Senior Executive Service: Diversity Increased in the Past Decade 
(16-MAR-01, GAO-01-377).					 
								 
This report analyzes the gender and racial/ethnic diversity in	 
the career Senior Executive Service (SES) governmentwide. GAO	 
examines (1) whether the composition of the career SES changed	 
during the 10-year period ending in fiscal year 1999 to include  
more minorities and women, (2) what proportion of women and	 
minorities were appointed to the career SES annually during this 
10-year period and whether the appointments reflected the SES	 
"pipeline"--the group from which new SES members were generally  
appointed, and (3) how the representation of women and minority  
employees in the career SES as of fiscal year 1999 compared with 
other labor forces. GAO found that the representation of women	 
and minorities in the career SES steadily increased during the	 
1990's, with the proportion of women going from 10 percent in	 
1990 to 22 percent in 1999. Similarly, the percentage of minority
members went from seven percent to about 13 percent. The vast	 
majority of these appointments came from within the ranks of	 
GS-15 employees. Women and minorities had a somewhat lower	 
representation in the SES when compared to other labor forces.	 
-------------------------Indexing Terms------------------------- 
REPORTNUM:   GAO-01-377 					        
    ACCNO:   A00750						        
    TITLE:   Senior Executive Service: Diversity Increased in the Past
             Decade                                                           
     DATE:   03/16/2001 
  SUBJECT:   Employment of minorities				 
	     Federal employees					 
	     Government job appointments			 
	     Women						 
	     Senior Executive Service				 
	     SES						 

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GAO-01-377
     
GAO- 01- 377

Report to Congressional Requesters

United States General Accounting Office

GAO

March 2001 SENIOR EXECUTIVE SERVICE Diversity Increased in the Past Decade

Page i GAO- 01- 377 SES Diversity Letter 1

Appendix I Agencies Covered in Our Review 36

Appendix II Objectives, Scope, and Methodology 37

Appendix III Profile of the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity 43

Appendix IV Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity 54

Appendix V 24 CFO Agencies? Career SES Workforce Compared With Selected
Labor Forces 72

Appendix VI Composition of the Noncareer SES During Fiscal Years 1990
Through 1999 79

Appendix VII Noncareer SES Appointments, 1990- 1999 86

Appendix VIII Comments From OPM 103

Appendix IX Comments From EEOC 105

Appendix X GAO Contact and Staff Acknowledgements 111 Contents

Page ii GAO- 01- 377 SES Diversity Tables

Table 1: Comparison of Career SES Employee Groups as of September 30, 1999,
to the Same Employee Groups in Selected Labor Forces 31 Table II. 1: Labor
Forces Selected for Comparison to the SES 39 Table III. 1: Number of Women
and Minorities in the 24 CFO

Agencies and Governmentwide as of the End of Fiscal Years 1990 Through 1999
43 Table III. 2: Extent of Change in the Number of Career SES Women

in the 24 CFO Agencies and Governmentwide From Fiscal Years 1990 Through
1999, by Race and Ethnicity 50 Table III. 3: Extent of Change in the Number
of Minority Career SES

Members in the 24 CFO Agencies and Governmentwide From Fiscal Years 1990
Through 1999, by Race and Ethnicity 52 Table IV. 1: Number of Women and
Minorities Appointed to the

Career SES at the 24 CFO Agencies and Governmentwide During Fiscal Years
1990 Through 1999 54 Table IV. 2: Number of Career SES Appointments at the
24 CFO

Agencies and Governmentwide From Fiscal Years 1990 Through 1999, by Race and
Ethnicity 63 Table V. 1: Comparison of Career SES Employee Groups in the 24

CFO Agencies as of September 30, 1999, to the Same Employee Groups in the
National CLF 73 Table V. 2: Comparison of Career SES Employee Groups in the
24

CFO Agencies as of September 30, 1999, to the Same Employee Groups in Our
Agency- Specific RCLFs 74 Table V. 3: Comparison of Career SES Employee
Groups in the 24

CFO Agencies as of September 30, 1999, to the Same Employee Groups in Each
Agency?s Total Workforce 75 Table V. 4: Comparison of Career SES Employee
Groups in the 24

CFO Agencies as of September 30, 1999, to the Same Employee Groups in
Professional and Administrative Occupations at Each Agency 76 Table V. 5:
Comparison of Career SES Employee Groups in the 24

CFO Agencies as of September 30, 1999, to the Same Employee Groups in the
Agencies? GS- 15 Workforces 77 Table V. 6 Comparison of Career SES Employee
Groups in the 24

CFO Agencies as of September 30, 1999, to the Same Employee Groups in the U.
S. Postal Service 78 Table VI. 1: Size of the Noncareer SES- Fiscal Year End
1990- 1999 79 Table VI. 2: Number of Women and Minorities in the Noncareer
SES

at the 24 CFO Agencies as of the End of Fiscal Years 1990 Through 1999 79

Page iii GAO- 01- 377 SES Diversity

Table VII. 1: Noncareer SES Appointments- Fiscal Year End 1990- 1999 86
Table VII. 2: Number of Women and Minorities Appointed to the

Noncareer SES at the 24 CFO Agencies During Fiscal Years 1990 Through 1999
87 Table VII. 3: Number of Noncareer SES Appointments at the 24 CFO

Agencies From Fiscal Years 1990 Through 1999, by Race and Ethnicity 95

Figures

Figure 1: Number of Women, Men, Minorities, and Whites in the Career SES-
Fiscal Year- End 1990- 1999 9 Figure 2: Percentage of Women and Minorities
in the Career SES,

1990- 1999 10 Figure 3: Percentage of Different Minority Groups in the
Career

SES, 1990- 1999 11 Figure 4: Percentage of Women in the Career SES by

Race/ Ethnicity, 1990- 1999 13 Figure 5: Percentage of Men in the Career SES
by Race/ Ethnicity,

1990- 1999 15 Figure 6: Percentage of Career SES Women in the 24 CFO
Agencies

as of Fiscal Year- End 1990 and 1999 16 Figure 7: Extent of Change in the
Percentage of Career SES

Women in the 24 CFO Agencies Over the 1990- 1999 Period 17 Figure 8:
Percentage of Career SES Minority Employees in the 24

CFO Agencies as of Fiscal Year- End 1990 and 1999 18 Figure 9: Extent of
Change in the Percentage of Minority Career

SES Employees in the 24 CFO Agencies Over the 1990- 1999 Period 19 Figure
10: Percentage of Women and Minorities Appointed to the

