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Office of Minority and Women Inclusion

CFTC Management Directive 715 (MD-715) Report for FY16

Table of Contents PARTS Part A: Identifying Information Part B: Total Employment Part C: Agency Officials Part D: List of Subordinate Components Part E: Executive Summary Part F: Certification Part G: Self-Assessment Part H: Model EEO Program Deficiencies Part I: EEO Plan to Eliminate Identified Barrier Part J: Individuals with Targeted Disabilities* DATA TABLES* Workforce Distributions by Race, National Origin, and Sex Table A1: Total Workforce Table A2: Component (Divisions) Table A3: Occupational Categories Table A4-1: CT Grades - Permanent Table A4-2: CT Grades - Temporary Table A5: Wage Grades Table A6: Major Occupations Table A7: Applicants and Hires for Major Occupations Workforce Distributions by Disability and Targeted Disability Table B1: Total Workforce Table B2: Component (Divisions) Table B3: Occupational Categories Table B4-1: CT Grades - Permanent Table B4-2: CT Grades - Temporary Table B5: Wage Grades Table B6: Major Occupations Table B7: Applicants and Hires ______ * Agencies with less than 1,000 employees are exempt from Part J, Tables A8-A14 and B8-B14.

EEOC FORM 715-01

PART A - D

U.S. Equal Employment Opportunity CommissionFEDERAL AGENCY ANNUAL

EEO PROGRAM STATUS REPORT

Commodity Futures Trading Commission For period covering October 1, 2015 to September 30, 2016 PART A

Departmentor AgencyIdentifyingInformation

1. Agency Commodity Futures Trading Commission

1.a. 2nd level reporting component

1.b. 3rd level reporting component

1.c. 4th level reporting component

2. Address 1155 21st Street, NW

3. City, State, Zip Code Washington District of Columbia 20581

4. Agency Code 5. FIPS code(s) 4173 011

PART B Total

Employment 1. Enter total number of permanent full-time and part-time employees 709

2. Enter total number of temporary employees 17

3. Enter total number employees paid from non-appropriated funds 0

4. TOTAL EMPLOYMENT [add lines B 1 through 3] 726

EEOC FORM 715-01

PART A - D



Commodity Futures Trading Commission For period covering October 1, 2015 to September 30, 2016PART C Agency

Official(s)Responsible

For Oversightof EEO

Program(s)

1. Agency Head Chairman, CFTC Timothy Massad

2. Agency Head Designee

3. EEO Director Director, Office of Minority and Women Inclusion (OMWI) Lorena McElwain

4. Affirmative Employment Manager Diversity Program Manager Derrick Wilson

5. Complaint Processing Manager Senior Equal Employment Specialist Sarah Summerville

6. Other EEO Staff

7. MD-715 Preparer Director, OMWI Lorena McElwain

8. Diversity and Inclusion Officer

9. Disability Special Emphasis Program Manager

10. Hispanic Special Emphasis Program Manager

11. Women's Special Emphasis Program Manager

12. Anti-Harassment Program Manager

Program Manager 13. Reasonable Accommodation Chief Human Capital Officer Karen Leydon

EEOC FORM 715-01

PART A - D



Commodity Futures Trading Commission For period covering October 1, 2015 to September 30, 2016

PART D List of Subordinate Components Covered in This

Report

Subordinate Component and Location(City/State) CPDF and FIPS codes

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EEOC FORM 715-01 PART E




EXECUTIVE SUMMARY

I CFTC MISSION & MISSION-RELATED FUNCTIONS

Congress created the Commodity Futures Trading Commission (CFTC) in 1974 as an independent agency with the mandate to regulate commodity futures and option markets in the United States. The agency's mandate has been renewed and expanded several times since then, most recently by the Dodd-Frank Wall Street Reform and Consumer Protection Act, which includes regulating swaps and educating consumers about commodities fraud.

II CFTC EEO PROGRAM

1. Demonstrated Commitment from Agency Leadership

The CFTC Office of Minority and Women Inclusion (OMWI) partnered with the Human Resources Branch (HRB) to present a coordinated-approach to workforce diversification to the CFTC Chairman. The HRB reported updating the Commission’s reasonable accommodation policy/procedures and is currently drafting an anti-harassment program outlining the Commission’s current processes for investigating allegations of harassment. Once negotiations with unions are completed, the CFTC HRB plans to conduct training and implement the revised policies.

2. Integration of EEO into Agency Mission A key diversity measure was included in the 2014-2018 CFTC Strategic Plan, under Goal 5.1: A High-Performing, Diverse and Engaged Workforce. Specifically, Goal 5.1(f) number of diversity-related partnerships and alliances was included in the CFTC Strategic Plan with the goal of reaching 10 diversity-related partnerships by FY18. Prior to FY14, the CFTC OMWI did not have diversity partnerships with internal or external minority organizations. These partnerships represent an effective means for engaging internal and external stakeholders in the pursuit of CFTC diversity goals, as well as positioning CFTC as an employer of choice among minority job seekers. As of FY16, the CFTC OMWI has established 10 minority partnerships (four internal and six external). Through these partnerships, the CFTC OMWI has promoted employee engagement, disseminated employment and internship opportunities among target communities, and has implemented a number of career-enhancing programs for employees. The target goal of 10 diversity partnerships was met in FY16, two years ahead of schedule. 3. Management and Program Accountability As a follow up to EEOC’s Technical Assistance Visit in March of 2016, the OMWI collaborated with key internal stakeholders to address Schedule A Hiring, enhance the Commission’s reasonable accommodation and anti-harassment programs, and assess potential circumstances impacting the representation of women in executive-level positions. In FY16, CFTC HRB reported it began issuing Schedule A Certificates to Hiring Officials; the CFTC OMWI re-surveyed its workforce, and partnered with the EEOC to provide disability/accommodations training to supervisory staff in the fall of 2016. In FY16, persons with disabilities represented 9% of permanent hires.

4. Proactive Prevention of Unlawful Discrimination In FY16, the CFTC OMWI convened a Diversity Workgroup with 19 representatives from various divisions, employee affinity groups, and employee unions. The workgroup has begun providing stakeholder feedback into diversity and inclusion programs, and is collaborating with the OMWI on key diversity efforts in FY17. The OMWI also partnered with employee unions to conduct two brown bag lunches to raise awareness of EEO programs and services.

The CFTC OMWI conducted compliance reviews of the Commission’s divisions through a three-year administrative review of EEO, diversity, and inclusion trends. Each division director received an individualized report outlining specific recommendations.

In order to promote a culture of proactive conflict management and resolution, the CFTC Chairman designated a second Resolving Official with settlement authority to participate in EEO settlement discussions in compliance with EEOC MD-110.

The CFTC OMWI played a leadership role in the Federal EEO community by Co-Chairing the EEOC’s Proactive Prevention Workgroup. In this capacity, the CFTC OMWI led an inter-agency workgroup to identify and compile best practices for measuring early agency efforts to prevent discrimination and eliminate barriers to equal opportunity.

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5. Efficiency The CFTC OMWI continues to exceed timeliness with regard to EEO investigations. Last year, the EEOC highlighted in its annual Report to Congress the CFTC OMWI’s efforts to reduce the timeliness of investigations by 34%, averaging 178 days (below 180-day regulatory requirement and 523-day government average). In FY16, the CFTC OMWI further decreased investigations to 153 days while managing a caseload three times higher than in FY15.

A three-year trend analysis of EEO 462 complaint data showed 75% of CFTC complaints cases cited disability as a basis. In FY15, the OMWI conducted supervisory training with an emphasis on reasonable accommodation. Disability declined as a basis to 7% in FY16.

6. Responsiveness and Legal Compliance The CFTC had five cases at the hearing phase during FY16. Of these, one was settled and four remained before an EEOC Administrative Judge as of 9/30/16. The CFTC has worked diligently to participate and respond to EEOC AJ requests for information in a timely manner.

III BARRIERS ADDRESSED IN FY16

The CFTC permanent workforce declined by -1.25% between FY15 and FY16. During this time, the participation rate of women (44%), Hispanics (3%), African Americans (17%), and Asian Americans/Pacific Islanders (10%) remained unchanged. Among these groups, the representation of Hispanics (3%) was lower than the Civilian Labor Force or CLF (10%), and the representation of women (44%) was also slightly lower than the CLF (48%). In FY16, the CFTC OMWI partnered with the League of United Latin American Citizens (LULAC) to conduct outreach to the Latino community through their annual conference in DC, where the CFTC distributed more than 7,500 outreach materials. In addition, the CFTC OMWI partnered with LULAC to design and implement a pilot mentoring program for aspiring executives in the Federal government.

With regard to women, the CFTC OMWI partnered with the Women in Derivatives (WIND) organization and held a panel on career advancement in the financial industry. The CFTC Training Office promoted its executive coaching program among women in positions CT14 and higher, resulting in a participation rate increase for women from 40% in FY15 to 81% in FY16. In addition, the CFTC HRB populated Table A11, Internal Selections for Senior-Level Positions. The CFTC HRB reported it is in the process of validating these data. The OMWI will use the validated data as a baseline to conduct a barrier analysis in FY17.

No individuals self-designated as American Indian/Alaska Native in FY15. As part of a concerted outreach effort, the CFTC OMWI took steps to begin advertising CFTC vacancies in the Journal of American Indian Higher Education. American Indians represented three percent (3%) of permanent hires in FY16, increasing the overall representation rate for American Indians from 0% to .14%.

