The U.S. Equal Employment Opportunity Commission

Securities and Exchange Commission (SEC)

Permanent Workforce: 3,581 Temporary Workforce: 216 Total Workforce: 3,797

Workforce Composition

Employee Pool Total # Men Women Hispanics Whites Blacks Asian Americans / Pacific Islanders American Indians / Alaskan Natives
Permanent Workforce 3,581 50.94% 49.06% 4.47% 68.52% 19.06% 7.66% 0.26%
Major Occupations                
General Attorney 1,521 57.99% 42.01% 3.88% 80.6% 7.43% 7.76% 0.33%
Accounting 893 59.35% 40.65% 5.04% 78.28% 6.94% 9.41% 0.34%
Securities Compliance Examining 258 59.69% 40.31% 5.43% 75.96% 8.53% 10.08% 0%
GS-14 and GS-15* 0 0% 0% 0% 0% 0% 0% 0%
Senior Pay Level* 102 68.63% 31.37% 2.94% 93.13% 2.94% 0.98% 0%
First-Level Officials/Managers 0 0% 0% 0% 0% 0% 0% 0%
Mid-Level Officials/Managers 0 0% 0% 0% 0% 0% 0% 0%
Senior Level Officials/Managers 93 69.89% 30.11% 3.23% 93.55% 2.15% 1.08% 0%

*Does not include pay-banded employees

Targeted Disabilities

Employees with targeted disabilities represented 0.99% of the total government workforce in FY 2004, and of agencies with a permanent workforce of 500 or more, the Equal Employment Opportunity Commission, at 2.23%, had the highest percentage of employees with targeted disabilities. At SEC, employees with targeted disabilities represented 1.13% of the total workforce.

EEO Complaint Processing

  1. Counseling

    There were 39 instances of pre-complaint counseling (performed by EEO counselors and/or ADR intake officers). SEC timely processed 97.4% of the total number of counselings. Following counseling, 25 formal complaints of discrimination were filed.

  2. Alternative Dispute Resolution

    Of SEC's 39 instances of counseling, ADR was offered 100% of the time; the parties elected to participate in 15.4% of the completed counselings; and 28.6% of the ADR closures were resolved through settlements or withdrawals.

    At the formal complaint phase, SEC reported no ADR offers.

  3. Processing Times

    SEC completed 88% of its investigations within the regulatory time frames, with an average processing time of 169 days for all investigations. In most instances, the regulations require completion of investigations within 180 days. Of the agencies completing 25 or more

    investigations, the Tennessee Valley Authority was the only agency to complete 100% of their investigations within the regulatory time frames, with an average processing time of 117 days.

    SEC's average processing time for all complaint closures decreased from 587 days in FY 2003 to 376 days in FY 2004. The government-wide average was 469 days.

  4. Pending Inventory

    SEC had a total of 14 complaints pending at the end of FY 2004, with 10 pending investigation for an average of 80 days; and 1 pending the issuance of a final decision for 156 days.

  5. Costs

    SEC reported no counseling settlements with benefits achieved during this reporting perid.

    SEC agreed to pay a total of $47,075 for 5 complaint closures through settlement agreement, final agency decision, and final agency orders fully implementing AJ decisions. For complaint closures with benefits, the average award (including back/front pay, compensatory damages, attorney's fees, and lump sum payments) was $9,415.

    SEC expended a total of $69,109 for 8 complaint investigations, for an average expenditure of $8,639.

Outcome of Counselings Completed in FY 2004

Counseling Outcomes Completed by EEO Counselor Completed Using ADR All Completed Counselings
# % # % # %
Total Instances of Counseling: 32   7   39  
Settlements 0 0.00% 0 0% 0 0%
Withdrawal/no Complaint Filed 10 31.2% 2 28.5% 12 30.76%
Complaints Filed*         25 64.10%
Decision to File Complaint Pending at End of Fiscal Year         2 5.12%

*Includes only complaints filed in FY 2004 where counseling was also completed during FY 2004.

Agency Use of ADR for EEO Dispute Resolution

Counselings / Complaints ADR Offers ADR Participation
# # % # %
FY 2003 Pre-Complaint Counselings 18 25 100.00% 6 33.00%
FY 2004 Pre-Complaint Counselings 39 45 100.00% 6 15.38%
Percentage Change FY 2003 to FY 2004 116.66% 80.00%   0.00%  
FY 2003 Complaints* 48 1 2.00% 1 2.00%
FY 2004 Complaints* 41 0 0.00% 0 0.00%
Percentage Change FY 2003 to FY 2004 -14.58% -100.00%   -100.00%  

*Includes all complaints filed in the fiscal year, including those where the counseling was completed in the prior fiscal year.

Timeliness

Total # # Timely % Timely FY 2003 APD* FY 2004 APD % Change
All Counselings (minus remands) 39 38 97.43%      
All Investigations 8 7 87.50% 267 169 -36.70%
Merit Decisions (no AJ) 5 2 40.00% 336 385 14.58%
Dismissal Decisions 13     88 121 37.50%

*APD = Average Processing Days

Outcomes of Complaints Closed in FY 2004

Complaint Outcomes Complaint Closures Final Agency Decision (no AJ decision) Final Order (AJ Decision Fully Implemented) Final Order (AJ Decision Not Fully Implemented)
Total Closures (27) # % # % # % # %
Settlements 5 18.51%            
Withdrawals 2 7.40%            
Dismissals 13 48.14%            
Merit Decisions 7 25.92%            
Finding Discrimination 0 0% 0 0% 0 0% 0 0%
Finding No Discrimination 7 100.00% 5 71.42% 2 28.57% 0 0.00%


This page was last modified on May 3, 2005.

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