The U.S. Equal Employment Opportunity Commission

Securities and Exchange Commission (SEC)

Permanent Work Force:  3,485   Temporary Work Force:  113    Total Work Force: 3,598

Work Force 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 Work Force

3,485

51.62%

48.38%

4.65%

68.26%

18.48%

8.26%

0.03%

0.32%

0.00%

1.21%

Major Occupations:
Information Technology Management

201

63.68%

36.32%

3.98%

51.74%

26.87%

17.41%

0.00%

0.00%

0.00%

1.00%

Accounting

926

59.50%

40.50%

5.62%

76.67%

7.02%

10.37%

0.00%

0.32%

0.00%

0.43%

General Attorney

1,419

57.65%

42.35%

4.16%

80.27%

7.19%

7.96%

0.07%

0.35%

0.00%

0.85%

Senior Pay Level*

94

62.77%

37.23%

3.19%

91.49%

4.26%

1.06%

0.00%

0.00%

0.00%

1.06%

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

92

65.22%

34.78%

4.35%

91.30%

3.26%

1.09%

0.00%

0.00%

0.00%

1.09%

Unclassified Managers

650

61.23%

38.77%

3.54%

81.08%

9.85%

5.38%

0.00%

0.15%

0.00%

0.46%

*Includes data for only permanent employees in pay status as of September 30, 2006; does not include pay-banded employees.


Targeted Disabilities

SEC employed 42 Individuals with Targeted Disabilities in FY 2006, which was 1.17% of its total work force.  This represents a decrease of 2 employees from FY 2005 and a decrease of one employee since FY 2002.  The participation rate for FY 2005 was 1.13% and for FY 2002 was 1.47%.  Over the 5-year period SEC had a net decrease of 0.3% in employees with targeted disabilities.

EEO Complaint Processing

I.  Counseling

SEC timely processed 86.4% of the 22 pre-complaint counselings (without remands) completed in FY 2006.

II.  Bases of Complaints Filed

The bases of alleged discrimination most often raised were: (1) Reprisal; (2) Age; and (3) Race (Black).  The 13 complaints filed at SEC contained 5 allegations of race (Black) discrimination, no allegations of color discrimination and 3 allegations of disability discrimination.

III.  Complaint Processing Times

Of the 15 completed investigations, 86.7% were timely.  SEC's average time for completing an investigation was 171 days.  Of the agencies completing 25 or more investigations, the Office of Personnel Management had the lowest average of 105 days.

SEC's average processing time for all complaint closures increased from 277 days in FY 2005 to 358 days in FY 2006.  The government-wide average was 367 days.

IV.  Costs

SEC reported no counseling settlements in FY 2006.  SEC expended a total of $150,621 for 15 complaint investigations, for an average expenditure of $10,041.

SEC agreed to pay a total of $49,767 for 5 complaint closures through settlement agreements, final agency decisions, and final agency orders fully implementing AJ decisions.  For complaint closures with benefits, the average award was $9,953.



Outcome of Counselings Completed in FY 2006

Pre-Complaint Counseling Outcomes Completed by EEO Counselor Completed Using ADR All Completed Counselings
# % # % # %
Pre-Complaint Counselings:

22

0

22

Settlements

0

0%

0

0%

0

0%

Withdrawals or No Complaints Filed

10

45.5%

0

0%

10

45.5%

Complaints Filed*

11

50%

Decision to File Complaint Pending at End of Fiscal Year

1

4.6%

*Includes only complaints filed in FY 2006 where counseling was also completed during FY 2006.

Agency Use of ADR for EEO Dispute Resolution in FY 2006

Counseling Complaint**
Completed/Ended Counselings/Complaint Closures

22

16

Total Number Offered ADR

22

2

ADR Offer Rate*

100%

12.5%

ADR Participation Rate*

0%

12.5%

Total ADR Settlements

0

0

Total ADR Settlements Amount

$0.00

$0.00

*Using newly collected data, EEOC revised the formula for calculating the ADR offer and participation rates in FY 2006.

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

Timeliness in FY 2006

Total # # Timely % Timely FY 2005 APD* FY 2006 APD % Change
All Pre-Complaint Counselings (minus remands)

22

19

86.4%

All Investigations

15

13

86.7%

208

171

-17.8%

All Complaint Closures

16

277

358

29.2%

Merit Decisions (no AJ)

4

2

50%

199

262

31.7%

Dismissal Decisions (no AJ)

4

131

19

-85.5%

*APD = Average Processing Days

Outcomes of Complaints in FY 2006

Complaint Closures Final Agency Decision (no AJ Decision) Final Order (AJ Decision Fully Implemented) Final Order (AJ Decision Not Fully Implemented)
# % # % # % # %
Total Complaints Filed

13

Total Closures

16

Settlements

5

31.3%

Withdrawals

1

6.3%

Total Final Agency Actions

10

62.5%

8

80%

2

20%

0

0%

Dismissals

5

50%

4

80%

1

20%

0

0%

Merit Decisions

5

50%

4

80%

1

20%

0

0%

Finding Discrimination

0

0%

0

NA%

0

NA%

0

NA%

Finding No Discrimination

5

100%

4

80%

1

20%

0

0%


This page was last modified on June 21, 2007.

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