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Securities and Exchange Commission (SEC)

Permanent Workforce: 3,606 Temporary Workforce: 122 Total Workforce: 3,728

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 3,606 51.44% 48.56% 4.63% 67.69% 18.30% 8.60% 0.06% 0.28% 0.44% 1.05%
Major Occupations:
GENERAL ATTORNEY 1,526 57.93% 42.07% 3.74% 80.47% 7.40% 7.73% 0.07% 0.13% 0.46% 0.79%
ACCOUNTING 966 58.39% 41.61% 5.69% 75.26% 7.45% 11.08% 0.00% 0.31% 0.21% 0.31%
SECURITIES COMPLIANCE EXAMINING 137 61.31% 38.69% 5.11% 70.80% 10.22% 12.41% 0.00% 0.00% 1.46% 0.73%
Senior Pay Level* 107 65.42% 34.58% 3.74% 89.72% 3.74% 1.87% 0.00% 0.00% 0.93% 0.00%
Senior-Level Officials/ Managers 100 66.00% 34.00% 3.00% 90.00% 4.00% 2.00% 0.00% 0.00% 1.00% 0.00%

*Does not include pay-banded employees

Targeted Disabilities

As of September 30, 2009, SEC employed 38 (1.02%) Individuals with Targeted Disabilities (IWTD). In order to have met the federal 2% participation rate goal, 75 IWTD were needed. This represents a decrease of 4 employees from FY 2008 and a decrease of 6 employees since FY 2005. The participation rate for FY 2008 was 1.16% and for FY 2005 was 1.13%. Over the 5-year period SEC had a net decrease of 0.11% in employees with targeted disabilities.

EEO Complaint Processing

I. Counseling

SEC timely processed 100% of the 21 pre-complaint counselings (without remands) completed in FY 2009.

II. Bases of Complaints Filed

The bases of alleged discrimination most often raised were: (1) Reprisal; (2) Age; and (3) Sex (Female). Of the 15 complaints filed at SEC, 2 contained allegations of race (Black/African American) discrimination, 1 contained an allegation of race (White) discrimination, 1 contained an allegation of color discrimination and 7 contained allegations of disability discrimination.

III. Complaint Processing Times

Of the 7 completed investigations, 100% were timely. SEC's average time for completing an investigation was 194 days. Of the agencies completing 25 or more investigations, the Tennessee Valley Authority had the lowest average of 100 days.

SEC's average processing time for all complaint closures increased from 212 days in FY 2008 to 258 days in FY 2009. The government-wide average was 344 days.

IV. Costs

SEC reported paying no monetary benefits for the one pre complaint settlement it reached in FY 2009. SEC expended a total of $46,677 for 7 complaint investigations, for an average expenditure of $6,668.

SEC agreed to pay a total of $350,505 plus other benefits for 9 complaint closures through settlement agreements, final agency decisions, and final agency orders fully implementing AJ decisions. For complaint closures with monetary benefits, the average award was $38,945.

Outcome of Counselings Completed in FY 2009
Pre-Complaint Counseling Outcomes Completed by EEO Counselor Completed Using ADR All Completed Counselings
# % # % # %
Pre-Complaint Counselings: 19 2 21
Settlements 1 5.3% 0 0% 1 4.8%
Withdrawals or No Complaints Filed 5 26.3% 0 0% 5 23.8%
Complaints Filed* 15 71.4%
Decision to File Complaint Pending at End of Fiscal Year 0 0%

*Includes only complaints filed in FY 2009 where counseling was also completed during FY 2009.

Agency Use of ADR for EEO Dispute Resolution in FY 2009
Counseling Complaint
Completed/Ended Counselings/Complaint Closures 21 13
Total Number Offered ADR 18 13
ADR Offer Rate* 85.7% 100%
ADR Participation Rate* 9.5% 7.7%
Total ADR Settlements 0 1
Total ADR Settlements Amount $0.00 $17,203.00

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

Timeliness in FY 2009
Total # # Timely % Timely FY 2008 APD* FY 2009 APD % Change
All Pre-Complaint Counselings (minus remands) 21 21 100%
All Investigations 7 7 100% 157 194 23.6%
All Complaint Closures 13 212 258 21.7%
Merit Decisions (no AJ) 1 1 100% 59 479 711.9%
Dismissal Decisions (no AJ) 3 21 120 471.4%

*APD = Average Processing Days

Outcomes of Complaints in FY 2009
Complaint Closures Final Agency Decision (no AJ Decision) Final Order (AJ Decision Fully Implemented) Final Order (AJ Decision Not Fully Implemented)
# % # % # % # %
Total Complaints Filed 15
Total Closures 13
Settlements 9 69.2%
Withdrawals 0 0%
Total Final Agency Actions 4 30.8% 4 100% 0 0% 0 0%
Dismissals 3 75% 3 100% 0 0% 0 0%
Merit Decisions 1 25% 1 100% 0 0% 0 0%
Finding Discrimination 0 NA% 0 NA% 0 NA% 0 NA%
Finding No Discrimination 1 100% 1 100% 0 0% 0 0%