.70% 0.00% 14.81% 7.41% 0.00% 3.70% 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

% 100.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

All other(Non-SK, Non-SO) 

# 9 7 2 1 0 4 2 1 0 1 0 0 0 0 0 0 0

% 100.00% 77.78% 22.22% 11.11% 0.00% 44.44% 22.22% 11.11% 0.00% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Senior Officer # 7 5 2 0 0 5 1 0 0 0 0 0 1 0 0 0 0

% 100.00% 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%

NOTE: Total calculations shown may not match that derived from detail data presented due to rounding. Source: Datamart EEO 715 Application for pay period 201621, downloaded on 11/07/2016.
FISCAL YEAR 2016 | 59

Table A4-2: PARTICIPATION RATES WITHIN GRADES BY RACE/ETHNICITY AND SEXPERMANENT WORKFORCE–PAY PERIOD 201621

SK, SO, AND RELATED GRADES

TOTAL EMPLOYEES

RACE/ETHNICITY

Hispanic or Latino

Non-Hispanic or Latino

White

Black or African American Asian

Native Hawaiian or Other Pacific Islander

American Indian or Alaska Native 

Two or more races

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

SK-02 # 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-03 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 % 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-04 # 4 2 2 0 0 1 0 1 2 0 0 0 0 0 0 0 0 % 0.09% 0.08% 0.09% 0.00% 0.00% 0.05% 0.00% 0.45% 0.39% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-05 # 3 1 2 0 0 0 1 1 1 0 0 0 0 0 0 0 0 % 0.07% 0.04% 0.09% 0.00% 0.00% 0.00% 0.08% 0.45% 0.20% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-06 # 10 3 7 0 0 2 1 1 6 0 0 0 0 0 0 0 0 % 0.22% 0.12% 0.33% 0.00% 0.00% 0.11% 0.08% 0.45% 1.17% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-07 # 74 14 60 1 5 5 10 8 40 0 5 0 0 0 0 0 0 % 1.62% 0.57% 2.84% 0.76% 4.50% 0.27% 0.83% 3.60% 7.81% 0.00% 1.88% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-08 # 21 0 21 0 1 0 3 0 16 0 1 0 0 0 0 0 0 % 0.46% 0.00% 1.00% 0.00% 0.90% 0.00% 0.25% 0.00% 3.13% 0.00% 0.38% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-09 # 79 25 54 3 3 12 10 8 38 1 1 0 0 0 0 1 2 % 1.72% 1.01% 2.56% 2.27% 2.70% 0.66% 0.83% 3.60% 7.42% 0.37% 0.38% 0.00% 0.00% 0.00% 0.00% 25.00% 15.38%

SK-10 # 2 0 2 0 0 0 1 0 1 0 0 0 0 0 0 0 0 % 0.04% 0.00% 0.09% 0.00% 0.00% 0.00% 0.08% 0.00% 0.20% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-11 # 158 57 101 6 11 34 36 12 46 5 8 0 0 0 0 0 0 % 3.45% 2.30% 4.79% 4.55% 9.91% 1.86% 3.00% 5.41% 8.98% 1.84% 3.01% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-12 # 288 108 180 7 10 62 67 26 82 12 18 0 0 1 1 0 2 % 6.29% 4.37% 8.53% 5.30% 9.01% 3.39% 5.59% 11.71% 16.02% 4.41% 6.77% 0.00% 0.00% 7.69% 16.67% 0.00% 15.38%

SK-13 # 446 217 229 14 10 124 103 40 86 35 29 0 0 3 1 1 0 % 9.73% 8.77% 10.86% 10.61% 9.01% 6.78% 8.59% 18.02% 16.80% 12.87% 10.90% 0.00% 0.00% 23.08% 16.67% 25.00% 0.00%SK-14 # 2071 1158 913 59 57 871 579 84 125 140 142 0 0 3 2 1 8 % 45.20% 46.83% 43.29% 44.70% 51.35% 47.62% 48.29% 37.84% 24.41% 51.47% 53.38% 0.00% 0.00% 23.08% 33.33% 25.00% 61.54%

SK-15 # 364 245 119 17 4 182 73 15 27 26 15 1 0 4 0 0 0 % 7.94% 9.91% 5.64% 12.88% 3.60% 9.95% 6.09% 6.76% 5.27% 9.56% 5.64% 100.00% 0.00% 30.77% 0.00% 0.00% 0.00%

SK-16 # 515 315 200 12 6 253 148 12 19 35 24 0 1 2 2 1 0 % 11.24% 12.74% 9.48% 9.09% 5.41% 13.83% 12.34% 5.41% 3.71% 12.87% 9.02% 0.00% 50.00% 15.38% 33.33% 25.00% 0.00%SK-17 # 400 236 164 10 4 201 122 11 19 14 18 0 0 0 0 0 1 % 8.73% 9.54% 7.78% 7.58% 3.60% 10.99% 10.18% 4.95% 3.71% 5.15% 6.77% 0.00% 0.00% 0.00% 0.00% 0.00% 7.69%

All other (Non-SK, Non-SO) 

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

% 0.11% 0.12% 0.09% 0.00% 0.00% 0.11% 0.17% 0.00% 0.00% 0.37% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Senior Officer # 142 89 53 3 0 80 43 3 4 3 5 0 1 0 0 0 0 % 3.10% 3.60% 2.51% 2.27% 0.00% 4.37% 3.59% 1.35% 0.78% 1.10% 1.88% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00%

