The U.S. Equal Employment Opportunity Commission

Securities and Exchange Commission (SEC)

Permanent Workforce: 3,382 Temporary Workforce: 116 Total Workforce: 3,498

Workforce Composition
Total #
Men
Women
Hispanic
or
Latino
White
Black
or
African American
Asian		 Native Hawaiian/
Other Pacific Islander		 American Indian/ Alaska Native Two or More Races Individuals with Targeted Disabilities
Permanent Workforce 3,501 51.53% 48.47% 4.51% 68.15% 18.22% 8.45% 0.03% 0.29% 0.34% 1.20%
Major Occupations:
General Attorney 1,474 57.60% 42.40% 3.60% 80.87% 7.12% 7.80% 0.07% 0.20% 0.34% 0.81%
Accounting 944 58.47% 41.53% 5.72% 75.64% 7.10% 11.12% 0.00% 0.32% 0.11% 0.42%
Securities Compliance Examining 140 62.86% 37.14% 4.29% 73.57% 11.43% 9.29% 0.00% 0.00% 1.43% 0.71%
GS-14 and GS-15* 0 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%
Senior Pay Level* 106 65.09% 34.91% 2.83% 92.45% 2.83% 1.89% 0.00% 0.00% 0.00% 0.94%
SES 0 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%
First-Level Officials/ Managers 0 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%
Mid-Level Officials/ Managers 0 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%
Senior-Level Officials/ Managers 100 66.00% 34.00% 3.00% 92.00% 3.00% 2.00% 0.00% 0.00% 0.00% 1.00%

*Does not include pay-banded employees

Targeted Disabilities

As of September 30, 2008, SEC employed 42 (1.16%) Individuals with Targeted Disabilities (IWTD). In order to have met the federal 2% participation rate goal, 73 IWTD were needed. This represented a decrease of one employee from FY 2007 and a decrease of one employee since FY 2004. The participation rate for FY 2007 was 1.23% and for FY 2004 was 1.13%. Over the 5-year period SEC had a net increase of 0.03% in employees with targeted disabilities.

EEO Complaint Processing

I. Counseling

SEC timely processed 73.7% of the 19 pre-complaint counselings (without remands) completed in FY 2008.

II. Bases of Complaints Filed

The bases of alleged discrimination most often raised were: (1) Reprisal; (2) Disability (Physical); and (3) Race (Asian) and Race (Black/African American). Of the 11 complaints filed at SEC, 2 contained allegations of race (Black/African American) discrimination, 2 contained allegations of race (Asian) discrimination, 1 contained an allegation of color discrimination and 5 contained allegations of disability discrimination.

III. Complaint Processing Times

Of the 4 completed investigations, 75% were timely. SEC's average time for completing an investigation was 157 days.

SEC's average processing time for all complaint closures decreased from 258 days in FY 2007 to 212 days in FY 2008. The government-wide average was 336 days.

IV. Costs

SEC agreed to pay $3,948 for 2 pre-complaint settlements, of which 1 were monetary settlements averaging $3,948. SEC expended a total of $36,104 for 4 complaint investigations, for an average expenditure of $9,026.

SEC agreed to pay a total of $25,000 plus other benefits for 2 complaint closures through settlement agreements, final agency decisions, and final agency orders fully implementing AJ decisions. For its single complaint closure with monetary benefits, the average award was $25,000.


Outcome of Counselings Completed in FY 2008
Pre-Complaint Counseling Outcomes Completed by EEO Counselor Completed Using ADR All Completed Counselings
# % # % # %
Pre-Complaint Counselings: 18 1 19
Settlements 1 5.6% 1 50% 2 10.5%
Withdrawals or No Complaints Filed 7 38.9% 0 0% 7 36.8%
Complaints Filed* 10 52.6%
Decision to File Complaint Pending at End of Fiscal Year 0 0%

*Includes only complaints filed in FY 2008 where counseling was also completed during FY 2008.

Agency Use of ADR for EEO Dispute Resolution in FY 2008
Counseling Complaint
Completed/Ended Counselings/Complaint Closures 19 5
Total Number Offered ADR 19 2
ADR Offer Rate* 100% 40%
ADR Participation Rate* 10.5% 40%
Total ADR Settlements 1 1
Total ADR Settlements Amount $3,948.00 $35,000.00

* EEOC revised the formula for calculating the ADR offer and participation rates in FY 2006.

Timeliness in FY 2008
Total # # Timely % Timely FY 2007 APD* FY 2008 APD % Change
All Pre-Complaint Counselings (minus remands) 19 14 73.7%
All Investigations 4 3 75% 148 157 6.1%
All Complaint Closures 5 294 212 -27.9%
Merit Decisions (no AJ) 1 1 100% 449 59 -86.9%
Dismissal Decisions (no AJ) 1 76 21 -72.4%

*APD = Average Processing Days

Outcomes of Complaints in FY 2008
Complaint
Closures		 Final Agency
Decision (no AJ
Decision)		 Final Order (AJ
Decision Fully
Implemented)		 Final Order (AJ
Decision Not Fully
Implemented)
# % # % # % # %
Total Complaints Filed 11
Total Closures 5
Settlements 2 40%
Withdrawals 0 0%
Total Final Agency Actions 3 60% 2 66.7% 1 33.3% 0 0%
Dismissals 1 33.3% 1 100% 0 0% 0 0%
Merit Decisions 2 66.7% 1 50% 1 50% 0 0%
Finding Discrimination 0 NA% 0 NA% 0 NA% 0 NA%
Finding No Discrimination 2 100% 1 50% 1 50% 0 0%

This page was last modified on September 15, 2009.

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