IV KEY PRIORITIES IN FY17

Key EEO, diversity and inclusion priorities in FY17 include:

• Conduct NoFEAR/EEO training for employees • Assess factors influencing perception of fairness in the Employee Viewpoint Survey (EVS) • Conduct New IQ training to enhance diversity and inclusion competencies • Conduct barrier analysis for women in senior-level positions • Provide disability/reasonable accommodation training for managers and supervisors • Strengthen outreach to disabled, women, and minority partnership organizations by promoting employment and internship

opportunities • Negotiate reasonable accommodation and anti-harassment policies, and implement accordingly

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EEOC FORM 715-01 PART F




CERTIFICATION of ESTABLISHMENT of CONTINUING EQUAL EMPLOYMENT OPPORTUNITY PROGRAMS

I, Director, Office of Minority and Women Inclusion (OMWI) Lorena McElwain am the

(Insert official(Insert name above) title/series/grade above)

Principal EEO Director/Official for Commodity Futures Trading Commission

(Insert Agency/Component Name above)

The agency has conducted an annual self-assessment of Section 717 and Section 501 programs against the essential elements as prescribed by EEO MD-715. If an essential element was not fully compliant with the standards of EEO MD-715, a further evaluation was conducted and, as appropriate, EEO Plans for Attaining the Essential Elements of a Model EEO Program, are included with this Federal Agency Annual EEO Program Status Report.

The agency has also analyzed its work force profiles and conducted barrier analyses aimed at detecting whether any management or personnel policy, procedure or practice is operating to disadvantage any group based on race, national origin, gender or disability. EEO Plans to Eliminate Identified Barriers, as appropriate, are included with this Federal Agency Annual EEO Program Status Report.

I certify that proper documentation of this assessment is in place and is being maintained for EEOC review upon request.

Signature of Agency Head or Agency Head Designee Date

Signature of Principal EEO Director/Official Certifies that this Federal Agency Annual EEO Program Status Report is in compliance with EEO MD-715.

Date

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EEOC FORM 715-01

PART G



Essential Element A: DEMONSTRATED COMMITMENT FROM AGENCY LEADERSHIP Requires the agency head to issue written policy statements ensuring a workplace free of discriminatory harassment and

a commitment to equal employment opportunity.


Compliance Indicator

EEO policy statements are up-to-date.

Measure has been met

For all unmet measures, provide abrief explanation inthe space below or

complete and attachan EEOC FORM 715-

01 PART H to the agency's status report

Measures Yes No N/A

06/04/2014The Agency Head was installed on The EEO policy statement was

11/06/2014 Was the EEO policy statement issued within 6-9

of the installation of the Agency Head?

issued on X

During the current Agency Head's tenure, has the EEO policy Statement been re-issued annually? If no, provide an explanation.

X

Are new employees provided a copy of the EEO policy statement during orientation? X

When an employee is promoted into the supervisory ranks, is s/he provided a copy of the EEO policy statement? X


EEO policy statements have been communicated to allemployees.




01 PART H to the agency's status

report

Measures Yes No N/A

Have the heads of subordinate reporting components communicated support of all agency EEO policies through the ranks? X

Has the agency made written materials available to all employees and applicants, informing them of the variety of EEO programs and administrative and judicial remedial procedures available to them?

X

Has the agency prominently posted such written materials in all personnel offices, EEO offices, and on the agency's internal website? [see 29 CFR §1614.102(b)(5)] X

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Agency EEO policy is vigorously enforced by agency management.





report

Measures Yes No N/A

Are managers and supervisors evaluated on their commitment to agency EEO policies and principles, including their efforts to: X

resolve problems/disagreements and other conflicts in their respective work environments as they arise? X

address concerns, whether perceived or real, raised by employees and following-up with appropriate action to correct or eliminate tension in the workplace?

X

support the agency's EEO program through allocation of mission personnel to participate in community out-reach and recruitment programs with private employers, public schools and universities?

X

ensure full cooperation of employees under his/her supervision with EEO office officials such as EEO Counselors, EEO Investigators, etc.? X

ensure a workplace that is free from all forms of discrimination, harassment and retaliation? X

ensure that subordinate supervisors have effective managerial, communication and interpersonal skills in order to supervise most effectively in a workplace with diverse employees and avoid disputes arising from ineffective communications ?

X

ensure the provision of requested religious accommodations when such accommodations do not cause an undue hardship? X

ensure the provision of requested disability accommodations to qualified individuals with disabilities when such accommodations do not cause an undue hardship?

X

Have all employees been informed about what behaviors are inappropriate in the workplace and that this behavior may result in disciplinary actions? Describe what means were utilized by the agency to so inform its workforce about the penalties for unacceptable behavior.

X

Have the procedures for reasonable accommodation for individuals with disabilities been made readily available/accessible to all employees by disseminating such procedures during orientation of new employees and by making such procedures available on the World Wide Web or Internet?

X

Have managers and supervisor been trained on their responsibilities under the procedures for reasonable accommodation? X

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Essential Element B: INTEGRATION OF EEO INTO THE AGENCY'S STRATEGIC MISSION Requires that the agency's EEO programs be organized and structured to maintain a workplace that is free from

discrimination in any of the agency's policies, procedures or practices and supports the agency's strategic mission.


Compliance IndicatorThe reporting structure for the EEO Program provides

the Principal EEO Official with appropriate authority andresources to effectively carry out a successful EEO

Program.





report

Measures Yes No N/A

Is the EEO Director under the direct supervision of the agency head? [see 29 CFR §1614.102(b)(4)] For subordinate level reporting components, is the EEO Director/Officer under the immediate supervision of the lower level component's head official? (For example, does the Regional EEO Officer report to the Regional Administrator?)

X

The CFTC Chairman placed the EEO Officer under his direct supervision effective 1/11/15.

Are the duties and responsibilities of EEO officials clearly defined? X

Do the EEO officials have the knowledge, skills, and abilities to carry out the duties and responsibilities of their positions? X

If the agency has 2nd level reporting components, are there organizational charts that clearly define the reporting structure for EEO programs? X

If the agency has 2nd level reporting components, does the agency-wide EEO Director have authority for the EEO programs within the subordinate reporting X

If not, please describe how EEO program authority is delegated to subordinate reporting components. X

Compliance Indicator The EEO Director and other EEO professional staffresponsible for EEO programs have regular and effective

means of informing the agency head and seniormanagement officials of the status of EEO programs and

are involved in, and consulted on, management/personnel actions.





report

Measures Yes No N/A

Does the EEO Director/Officer have a regular and effective means of informing the agency head and other top management officials of the effectiveness, efficiency and legal compliance of the agency's EEO program?

X

Following the submission of the immediately preceding FORM 715-01, did the EEO Director/Officer present to the head of the agency and other senior officials the "State of the Agency" briefing covering all components of the EEO report, including an assessment of the performance of the agency in each of the six elements of the Model EEO Program and a report on the progress of the agency in completing its barrier analysis including any barriers it identified and/or eliminated or reduced the impact of?

X

Are EEO program officials present during agency deliberations prior to decisions regarding recruitment strategies, vacancy projections, succession planning, selections

X

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Does the agency consider whether any group of employees or applicants might be negatively impacted prior to making human resource decisions such as reorganizations and re-alignments?

X

Are management/personnel policies, procedures and practices examined at regular intervals to assess whether there are hidden impediments to the realization of equality of opportunity for any group(s) of employees or applicants? [see 29 C.F.R. § 1614.102(b)(3)]

X

Is the EEO Director included in the agency's strategic planning, especially the agency's human capital plan, regarding succession planning, training, etc., to ensure

X


The agency has committed sufficient human resourcesand budget allocations to its EEO programs to ensure

successful operation.





report

Measures Yes No N/A

Does the EEO Director have the authority and funding to ensure implementation of agency EEO action plans to improve EEO program efficiency and/or eliminate identified barriers to the realization of equality of opportunity?

X

Are sufficient personnel resources allocated to the EEO Program to ensure that agency self-assessments and self-analyses prescribed by EEO MD-715 are conducted annually and to maintain an effective complaint processing system?

X

Are statutory/regulatory EEO related Special Emphasis Programs sufficiently X

Federal Women's Program - 5 U.S.C. 7201; 38 U.S.C. 4214; Title 5 CFR, Subpart B, 720.204 X

Hispanic Employment Program - Title 5 CFR, Subpart B, 720.204 X

People With Disabilities Program Manager; Selective Placement Program for Individuals With Disabilities - Section 501 of the Rehabilitation Act; Title 5 U.S.C. Subpart B, Chapter 31, Subchapter I-3102; 5 CFR 213.3102(t) and (u); 5 CFR 315.709

X

Are other agency special emphasis programs monitored by the EEO Office for coordination and compliance with EEO guidelines and principles, such as FEORP -5 CFR 720; Veterans Employment Programs; and Black/African American; American Indian/Alaska Native, Asian American/Pacific Islander programs?

X


The agency has committed sufficient budget to supportthe success of its EEO Programs.





report

Measures Yes No N/A

10


Are there sufficient resources to enable the agency to conduct a thorough barrier analysis of its workforce, including the provision of adequate data collection and tracking systems

X

Is there sufficient budget allocated to all employees to utilize, when desired, all EEO programs, including the complaint processing program and ADR, and to make a request for reasonable accommodation? (Including subordinate level reporting components?)

X

Has funding been secured for publication and distribution of EEO materials (e.g. harassment policies, EEO posters, reasonable accommodations procedures, etc.)? X

Is there a central fund or other mechanism for funding supplies, equipment and services necessary to provide disability accommodations? X

Does the agency fund major renovation projects to ensure timely compliance with Uniform Federal Accessibility Standards? X

Is the EEO Program allocated sufficient resources to train all employees on EEO Programs, including administrative and judicial remedial procedures available to employees?