Career SES, 1990- 1999 21 Figure 11: Percentage of SES Appointments That
Were Women, by

Race/ Ethnicity 1990- 1999 22 Figure 12: Percentage of SES Appointments That
Were Men, by

Race/ Ethnicity 1990- 1999 23 Figure 13: Percentage of Appointments to
Career SES That Were

Women, by Agency, 1990- 1999 24 Figure 14: Percentage of Appointments to
Career SES That Were

Minorities, by Agency, 1990- 1999 25 Figure 15: Percentage of Women and
Minorities Among GS- 15s and

Career SES Appointments from GS- 15 27 Figure 16: Minority Group Percentages
in GS- 15 and in Career SES

Appointments From GS- 15 28

Page iv GAO- 01- 377 SES Diversity

Abbreviations AID U. S. Agency for International Development CFO Chief
Financial Officer CLF Civilian Labor Force CPDF Central Personnel Data File
EEOC Equal Employment Opportunity Commission EPA Environmental Protection
Agency FEMA Federal Emergency Management Agency FBI Federal Bureau of
Investigation GS General Schedule GSA General Services Administration HHS
Department of Health and Human Services HUD Department of Housing and Urban
Development NASA National Aeronautics and Space Administration NSF National
Science Foundation NRC Nuclear Regulatory Commission OPM Office of Personnel
Management RCLF Relevant Civilian Labor Force SBA Small Business
Administration SES Senior Executive Service SSA Social Security
Administration

Page 1 GAO- 01- 377 SES Diversity

March 16, 2001 The Honorable Edolphus Towns House of Representatives

The Honorable Elijah E. Cummings House of Representatives

The Honorable Danny K. Davis Ranking Minority Member Subcommittee on Civil
Service

and Agency Organization Committee on Government Reform House of
Representatives

This report responds to your request that we undertake a study of diversity
in the federal government?s Senior Executive Service (SES). You expressed
concerns about the extent to which women and minorities achieve SES status.
SES members are critical to providing the strategic leadership needed to
effectively execute agency missions and ensure accountability to the
American people in the administration and operation of federal programs.
Having a diverse SES corps can be an organizational strength that
contributes to achieving results. Diversity can bring a wider variety of
perspectives and approaches to bear on policy development and
implementation, strategic planning, problem solving, and decisionmaking. Now
that the labor market has become increasingly competitive and the
demographics of the public served by the federal government are changing,
diversity has evolved from public policy to a business need. A common
practice in assessing an organization?s diversity is to analyze the
composition of its labor force in comparison with other labor forces. If
disparities exist, further examination may be warranted to identify and
eliminate any barriers to greater diversity.

In response to your request, we agreed to provide a descriptive analysis of
gender and racial/ ethnic diversity in the career SES governmentwide as well
as in selected agencies. 1 Specifically, we describe

1 The selected agencies were 24 departments and agencies that employed 92
percent of the career SES workforce as of September 30, 1999. The 24
departments and agencies, listed in appendix I, are covered by the Chief
Financial Officers (CFO) Act.

United States General Accounting Office Washington, DC 20548

Page 2 GAO- 01- 377 SES Diversity

 To what extent the composition of the career SES changed over the 10- year
period ending in fiscal year 1999 to include more women and minorities.

 What proportion of women and minorities were appointed to the career SES
annually over this 10- year period and whether the appointments reflected
the SES ?pipeline?- the group from which new SES members were generally
appointed.

 How the representation of women and minority employees in the career SES
as of fiscal year- end 1999 compared with other labor forces.

As agreed with your offices, we also are providing governmentwide and
agency- specific data for each fiscal year from 1990 through 1999 on the
composition of and appointments to the noncareer SES.

In doing our work, we analyzed SES composition and appointment data from the
Central Personnel Data File (CPDF), the database of federal employees
maintained by the Office of Personnel Management (OPM). We also compared the
composition of the career SES to multiple labor forces, because various
benchmarks could be used to assess the representation of women and
minorities in the career SES.

As agreed with your offices, we compared the career SES to six labor forces.
The labor force in our comparisons that covers the widest range of
occupations and work settings is the national civilian labor force (CLF),
which includes persons ages 16 and over who are employed or seeking
employment but excludes those in the Armed Forces. 2 We selected two other
comparative labor forces- a proxy relevant CLF (RCLF), which is that portion
of the CLF that corresponds to the SES labor force as closely as possible in
terms of occupations and salary levels 3 and general schedule (GS) grade 15
career federal employees. The Equal Employment Opportunity Commission (EEOC)
and the Department of Justice have advised agencies to compare their labor
forces to those in the CLF with the requisite skills and experience to
perform the duties of the positions in their agencies. EEOC said it has
suggested that agencies look at their

2 The CLF is derived from the March 1999 Current Population Survey (CPS)
conducted by the U. S. Bureau of the Census. For purposes of this study, we
excluded the federal civilian workforce from the CLF.

3 Because data were not available on level of responsibilities for those in
the CLF, we used the subset of those in the CLF who earned at least $100,
000 and worked in one of the 28 occupations that were similar to the
occupations in which 87 percent of the career SES members were employed as
of September 30, 1999.

Page 3 GAO- 01- 377 SES Diversity

relevant feeder groups when assessing the level of representation of women
and minorities in the SES or at any particular grade level; and in the case
of the SES, it has suggested that agencies look at their GS- 14 and GS- 15
workforces. 4 When an agency?s positions cannot be precisely matched to
those in the CLF, Justice has advised agencies to compare their labor forces
to those in other labor forces that have the qualifications to perform the
duties of the positions in their agencies- such as comparing their SES with
employees in their GS- 15 workforce. We recognize that the proxy RCLF we
developed is not a perfect benchmark, and EEOC does not endorse our RCLF. 5
However, it was the closest match to the SES that we could identify because
data were not available to construct a direct comparison group.

Of the remaining three labor forces in our comparisons, two of them- all
federal executive branch employees and federal executive branch employees in
professional and administrative occupations- represent a broader set of
skills and experience among career federal employees; one, the U. S. Postal
Service career executive corps, is a federal executive labor force that is
outside the SES. A more detailed description of our scope and methodology is
presented on page 5 of this report and in appendix II.