TOTAL # 4582 2473 2109 132 111 1829 1199 222 512 272 266 1 2 13 6 4 13 % 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00%

NOTES: Percentages computed down columns and NOT across rows. Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart EEO 715 Application for pay period 201621, downloaded on 11/07/2016.
60 | EEO PROGRAM STATUS REPORT Table A4-2: PARTICIPATION RATES WITHIN GRADES BY RACE/ETHNICITY AND SEX TEMPORARY WORKFORCE–PAY PERIOD 201621 SK, SO, AND RELATED GRADES TOTAL EMPLOYEES RACE/ETHNICITY Hispanic or Latino Non-Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or more races All male female male female male female male female male female male female male female male female SK-02 # 1 0 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0

% 0.97% 0.00% 2.56% 0.00% 0.00% 0.00% 5.56% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-03 # 2 2 0 0 0 2 0 0 0 0 0 0 0 0 0 0 0

% 1.94% 3.13% 0.00% 0.00% 0.00% 5.13% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-04 # 4 2 2 0 0 1 0 1 1 0 1 0 0 0 0 0 0

% 3.88% 3.13% 5.13% 0.00% 0.00% 2.56% 0.00% 12.50% 20.00% 0.00% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-05 # 6 4 2 0 0 1 0 3 2 0 0 0 0 0 0 0 0

% 5.83% 6.25% 5.13% 0.00% 0.00% 2.56% 0.00% 37.50% 40.00% 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

% 0.00% 0.00% 0.00% 0.00% 0.00% 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 # 3 1 2 0 0 0 0 0 0 1 1 0 0 0 0 0 1

% 2.91% 1.56% 5.13% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 6.25% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 100.00%

SK-08 # 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-09 # 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0

% 0.97% 0.00% 2.56% 0.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-10 # 1 0 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0

% 0.97% 0.00% 2.56% 0.00% 0.00% 0.00% 5.56% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-11 # 8 4 4 0 1 2 1 1 1 1 1 0 0 0 0 0 0

% 7.77% 6.25% 10.26% 0.00% 25.00% 5.13% 5.56% 12.50% 20.00% 6.25% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-12 # 4 2 2 0 1 2 1 0 0 0 0 0 0 0 0 0 0

% 3.88% 3.13% 5.13% 0.00% 25.00% 5.13% 5.56% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-13 # 2 0 2 0 0 0 0 0 1 0 1 0 0 0 0 0 0

% 1.94% 0.00% 5.13% 0.00% 0.00% 0.00% 0.00% 0.00% 20.00% 0.00% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

SK-14 # 28 19 9 0 0 9 6 1 0 9 3 0 0 0 0 0 0

% 27.18% 29.69% 23.08% 0.00% 0.00% 23.08% 33.33% 12.50% 0.00% 56.25% 33.33% 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 # 27 18 9 0 1 13 5 1 0 4 2 0 1 0 0 0 0

% 26.21% 28.13% 23.08% 0.00% 25.00% 33.33% 27.78% 12.50% 0.00% 25.00% 22.22% 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, Non-SO)

# 9 7 2 1 0 4 2 1 0 1 0 0 0 0 0 0 0

% 8.74% 10.94% 5.13% 100.00% 0.00% 10.26% 11.11% 12.50% 0.00% 6.25% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Senior Officer # 7 5 2 0 0 5 1 0 0 0 0 0 1 0 0 0 0

% 6.80% 7.81% 5.13% 0.00% 0.00% 12.82% 5.56% 0.00% 0.00% 0.00% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00%

TOTAL # 103 64 39 1 4 39 18 8 5 16 9 0 2 0 0 0 1

% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00% 100.00%

NOTE: Percentages computed down columns and NOT across rows. Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart EEO 715 Application for pay period 201621, downloaded on 11/07/2016.
FISCAL YEAR 2016 | 61

Table A6: PARTICIPATION RATES FOR MAJOR OCCUPATIONS–DISTRIBUTION BY RACE/ETHNICITY AND SEXPERMANENT WORKFORCE–PAY PERIOD 201621

Job Title/Series

TOTAL EMPLOYEES

RACE/ETHNICITY

Hispanic or Latino

Non-Hispanic or Latino

White

Black or African American Asian

Native Hawaiian or Other Pacific Islander

American Indian or Alaska Native 

Two or more races

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

0110 Economist

# 98 70 28 2 3 53 15 4 0 10 10 0 0 1 0 0 0

% 100% 71.43% 28.57% 2.04% 3.06% 54.08% 15.31% 4.08% 0.00% 10.20% 10.20% 0.00% 0.00% 1.02% 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

# 940 532 408 29 28 414 256 34 49 53 71 0 0 2 1 0 3

% 100% 56.60% 43.40% 3.09% 2.98% 44.04% 27.23% 3.62% 5.21% 5.64% 7.55% 0.00% 0.00% 0.21% 0.11% 0.00% 0.32%

Occupational CLF 100% 39.91% 60.09% 2.19% 3.93% 31.79% 44.23% 2.49% 5.66% 3.06% 5.49% 0.02% 0.06% 0.19% 0.43% 0.17% 0.29%

0905 General Attorney 

# 1954 1091 863 43 36 899 628 57 79 88 114 0 1 3 3 1 2

% 100% 55.83% 44.17% 2.20% 1.84% 46.01% 32.14% 2.92% 4.04% 4.50% 5.83% 0.00% 0.05% 0.15% 0.15% 0.05% 0.10%

