The U.S. Equal Employment Opportunity Commission

Securities and Exchange Commission (SEC)

Permanent Workforce: 3,726 Temporary Workforce: 181 Total Workforce: 3,907

Workforce Composition

Employee Pool Total # Men Women Hispanics Whites Blacks Asian Americans/ Pacific Islanders American Indians/ Alaskan Natives Individuals with Targeted Disabilities
Permanent Work Force 3,726 51.99% 48.01% 4.43% 68.92% 18.22% 8.16% 0.27% 1.15%
Major Occupations:
Accounting 960 59.69% 40.31% 5.31% 77.29% 7.19% 9.90% 0.31% 0.42%
General Attorney 1,532 57.77% 42.23% 4.05% 80.42% 7.11% 8.09% 0.33% 0.78%
Securities Compliance Examining 229 61.14% 38.86% 4.80% 78.17% 6.99% 10.04% 0.00% 0.44%
GS-14 and GS-15* 0 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%
Senior Pay Level* 102 66.67% 33.33% 2.94% 92.16% 3.92% 0.98% 0.00% 0.98%
First-Level Officials/Managers 0 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%
Senior-Level Officials/Managers 95 69.47% 30.53% 3.16% 92.63% 3.16% 1.05% 0.00% 1.05%
Unclassified Managers 667 60.72% 39.28% 3.60% 80.81% 10.34% 5.10% 0.15% 0.60%

*Does not include pay-banded employees

EEO Complaint Processing

  1. Counseling

    Of the 28 pre-complaint counselings (without remands) completed in FY 2005, SEC timely processed 89.3%.

  2. Issues and Bases of Complaints Filed

    Of the 17 complaints filed at SEC, the top 3 issues of alleged discrimination were: (1) Promotion/Non-Selection; (2) Terms/Conditions of Employment; and (3) Appointment/Hire. The top 3 bases of alleged discrimination were: (1) Reprisal; (2) Race - Black; and (3) Sex - Female.

  3. Complaint Processing Times

    SEC's average time for completing an investigation was 208 days. The government-wide average was 237 days in FY 2005.

    SEC's average processing time for all complaint closures decreased from 376 days in FY 2004 to 277 days in FY 2005. The government-wide average was 411 days.

  4. Pending Inventory

    SEC had a total of 17 complaints pending at the end of FY 2005, with 1 pending acknowledgment; 9 pending investigation for an average of 49 days; and none pending the issuance of final decisions.

  5. Costs

    SEC made no payments in FY 2005 for pre-complaint settlements with benefits. SEC expended a total of $125,223 for 13 complaint investigations, for an average expenditure of $9,633.

    SEC agreed to pay a total of $49,250 for 2 complaint closures through settlement agreement, final agency decisions, and final agency orders fully implementing AJ decisions. For complaint closures with benefits, the average award was $24,625.

Outcome of Counselings Completed in FY 2005

Counseling Outcomes Completed by EEO Counselor Completed Using ADR All Completed Counselings
# % # % # %
Pre-Complaint Counselings: 24 4 28
Settlements 1 4.2% 0 0% 1 3.6%
No Complaints Filed 12 50% 1 25% 13 46.4%
Complaints Filed* 14 50%
Decision to File Complaint Pending at End of Fiscal Year 0 0%

*Includes only complaints filed in FY 2005 where counseling was also completed during FY 2005.

Agency Use of ADR for EEO Dispute Resolution

Counselings / Complaints

ADR Offers*

ADR Participation*
# # % # %
FY 2004 Completed/Ended Counselings 39 45 100% 6 15.4%
FY 2005 Completed/Ended Counselings 28 32 100% 4 14.3%
Percentage Change from FY 2004 to FY 2005 -28.2% -28.9% -33.3%
FY 2004 Complaint Workload ** 41 0 0% 0 0%
FY 2005 Complaint Workload ** 31 1 3.2% 1 3.2%
Percentage Change from FY 2004 to FY 2005 -24.4% -- --

*Using newly collected data, EEOC revised the formula for calculating the ADR offer and participation rates in FYs 2004-2005.

**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 2004 APD* FY 2005 APD % Change
All Completed/Ended Counselings (minus remands) 28 25 89.3%
All Investigations 13 10 76.9% 168.5 207.7 23.3%
All Complaint Closures 14 376.2 277 -26.4%
Merit Decisions (no AJ) 5 4 80% 384.8 199.4 -48.2%
Dismissal Decisions (no AJ) 5 121.1 131 8.2%

*APD = Average Processing Days

Outcomes of Complaints in FY 2005

Complaint Outcomes Complaint Closures Final Agency Decision (no AJ decision) Final Order (AJ Decision Fully Implemented) Final Order (AJ Decision Not Fully Implemented)
# % # % # % # %
Total Complaints Filed 17
Total Closures 14
Settlements 2 14.3%
Withdrawals 0 0%
Total Final Agency Actions 12 85.7% 10 83.3% 2 16.7% 0 0%
Dismissals 6 50% 5 83.3% 1 16.7% 0 0%
Merit Decisions 6 50% 5 83.3% 1 16.7% 0 0%
Finding Discrimination 0 0% 0 -- 0 -- 0 --
Finding No Discrimination 6 100% 5 83.3% 1 16.7% 0 0%

This page was last modified on June 22, 2006.

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