During the 1990s, the representation of women and minorities in the career
SES steadily increased. The proportion of women went from about 10 percent
in 1990 to about 22 percent in 1999. Similarly, the percentage of minority
members in the SES grew from about 7 percent to about 13 percent over the
decade. Each minority- African Americans, Hispanics, Asian Americans, and
Native Americans- showed increased representation during the 1990s. The
pattern of increased representation also occurred in most of the 24 agencies
we reviewed.

The growth in overall representation of women and minorities in the career
SES resulted from the greater proportion of appointments to the career SES
from these groups. The percentage of appointments of women

4 Although there were twice as many GS- 14s as GS- 15s as of September 30,
1999, GS- 14s only accounted for 1 percent of appointments to the SES at
that time. Therefore, we did not include GS- 14s as a feeder group for
comparison to the SES.

5 EEOC does not endorse our RCLF because they do not consider it to be the
most appropriate measure for determining the extent of diversity in the SES.
EEOC prefers a comparison of the SES with the GS- 14 and GS- 15 workforces
and does not construct RCLF groupings for purposes of comparison to the SES
labor force. Results in Brief

Page 4 GAO- 01- 377 SES Diversity

and minorities substantially increased in the 1990s. Rates in 1999 were 29
percent of appointments for women and 15 percent for minorities compared
with 17 percent and 10 percent, respectively, in 1990. The vast majority of
career SES appointments came from the ranks of GS- 15 employees and for the
3 years we reviewed (1990, 1995, and 1999), the percentage of women
appointed to the SES exceeded their proportion of GS- 15 employees in each
of the previous years. The same was true for minorities in 1995, but
appointments were somewhat less than GS- 15 representation in the other 2
years. The pattern of appointments compared with the pipeline was different
across minority groups.

When we compared women and minorities in the SES with our RCLF- the closest
match we could find to the SES in terms of requisite skills and experience
to perform the duties of the SES- we found that women, minorities as a
whole, and each minority group, except Asian Americans, were as well or
better represented in the SES than in our RCLF. For the alternative
comparison suggested by Justice, the GS- 15 workforce, women and minorities
overall had somewhat lower representation in the SES. African Americans and
Native Americans had higher representation in the SES than in the GS- 15
workforce, and Hispanics and Asian Americans had lower representation. Our
comparisons of SES representation with broader and therefore less closely
matched labor forces- those in the overall CLF, the federal executive branch
workforce, and federal employees in professional and administrative
occupations- generally showed lower SES representation, as did comparison
with the Postal Service?s career executive corps. No single one of these
comparisons, however, can be seen as definitive as to whether the SES corps
is sufficiently diverse.

Like the career SES, the composition of and appointments to the noncareer
SES became more diverse over the 1990 through 1999 period. For example, the
number of noncareer SES women increased from 181 (26 percent) in 1990 to 269
(40 percent) in 1999, and noncareer SES minorities increased from 75 (11
percent) to 154 (23 percent) over these 10 years.

In commenting on a draft of this report, OPM said that it shows the numbers
on diversity are going in the right direction. Even so, OPM believes that
continued improvement will require commitment to reviewing and revising
employment practices that foster diversity. EEOC took issue with certain
aspects of our methodology and expressed concern that readers could draw
inappropriate conclusions from this report. As we discuss in this report,
while our methodology is not perfect, it was the best we could devise
considering the available data. Moreover,

Page 5 GAO- 01- 377 SES Diversity

in this report, we caution the reader about drawing conclusions from the
data presented.

The SES was established by the Civil Service Reform Act of 1978. As of
September 30, 1999, the SES had 6,871 members. 6 The majority (6,205) of the
SES members were in the career SES as of that date; the remaining 666 were
in the noncareer SES. Career SES members are individuals with civil service
status who are appointed competitively to SES positions that are below the
top political appointees in the federal executive branch. The noncareer SES
members are individuals who receive noncompetitive appointments to SES
positions that usually involve advocating, formulating, and directing the
programs and policies of the administration.

The Civil Service Reform Act of 1978 also states that the policy of the
federal government is to ensure equal employment opportunity in the
workforce. To carry out this policy, the act calls for implementation of
agency action through a continuing minority recruitment program designed to
?eliminate underrepresentation of minorities in the various categories of
civil service employment.? 7 It further requires that EEOC establish
guidelines for use by executive agencies in complying with this statutory
requirement. 8 According to EEOC?s October 6, 1987, directive, issued under
this provision to aid agencies in their affirmative employment activities,
women and minorities are fully represented when their percentage
representation in the workforce at an agency equals or exceeds their
percentage representation in an RCLF. An RCLF consists of the pool of
individuals in the CLF that have the necessary skills and qualifications to
perform the duties of the particular job or occupation.

6 We excluded from our study SES members who were either in limited- term or
limited emergency appointments, which are nonrenewable, noncompetitive SES
appointments for a fixed term of up to 3 years and 18 months, respectively.
OPM must approve each proposed use of limited appointment authority. As of
September 30, 1999, 169 individuals were in either a limited- term or
limited emergency SES appointment.

7 5 U. S. C. 7201. 8 Although the minority recruitment program provisions of
5 U. S. C. 7201 pertain to

?categories of civil service employment? that do not include the SES [5 U.
S. C. 7201 (a)( 2)], the SES is not exempt from the prohibition of
discriminatory practices against federal government employees (and
applicants for federal employment) or the requirements of equal employment
opportunity (42 U. S. C. 2000e- 16). Background

Page 6 GAO- 01- 377 SES Diversity

According to EEOC, it advises agencies to first compare their workforces
with established broad occupational categories, such as administrative,
technical and clerical, within the CLF. Then, agencies are to compare
specific significant occupations within their overall workforce with the
same broad CLF occupational categories to identify areas of possible
underrepresentation for further analysis. For professional occupations that
require advanced degrees and/ or licenses, such as engineers, doctors, or
attorneys, EEOC advises agencies to compare each of the professional
occupations in their agencies with the corresponding occupations in the CLF.

EEOC also said it advises agencies, in determining whether
underrepresentation of minorities exists in the various levels of the
workforce, to follow the guidance contained in the Department of Justice?s
February 29, 1996, memorandum on affirmative action in federal employment.
Among other things, that memorandum gives examples of comparative labor
forces that agencies can use to determine whether minority groups are
underrepresented in particular jobs. For example, the memorandum states that
an agency would determine whether minorities were underrepresented in its
workforce by comparing minority representation in the job at issue to the
relevant or qualified labor pool in the CLF, rather than to the national
CLF. The memorandum also indicates that where the job at issue cannot be
precisely matched to a job in the CLF, an agency should use the qualified
labor force that most closely matches its qualifications for the job at
issue. For example, the memorandum states that an agency would determine
whether minorities were underrepresented in its SES workforce by comparing
the number of minority GS- 15 employees it employs, and others with similar
qualifications, to the number of minority SES members it employs.