Occupational CLF 100% 66.70% 33.30% 2.52% 1.85% 59.68% 26.68% 2.13% 2.60% 1.82% 1.74% 0.02% 0.01% 0.31% 0.23% 0.22% 0.18%

1831 Securities Compliance Examining

# 290 196 94 17 2 142 54 10 17 26 20 0 0 0 0 1 1

% 100% 67.59% 32.41% 5.86% 0.69% 48.97% 18.62% 3.45% 5.86% 8.97% 6.90% 0.00% 0.00% 0.00% 0.00% 0.34% 0.34%

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%

NOTE: Total calculations shown may not match that derived from detail data presented due to rounding. Source: Datamart EEO 715 Application for pay period 201621, downloaded on 11/07/2016.
62 | EEO PROGRAM STATUS REPORT Table A6: PARTICIPATION RATES FOR MAJOR OCCUPATIONS–DISTRIBUTION BY RACE/ETHNICITY AND SEX TEMPORARY WORKFORCE–PAY PERIOD 201621 Job Title/Series TOTAL EMPLOYEES RACE/ETHNICITY Hispanic or Latino Non-Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or more races All male female male female male female male female male female male female male female male female 0110 Economist

# 20 14 6 1 0 8 3 0 0 5 3 0 0 0 0 0 0

% 100% 70.00% 30.00% 5.00% 0.00% 40.00% 15.00% 0.00% 0.00% 25.00% 15.00% 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

# 14 8 6 0 1 6 4 0 0 2 1 0 0 0 0 0 0

% 100% 57.14% 42.86% 0.00% 7.14% 42.86% 28.57% 0.00% 0.00% 14.29% 7.14% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Occupational CLF 100% 39.91% 60.09% 2.19% 3.93% 31.79% 44.23% 2.49% 5.66% 3.06% 5.49% 0.02% 0.06% 0.19% 0.43% 0.17% 0.29%

0905 General Attorney 

# 12 8 4 0 0 7 2 1 0 0 1 0 1 0 0 0 0

% 100% 66.67% 33.33% 0.00% 0.00% 58.33% 16.67% 8.33% 0.00% 0.00% 8.33% 0.00% 8.33% 0.00% 0.00% 0.00% 0.00%

Occupational CLF 100% 66.70% 33.30% 2.52% 1.85% 59.68% 26.68% 2.13% 2.60% 1.82% 1.74% 0.02% 0.01% 0.31% 0.23% 0.22% 0.18%

1831 Securities Compliance Examining

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

% 100% 100.00% 0.00% 0.00% 0.00% 40.00% 0.00% 0.00% 0.00% 60.00% 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%

NOTE: Total calculations shown may not match that derived from detail data presented due to rounding. Source: Datamart EEO 715 Application for pay period 201621, downloaded on 11/07/2016.
FISCAL YEAR 2016 | 63

Table A7: APPLICANT FLOW DATA FOR MAJOR OCCUPATIONS BY RACE/ETHNICITY AND SEX CLOSING DATES IN FY 2016 (10/01/2015 THROUGH 09/30/2016)

TOTAL*

RACE/ETHNICITY

Hispanic or Latino

Non-Hispanic or Latino

White

Black or African American Asian

Native Hawaiian or Other Pacific Islander

American Indian or Alaska Native Two or more races

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

Job Title/Series: Economist (0110) In FY 2016, 22 economists were selected. Total Received # 299

Voluntarily Identified

# 177 125 52 13 5 74 22 16 10 21 13 0 0 1 2 0 0

% 100% 70.62% 29.38% 7.34% 2.82% 41.81% 12.43% 9.04% 5.65% 11.86% 7.34% 0.00% 0.00% 0.56% 1.13% 0.00% 0.00%

Qualified of those Identified

# 104 75 29 7 3 42 15 12 7 13 4 0 0 1 0 0 0

% 100% 72.12% 27.88% 6.73% 2.88% 40.38% 14.42% 11.54% 6.73% 12.50% 3.85% 0.00% 0.00% 0.96% 0.00% 0.00% 0.00%

Selected of those Identified

# 11 8 3 0 0 5 1 2 1 0 1 0 0 1 0 0 0

%

100% 72.73% 27.27% 0.00% 0.00% 45.45% 9.09% 18.18% 9.09% 0.00% 9.09% 0.00% 0.00% 9.09% 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%

Job Title/Series: General Attorney (0905) In FY 2016, 146 attorneys were selected.Total Received # 9299

Voluntarily Identified

# 5509 3338 2171 376 229 2010 989 468 542 352 348 22 7 51 29 59 27

% 100% 60.59% 39.41% 6.83% 4.16% 36.49% 17.95% 8.50% 9.84% 6.39% 6.32% 0.40% 0.13% 0.93% 0.53% 1.07% 0.49%

Qualified of those Identified

# 4188 2529 1659 266 156 1563 784 320 384 278 287 20 4 32 25 50 19

% 100% 60.39% 39.61% 6.35% 3.72% 37.32% 18.72% 7.64% 9.17% 6.64% 6.85% 0.48% 0.10% 0.76% 0.60% 1.19% 0.45%

Selected of those Identified

# 86 41 45 2 2 32 35 1 2 6 6 0 0 0 0 0 0

% 100% 47.67% 52.33% 2.33% 2.33% 37.21% 40.70% 1.16% 2.33% 6.98% 6.98% 0.00% 0.00% 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%