X

Is there sufficient funding to ensure the prominent posting of written materials in all personnel and EEO offices? [see 29 C.F.R. § 1614.102(b)(5)] X

Is there sufficient funding to ensure that all employees have access to this training and information? X

Is there sufficient funding to provide all managers and supervisors with training and periodic up-dates on their EEO responsibilities:

for ensuring a workplace that is free from all forms of discrimination, including harassment and retaliation? X

to provide religious accommodations? X

to provide disability accommodations in accordance with the agency's written procedures? X

in the EEO discrimination complaint process? X

to participate in ADR? X

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Essential Element C: MANAGEMENT AND PROGRAM ACCOUNTABILITY This element requires the Agency Head to hold all managers, supervisors, and EEO Officials responsible for the effective

implementation of the agency's EEO Program and Plan.


Compliance Indicator EEO program officials advise and provide appropriate

assistance to managers/supervisors about the status ofEEO programs within each manager's or supervisor's

area or responsibility.





report

Measures Yes No N/A

Are regular (monthly/quarterly/semi-annually) EEO updates provided to management/supervisory officials by EEO program officials? X

Do EEO program officials coordinate the development and implementation of EEO Plans with all appropriate agency managers to include Agency Counsel, Human Resource Officials, Finance, and the Chief information Officer?

X

Compliance IndicatorThe Human Resources Director and the EEO Director

meet regularly to assess whether personnel programs,policies, and procedures are in conformity with

instructions contained in EEOC management directives.[see 29 CFR § 1614.102(b)(3)]





report

Measures Yes No N/A

Have time-tables or schedules been established for the agency to review its Merit Promotion Program Policy and Procedures for systemic barriers that may be impeding full participation in promotion opportunities by all groups?

X

Have time-tables or schedules been established for the agency to review its Employee Recognition Awards Program and Procedures for systemic barriers that may be impeding full participation in the program by all groups?

X

Have time-tables or schedules been established for the agency to review its Employee Development/Training Programs for systemic barriers that may be impeding full participation in training opportunities by all groups?

X


When findings of discrimination are made, the agencyexplores whether or not disciplinary actions should be

taken.





report

Measures Yes No N/A

12


Does the agency have a disciplinary policy and/or a table of penalties that covers employees found to have committed discrimination? X Agency policy

prohibits discrimination and discipline is handled on a case-by-case basis

Have all employees, supervisors, and managers been informed as to the penalties for being found to perpetrate discriminatory behavior or for taking personnel actions based upon a prohibited basis?

X

Has the agency, when appropriate, disciplined or sanctioned managers/supervisors or employees found to have discriminated over the past two years? X No findings in the

past two years.

If so, cite number found to have discriminated and list penalty /disciplinary action

Does the agency promptly (within the established time frame) comply with EEOC, Merit Systems Protection Board, Federal Labor Relations Authority, labor arbitrators, and District Court orders?

X

Does the agency review disability accommodation decisions/actions to ensure compliance with its written procedures and analyze the information tracked for trends, problems, etc.??

X

13

Essential Element D: PROACTIVE PREVENTION Requires that the agency head makes early efforts to prevent discriminatory actions and eliminate barriers to equal

employment opportunity in the workplace.



Analyses to identify and remove unnecessary barriers toemployment are conducted throughout the year.





report

Measures Yes No N/A

Do senior managers meet with and assist the EEO Director and/or other EEO Program Officials in the identification of barriers that may be impeding the realization of equal employment opportunity?

X

When barriers are identified, do senior managers develop and implement, with the assistance of the agency EEO office, agency EEO Action Plans to eliminate said barriers?

X

Do senior managers successfully implement EEO Action Plans and incorporate the EEO Action Plan Objectives into agency strategic plans? X

Are trend analyses of workforce profiles conducted by race, national origin, sex and disability? X

Are trend analyses of the workforce's major occupations conducted by race, national origin, sex and disability? X

Are trends analyses of the workforce's grade level distribution conducted by race, national origin, sex and disability? X

Are trend analyses of the workforce's compensation and reward system conducted by race, national origin, sex and disability? X

Are trend analyses of the effects of management/personnel policies, procedures and practices conducted by race, national origin, sex and disability? X


The use of Alternative Dispute Resolution (ADR) isencouraged by senior management.





report

Measures Yes No N/A

Are all employees encouraged to use ADR? X

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Is the participation of supervisors and managers in the ADR process required? X The CFTC Resolving Official engages in ADR on behalf of the Commission as needed, for example when a supervisor/manager is unavailable to participate

Essential Element E: EFFICIENCY Requires that the agency head ensure that there are effective systems in place for evaluating the impact and

effectiveness of the agency's EEO Programs as well as an efficient and fair dispute resolution process.




The agency has sufficient staffing, funding, and authorityto achieve the elimination of identified barriers.





report

Measures Yes No N/A

Does the EEO Office employ personnel with adequate training and experience to conduct the analyses required by MD-715 and these instructions? X

Has the agency implemented an adequate data collection and analysis systems that permit tracking of the information required by MD-715 and these instructions? X

Have sufficient resources been provided to conduct effective audits of field facilities' efforts to achieve a model EEO program and eliminate discrimination under Title VII and the Rehabilitation Act?

X See Part H

Is there a designated agency official or other mechanism in place to coordinate or assist with processing requests for disability accommodations in all major components of the agency?

X

Are 90% of accommodation requests processed within the time frame set forth in the agency procedures for reasonable accommodation? X


The agency has an effective complaint tracking andmonitoring system in place to increase the effectiveness

of the agency's EEO Programs.





report

Measures Yes No N/A

Does the agency use a complaint tracking and monitoring system that allows identification of the location, and status of complaints and length of time elapsed at each stage of the agency's complaint resolution process?

X See Part H.

Does the agency's tracking system identify the issues and bases of the complaints, the aggrieved individuals/complainants, the involved management officials and other information to analyze complaint activity and trends?

X See Part H.

Does the agency hold contractors accountable for delay in counseling and investigation processing times? X

If yes, briefly describe how:

Does the agency monitor and ensure that new investigators, counselors, including contract and collateral duty investigators, receive the 32 hours of training required in accordance with EEO Management Directive MD-110?

X

Does the agency monitor and ensure that experienced counselors, investigators, including contract and collateral duty investigators, receive the 8 hours of refresher training required on an annual basis in accordance with EEO Management Directive MD-110?

X

17


Compliance IndicatorThe agency has sufficient staffing, funding and authority

to comply with the time frames in accordance with theEEOC (29 C.F.R. Part 1614) regulations for processing

EEO complaints of employment discrimination.





report

Measures Yes No N/A

Are benchmarks in place that compare the agency's discrimination complaint processes with 29 C.F.R. Part 1614? X

Does the agency provide timely EEO counseling within 30 days of the initial request or within an agreed upon extension in writing, up to 60 days? X

Does the agency provide an aggrieved person with written notification of his/her rights and responsibilities in the EEO process in a timely fashion? X

Does the agency complete the investigations within the applicable prescribed time frame? X

When a complainant requests a final agency decision, does the agency issue the decision within 60 days of the request? X

When a complainant requests a hearing, does the agency immediately upon receipt of the request from the EEOC AJ forward the investigative file to the EEOC Hearing Office?

X

When a settlement agreement is entered into, does the agency timely complete any obligations provided for in such agreements? X

Does the agency ensure timely compliance with EEOC AJ decisions which are not the subject of an appeal by the agency? X

Compliance IndicatorThere is an efficient and fair dispute resolution process

and effective systems for evaluating the impact andeffectiveness of the agency's EEO complaint processing

program.





report

Measures Yes No N/A

In accordance with 29 C.F.R. §1614.102(b), has the agency established an ADR Program during the pre-complaint and formal complaint stages of the EEO process? X

Does the agency require all managers and supervisors to receive ADR training in accordance with EEOC (29 C.F.R. Part 1614) regulations, with emphasis on the federal government's interest in encouraging mutual resolution of disputes and the benefits associated with utilizing ADR?

X

After the agency has offered ADR and the complainant has elected to participate in ADR, are the managers required to participate? X The CFTC Resolving

Official engages in ADR on behalf of the Commission as needed

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Does the agency ensure that the responsible management official directly involved in the dispute does not have settlement authority? X The

Chairman delegates settlement authority to the CFTC Resolving Offical on a case-by-case basis in compliance with MD-110


The agency has effective systems in place formaintaining and evaluating the impact and effectiveness

of its EEO programs.





report

Measures Yes No N/A

Does the agency have a system of management controls in place to ensure the timely, accurate, complete and consistent reporting of EEO complaint data to the X

Does the agency provide reasonable resources for the EEO complaint process to ensure efficient and successful operation in accordance with 29 C.F.R. § 1614.102 X

Does the agency EEO office have management controls in place to monitor and ensure that the data received from Human Resources is accurate, timely received, and contains all the required data elements for submitting annual reports to the EEOC?

X

Do the agency's EEO programs address all of the laws enforced by the EEOC? X

Does the agency identify and monitor significant trends in complaint processing to determine whether the agency is meeting its obligations under Title VII and the Rehabilitation Act?

X

Does the agency track recruitment efforts and analyze efforts to identify potential barriers in accordance with MD-715 standards? X

Does the agency consult with other agencies of similar size on the effectiveness of their EEO programs to identify best practices and share ideas? X

Compliance IndicatorThe agency ensures that the investigation and

adjudication function of its complaint resolution processare separate from its legal defense arm of agency orother offices with conflicting or competing interests.





report

Measures Yes No N/A

Are legal sufficiency reviews of EEO matters handled by a functional unit that is separate and apart from the unit which handles agency representation in EEO X

If applicable, are processing time frames incorporated for the legal counsel's sufficiency review for timely processing of complaints? X

Does the agency discrimination complaint process ensure a neutral adjudication function? X

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Essential Element F: RESPONSIVENESS AND LEGAL COMPLIANCE This element requires that federal agencies are in full compliance with EEO statutes and EEOC regulations, policy

guidance, and other written instructions.