Comparisons with other labor forces are an important part of determining
what further actions agencies need to take. However, even if women and
minorities are not as well represented in the career SES when compared with
other selected labor forces, this information alone would not be sufficient
evidence to conclude that discrimination had occurred. In addition, it
should not be concluded that affirmative employment efforts are no longer
needed to further improve the representation of women and minorities in the
career SES if the comparisons show they are as well or better represented in
the SES as in other selected labor forces.

Page 7 GAO- 01- 377 SES Diversity

To assess change in the career SES composition during the 1990s, we analyzed
data obtained from OPM?s CPDF on the female and minority makeup of the
career SES from fiscal year- end 1990 through 1999. We analyzed the data, by
race/ ethnicity and gender, to identify trends in the percentages of women
and minorities employed in the career SES governmentwide and in each of 24
CFO agencies over the 10- year period. We did not independently verify the
CPDF data on the SES for the years we reviewed. However, we reported in 1998
that governmentwide data from the CPDF for the key variables in this study
(gender, race/ ethnicity, GS- grade, pay plan, occupation, career status,
agency, and personnel action) were 97 percent or more accurate. 9

For the first part of our second objective, to determine the proportion of
women and minorities appointed to the career SES annually over this 10year
period, we obtained and analyzed data from the CPDF for each fiscal year
from 1990 through 1999. 10 We excluded career SES appointments that were
reinstatements into the career SES and transfers of career SES individuals
from one agency to another (about 1 percent combined). For the second part
of our second objective, to determine whether career SES appointments
reflected the SES pipeline from which most new SES members were generally
appointed, we obtained and analyzed data from the CPDF for each of 3 years
(1990, 1995, and 1999). The 3 years represented the beginning, middle, and
end of our overall review period. We compared the diversity of the career
SES appointees with the diversity of the pipeline. Because data were not
readily available on who actually applied for SES vacancies and because we
could not clearly determine the workforces from which all career SES
appointees came, we limited the pipeline analysis to career SES appointments
of career GS- 15 and equivalent employees from within the appointing agency.
Over 90 percent of those appointed to the career SES from within an agency
were career GS- 15 and equivalent employees the year prior to their
appointment and about 83 percent of all career SES appointments were from
within an agency. Although we recognized that all GS- 15 employees were not
in managerial or supervisory positions, we selected the GS- 15 workforce and
its equivalent as the SES pipeline because we found that 25 percent of the

9 See OPM?s Central Personnel Data File: Data Appear Sufficiently Reliable
to Meet Most Customer Needs, (GAO/ GGD- 98- 199, Sept. 30, 1998). 10 The
CPDF does not include appointment data for the Federal Bureau of
Investigation (FBI), which is part of the Department of Justice. Scope and

Methodology

Page 8 GAO- 01- 377 SES Diversity

GS- 15 workforce appointed to the SES in fiscal year 1999 were not managers
or supervisors in fiscal year 1998.

To look at representation in the career SES compared with other labor
forces, we calculated the proportions of women and minorities in the career
SES, as of September 30, 1999, and compared the result with similarly
calculated proportions of women and minorities in the six labor forces. The
labor forces, which varied in the extent to which they were similar to the
career SES in terms of occupation and salary, were the national CLF,
excluding federal employees; an RCLF, excluding federal employees, that we
developed; the federal executive branch career workforce as a whole; career
federal employees in professional and administrative occupations; the GS- 15
career workforce; and the Postal Service career executive corps.

To provide data on the composition of and appointments to the noncareer SES,
we obtained and analyzed governmentwide and agency- specific data from OPM?s
CPDF. Data were obtained for each fiscal year from 1990 through 1999.

We did our work in Washington, D. C., from January 2000 through January 2001
in accordance with generally accepted government auditing standards. A more
detailed description of the scope and methodology used to answer each of the
objectives is provided in appendix II.

The proportion of women and minorities in the career SES generally increased
both governmentwide and in the 24 CFO agencies during the 1990 through 1999
period. The percentage of white women increased substantially while the
percentage of white men declined.

From fiscal years 1990 through 1999, the career SES varied in size from a
high of 7,583 in 1992 to a low of 6, 183 in 1998. While the number of career
SES employees overall decreased, the number of women and minorities steadily
increased over this 10- year period, as shown in figure 1. The number of
women in the career SES governmentwide more than doubled from 626 in 1990 to
1,352 in 1999, while the number of men declined. The number of minorities
increased from 487 as of September 30, 1990, to 807 by the end of fiscal
year 1999. Figure 1 also shows that the number of white and male career SES
members declined over the 10- year period but continued to make up the
majority of the career SES workforce. Career SES

Composition Changed From 1990 Through 1999

Women and Minorities Steadily Increased During Fiscal Years 1990 Through
1999

Page 9 GAO- 01- 377 SES Diversity

Figure 1: Number of Women, Men, Minorities, and Whites in the Career SES-
Fiscal Year- End 1990- 1999

Note: Minority women are counted in both the women and minority trend lines.
Source: GAO? analysis of career SES composition data in OPM?s CPDF.

Governmentwide, women and minorities became a greater proportion of the
career SES workforce over the 1990 through 1999 period. The amount of growth
that minorities experienced as a group was more modest than that of women.
As shown in figure 2, the proportion of women in the career SES grew to 21.8
percent as of the end of fiscal year 1999, up 12 percentage points from the
fiscal year- end 1990 rate of 9.5 percent. Minorities grew from 7.4 percent
of the career SES as of September 30, 1990, to 13 percent as of September
30, 1999.

Page 10 GAO- 01- 377 SES Diversity

Figure 2: Percentage of Women and Minorities in the Career SES, 1990- 1999

Note: Percentages are based on the number of career SES members employed as
of September 30 of each fiscal year. Minority women are counted in both
trend lines.

Source: GAO?s analysis of career SES composition data in OPM?s CPDF.

The annual rate of increase for women and minorities in the career SES over
the 10- year period was generally less than 1 percent. The highest annual
rate of increase for women (2.4 percent) and minorities (1.1 percent)
occurred between 1993 and 1994. The number of women and minorities in the
career SES each fiscal year from 1990 through 1999 is shown in table III. 1
of appendix III.