*This table contains data for both permanent and temporary positions.NOTE: Total calculations shown may not match that derived from detail data presented due to rounding. Source: USAStaffing Applicant Flow Certificate Data, downloaded on 11/07/2016.
64 | EEO PROGRAM STATUS REPORT Table A7: APPLICANT FLOW DATA FOR MAJOR OCCUPATIONS BY RACE/ETHNICITY AND SEX CLOSING DATES IN FY 2016 (10/01/2015 THROUGH 09/30/2016) Continued TOTAL RACE/ETHNICITY Hispanic or Latino Non-Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or more races All male female male female male female male female male female male female male female male female Job Title/Series: Accounting (0510) In FY 2016, 27 accountants were selected. Total Received # 1456 Voluntarily Identified

# 908 499 409 76 50 213 105 121 182 80 64 0 0 0 0 9 8

% 100% 54.96% 45.04% 8.37% 5.51% 23.46% 11.56% 13.33% 20.04% 8.81% 7.05% 0.00% 0.00% 0.00% 0.00% 0.99% 0.88%

Qualified of those Identified

# 398 242 156 35 23 115 48 49 60 36 21 0 0 0 0 7 4

% 100% 60.80% 39.20% 8.79% 5.78% 28.89% 12.06% 12.31% 15.08% 9.05% 5.28% 0.00% 0.00% 0.00% 0.00% 1.76% 1.01%

Selected of those Identified

# 17 11 6 1 0 8 5 1 0 1 1 0 0 0 0 0 0

% 100% 64.71% 35.29% 5.88% 0.00% 47.06% 29.41% 5.88% 0.00% 5.88% 5.88% 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 2016, 37 examiners were selected. Total Received # 3225

Voluntarily Identified

# 1901 1215 686 210 159 567 194 273 268 145 60 8 0 4 0 8 5

% 100% 63.91% 36.09% 11.05% 8.36% 29.83% 10.21% 14.36% 14.10% 7.63% 3.16% 0.42% 0.00% 0.21% 0.00% 0.42% 0.26%

Qualified of those Identified

# 1225 733 492 123 103 352 150 157 188 83 47 6 0 4 0 8 4

% 100% 59.84% 40.16% 10.04% 8.41% 28.73% 12.24% 12.82% 15.35% 6.78% 3.84% 0.49% 0.00% 0.33% 0.00% 0.65% 0.33%

Selected of those Identified

# 19 11 8 2 0 4 2 1 3 4 3 0 0 0 0 0 0

% 100% 57.89% 42.11% 10.53% 0.00% 21.05% 10.53% 5.26% 15.79% 21.05% 15.79% 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%

*This table contains data for both permanent and temporary positions.NOTE: Total calculations shown may not match that derived from detail data presented due to rounding. Source: USAStaffing Applicant Flow Certificate Data, downloaded on 11/07/2016.
FISCAL YEAR 2016 | 65

Table A8: NEW HIRES BY TYPE OF APPOINTMENT–DISTRIBUTION BY RACE/ETHNICITY AND SEX FY 2016 (10/01/2015 THROUGH 09/30/2016)

Employment Tenure

TOTAL 

RACE/ETHNICITY

Hispanic or Latino

Non-Hispanic or Latino

White

Black or African American Asian

Native Hawaiian or Other Pacific Islander

American Indian or Alaska Native 

Two or more races

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

Permanent

# 400 218 182 17 7 145 104 20 33 34 37 0 0 1 1 1 0

% 100% 54.50% 45.50% 4.25% 1.75% 36.25% 26.00% 5.00% 8.25% 8.50% 9.25% 0.00% 0.00% 0.25% 0.25% 0.25% 0.00%

Temporary

# 44 28 16 2 3 17 8 3 1 6 3 0 0 0 0 0 1

% 100% 63.64% 36.36% 4.55% 6.82% 38.64% 18.18% 6.82% 2.27% 13.64% 6.82% 0.00% 0.00% 0.00% 0.00% 0.00% 2.27%

TOTAL

# 444 246 198 19 10 162 112 23 34 40 40 0 0 1 1 1 1

% 100% 55.41% 44.59% 4.28% 2.25% 36.49% 25.23% 5.18% 7.66% 9.01% 9.01% 0.00% 0.00% 0.23% 0.23% 0.23% 0.23%

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%

NOTE: Total calculations shown may not match that derived from detail data presented due to rounding. Source: Datamart EEO 715 Application for pay period 201621, downloaded on 11/07/2016.
66 | EEO PROGRAM STATUS REPORT Table A9: SELECTIONS FOR INTERNAL COMPETITIVE PROMOTIONS FOR MAJOR OCCUPATIONS BY RACE/ETHNICITY AND SEX–FY 2016 (10/01/2015 THROUGH 09/30/2016) TOTAL RACE/ETHNICITY Hispanic or Latino Non-Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or more races All male female male female male female male female male female male female male female male female Job Title/Series: Economist (0110) Total Applications Received # 9 6 3 0 0 6 2 0 0 0 1 0 0 0 0 0 0 % 100.00% 66.67% 33.33% 0.00% 0.00% 66.67% 22.22% 0.00% 0.00% 0.00% 11.11% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% Qualified # 8 5 3 0 0 5 2 0 0 0 1 0 0 0 0 0 0 % 100.00% 62.50% 37.50% 0.00% 0.00% 62.50% 25.00% 0.00% 0.00% 0.00% 12.50% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected

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

% 100.00% 40.00% 60.00% 0.00% 0.00% 40.00% 40.00% 0.00% 0.00% 0.00% 20.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Relevant Applicant Pool* % 100.00% 70.00% 30.00% 0.00% 3.33% 51.67% 10.00% 0.00% 0.00% 18.33% 16.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Job Title/Series: General Attorney (0905)Total Applications Received

# 652 410 242 22 13 325 160 34 23 26 41 0 0 3 5 0 0

% 100.00% 62.88% 37.12% 3.37% 1.99% 49.85% 24.54% 5.21% 3.53% 3.99% 6.29% 0.00% 0.00% 0.46% 0.77% 0.00% 0.00%

Qualified

# 577 364 213 21 10 293 144 31 18 16 36 0 0 3 5 0 0

% 100.00% 63.08% 36.92% 3.64% 1.73% 50.78% 24.96% 5.37% 3.12% 2.77% 6.24% 0.00% 0.00% 0.52% 0.87% 0.00% 0.00%

Selected

# 76 40 36 2 2 33 26 1 3 4 5 0 0 0 0 0 0

% 100.00% 52.63% 47.37% 2.63% 2.63% 43.42% 34.21% 1.32% 3.95% 5.26% 6.58% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Relevant Applicant Pool % 100.00% 55.33% 44.67% 2.16% 2.09% 44.92% 31.85% 3.20% 4.25% 4.81% 6.10% 0.00% 0.06% 0.18% 0.18% 0.06% 0.12%

*”Relevant Applicant Pool” = all employees in the next lower pay grade and in all series that qualify them for the position announced.

NOTE: Total calculations shown may not match that derived from detail data presented due to rounding. Source: Datamart for pay period 201621, downloaded on 11/07/2016.
FISCAL YEAR 2016 | 67

Table A9: SELECTIONS FOR INTERNAL COMPETITIVE PROMOTIONS FOR MAJOR OCCUPATIONS BY RACE/ETHNICITY AND SEX–FY 2016 (10/01/2015 THROUGH 09/30/2016) Continued

TOTAL

RACE/ETHNICITY

Hispanic or Latino

Non-Hispanic or Latino

White

Black or African American Asian

Native Hawaiian or Other Pacific Islander

American Indian or Alaska Native 

Two or more races

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

Job Title/Series: Accounting (0510)

Total Applications Received

# 113 82 31 8 0 43 17 5 7 25 7 0 0 1 0 0 0

% 100.00% 72.57% 27.43% 7.08% 0.00% 38.05% 15.04% 4.42% 6.19% 22.12% 6.19% 0.00% 0.00% 0.88% 0.00% 0.00% 0.00%

Qualified

# 95 65 30 6 0 42 16 5 7 11 7 0 0 1 0 0 0

% 100.00% 68.42% 31.58% 6.32% 0.00% 44.21% 16.84% 5.26% 7.37% 11.58% 7.37% 0.00% 0.00% 1.05% 0.00% 0.00% 0.00%

Selected

# 26 19 7 2 0 12 6 1 0 4 1 0 0 0 0 0 0

% 100.00% 73.08% 26.92% 7.69% 0.00% 46.15% 23.08% 3.85% 0.00% 15.38% 3.85% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Relevant Applicant Pool* % 100.00% 59.14% 40.86% 3.67% 2.51% 44.98% 25.27% 3.32% 5.11% 6.99% 7.62% 0.00% 0.00% 0.18% 0.09% 0.00% 0.27%

Job Title/Series: Securities Compliance Examining (1831) Total Applications Received

# 281 197 84 32 8 108 44 13 15 44 17 0 0 0 0 0 0

% 100.00% 70.11% 29.89% 11.39% 2.85% 38.43% 15.66% 4.63% 5.34% 15.66% 6.05% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Qualified

# 257 178 79 28 7 102 44 6 13 42 15 0 0 0 0 0 0

% 100.00% 69.26% 30.74% 10.89% 2.72% 39.69% 17.12% 2.33% 5.06% 16.34% 5.84% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Selected

# 18 10 8 1 0 5 3 1 4 3 1 0 0 0 0 0 0

% 100.00% 55.56% 44.44% 5.56% 0.00% 27.78% 16.67% 5.56% 22.22% 16.67% 5.56% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Relevant Applicant Pool % 100.00% 69.87% 30.13% 5.13% 0.00% 52.56% 19.87% 3.85% 3.21% 8.33% 7.05% 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.

NOTE: Total calculations shown may not match that derived from detail data presented due to rounding. Source: Datamart for pay period 201621, downloaded on 11/07/2016.
68 | EEO PROGRAM STATUS REPORT Table A10: NON-COMPETITIVE PROMOTIONS–TIME IN GRADE–DISTRIBUTION BY RACE/ETHNICITY AND SEX PAY PERIOD 201621 TYPE OF APPOINTMENT TOTAL RACE/ETHNICITY Hispanic or Latino Non-Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or more races All male female male female male female male female male female male female male female male female Total Employees Eligible for Career Ladder Promotion

#

443 238 205 20 15 160 100 26 51 31 38 0 1 0 0 1 0

%

100% 53.72% 46.28% 4.51% 3.39% 36.12% 22.57% 5.87% 11.51% 7.00% 8.58% 0.00% 0.23% 0.00% 0.00% 0.23% 0.00%