Agency personnel are accountable for timely compliancewith orders issued by EEOC Administrative Judges.





report

Measures Yes No N/A

Does the agency have a system of management control to ensure that agency officials timely comply with any orders or directives issued by EEOC Administrative X CFTC has not had a

finding of discrimination

Compliance IndicatorThe agency's system of management controls ensuresthat the agency timely completes all ordered corrective

action and submits its compliance report to EEOC within30 days of such completion.





report

Measures Yes No N/A

Does the agency have control over the payroll processing function of the agency? If Yes, answer the two questions below. X

Are there steps in place to guarantee responsive, timely, and predictable processing of ordered monetary relief? X

Are procedures in place to promptly process other forms of ordered relief? X

Compliance IndicatorThe agency's system of management controls ensuresthat the agency timely completes all ordered corrective

action and submits its compliance report to EEOC within30 days of such completion.





report

Measures Yes No N/A

Is compliance with EEOC orders encompassed in the performance standards of any agency employees? X Performance

Element 6 for managerial staff requires all supervisors to demonstrate adherence to EEO and diversity principles within the Agency and when representing the Agency

If so, please identify the employees by title in the comments section, and state how performance is measured.

21


Is the unit charged with the responsibility for compliance with EEOC orders located in the EEO office? X

If not, please identify the unit in which it is located, the number of employees in the unit, and their grade levels in the comments section.

Have the involved employees received any formal training in EEO compliance? X

Does the agency promptly provide to the EEOC the following documentation for completing compliance:

Attorney Fees: Copy of check issued for attorney fees and /or a narrative statement by an appropriate agency official, or agency payment order dating the dollar amount of attorney fees paid?

X

Awards: A narrative statement by an appropriate agency official stating the dollar amount and the criteria used to calculate the award? X

Back Pay and Interest: Computer print-outs or payroll documents outlining gross back pay and interest, copy of any checks issued, narrative statement by an appropriate agency official of total monies paid?

X

Compensatory Damages: The final agency decision and evidence of payment, if made? X

Training: Attendance roster at training session(s) or a narrative statement by an appropriate agency official confirming that specific persons or groups of persons attended training on a date certain?

X

Personnel Actions (e.g., Reinstatement, Promotion, Hiring, Reassignment): Copies of SF-50s X

Posting of Notice of Violation: Original signed and dated notice reflecting the dates that the notice was posted. A copy of the notice will suffice if the original is not available.

X

Supplemental Investigation: 1. Copy of letter to complainant acknowledging receipt from EEOC of remanded case. 2. Copy of letter to complainant transmitting the Report of Investigation (not the ROI itself unless specified). 3. Copy of request for a hearing (complainant's request or agency's transmittal letter).

X

Final Agency Decision (FAD): FAD or copy of the complainant's request for a hearing. X

Restoration of Leave: Print-out or statement identifying the amount of leave restored, if applicable. If not, an explanation or statement. X

Civil Actions: A complete copy of the civil action complaint demonstrating same issues raised as in compliance matter. X

Settlement Agreements: Signed and dated agreement with specific dollar amounts, if applicable. Also, appropriate documentation of relief is provided. X

22

For period covering October 1, 2015 to September 30, 2016Commodity Futures Trading Commission

Footnotes:

1. See 29 C.F.R. § 1614.102.

2. When an agency makes modifications to its procedures, the procedures must be resubmitted to the Commission. See EEOC Policy Guidance on Executive Order 13164: Establishing Procedures to Facilitate the Provision of Reasonable Accommodation (10/20/00), Question 28

23

EEOC FORM 715-01

PART H-1




STATEMENT of MODEL PROGRAM ESSENTIAL ELEMENT DEFICIENCY:

The Agency has an effective complaint tracking and monitoring system in place to increase the effectiveness of the Agency's EEO Programs.

OBJECTIVE: Automate current manual process by acquiring complaint management software to track cases and conduct trend analyses.

RESPONSIBLE OFFICIAL: OMWI Director

DATE OBJECTIVE INITIATED: 07/30/12

TARGET DATE FOR COMPLETION OF OBJECTIVE: 09/30/2018

PLANNED ACTIVITIES TOWARD COMPLETION OF OBJECTIVE:

Initiate unfunded requirement discussion for FY13 with Executive Director

TARGET DATE: 08/30/2012

Conduct market research based on requirements


Compete and select vendor


Train OMWI staff on new system


Begin uploading cases into electronic complaint management system.


Award contract


REPORT OF ACCOMPLISHMENTS and MODIFICATIONS TO OBJECTIVE

As part of the consideration process to reduce costs in FY13 and avoid furloughs, the electronic complaint management system was placed on the list of unfunded requirements in FY14. The system was not funded in FY14 due to legislation impacting technology purchases. During FY14, ODI staff met with Procurement and IT staff, and conducted market research. This workgroup determined the system purchase and project management would be handled bythe Office of Data and Technology. A vendor was selected during the fourth quarter of FY14; however the contract was not awarded due to legislative restrictions. The system has remained a high-priority item on the unfunded requirements list, and in FY16 was moved to the unfunded list for FY18.

23

EEOC FORM 715-01

PART H-2




STATEMENT of MODEL PROGRAM ESSENTIAL ELEMENT DEFICIENCY:

The agency has sufficient staffing, funding, and authority to achieve the elimination of identified barriers.

OBJECTIVE: Develop a procedure for conducting effective audits of field facilities' efforts to achieve a model EEO program and eliminate discrimination under Title VII and the Rehabilitation Act

RESPONSIBLE OFFICIAL: Lorena McElwain




Research best practices, procedures, and tools for conducting compliance reviews of field offices


Prepare draft standard operating procedures (SOP) for conducting compliance reviews


Pilot draft SOP in one regional office


Finalize SOP based on results from pilot review



In FY16, CFTC conducted research on methods for conducting compliance reviews and compiled best practices. CFTC expects to conduct a pilot review in one regional office in 2017, and finalize its SOP in FY17.

24

EEOC FORM 715-01 PART I-1




STATEMENT OF CONDITION THAT WAS A TRIGGER FOR A POTENTIAL BARRIER:

Provide a brief narrative describing the condition at issue.

How was the condition recognized as a potential barrier?

The participation rate for women in women in senior-level positions (CT15+) has steadily increased (29% in FY14, 31% in FY15, and 33% in FY16), but continues to be below the proportion of women in the CFTC (44%).

BARRIER ANALYSIS:

Provide a description of the steps taken and data analyzed to determine cause of the condition.

Conducted a longitudinal analysis using MD-715 Tables A3-1 for FY14, FY15, and FY16. Incorporated feedback from EEOC Technical Assistance memorandum dated 7/25/16 .

STATEMENT OF IDENTIFIED BARRIER:

Provide a succinct statement of the agency policy, procedure or practice that has been determined to be the barrier of the undesired condition.

Funding to implement a comprehensive formal development strategy is needed to ensure a robust pool of individuals at the mid-career and senior level.

OBJECTIVE:

State the alternative or revised agency policy, procedure or practice to be implemented to correct the undesired condition.

Eliminate potential barriers to career advancement for internal candidates to senior-level positions.

RESPONSIBLE OFFICIAL: Anthony Thompson and Lorena McElwain



OBJECTIVE:

State the alternative or revised agency policy, procedure or practice to be implemented to correct the undesired condition.

Strengthen leadership and executive competencies of individuals at the CT14 levels and higher.

RESPONSIBLE OFFICIAL: Anthony Thompsons and Lorena McElwain



EEOC FORM 715-01 PART I-1

EEO Plan To Eliminate Identified Barrier


TARGET DATE (Must be specific)

Validate data in Table A11, Internal Selections for Senior-Level Positions, to use FY16 as baseline data.

06/30/2017

Conduct unconscious bias briefing for executives and training for employees 04/28/2017

Pilot one Speed Mentoring session 09/30/2017

25

Partner with the Women in Derivatives (WIND) organization to conduct a panel discussion about career advancement in the financial industry in conjunction with Women's History Month.

03/31/2016

Promote participation in FY16 Executive Coaching Program 10/31/2016

Assess demographic composition of Executive Coaching Program participants and establish FY15 as baseline.

12/31/2015

Analyze impact of outreach efforts on participation rate of women in Executive Coaching Program.

09/30/2016

Conduct barrier analysis using Table A11, Internal Selections for Senior-Level positions using FY16 and FY17 data.

11/30/2017

Coordinate populating Table A11, Internal Selections for Senior-Level Positions, with vendor.

09/30/2016


The CFTC partnered with the Women in Derivatives (WIND) organization and held a panel on career advancement in the

resulting in a participation rate increase for women from 40% in FY15 to 81% in FY16. In addition, the CFTC collaborated with our vendor to populate Table A11, Internal Selections for Senior-Level Positions. CFTC is in the process of validating these data and will use the FY16 Table A11 as a baseline to conduct a barrier analysis in FY17. As of FY16, the proportion of women in senior-level positions (CT15+) continued to steadily increase (29% in FY14, 31% in FY15, and 33% in FY16).

financial industry. The CFTC promoted its executive coaching training program among women in positions CT14 and higher,

26

EEOC FORM 715-01 PART J


EEO PROGRAM STATUS REPORT Special Program Plan for the Recruitment, Hiring, and Advancement of Individuals With Targeted


PART I Department or

AgencyInformation

1. Agency 1. Commodity Futures Trading Commission

1.a. 2nd Level Component 1. a.

1.b. 3rd Level or lower 1. b.

PART II Employment

Trend and Special

Recruitment for Individuals With

TargetedDisabilities

Enter Actual Number at the ...

... beginning of FY. ... end of FY. Net Change

Number % Number % Number Rate of Change

Total Work Force 765 100% 709 100% -56 -7.3 %

Reportable Disability 28 3.7 % 29 4.1 % 1 3.6 %

Targeted Disability* 1 0.1 % 1 0.1 % 0 0.0 %

* If the rate of change for persons with targeted disabilities is not equal to or greater than the rate of change for the total workforce, a barrier analysis should be conducted (see below).