Figure 3 shows the growth trends among the four minority groups- African
Americans, Hispanics, Asian Americans, and Native Americans- over the 1990
through 1999 period. African Americans increased from 4.6 percent as of
September 30, 1990, to 7.8 percent as of September 30, 1999- a 3.2
percentage point increase over the 10- year period. The proportion of Native
Americans in the career SES was 0.6 percent as of September 30, 1990, and
from fiscal year 1991 through fiscal year 1997,

Page 11 GAO- 01- 377 SES Diversity

they consistently made up 0.8 percent of the career SES. By the end of
fiscal year 1999, the proportion of Native Americans in the career SES had
increased to 1.1 percent, resulting in a 0.5 percentage point increase over
the 1990 through 1999 period. The proportion of Asian Americans and
Hispanics in the career SES over the 1990 through 1999 period was slightly
above the percentage of Native Americans.

Figure 3: Percentage of Different Minority Groups in the Career SES, 1990-
1999

Note: Percentages are based on the total number of career SES members
employed as of September 30 of each fiscal year.

Source: GAO?s analysis of career SES composition data in OPM?s CPDF.

Page 12 GAO- 01- 377 SES Diversity

The extent of change in the composition of the career SES governmentwide
varied when analyzed by gender and race/ ethnicity combined. Governmentwide,
white women experienced a higher percentage point change relative to each of
the minority women groups over the 1990 through 1999 period. As figure 4
shows, the proportion of white women in the career SES increased more than 9
percentage points from 8.2 percent in 1990 to 17.6 percent in 1999. Although
minority women also experienced some growth over the 1990 through 1999
period, the extent of change in their growth was substantially less than
that of white women. African- American women increased about 2 percentage
points over the 10- year period from nearly 1 percent in 1990 to 2.7 percent
in 1999; Hispanic, Asian- American, and Native- American women each
increased less than 1 percentage point. Minority women, as a group, made up
4 percent of the career SES workforce by the end of fiscal year 1999. The
extent of change in the number of career SES women is shown by race and
ethnicity in table III. 2 of appendix III. Governmentwide Changes

in Percentage of Women and Men in the Career SES Varied by Race and
Ethnicity

Page 13 GAO- 01- 377 SES Diversity

Figure 4: Percentage of Women in the Career SES by Race/ Ethnicity, 1990-
1999

Note: Percentages are based on the total number of career SES members
employed as of September 30 of each fiscal year.

Source: GAO?s analysis of career SES composition data in OPM?s CPDF.

Figure 4 also shows that over the 10- year period, differences existed
between the proportion of white women and minority women in the career SES,
and these differences became more pronounced in 1994 and continued to widen.
As of September 30, 1990, the difference between white women and African-
American women, the largest group of minority women, was 7 percentage
points. By the end of fiscal year 1999, the difference had increased to
about 15 percentage points.

Page 14 GAO- 01- 377 SES Diversity

The proportion of white men, who made up the majority of the career SES
workforce governmentwide over the 1990 through 1999 period, declined by 15
percentage points during this 10- year period from 84 percent in 1990 to 69
percent in 1999, as shown in figure 5. This decline in the percentage of
white men can, in part, be attributed to their retirement 11 and their
replacement with more white women and minorities rather than with white men.
African- American men increased 1.4 percentage points over the 10- year
period from 3.7 percent in 1990 to 5.1 percent in 1999. Hispanic, Asian-
American, and Native- American men each made up nearly 2 percent or less of
the career SES workforce during the 1990 through 1999 period.

11 In May 2000, we reported that in each of fiscal years 1992 through 1998,
between 2 percent and 10 percent of the career SES workforce, which was
comprised mostly of white men, retired. See Senior Executive Service:
Retirement Trends Underscore the Importance of Succession Planning (GAO/
GGD- 00- 113BR, May 12, 2000).

Page 15 GAO- 01- 377 SES Diversity

Figure 5: Percentage of Men in the Career SES by Race/ Ethnicity, 1990- 1999

Note: Percentages are based on the total number of career SES members
employed as of September 30 of each fiscal year.

Source: GAO?s analysis of career SES composition data in OPM?s CPDF.

The extent of change in the proportion of women and minorities in the career
SES varied among the 24 CFO agencies over the 1990 through 1999 period. The
proportion of women in the career SES increased over the 10year period in
each of the 24 agencies. The proportion of minorities in the career SES also
increased over this 10- year period in all of the 24 agencies, except two-
FEMA and State.

As figure 6 shows, each of the 24 CFO agencies, and the federal government
as a whole, had a higher proportion of women career SES Changes in the
Proportion

of Women and Minorities in the Career SES Varied Among the 24 CFO Agencies

Page 16 GAO- 01- 377 SES Diversity

members as of September 30, 1999, than in 1990. This figure also shows that
OPM, which had a relatively small career SES workforce (38) as of the end of
fiscal year 1999, had the highest proportion of women (42 percent) in its
career SES workforce. Veterans Affairs, with 248 career SES members as of
the end of fiscal year 1999, had the lowest proportion (13 percent) of women
in its career SES. The number of career SES women in each of the 24 agencies
from 1990 through 1999 is shown in table III. 1 of appendix III.

Figure 6: Percentage of Career SES Women in the 24 CFO Agencies as of Fiscal
Year- End 1990 and 1999

Note: The agencies are ordered by the percentage change between 1990 and
1999. (See fig. 7 also.) Source: GAO?s analysis of career SES composition
data in OPM?s CPDF.

The percentage of women career SES members increased at each agency. There
was a larger percentage- point increase at some agencies than at others, as
figure 7 shows. The change ranged from 21- percentage points (Interior) to
5- percentage points (Veterans Affairs). There was even more

Page 17 GAO- 01- 377 SES Diversity

variation across agencies when we examined trends in women by race and
ethnicity. Details of that analysis are presented in table III. 2 in
appendix III.

Figure 7: Extent of Change in the Percentage of Career SES Women in the 24
CFO Agencies Over the 1990- 1999 Period

Source: GAO?s analysis of career SES composition data in OPM?s CPDF.

As shown in figure 8, the percentage of minority career SES employees
increased over the 1990 through 1999 period at all of the 24 CFO agencies
except two- FEMA and State. Figure 8 also shows that SBA, with 34 career SES
members as of September 30, 1999, had the highest percentage of minorities
in its career SES workforce. FEMA, which had 29 career SES members as of the
end of fiscal year 1999, had the lowest percentage of minority career SES
members.