Time in grade in excess of minimum1 - 12 months

# 19 13 6 0 1 10 3 1 2 2 0 0 0 0 0 0 0

% 100% 68.42% 31.58% 0.00% 5.26% 52.63% 15.79% 5.26% 10.53% 10.53% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

13 - 24 months

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

% 100% 33.33% 66.67% 0.00% 0.00% 33.33% 33.33% 0.00% 33.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

25+ months

# 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%

NOTE: Total calculations shown may not match that derived from detail data presented due to rounding. Source: Datamart EEO 715 Application for pay period 201621, downloaded on 11/07/2016.
FISCAL YEAR 2016 | 69

Table A11: INTERNAL SELECTIONS FOR SENIOR LEVEL POSITIONS (SK-13 THROUGH SK-17) BY RACE/ETHNICITY AND SEX–FY 2016 (10/01/2015 THROUGH 09/30/2016)

TOTAL

RACE/ETHNICITY

Hispanic or Latino

Non-Hispanic or Latino

White

Black or African American Asian

Native Hawaiian or Other Pacific Islander

American Indian or Alaska Native 

Two or more races

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

Grade of Vacancy: SK-13Total Applications Received

# 73 26 47 0 5 13 11 8 25 5 3 0 0 0 1 0 2

%

100% 35.62% 64.38% 0.00% 6.85% 17.81% 15.07% 10.96% 34.25% 6.85% 4.11% 0.00% 0.00% 0.00% 1.37% 0.00% 2.74%

Qualified # 39 15 24 0 1 7 6 7 12 1 2 0 0 0 1 0 2 % 100% 38.46% 61.54% 0.00% 2.56% 17.95% 15.38% 17.95% 30.77% 2.56% 5.13% 0.00% 0.00% 0.00% 2.56% 0.00% 5.13%

Selected # 9 2 7 0 1 2 1 0 3 0 2 0 0 0 0 0 0 % 100% 22.22% 77.78% 0.00% 11.11% 22.22% 11.11% 0.00% 33.33% 0.00% 22.22% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Relevant Applicant Pool * 100% 37.67% 62.33% 2.40% 3.77% 21.92% 23.29% 8.90% 28.08% 4.11% 6.16% 0.00% 0.00% 0.34% 0.34% 0.00% 0.68%

Grade of Vacancy: SK-14Total Applications Received

# 152 84 68 4 5 32 26 17 25 28 10 0 0 1 2 2 0

% 100% 55.26% 44.74% 2.63% 3.29% 21.05% 17.11% 11.18% 16.45% 18.42% 6.58% 0.00% 0.00% 0.66% 1.32% 1.32% 0.00%

Qualified # 125 65 60 2 4 27 22 14 22 19 10 0 0 1 2 2 0 % 100% 52.00% 48.00% 1.60% 3.20% 21.60% 17.60% 11.20% 17.60% 15.20% 8.00% 0.00% 0.00% 0.80% 1.60% 1.60% 0.00%Selected # 26 10 16 1 1 4 7 2 6 3 2 0 0 0 0 0 0 % 100% 38.46% 61.54% 3.85% 3.85% 15.38% 26.92% 7.69% 23.08% 11.54% 7.69% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Relevant Applicant Pool 100% 48.44% 51.56% 3.13% 2.23% 27.68% 22.99% 8.93% 19.42% 7.81% 6.70% 0.00% 0.00% 0.67% 0.22% 0.22% 0.00%

Grade of Vacancy: SK-16Total Applications Received

# 458 308 150 15 10 215 102 32 14 43 23 0 0 3 1 0 0

% 100% 67.25% 32.75% 3.28% 2.18% 46.94% 22.27% 6.99% 3.06% 9.39% 5.02% 0.00% 0.00% 0.66% 0.22% 0.00% 0.00%

Qualified # 375 248 127 15 7 188 88 28 9 14 22 0 0 3 1 0 0 % 100% 66.13% 33.87% 4.00% 1.87% 50.13% 23.47% 7.47% 2.40% 3.73% 5.87% 0.00% 0.00% 0.80% 0.27% 0.00% 0.00%Selected # 47 30 17 3 2 21 12 1 1 5 2 0 0 0 0 0 0 % 100% 63.83% 36.17% 6.38% 4.26% 44.68% 25.53% 2.13% 2.13% 10.64% 4.26% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Relevant Applicant Pool 100% 57.73% 42.27% 3.09% 2.48% 43.12% 26.72% 4.06% 6.17% 7.11% 6.50% 0.04% 0.00% 0.28% 0.08% 0.04% 0.32%

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

# 669 437 232 48 15 286 131 31 45 70 38 0 0 2 1 0 2

% 100% 65.32% 34.68% 7.17% 2.24% 42.75% 19.58% 4.63% 6.73% 10.46% 5.68% 0.00% 0.00% 0.30% 0.15% 0.00% 0.30%

Qualified # 605 393 212 40 12 267 124 20 42 64 32 0 0 2 1 0 1 % 100% 64.96% 35.04% 6.61% 1.98% 44.13% 20.50% 3.31% 6.94% 10.58% 5.29% 0.00% 0.00% 0.33% 0.17% 0.00% 0.17%Selected # 83 47 36 4 1 33 22 3 8 7 5 0 0 0 0 0 0 % 100% 56.63% 43.37% 4.82% 1.20% 39.76% 26.51% 3.61% 9.64% 8.43% 6.02% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Relevant Applicant Pool 100% 58.40% 41.60% 2.93% 2.26% 44.19% 26.99% 3.76% 5.69% 7.12% 6.19% 0.03% 0.07% 0.30% 0.13% 0.07% 0.27%