1. Total Number of Applications Received From Persons With Targeted Disabilities during the reporting period. 0

2. Total Number of Selections of Individuals with Targeted Disabilities during the reporting period. 0

PART III Participation Rates In Agency Employment Programs

Other Employment/PersonnelPrograms TOTAL

Repor Disa

table bility Disa

Targeted bility

N Iden

ot tified

No Disability

# % # % # % # %

Competitive Promotions 0 0 0.0 % 0 0.0 % 0 0.0 % 0 0.0 %

Non-Competitive Promotions 0 0 0.0 % 0 0.0 % 0 0.0 % 0 0.0 %

Employee Career Development Programs 0 0 0.0 % 0 0.0 % 0 0.0 % 0 0.0 %

a. Grades 5 - 12 0 0 0.0 % 0 0.0 % 0 0.0 % 0 0.0 %

b. Grades 13 - 14 0 0 0.0 % 0 0.0 % 0 0.0 % 0 0.0 %

c. Grade 15/SES 0 0 0.0 % 0 0.0 % 0 0.0 % 0 0.0 %

Employee Recognition and Awards 0 0 0.0 % 0 0.0 % 0 0.0 % 0 0.0 %

a. Time-Off Awards (Total hrs awarded) 0 0 0.0 % 0 0.0 % 0 0.0 % 0 0.0 %

b. Cash Awards (total $$$ awarded) 0 0 0.0 % 0 0.0 % 0 0.0 % 0 0.0 %

c. Quality-Step Increase 0 0 0.0 % 0 0.0 % 0 0.0 % 0 0.0 %

27

EEOC FORM 715-01

Special Program Plan for the Recruitment, Hiring, and Advancement of Individuals With TargetedDisabilities


Part IV

Identification and Elimination of

Barriers

Agencies with 1,000 or more permanent employees MUST conduct a barrier analysis to address any barriers to increasing employment opportunities for employees and applicants with targeted disabilities using FORM 715-01 PART I. Agencies should review their recruitment, hiring, career development, promotion, and retention of individuals with targeted disabilities in order to determine whether there are any barriers.

Part V

Goals for Targeted

Disabilities

Agencies with 1,000 or more permanent employees are to use the space provided below to describe the strategies and activities that will be undertaken during the coming fiscal year to maintain a special recruitment program for individuals with targeted disabilities and to establish specific goals for the employment and advancement of such individuals. For these purposes, targeted disabilities may be considered as a group. Agency goals should be set and accomplished in such a manner as will effect measurable progress from the preceding fiscal year. Agencies are encouraged to set a goal for the hiring of individuals with targeted disabilities that is at least as high as the anticipated losses from this group during the next reporting period, with the objective of avoiding a decrease in the total participation rate of employees with disabilities.

Goals, objectives and strategies described below should focus on internal as well as external sources of candidates and include discussions of activities undertaken to identify individuals with targeted disabilities who can be (1) hired; (2) placed in such a way as to improve possibilities for career development; and (3) advanced to a position at a higher level or with greater potential than the position currently occupied.

Established a Numerical Goal? Yes

Goal Established 2% goal for persons with targeted disabilities by FY19.

Strategies Issue Schedule A Certificates to selecting officials when filling vacancies (FY16). Re-survey workforce to allow employees to view and update demographic designations (FY16). Provide reasonable accommodation training to managers and supervisors (FY17). Recruit Gallaudet students to fulfill internship requirement at the CFTC (FY17). Negotiate and implement Reasonable Accommodation Policy and Procedures (FY17-FY18).

Objectives Raise awareness of disability programs among employees, managers and supervisors. Ensure workforce data accurately reflect self-designations and are and up-to-date. Strengthen knowledge of disability laws among managers and supervisors by providing reasonable accommodation training. Position CFTC as an employer of choice among the disabled community through community outreach.

Accomplishments In FY16, the CFTC began issuing Schedule A Certificates to selecting officials when filling vacancies. In addition, the CFTC re-surveyed its workforce during the last quarter of FY16. These efforts contributed to the proportion of persons with disabilities increasing from 3.6% in FY15 to 4.1% in FY16, accounting for 9% of permanent hires, and resulting in a net change of 11.5% for persons with disabilities despite a decline (-1.25% net change) in the permanent workforce during this timeframe.

28

COMMODITY FUTURES TRADING COMMISSIONCOMMODITY FUTURES TRADING COMM

Table A1: Total Workforce - Distribution by Race/Ethnicity and SexYear = FY 2016 Employing Office Code = CTCF4173 and

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female

765 430 335 17 7 334 199 42 87 36 41 0 0 1 1 0 0 100% 56.21% 43.79% 2.22% 0.92% 43.66% 26.01% 5.49% 11.37% 4.71% 5.36% 0% 0% 0.13% 0.13% 0% 0%

726 411 315 13 7 322 186 38 82 35 37 0 0 0 1 3 2

100% 56.61% 43.39% 1.79% 0.96% 44.35% 25.62% 5.23% 11.29% 4.82% 5.10% 0% 0% 0% 0.14% 0.41% 0.28%51.86% 48.14% 5.17% 4.79% 38.33% 34.03% 5.49% 6.53% 1.97% 1.93% 0.07% 0.07% 0.55% 0.53% 0.26% 0.28%

Difference -39 -19 -20 -4 0 -12 -13 -4 -5 -1 -4 0 0 -1 0 3 2Ratio Change 0% 0.40% -0.40% -0.43% 0.05% 0.69% -0.39% -0.26% -0.08% 0.12% -0.26% 0% 0% -0.13% 0.01% 0.41% 0.28%Net Change -5.10% -4.42% -5.97% -23.53% 0% -3.59% -6.53% -9.52% -5.75% -2.78% -9.76% 0% 0% -100% 0% 100% 100%

718 405 313 17 7 315 186 39 81 34 39 0 0 0 0 0 0

100% 56.41% 43.59% 2.37% 0.97% 43.87% 25.91% 5.43% 11.28% 4.74% 5.43% 0% 0% 0% 0% 0% 0%709 399 310 13 7 311 184 38 79 34 37 0 0 0 1 3 2

100% 56.28% 43.72% 1.83% 0.99% 43.86% 25.95% 5.36% 11.14% 4.80% 5.22% 0% 0% 0% 0.14% 0.42% 0.28%Difference -9 -6 -3 -4 0 -4 -2 -1 -2 0 -2 0 0 0 1 3 2Ratio Change 0% -0.13% 0.13% -0.53% 0.01% -0.01% 0.05% -0.07% -0.14% 0.06% -0.21% 0% 0% 0% 0.14% 0.42% 0.28%Net Change -1.25% -1.48% -0.96% -23.53% 0% -1.27% -1.08% -2.56% -2.47% 0% -5.13% 0% 0% 0% 100% 100% 100%

47 25 22 0 0 19 13 3 6 2 2 0 0 1 1 0 0

100% 53.19% 46.81% 0% 0% 40.43% 27.66% 6.38% 12.77% 4.26% 4.26% 0% 0% 2.13% 2.13% 0% 0%17 12 5 0 0 11 2 0 3 1 0 0 0 0 0 0 0

100% 70.59% 29.41% 0% 0% 64.71% 11.76% 0% 17.65% 5.88% 0% 0% 0% 0% 0% 0% 0%Difference -30 -13 -17 0 0 -8 -11 -3 -3 -1 -2 0 0 -1 -1 0 0Ratio Change 0% 17.40% -17.40% 0% 0% 24.28% -15.89% -6.38% 4.88% 1.63% -4.26% 0% 0% -2.13% -2.13% 0% 0%Net Change -63.83% -52.00% -77.27% 0% 0% -42.11% -84.62% -100% -50.00% -50.00% -100% 0% 0% -100% -100% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%Difference 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0Ratio Change 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%Net Change 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

Current FY

Current FY

TEMPORARY

Prior FY

Current FY

NON-APPROPRIATED

Prior FY

TOTAL

Prior FY

Current FY

CLF (2010)

PERMANENT

Prior FY

American or Other Pacific Indian orIslander Alaska Native

WhiteBlack or African

AsianNative Hawaiian American Two or More

RacesEMPLOYMENT TENURE

TOTAL RACE/ETHNICITYWORKFORCE Hispanic

orLatino

Non-Hispanic or Latino


Table A2: Total Workforce By Component - Distribution by Race/Ethnicity and SexYear = FY 2016 Employing Office Code = CTCF4173 and


709 399 310 16 9 311 184 38 79 34 37 0 0 0 1 0 0 100% 56.28% 43.72% 2.26% 1.27% 43.86% 25.95% 5.36% 11.14% 4.80% 5.22% 0% 0% 0% 0.14% 0% 0%

51.86% 48.14% 5.17% 4.79% 38.33% 34.03% 5.49% 6.53% 1.97% 1.93% 0.07% 0.07% 0.55% 0.53% 0.26% 0.28%

82 30 52 2 1 23 25 4 20 1 5 0 0 0 1 0 0

100% 36.59% 63.41% 2.44% 1.22% 28.05% 30.49% 4.88% 24.39% 1.22% 6.10% 0% 0% 0% 1.22% 0% 0%

21 12 9 1 0 6 3 3 5 1 0 0 0 0 0 1 1

100% 57.14% 42.86% 4.76% 0% 28.57% 14.29% 14.29% 23.81% 4.76% 0% 0% 0% 0% 0% 4.76% 4.76%

4 2 2 0 0 1 1 0 1 1 0 0 0 0 0 0 0

100% 50.00% 50.00% 0% 0% 25.00% 25.00% 0% 25.00% 25.00% 0% 0% 0% 0% 0% 0% 0%

86 51 35 2 1 41 19 4 8 4 6 0 0 0 0 0 1

100% 59.30% 40.70% 2.33% 1.16% 47.67% 22.09% 4.65% 9.30% 4.65% 6.98% 0% 0% 0% 0% 0% 1.16%