Page 18 GAO- 01- 377 SES Diversity

Figure 8: Percentage of Career SES Minority Employees in the 24 CFO Agencies
as of Fiscal Year- End 1990 and 1999

Note: The agencies are ordered by the percentage change between 1990 and
1999. (See fig. 9 also.) Source: GAO?s analysis of career SES composition
data in OPM?s CPDF.

As with the change in the percentage of women, figure 9 shows that agencies
differed in the extent of change in the percentage of minorities over this
period. The amount of increase among minority career SES employees ranged
from 0.2 percentage point at Veterans Affairs to 19 percentage points at
SBA. The percentage of minorities declined by 0.8 percentage point and 1.8
percentage points at FEMA and State, respectively. For details on the number
of career SES minorities at each of the 24 CFO agencies from 1990 through
1999 and on the extent of change in the number of minorities, see tables
III. 1 and III. 3, respectively, in appendix III.

Interior n = 182

Agriculture n = 276

SBA n = 34

HHS n = 417

GSA n = 86

OPM n = 38

Transportation n = 174

Treasury n = 509

State n = 107

NASA n = 404

HUD n = 70

EPA n = 249

Commerce n = 306

Justice n = 55 6

Energy n = 381

SSA n = 104

AID n = 26

NSF n = 81

Defense n = 1109

NRC n = 140

Labor n = 126

FEMA n = 29

Veterans Affairs n = 248

Percentage

0 5

10 15

20 25

30 35

40

Education n = 57

Governmentwide n = 6, 205 FY 1999 FY 1990 N = The total number of career SES
members employed as of September 30, 1999.

A

Page 19 GAO- 01- 377 SES Diversity

Figure 9: Extent of Change in the Percentage of Minority Career SES
Employees in the 24 CFO Agencies Over the 1990- 1999 Period

Source: GAO?s analysis of career SES composition data in OPM?s CPDF.

The gender and racial/ ethnic diversity of those appointed to the SES each
year will, of course, affect the composition of the SES workforce. For
fiscal years 1990 through 1999, annual appointments to the career SES
included more women and minorities as the decade went on. The extent of
diversity in SES appointments varied among the selected agencies.

We also found that in comparing SES appointments to the GS- 15 workforce,
the pipeline from which almost all SES appointments came over the 3 years
(1990, 1995, and 1999) that we reviewed, the percentage of women appointed
to the SES was greater than the percentage of women in the GS- 15 workforce
for all 3 years. A higher percentage of minorities was SES Appointments

Became More Diverse and Mirrored Diversity in Pipeline

Page 20 GAO- 01- 377 SES Diversity

appointed to the SES from the GS- 15 workforce in 1 of 3 years, and the
pattern of appointments compared with the pipeline was quite different
across the minority groups.

During the period from 1990 through 1999, the general pattern was an
increase in women and minority SES appointments in the mid- 1990s from a
lower level in the early years of the decade. From 1990 through 1999, about
25 percent (1,298) of the 5,294 career SES appointments were women and 14.4
percent (763) were minorities. African Americans received 9 percent of the
career SES appointments followed by Hispanics (2.6 percent), Asian Americans
(1.7 percent), and Native Americans (1.2 percent). For details on the number
of women, minorities as a whole, and minority groups appointed annually to
the career SES over the 10- year period, see appendix IV.

As shown in figure 10, the percentage of career SES appointees that were
women increased from 17 percent in 1990 to 29 percent in 1999. Minority
appointments to the career SES increased from 9.5 percent in 1990 to 14.9
percent in 1999. Trends in SES

Appointments, 1990 Through 1999

Page 21 GAO- 01- 377 SES Diversity

Figure 10: Percentage of Women and Minorities Appointed to the Career SES,
1990- 1999

Note: Percentages are based on the total number of career SES appointments,
except for the FBI, each fiscal year from 1990 through 1999. Minority women
are counted in both trend lines.

Source: GAO?s analysis of career SES appointment data in OPM?s CPDF.

Figures 11 and 12 show trends in appointments for women and men by race and
ethnicity. In each year, the largest percentages of appointments were white
women and white men. Of all appointments during this period, 19.8 percent
were white women; 65. 5 percent were white men.

Page 22 GAO- 01- 377 SES Diversity

Figure 11: Percentage of SES Appointments That Were Women, by Race/
Ethnicity 1990- 1999

Source: GAO?s analysis of career SES appointment data in OPM?s CPDF.

Page 23 GAO- 01- 377 SES Diversity

Figure 12: Percentage of SES Appointments That Were Men, by Race/ Ethnicity
1990- 1999

Source: GAO?s analysis of career SES appointment data in OPM?s CPDF.

Figures 13 and 14 below show the percentage of career SES appointments that
were women and minorities for each CFO agency and the government as a whole
from 1990 through 1999. For details on the number of women and minorities
appointed annually to the career SES in each agency and governmentwide, see
table IV. 1 in appendix IV.

Page 24 GAO- 01- 377 SES Diversity

Figure 13: Percentage of Appointments to Career SES That Were Women, by
Agency, 1990- 1999

Source: GAO?s analysis of career SES appointment data in OPM?s CPDF.

Page 25 GAO- 01- 377 SES Diversity

Figure 14: Percentage of Appointments to Career SES That Were Minorities, by
Agency, 1990- 1999

Source: GAO?s analysis of career SES appointment data in OPM?s CPDF.

Page 26 GAO- 01- 377 SES Diversity

As part of our analysis of diversity in appointments to the SES, we compared
the composition of actual SES appointments to the composition of the
pipeline- the feeder group from which new SES members were appointed. We
compared the percentages of women and minorities in the group appointed from
GS- 15 and its equivalent to the SES in a given year to the percentages of
women and minorities in the GS- 15 workforce as a whole for the year before.
12 We made this comparison for 3 fiscal years (1990, 1995, and 1999), which
covered the beginning, middle, and end of our review period.

In each of these 3 years, the percentage of women appointed to SES from GS-
15 was greater than the percentage of women GS- 15 employees in the previous
year. A similar pattern occurred for minorities in 1 of the 3 years, and the
percentage was slightly lower in the other 2 years. (See fig. 15.)