NOTES: There were no internal vacancy announcements for Senior Officer positions in FY 2016. Total calculations shown may not match that derived from detail data presented due to rounding.*”Relevant Applicant Pool” = all employees in the next lower pay grade and in all series that qualify them for the position announced.Source: Datamart for pay period 201621, downloaded on 11/07/2016.
70 | EEO PROGRAM STATUS REPORT Table A12: PARTICIPATION IN CAREER DEVELOPMENT–DISTRIBUTION BY RACE/ETHNICITY AND SEX FY 2016 (10/01/2015 THROUGH 09/30/2016) TOTAL RACE/ETHNICITY Hispanic or Latino Non-Hispanic or Latino White Black or African American Asian Native Hawaiian or Other Pacific Islander American Indian or Alaska Native Two or more races All male female male female male female male female male female male female male female male female Career Development Programs for SK 5 - 12 Slots # 2 Relevant Pool* % 100% 33.28% 66.72% 2.58% 5.02% 18.09% 20.06% 9.12% 35.41% 3.04% 5.32% 0.00% 0.00% 0.15% 0.15% 0.15% 0.76% Applied # 2 1 1 0 0 1 0 0 0 0 1 0 0 0 0 0 0 % 100% 50.00% 50.00% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Participants

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

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

Career Development Programs for SK 13 - 14Slots # 58

Relevant Pool % 100% 54.73% 45.27% 2.87% 2.63% 39.42% 27.01% 4.91% 8.32% 7.22% 6.87% 0.00% 0.00% 0.24% 0.12% 0.08% 0.31%

Applied

# 83 33 50 1 4 23 21 6 15 3 7 0 0 0 0 0 3

% 100% 39.76% 60.24% 1.20% 4.82% 27.71% 25.30% 7.23% 18.07% 3.61% 8.43% 0.00% 0.00% 0.00% 0.00% 0.00% 3.61%

Participants

# 58 26 32 1 2 19 14 4 10 2 4 0 0 0 0 0 2

% 100% 44.83% 55.17% 1.72% 3.45% 32.76% 24.14% 6.90% 17.24% 3.45% 6.90% 0.00% 0.00% 0.00% 0.00% 0.00% 3.45%

Career Development Programs for SK 15, 17Slots # 16

Relevant Pool % 100% 62.96% 37.04% 3.53% 1.05% 50.13% 25.52% 3.40% 6.02% 5.24% 4.32% 0.13% 0.00% 0.52% 0.00% 0.00% 0.13%

Applied

# 24 9 15 1 0 6 9 0 4 2 2 0 0 0 0 0 0

% 100% 37.50% 62.50% 4.17% 0.00% 25.00% 37.50% 0.00% 16.67% 8.33% 8.33% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Participants

# 16 5 11 1 0 3 8 0 2 1 1 0 0 0 0 0 0

% 100% 31.25% 68.75% 6.25% 0.00% 18.75% 50.00% 0.00% 12.50% 6.25% 6.25% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

*”Relevant Pool” = all employees in the pay grades eligible for the career development program.NOTE: Total calculations shown may not match that derived from detail data presented due to rounding. Source: SEC and Datamart for pay period 201621, downloaded on 11/07/2016.
FISCAL YEAR 2016 | 71

Table A13: EMPLOYEE RECOGNITION AND AWARDS–DISTRIBUTION BY RACE/ETHNICITY AND SEXPERMANENT WORKFORCE–FY 2016 (10/01/2015 THROUGH 09/30/2016)

Awards

TOTAL 

RACE/ETHNICITY

Hispanic or Latino

Non-Hispanic or Latino

White

Black or African American Asian

Native Hawaiian or Other Pacific Islander

American Indian or Alaska Native 

Two or more races

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

Time-Off Awards: 1-9 hours Total Time-Off Awards Given

# 1456 726 730 52 35 526 438 52 169 95 80 0 0 1 3 0 5

% 100% 49.86% 50.14% 3.57% 2.40% 36.13% 30.08% 3.57% 11.61% 6.52% 5.49% 0.00% 0.00% 0.07% 0.21% 0.00% 0.34%

Total Hours 9933 5012 4921 358 218 3615 3018 371 1086 660 542 0 0 8 20 0 37

Average Hours 7 7 7 7 6 7 7 7 6 7 7 0 0 8 7 0 7

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

# 1007 505 502 38 30 370 313 31 93 63 62 0 0 2 4 1 0

% 100% 50.15% 49.85% 3.77% 2.98% 36.74% 31.08% 3.08% 9.24% 6.26% 6.16% 0.00% 0.00% 0.20% 0.40% 0.10% 0.00%

Total Hours 19127 9628 9499 672 569 7171 5936 569 1731 1164 1195 0 0 36 68 16 0Average Hours 19 19 19 18 19 19 19 18 19 18 19 0 0 18 17 16 0

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

# 1001 473 528 18 25 336 273 63 177 48 49 1 0 4 1 3 3

% 100% 47.25% 52.75% 1.80% 2.50% 33.57% 27.27% 6.29% 17.68% 4.80% 4.90% 0.10% 0.00% 0.40% 0.10% 0.30% 0.30%

Total Amount $427,891 $205,896 $221,995 $7,900 $10,153 $146,996 $114,570 $26,100 $73,694 $21,150 $22,128 $500 $0 $1,750 $500 $1,500 $950 