166 93 73 2 1 81 61 5 5 5 6 0 0 0 0 0 0

100% 56.02% 43.98% 1.20% 0.60% 48.80% 36.75% 3.01% 3.01% 3.01% 3.61% 0% 0% 0% 0% 0% 0%

117 77 40 1 1 69 26 3 10 4 3 0 0 0 0 0 0

100% 65.81% 34.19% 0.85% 0.85% 58.97% 22.22% 2.56% 8.55% 3.42% 2.56% 0% 0% 0% 0% 0% 0%

2 1 1 0 0 1 0 0 1 0 0 0 0 0 0 0 0

100% 50.00% 50.00% 0% 0% 50.00% 0% 0% 50.00% 0% 0% 0% 0% 0% 0% 0% 0%

49 19 30 1 1 14 15 2 8 2 6 0 0 0 0 0 0

100% 38.78% 61.22% 2.04% 2.04% 28.57% 30.61% 4.08% 16.33% 4.08% 12.24% 0% 0% 0% 0% 0% 0%

14 10 4 0 0 8 2 1 1 1 1 0 0 0 0 0 0

100% 71.43% 28.57% 0% 0% 57.14% 14.29% 7.14% 7.14% 7.14% 7.14% 0% 0% 0% 0% 0% 0%

91 57 34 3 0 34 11 12 15 8 8 0 0 0 0 0 0

100% 62.64% 37.36% 3.30% 0% 37.36% 12.09% 13.19% 16.48% 8.79% 8.79% 0% 0% 0% 0% 0% 0%

66 42 24 1 2 30 16 4 4 6 2 0 0 0 0 1 0

100% 63.64% 36.36% 1.52% 3.03% 45.45% 24.24% 6.06% 6.06% 9.09% 3.03% 0% 0% 0% 0% 1.52% 0%

11 5 6 0 0 3 5 0 1 1 0 0 0 0 0 1 0

100% 45.45% 54.55% 0% 0% 27.27% 45.45% 0% 9.09% 9.09% 0% 0% 0% 0% 0% 9.09% 0%

ORGANIZATIONAL COMPONENT


orLatino



RacesAmerican or Other Pacific Indian orIslander Alaska Native


OFF

DIVISION OF MARKET OVERSIGHT

ICE OF GENERAL COUNSEL

OFFICE OF THE CHIEF ECONOMIST

OFFICE OF DATA AND TECHNOLOGY

TOTAL

CLF (2010)

OFFICE OF THE EXECUTIVE DIRECTOR

OFFICE OF THE CHAIRMAN

OFFICE OF COMMISSIONER GIANCARLO

DIVISION OF SWAP DEALER AND INTER

DIVISION OF ENFORCEMENT

MEDIARY OVERSIGHT

DIVISION OF CLEARING AND RISK

INTERNATIONAL AFFAIRS BRANCH

OFFICE OF COMMISSIONER BOWEN


Table A3-1: Occupational Categories - Distribution by Race/Ethnicity and SexYear = FY 2016 Employing Office Code = CTCF4173 and


Executive/Senior Level 142 95 47 5 1 77 38 7 5 6 3 0 0 0 0 0 0

(Grades 15 and Above) 100% 66.90% 33.10% 3.52% 0.70% 54.23% 26.76% 4.93% 3.52% 4.23% 2.11% 0% 0% 0% 0% 0% 0%

- Mid-Level 40 19 21 0 1 16 11 2 6 1 3 0 0 0 0 0 0

(Grades 13-14) 100% 47.50% 52.50% 0% 2.50% 40.00% 27.50% 5.00% 15.00% 2.50% 7.50% 0% 0% 0% 0% 0% 0%

- First Level 2 2 0 0 0 2 0 0 0 0 0 0 0 0 0 0 0

(Grades 12 and Below) 100% 100% 0% 0% 0% 100% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

181 97 84 5 3 75 44 10 29 7 7 0 0 0 1 0 0

100% 53.59% 46.41% 2.76% 1.66% 41.44% 24.31% 5.52% 16.02% 3.87% 3.87% 0% 0% 0% 0.55% 0% 0%

Officials and Managers 365 213 152 10 5 170 93 19 40 14 13 0 0 0 1 0 0

Total 100% 58.36% 41.64% 2.74% 1.37% 46.58% 25.48% 5.21% 10.96% 3.84% 3.56% 0% 0% 0% 0.27% 0% 0%

310 178 132 6 4 137 84 15 20 20 24 0 0 0 0 0 0

100% 57.42% 42.58% 1.94% 1.29% 44.19% 27.10% 4.84% 6.45% 6.45% 7.74% 0% 0% 0% 0% 0% 0%

5 4 1 0 0 2 1 2 0 0 0 0 0 0 0 0 0

100% 80.00% 20.00% 0% 0% 40.00% 20.00% 40.00% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

5. Administrative 26 4 22 0 0 2 5 2 17 0 0 0 0 0 0 0 0

Support Workers 100% 15.38% 84.62% 0% 0% 7.69% 19.23% 7.69% 65.38% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

2 0 2 0 0 0 0 0 2 0 0 0 0 0 0 0 0

100% 0% 100% 0% 0% 0% 0% 0% 100% 0% 0% 0% 0% 0% 0% 0% 0%

7. Operatives

8. Laborers and Helpers

9. Service Workers

1. Officials and Managers

- Other Officials and Managers

2. Professionals

3. Technicians

4. Sales Workers

6. Craft Workers




RacesOCCUPATIONAL CATEGORIES


orLatino



Table A4-1: Participation Rates for General Schedule(CT) Grades by Race/Ethnicity and Sex (Perm)Year = FY 2016 Employing Office Code = CTCF4173 and

Pay Plans Groupedwith CT/GMCT,EF,ES,EX


0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

1 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0

100% 0% 100% 0% 0% 0% 0% 0% 100% 0% 0% 0% 0% 0% 0% 0% 0%

4 1 3 0 0 0 1 1 2 0 0 0 0 0 0 0 0

100% 25.00% 75.00% 0% 0% 0% 25.00% 25.00% 50.00% 0% 0% 0% 0% 0% 0% 0% 0%

7 0 7 0 1 0 1 0 5 0 0 0 0 0 0 0 0

100% 0% 100% 0% 14.29% 0% 14.29% 0% 71.43% 0% 0% 0% 0% 0% 0% 0% 0%

6 0 6 0 0 0 0 0 6 0 0 0 0 0 0 0 0

100% 0% 100% 0% 0% 0% 0% 0% 100% 0% 0% 0% 0% 0% 0% 0% 0%

2 0 2 0 0 0 0 0 2 0 0 0 0 0 0 0 0

100% 0% 100% 0% 0% 0% 0% 0% 100% 0% 0% 0% 0% 0% 0% 0% 0%

19 8 11 0 0 5 4 3 7 0 0 0 0 0 0 0 0

100% 42.11% 57.89% 0% 0% 26.32% 21.05% 15.79% 36.84% 0% 0% 0% 0% 0% 0% 0% 0%

34 21 13 1 0 15 5 3 7 2 1 0 0 0 0 0 0

100% 61.76% 38.24% 2.94% 0% 44.12% 14.71% 8.82% 20.59% 5.88% 2.94% 0% 0% 0% 0% 0% 0%

114 60 54 0 1 43 25 10 16 7 11 0 0 0 1 0 0

100% 52.63% 47.37% 0% 0.88% 37.72% 21.93% 8.77% 14.04% 6.14% 9.65% 0% 0% 0% 0.88% 0% 0%

338 193 145 8 6 154 93 13 24 18 22 0 0 0 0 0 0

100% 57.10% 42.90% 2.37% 1.78% 45.56% 27.51% 3.85% 7.10% 5.33% 6.51% 0% 0% 0% 0% 0% 0%

137 88 49 6 1 71 39 6 7 5 2 0 0 0 0 0 0

100% 64.23% 35.77% 4.38% 0.73% 51.82% 28.47% 4.38% 5.11% 3.65% 1.46% 0% 0% 0% 0% 0% 0%

All other 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

(unspecified CT) 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

47 28 19 1 0 23 16 2 2 2 1 0 0 0 0 0 0

100% 59.57% 40.43% 2.13% 0% 48.94% 34.04% 4.26% 4.26% 4.26% 2.13% 0% 0% 0% 0% 0% 0%

CT-13

CT-14

CT-15

CT-16/18

CT-07

CT-08

CT-09

CT-10

CT-11

CT-12

or Other Pacific Indian or Races

CT-06

Islander

CT-01

CT-02

CT-03

CT-04

CT-05

WORKFORCE Hispanic Non-Hispanic or Latinoor


AsianNative Hawaiian American

Alaska Native

Two or MoreLatino American

TOTAL RACE/ETHNICITY


Table A5-1: Participation Rates for Wage Grades by Race/Ethnicity and Sex (Perm)Year = FY 2016 Employing Office Code = CTCF4173 and

WD/WG,WL/WS, andOther Wage Grades

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

All other 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

Wage Grades 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

WG-13

WG-14

WG-15

WG-07

WG-08

WG-09

WG-10

WG-11

WG-12

WG-01

WG-02

WG-03

WG-04

WG-05

WG-06

American Indian orAlaska Native



AsianNative Hawaiianor Other Pacific

Islander

American Two or MoreRaces


orLatino

Sorry, no records in the database matched your selection criteria.