12 As a basis for comparison, we decided to use the entire GS- 15 workforce
and its equivalent, including those who were not in a supervisory or
managerial status, because (1) over 90 percent of all new SES appointees
came from the ranks of GS- 15 level employees during the 3 years covered by
our analysis; (2) data were not readily available on applicants for career
SES vacancies; and (3) 25 percent of those appointed to the SES in fiscal
year 1999 were not supervisors or managers in fiscal year 1998. The GS- 15
equivalent workforce consists of those in equivalent grades under other pay
plans that follow the GS grade structure and job evaluation methodology or
are equivalent by statute. (See app. II for more details.) Trends in SES

Appointments Compared With the GS- 15 Pipeline

Page 27 GAO- 01- 377 SES Diversity

Figure 15: Percentage of Women and Minorities Among GS- 15s and Career SES
Appointments from GS- 15

Note 1: Percentages for women and minorities are their percentages of all
GS- 15s, including the FBI and, separately, their percentages of all career
SES appointments from GS- 15, excluding the FBI because the CPDF does not
include FBI appointments. GS- 15 includes employees in GS- 15 and equivalent
grades. The total number of GS- 15 employees in 1989, 1994, and 1998 was 42,
663; 50,687; and 51, 476, respectively. The total number of career SES
members appointed from GS- 15 in 1990, 1995, and 1999 was 482, 487, and 441,
respectively.

Note 2: Minority women are counted both as women and minorities. Source:
GAO?s analysis of career SES appointment data and GS- 15 workforce data in
OPM?s CPDF.

When we analyzed the minority percentages shown in figure 15 by gender, we
found that the percentage of minority women increased steadily both in the
GS- 15 workforce as a whole (2 percent in 1989, 4 percent in 1994, and 5
percent in 1998) and in the GS- 15 SES appointments (2 percent in 1990, 5
percent in 1995, and 6 percent in 1999). For minority men, the percentage in
GS- 15 increased (8 percent in 1989, 9 percent in 1994, and 10

Page 28 GAO- 01- 377 SES Diversity

percent in 1998), and the percentage of GS- 15 SES appointees went from 7
percent in 1990 to 12 percent in 1995 but was back at 7 percent in 1999.

We also analyzed the minority appointment percentages by race and ethnicity
(see fig. 16). The percentage of SES appointees was greater than or equal to
the percentage in the feeder group, except for Hispanics in 1990 and for
Asian Americans in all 3 years.

Figure 16: Minority Group Percentages in GS- 15 and in Career SES
Appointments From GS- 15

Source: GAO?s analysis of career SES appointment data and GS- 15 workforce
data in OPM?s CPDF.

We analyzed SES appointments of African Americans from GS- 15 by gender
during the 3 years (the smaller overall number of appointments makes such an
analysis not meaningful for Asian Americans, Hispanics,

0 2

4 6

8 10

12 1989- 90

1994- 95 1998- 99

African American

1989- 90 1994- 95

1998- 99

Hispanic

1989- 90 1994- 95

1998- 99

Asian American

1989- 90 1994- 95

1998- 99

Native American Percentage

Minority GS- 15s Minority SES appointments from GS- 15s

Fiscal year

A

Page 29 GAO- 01- 377 SES Diversity

and Native Americans). The appointee percentage for African- American women
was consistently greater than the feeder group percentage, and both
percentages increased later in the decade. The appointment percentage for
African- American men was substantially less in 1999 (3.2 percent) than in
1995 (6. 8 percent); the feeder group percentage for African- American men
was 3.1 percent in 1994 and 3.4 percent in 1998.

We compared the SES to six labor forces, as shown in table 1 (see p. 31).
The labor force to use as a benchmark to assess representation depends on
the skills, experience, and qualifications required for the job or workforce
being examined. Our comparison to the entire CLF places the race and gender
composition of the SES into the broadest possible labor force context. By
comparing SES diversity with our RCLF, the comparison is being made to
individuals outside the federal workforce who are in occupations and whose
income is equivalent to that of the SES. An RCLF is the pool of people in
the CLF with the requisite skills and experience to perform the duties of
the positions in their agencies. Comparing the SES workforce with the entire
federal workforce and with the federal workforce in professional and
administrative job categories parallels the CLF and RCLF comparisons but
uses the federal labor force rather than the civilian workforce outside the
federal government. The GS- 15 workforce provides a useful basis for
comparison because it is the primary feeder group for the SES. In addition
to these comparisons, the Postal Service provides a comparison with an
executive workforce that has qualification, skill, and experience
requirements comparable to those of the SES. While we recognize that other
benchmarks could also be used to assess the level of representation of women
and minorities in the SES, none of our comparisons are definitive or
conclusive about the level of diversity achieved.

In making our comparisons to these six labor forces, we compared an employee
group?s proportion in the SES with its proportion in the comparison labor
force to determine the extent of parity. The extent of parity describes by
gender and race and ethnicity how well employees were represented in the
career SES workforce as of September 30, 1999, when compared with their
representation in each of the selected labor forces. For example, if the
percentage of women is the same in the career SES workforce as in the
comparison labor force, the representation of women in the SES would be at
parity with the representation of women in the comparison labor force and
would be shown without shading in table 1. If the percentage of women in the
SES is less than in the comparison labor force, their representation would
be less than parity and would be Career SES Diversity

Compared With Other Labor Forces

Page 30 GAO- 01- 377 SES Diversity

shaded either light or dark gray in table 1, depending on the extent to
which the SES percentage is below the comparison labor force percentage.

As shown in table 1, the proportion of women and minorities in the career
SES exceeded their proportion in our RCLF. But women and minorities were
represented at lower rates when compared with the CLF; the federal executive
workforce, as a whole; the portion of these workers in professional and
administrative occupations; and the GS- 15 workforce. The proportion of
women in the Postal Service career executive corps was about the same as the
proportion of women in the career SES. Minorities were represented in the
career SES at a lower rate than they were in the Postal Service career
executive corps. African Americans and Native Americans exceeded their
percentages in our RCLF; Asian Americans did not. For Hispanics, the
difference between their percentage in the SES workforce and their
percentage in our RCLF was not statistically significant because the
difference was so small that it could be due to sampling error or chance.
Table 1 shows the representation rates for minorities in the remaining five
labor forces.

The table also shows that the percentages of men and whites in the career
SES were below their percentages in our RCLF but exceeded their percentages
in the CLF, overall federal workforce, federal professional and
administrative workforce, and GS- 15 workforce. The percentage of men in the
career SES were slightly below their percentage in the Postal Service career
executive corps. Whites were represented in the career SES at a higher rate
than they were in the Postal Service career executive corps.