Average Amount $427 $435 $420 $439 $406 $437 $420 $414 $416 $441 $452 $500 0 $438 $500 $500 $317 

Cash Awards: $501+Total Cash Awards Given

# 3666 2073 1593 115 90 1606 975 131 317 212 188 1 4 8 7 0 12

% 100% 56.55% 43.45% 3.14% 2.45% 43.81% 26.60% 3.57% 8.65% 5.78% 5.13% 0.03% 0.11% 0.22% 0.19% 0.00% 0.33%

Total Amount $5,102,669 $2,868,992 $2,233,677 $154,352 $122,687 $2,236,641 $1,408,713 $158,199 $385,744 $306,800 $277,479 $1,200 $13,750 $11,800 $8,600 $0 $16,704 

Average Amount $1,392 $1,384 $1,402 $1,342 $1,363 $1,393 $1,445 $1,208 $1,217 $1,447 $1,476 $1,200 $3,438 $1,475 $1,229 0 $1,392 

Quality Step Increases (QSI) (N/A)Total QSIs Awarded 

# 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

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

Total Benefit 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00Average Benefit 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

NOTES: Quality Step Increases are not applicable to the SEC. Total calculations shown may not match that derived from detail data presented due to rounding.Source: Datamart EEO 715 Application data as of pay period 201621, downloaded on 11/07/2016.
72 | EEO PROGRAM STATUS REPORT Table B1: TOTAL WORKFORCE–DISTRIBUTION BY DISABILITY [OPM FORM 256 SELF-IDENTIFICATION CODES] PAY PERIOD 201521 TO 201621 Employment Tenure TOTAL Total by Disability Status Detail for Targeted Disabilities No Disability [05] Not Identified [01] Disability [06-98] Targeted Disability Hearing [16/17 or 18] Vision [23/25 or 21] Missing Extremities [28, 32-38 or 30] Partial Paralysis [64-68 or 69] Complete Paralysis [71-78 or 79] Epilepsy [82] Severe Intellectual Disability [90] Psychiatric Disability [91] Dwarfism [92] TOTAL Prior FY # 4440 3962 231 247 42 8 4 2 2 3 7 1 14 1 % 100.00% 89.23% 5.20% 5.56% 0.95% 0.18% 0.09% 0.05% 0.05% 0.07% 0.16% 0.02% 0.32% 0.02% Current FY # 4685 4147 246 292 46 8 3 2 3 3 6 1 19 1 % 100.00% 88.52% 5.25% 6.23% 0.98% 0.17% 0.06% 0.04% 0.06% 0.06% 0.13% 0.02% 0.41% 0.02% Difference # 245 185 15 45 4 0 -1 0 1 0 -1 0 5 0 Ratio Change % 0.00% -0.72% 0.05% 0.67% 0.04% -0.01% -0.03% 0.00% 0.02% 0.00% -0.03% 0.00% 0.09% 0.00% Net Change % 5.52% 4.67% 6.49% 18.22% 9.52% 0.00% -25.00% 0.00% 50.00% 0.00% -14.29% 0.00% 35.71% 0.00% Federal Goal % 2.00%

PERMANENTPrior FY

# 4310 3848 221 241 41 8 4 2 2 3 6 1 14 1% 100.00% 89.28% 5.13% 5.59% 0.95% 0.19% 0.09% 0.05% 0.05% 0.07% 0.14% 0.02% 0.32% 0.02%

Current FY

# 4582 4058 237 287 45 8 3 2 3 3 6 1 18 1

% 100.00% 88.56% 5.17% 6.26% 0.98% 0.17% 0.07% 0.04% 0.07% 0.07% 0.13% 0.02% 0.39% 0.02%

Difference # 272 210 16 46 4 0 -1 0 1 0 0 0 4 0

Ratio Change % 0.00% -0.72% 0.04% 0.67% 0.03% -0.01% -0.03% 0.00% 0.02% 0.00% -0.01% 0.00% 0.07% 0.00%

Net Change % 6.31% 5.46% 7.24% 19.09% 9.76% 0.00% -25.00% 0.00% 50.00% 0.00% 0.00% 0.00% 28.57% 0.00%

TEMPORARYPrior FY

# 130 114 10 6 1 0 0 0 0 0 1 0 0 0% 100.00% 87.69% 7.69% 4.62% 0.77% 0.00% 0.00% 0.00% 0.00% 0.00% 0.77% 0.00% 0.00% 0.00%

Current FY

# 103 89 9 5 1 0 0 0 0 0 0 0 1 0

% 100.00% 86.41% 8.74% 4.85% 0.97% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.97% 0.00%

Difference # -27 -25 -1 -1 0 0 0 0 0 0 -1 0 1 0

Ratio Change % 0.00% -1.28% 1.05% 0.24% 0.20% 0.00% 0.00% 0.00% 0.00% 0.00% -0.77% 0.00% 0.97% 0.00%

Net Change % -20.77% -21.93% -10.00% -16.67% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% -100.00% 0.00% 0.00% 0.00%

NOTE: Total calculations shown may not match that derived from detail data presented due to rounding. Source: Datamart EEO 715 Application for pay period 201621, downloaded on 11/07/2016.
OFFICE OF EQUAL EMPLOYMENT OPPORTUNITY

U.S. Securities and Exchange Commission

100 F Street NE

Washington, DC 20549