Table A6: Participation Rates for Major Occupations - Distribution by Race/Ethnicity and Sex (Perm)Year = FY 2016 Employing Office Code = CTCF4173 and

All Male Female Male Female Male Female Male Female Male Female Male Female Male Female Male Female279 157 122 5 3 133 96 5 9 14 14 0 0 0 0 0 0

100% 56.27% 43.73% 1.79% 1.08% 47.67% 34.41% 1.79% 3.23% 5.02% 5.02% 0% 0% 0% 0% 0% 0%66.70% 33.30% 2.50% 1.80% 59.70% 26.70% 2.10% 2.50% 1.60% 1.60% 0.00% 0.00% 0.1% 0.10% 0.60% 0.60%

102 75 27 3 2 60 18 5 4 7 3 0 0 0 0 0 0

100% 73.53% 26.47% 2.94% 1.96% 58.82% 17.65% 4.90% 3.92% 6.86% 2.94% 0% 0% 0% 0% 0% 0%36.70% 63.30% 2.80% 5.80% 27.10% 43.80% 3.60% 8.80% 2.40% 3.20% 0.00% 0.10% 0.2% 0.40% 0.60% 1.00%

46 28 18 2 2 22 6 3 5 1 5 0 0 0 0 0 0

100% 60.87% 39.13% 4.35% 4.35% 47.83% 13.04% 6.52% 10.87% 2.17% 10.87% 0% 0% 0% 0% 0% 0%39.90% 60.10% 2.20% 3.90% 31.80% 44.20% 2.40% 5.60% 2.90% 5.30% 0.00% 0.10% 0.1% 0.30% 0.40% 0.70%

43 23 20 2 0 18 12 1 8 2 0 0 0 0 0 0 0

100% 53.49% 46.51% 4.65% 0% 41.86% 27.91% 2.33% 18.60% 4.65% 0% 0% 0% 0% 0% 0% 0%53.60% 46.40% 4.30% 4.30% 41.00% 32.20% 4.20% 6.80% 2.70% 2.00% 0.10% 0.10% 0.4% 0.40% 0.90% 0.60%

30 21 9 0 0 19 7 2 0 0 2 0 0 0 0 0 0

100% 70.00% 30.00% 0% 0% 63.33% 23.33% 6.67% 0% 0% 6.67% 0% 0% 0% 0% 0% 0%67.10% 32.90% 3.30% 1.80% 55.80% 25.20% 2.80% 2.70% 4.40% 2.70% 0.00% 0.10% 0.2% 0.10% 0.60% 0.40%

Two or MoreRaces

Major Occupations


orLatino




AsianNative Hawaiian American

0905 - GENERAL ATTORNEY

Occupational CLF

1101 - GENERAL BUSINESS and INDUSTRY

Occupational CLF

0110 - ECONOMIST

Occupational CLF

0511 - AUDITING

Occupational CLF

1801 - GENERAL INSPECTION, INVESTIGATION and COMPLIANCE

Occupational CLF

Table A7: APPLICANTS AND HIRES FOR MAJOR OCCUPATIONS by Race/Ethnicity and Sex Total RACE/ETHNICITY

Hispanic or Latino

Non- Hispanic or Latino

White Black or African American

Asian Native Hawaiian or

Other Pacific Islander

American Indian or

Alaska Native

Two or More Races


Job Title/Series: 0110 Economist

Total Received # 119

Voluntarily Identified # 81 61 20 6 3 31 12 10 1 9 4 0 0 2 0 3 0

% 100% 75.30% 24.70% 7.40% 3.70% 38.30% 14.80% 12.30% 1.20% 11.10% 4.90% 0.00% 0.00% 2.50% 0.00% 3.70% 0.00%

Qualified of those Identified # 51 36 15 3 2 23 9 4 1 5 3 0 0 0 0 1 0

% 100% 70.60% 29.40% 5.90% 3.90% 45.10% 17.60% 7.80% 2.00% 9.80% 5.90% 0.00% 0.00% 0.00% 0.00% 2.00% 0.00%

Selected of those Identified # 1 0 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0

% 100% 0.00% 100.00% 0.00% 0.00% 0.00% 100.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

CLF 67.10% 32.90% 3.30% 1.80% 55.80% 25.20% 2.80% 2.70% 4.40% 2.70% 0.00% 0.10% 0.20% 0.10% 0.40% 0.40%

Job Title/Series: 0511 Auditing

Total Received # 92


% 100% 62.30% 37.70% 9.80% 9.80% 39.30% 8.20% 6.60% 16.40% 6.60% 3.30% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%


% 100% 63.80% 36.20% 10.60% 10.60% 40.40% 4.30% 4.30% 17.00% 8.50% 4.30% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%


% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

CLF 39.90% 60.10% 2.20% 3.90% 31.80% 44.20% 2.40% 5.60% 2.90% 5.30% 0.00% 0.10% 0.10% 0.30% 0.20% 0.50%

Job Title/Series: 0905 General Attorney



% 100% 64.60% 35.40% 7.50% 4.30% 38.20% 18.50% 9.40% 5.90% 7.90% 4.70% 0.00% 0.00% 1.20% 0.40% 0.40% 1.60%


% 100% 64.80% 35.20% 7.50% 4.00% 38.30% 18.60% 9.50% 5.90% 7.90% 4.70% 0.00% 0.00% 1.20% 0.40% 0.40% 1.60%


% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

CLF

Run Date: Oct 20, 2016 1:46 PM Start Date: Oct 1, 2015 End Date: Sep 30, 2016

Total RACE/ETHNICITY

Hispanic or Latino

Non- Hispanic or Latino

White Black or African American

Asian Native Hawaiian or

Other Pacific Islander

American Indian or

Alaska Native

Two or More Races


Job Title/Series: 1101 General Business and Industry



% 100% 74.00% 26.00% 8.50% 4.20% 41.90% 7.30% 12.30% 10.50% 9.70% 3.60% 0.20% 0.00% 0.40% 0.00% 1.00% 0.40%


% 100% 74.20% 25.80% 7.80% 3.90% 42.70% 7.40% 12.10% 10.60% 10.00% 3.70% 0.20% 0.00% 0.20% 0.00% 1.10% 0.20%


% 100% 0.00% 100.00% 0.00% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 50.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

CLF 36.70% 63.30% 2.80% 5.80% 27.10% 43.80% 3.60% 8.80% 2.40% 3.20% 0.00% 0.10% 0.20% 0.40% 0.40% 0.70%

Job Title/Series: 1801 General Inspection, Investigation, and Compliance



% 100% 72.90% 27.10% 12.10% 1.90% 33.60% 9.30% 20.60% 13.10% 5.60% 1.90% 0.00% 0.00% 0.00% 0.00% 0.90% 0.90%


% 100% 67.90% 32.10% 10.30% 2.60% 32.10% 11.50% 20.50% 15.40% 3.80% 1.30% 0.00% 0.00% 0.00% 0.00% 1.30% 1.30%


% 100% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

CLF 53.60% 46.40% 4.30% 4.30% 41.00% 32.20% 4.20% 6.80% 2.70% 2.00% 0.10% 0.10% 0.40% 0.40% 0.60% 0.40%



Table B1: Total Workforce - Distribution by Disability [OPM Form 256 Self-Identification Codes]Year = FY 2016 Employing Office Code = CTCF4173 and

No Not Disability Targeted Hearing Vision Missing Partial Complete Epilepsy Severe Psychiatric

Disability

[91]

Dwarfism

Disability Identified [06-94] Disability [16-18] [21/23/25] Extremities Paralysis Paralysis [82] Intellectual [92]

[05] [01] [28/30/ [64-69] [71-79] Disability

32-38] [90]

765 703 34 28 1 0 1 0 0 0 0 0 0 0

100% 91.90% 4.44% 3.66% 0.13% 0% 0.13% 0% 0% 0% 0% 0% 0% 0%

726 665 31 30 1 0 1 0 0 0 0 0 0 0

100% 91.60% 4.27% 4.13% 0.14% 0% 0.14% 0% 0% 0% 0% 0% 0% 0%2.00%

Difference -39 -38 -3 2 0 0 0 0 0 0 0 0 0 0Ratio Change 0% -0.30% -0.17% 0.47% 0.01% 0% 0.01% 0% 0% 0% 0% 0% 0% 0%Net Change -5.10% -5.41% -8.82% 7.14% 0% 0% 0% 0% 0% 100% 0% 0% 0% 0%

718 663 29 26 1 0 1 0 0 0 0 0 0 0

100% 92.34% 4.04% 3.62% 0.14% 0% 0.14% 0% 0% 0% 0% 0% 0% 0%

709 650 30 29 1 0 1 0 0 0 0 0 0 0

100% 91.68% 4.23% 4.09% 0.14% 0% 0.14% 0% 0% 0% 0% 0% 0% 0%Difference -9 -13 1 3 0 0 0 0 0 0 0 0 0 0Ratio Change 0% -0.66% 0.19% 0.47% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%Net Change -1.25% -1.96% 3.45% 11.54% 0% 0% 0% 0% 0% 100% 0% 0% 0% 0%

47 40 5 2 0 0 0 0 0 0 0 0 0 0

100% 85.11% 10.64% 4.26% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

17 15 1 1 0 0 0 0 0 0 0 0 0 0

100% 88.24% 5.88% 5.88% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%Difference -30 -25 -4 -1 0 0 0 0 0 0 0 0 0 0Ratio Change 0% 3.13% -4.76% 1.63% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%Net Change -63.83% -62.50% -80.00% -50.00% 0% 0% 0% 0% 0% 100% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%Difference 0 0 0 0 0 0 0 0 0 0 0 0 0 0Ratio Change 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%Net Change 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

EMPLOYMENT TENURE

ALL Employees TARGETED DISABILITY

All

Prior FY

Current FY

EEOC Federal Goal

PERMANENT

Prior FY

Current FY

TEMPORARY

Prior FY

Current FY

NON-APPROPRIATED

Prior FY

Current FY


Table B2: Total Workforce By Component - Distribution by Disability [OPM Form 256 Self-Identification Codes]Year = FY 2016 Employing Office Code = CTCF4173 and

No Not Disability Targeted Hearing Vision Missing Partial Complete Epilepsy Severe Psychiatric Dwarfism

Disability Identified [06-94] Disability [16-18] [21/23/25] Extremities Paralysis Paralysis [82] Intellectual Disability [92]

[05] [01] [28/30/ [64-69] [71-79] Disability [91]

32-38] [90]

709 650 30 29 1 0 1 0 0 0 0 0 0 0

100% 91.68% 4.23% 4.09% 0.14% 0% 0.14% 0% 0% 0% 0% 0% 0% 0%2.00%

82 69 6 7 0 0 0 0 0 0 0 0 0 0

100% 84.15% 7.32% 8.54% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

21 20 0 1 0 0 0 0 0 0 0 0 0 0

100% 95.24% 0% 4.76% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

4 4 0 0 0 0 0 0 0 0 0 0 0 0

100% 100% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

86 80 5 1 0 0 0 0 0 0 0 0 0 0

100% 93.02% 5.81% 1.16% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

166 152 9 5 0 0 0 0 0 0 0 0 0 0

100% 91.57% 5.42% 3.01% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

117 110 3 4 0 0 0 0 0 0 0 0 0 0

100% 94.02% 2.56% 3.42% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

2 2 0 0 0 0 0 0 0 0 0 0 0 0

100% 100% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

49 42 1 6 1 0 1 0 0 0 0 0 0 0

100% 85.71% 2.04% 12.24% 2.04% 0% 2.04% 0% 0% 0% 0% 0% 0% 0%

14 12 2 0 0 0 0 0 0 0 0 0 0 0

100% 85.71% 14.29% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

91 86 2 3 0 0 0 0 0 0 0 0 0 0

100% 94.51% 2.20% 3.30% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

66 62 2 2 0 0 0 0 0 0 0 0 0 0

100% 93.94% 3.03% 3.03% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

11 11 0 0 0 0 0 0 0 0 0 0 0 0

100% 100% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

OFFICE OF DATA AND TECHNOLOGY

DIVISION OF CLEARING AND RISK

INTERNATIONAL AFFAIRS BRANCH

DIVISION OF SWAP DEALER AND INTERMEDIARY OVERSIGHT

DIVISION OF ENFORCEMENT

DIVISION OF MARKET OVERSIGHT

OFFICE OF COMMISSIONER BOWEN

OFFICE OF GENERAL COUNSEL

OFFICE OF THE CHIEF ECONOMIST

Total

EEOC Federal Goal

OFFICE OF THE EXECUTIVE DIRECTOR

OFFICE OF THE CHAIRMAN

OFFICE OF COMMISSIONER GIANCARLO

ORGANIZATIONAL COMPONENT


All


Table B3-1: Occupational Categories - Distribution by Disability [OPM Form 256 Self-Identification Codes]Year = FY 2016 Employing Office Code = CTCF4173 and



[05] [01] [28/30/ [64-69] [71-79] Disability [91]

32-38] [90]

Executive/Senior Level 142 137 4 1 0 0 0 0 0 0 0 0 0 0

(Grades 15 and Above) 100% 96.48% 2.82% 0.70% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

- Mid-Level 40 37 2 1 0 0 0 0 0 0 0 0 0 0

(Grades 13-14) 100% 92.50% 5.00% 2.50% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

- First Level 2 2 0 0 0 0 0 0 0 0 0 0 0 0

(Grades 12 and Below) 100% 100% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

181 167 4 10 0 0 0 0 0 0 0 0 0 0

100% 92.27% 2.21% 5.52% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

Officials and Managers 365 343 10 12 0 0 0 0 0 0 0 0 0 0

Total 100% 93.97% 2.74% 3.29% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

310 276 18 16 1 0 1 0 0 0 0 0 0 0

100% 89.03% 5.81% 5.16% 0.32% 0% 0.32% 0% 0% 0% 0% 0% 0% 0%

5 5 0 0 0 0 0 0 0 0 0 0 0 0

100% 100% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

5. Administrative Support 26 23 2 1 0 0 0 0 0 0 0 0 0 0

Workers 100% 88.46% 7.69% 3.85% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

2 2 0 0 0 0 0 0 0 0 0 0 0 0

100% 100% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

4. Sales Workers

OCCUPATIONAL CATEGORIES


All

6. Craft Workers

7. Operatives

8. Laborers and Helpers

9. Service Workers

1. Officials and Managers

- Other Officials and Managers

2. Professionals

3. Technicians


Table B4-1: Participation Rates for General Schedule(CT) Grades by Disability (Perm)Year = FY 2016 Employing Office Code = CTCF4173 and

CT/GM,SES

and

Related GradesPay Plans Grouped

with CT/GM

CT,EF,ES,EX No Not Disability

[06-94]

Targeted Hearing Vision Missing Partial Complete Epilepsy Severe Psychiatric Dwarfism

Disability Identified Disability [16-18] [21/23/25] Extremities Paralysis Paralysis [82] Intellectual Disability [92]

[05] [01] [28/30/ [64-69] [71-79] Disability [91]

32-38] [90]

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

1 1 0 0 0 0 0 0 0 0 0 0 0 0

100% 100% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

4 3 1 0 0 0 0 0 0 0 0 0 0 0

100% 75.00% 25.00% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

7 7 0 0 0 0 0 0 0 0 0 0 0 0

100% 100% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

6 6 0 0 0 0 0 0 0 0 0 0 0 0

100% 100% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

2 2 0 0 0 0 0 0 0 0 0 0 0 0

100% 100% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

19 17 1 1 0 0 0 0 0 0 0 0 0 0

100% 89.47% 5.26% 5.26% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

34 33 0 1 0 0 0 0 0 0 0 0 0 0

100% 97.06% 0% 2.94% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

114 103 5 6 0 0 0 0 0 0 0 0 0 0

100% 90.35% 4.39% 5.26% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

338 302 18 18 0 0 0 0 0 0 0 0 0 0

100% 89.35% 5.33% 5.33% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

137 130 4 3 1 0 1 0 0 0 0 0 0 0

100% 94.89% 2.92% 2.19% 0.73% 0% 0.73% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0.00% 0.00% 0.00% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

47 46 1 0 0 0 0 0 0 0 0 0 0 0

100% 97.87% 2.13% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

709 650 30 29 1 0 1 0 0 0 0 0 0 0

100% 91.68% 4.23% 4.09% 0.14% 0% 0.14% 0% 0% 0% 0% 0% 0% 0%TOTAL

CT-12

CT-13

CT-14

CT-15

All Other

CT-16/18

CT-11

All

CT-01

CT-02

CT-03

CT-04

CT-05

CT-06

CT-07

CT-08

CT-09

CT-10



Table B5-1: Participation Rates for Wage Grades Disability (Perm)Year = FY 2016 Employing Office Code = CTCF4173 and

WD/WG,WL/WS, and

Other Wage Grades No Not Disability Targeted Hearing Vision Missing Partial Complete Epilepsy Severe Psychiatric Dwarfism


[05] [01] [28/30/ [64-69] [71-79] Disability [91]

32-38] [90]

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

0 0 0 0 0 0 0 0 0 0 0 0 0 0

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

WG-06

WG-07

WG-08

WG-09

WG-10

WG-11

WG-12

WG-13

WG-14

WG-15

All Other

WG-05


All

WG-01

WG-02

WG-03

WG-04

CFTC had no WG employees in FY16


Table B6: Participation Rates for Major Occupations - Distribution by Disability [OPM Form 256 Self-Identification Codes] (Perm)Year = FY 2016 Employing Office Code = CTCF4173 and



[05] [01] [28/30/ [64-69] [71-79] Disability [91]

32-38] [90]

30 26 2 2 0 0 0 0 0 0 0 0 0 0

100% 86.67% 6.67% 6.67% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

46 42 4 0 0 0 0 0 0 0 0 0 0 0

100% 91.30% 8.70% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

279 254 14 11 1 0 1 0 0 0 0 0 0 0

100% 91.04% 5.02% 3.94% 0.36% 0% 0.36% 0% 0% 0% 0% 0% 0% 0%

102 99 1 2 0 0 0 0 0 0 0 0 0 0

100% 97.06% 0.98% 1.96% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

43 41 1 1 0 0 0 0 0 0 0 0 0 0

100% 95.35% 2.33% 2.33% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%


All

0110 - ECONOMIST

1101 - GENERAL BUSINESS and INDUSTRY

1801 - GENERAL INSPECTION, INVESTIGATION and COMPLIANCE

0511 - AUDITING

0905 - GENERAL ATTORNEY

SERIES/JOB TITLE

Table B7: APPLICATIONS AND HIRES by Disability Total Total by Disability Status Detail for Targeted Disabilities

No Disability

[05]

Not Identified

[01]

Disability [06 - 94]

Targeted Disability

Hearing [16/17 or

18]

Vision [23/25 or

21]

Missing Extremities [28, 32 - 38

or 30]

Partial Paralysis [64 - 68 or

69]

Complete Paralysis [71 - 78 or 79]

Total Paralysis [64 - 68 & 71-78 or

69/79]

Epilepsy [82]

Severe Intellectual Disability

[90]

Psychiatric Disability

[91]

Dwarfism [92]

Schedule A

Applications # 0 0 0 0 0 0 0 0 0 0 0 0 0

% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Hires # 0 0 0 0 0 0 0 0 0 0 0 0 0

% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%

Voluntarily Identified (Outside of Schedule A Applicants)

Applications # 3976 1617 2244 115 52 11 11 0 3 4 0 25 0

% 100.00% 40.67% 56.44% 2.89% 1.31% 0.28% 0.28% 0.00% 0.08% 0.10% 0.00% 0.63% 0.00%

Hires # 4 3 1 0 0 0 0 0 0 0 0 0 0

% 100.00% 75.00% 25.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%


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