Page 31 GAO- 01- 377 SES Diversity

Table 1: Comparison of Career SES Employee Groups as of September 30, 1999,
to the Same Employee Groups in Selected Labor Forces

Note: The extent of parity between an employee group?s proportion in the SES
compared with its proportion in the comparison labor force was computed by
dividing the career SES percentage for each employee group by the percentage
for the same employee group in each of the selected labor forces and
multiplying by 100. All results are statistically significant unless
otherwise noted. CLF and RCLF results have certain limitations that are
described in detail in appendix II.

Sources: GAO?s analysis of data obtained from OPM?s CPDF and of CLF data
obtained from the March 1999 CPS and the 1990 Census.

We also compared the career SES workforce at each of the 24 CFO agencies to
the same six labor forces. To the extent that we could, we tailored each
labor force, except the CLF and Postal Service, to be similar to the makeup
of each agency?s career SES workforce, because the mission of each of the
agencies is different with a different occupational mix (see app. II).

Although our comparisons showed variation among the 24 CFO agencies, the
results were similar to those for the SES as a whole. We found that the
percentages of women and minorities in most agencies? career SES were above
the percentages of women and minorities in agency- specific RCLFs that we
developed. But the percentages of women and minority career SES employees
were generally either below the percentages in the five remaining labor
forces- the national CLF, overall agency workforce, agency professional and
administrative workforce, agency GS- 15 workforce, and U. S. Postal Service
career executive corps- or else not significantly different from them. In
contrast, the pattern for men and

Labor forces Women Men All

minorities Whites African

Americans Hispanics Asian

Americans Native

Americans

CLF RCLF Federal executive branch workforce

Postal career executive corps Federal employees in

professional and administrative occupations

SES employee group percentage met or exceeded its percentage in the selected
labor force. SES employee group percentage was 1 percent to 50 percent below
its percentage in the selected labor force.

SES employee group percentage was more than 50 percent below its percentage
in the selected labor force.

Selected SES employee groups

GS- 15 workforce SES employee group percentage was either above, below, or
the same as the percentage for the same employee group in the selected labor
force, but the difference between the percentages was not statistically
significant.

Page 32 GAO- 01- 377 SES Diversity

whites was usually higher percentages in the SES than in the CLF or the
federal workforce comparisons but lower percentages in our RCLF. Comparisons
of specific minority groups showed substantial variations across agencies
but because of the small numbers, most of the differences were not
statistically significant. For more details, see appendix V.

The noncareer SES, like the career service, became more diverse in terms of
gender and race/ ethnicity during the period from 1990 through 1999. In
1990, women constituted 26.3 percent of the noncareer SES; in 1999, 40.4
percent of the noncareer SES were women. Similarly, 10.9 percent of the
noncareer SES were minorities in 1990 and in 1999, it was 23.1 percent. The
percentage of each minority group in the SES increased during this period.
Appendix VI contains more detailed information on the composition of the
noncareer SES governmentwide and at each of the 24 agencies each fiscal year
over the 1990 through 1999 period.

The proportion of women and minorities appointed to the noncareer SES
increased from 1990 through 1999. The percentage of noncareer SES appointees
that were women ranged from 26 percent in 1990 to 40 percent in 1999. The
minority percentage of appointments ranged from about 13 percent in 1990 to
22 percent in 1999. The percentage of appointments of each minority group
increased, except for Native Americans. Appendix VII contains more detailed
information on the noncareer SES appointments, showing appointments
governmentwide and by agency each year over the 1990 through 1999 period.

We provided a draft of this report to the Acting Director of OPM and the
Chairwoman of EEOC for their review and comments. OPM and EEOC provided us
written comments, which we reprinted in appendixes VIII and IX,
respectively.

OPM?s Acting Director said our assessment shows that diversity in the SES is
moving in the right direction. He further commented that while our
assessment shows improvement in SES diversity and indicates that OPM and
agency initiatives in this area have been fruitful, OPM is convinced that
continued improvement will require a commitment to reviewing and revising
employment practices that foster diversity. OPM cited several initiatives
that it believes have made a difference in fostering diversity in the SES.
Details of these initiatives can be found in appendix VIII. Composition of
and

Appointments to the Noncareer SES, Like the Career SES, Changed Over the
1990 Through 1999 Period to Include More Women and Minorities

Agency Comments and Our Evaluation

Page 33 GAO- 01- 377 SES Diversity

EEOC?s Chairwoman expressed a variety of concerns about certain aspects of
our methodology and possible interpretations of the report?s message. She
said the SES analysis contained in this report ignores and rejects much of
the traditional analysis that EEOC has used to assist agencies in their
equal employment opportunity efforts. For example, she said we did not
examine the potential barriers that may prevent qualified individuals in the
pipeline from moving into the SES. Our objective was not to examine
potential barriers that might limit equal access of women and minorities to
the SES. As we pointed out in this report, our objective, among others, was
to describe how the representation of women and minority employees in the
career SES compared with other labor forces. EEOC said it advises agencies
to use both the GS- 14 and GS- 15 labor forces when evaluating the
representation of women and any particular minority groups in their SES
workforces, because it believes the use of both grades is more appropriate
since they are the feeder groups that eventually lead to the SES. However,
we believe that our use of the GS- 15 labor force only was appropriate
because, as we pointed out in this report, we found it to be the primary
feeder group into the SES in 1999 as well as in preceding years.

The Chairwoman also said that of the six labor forces included in this
report, EEOC finds our construction and use of an RCLF to be particularly
problematic because of the manner in which we constructed it and the lack of
recognition in this report of possible artificial barriers and
discriminatory factors that may limit the presence of women and minorities
in our RCLF. EEOC said it appears that we restricted our RCLF to occupations
in the private sector that require particular expertise when the nature of
the SES requires more broad- based leadership skills. As we explain in this
report, our RCLF consists of the portion of nonfederal civilian workers in
1999 who were in occupations and earning salaries that corresponded as
closely as possible to that of career SES employees. Our RCLF occupations
include both management and professional/ technical occupations because, as
we stated in this report, 87 percent of the career SES workforce were in
these types of occupations as of September 30, 1999. Furthermore, we are
aware that discrimination and lack of opportunity would limit the number of
women and minorities in top management positions in any benchmark labor
force. We recognized in this report that our RCLF is not a perfect benchmark
and that other benchmarks can be used to assess the representation of women
and minorities in the SES. We also state that our RCLF was the closest match
to the SES we could identify because data were not available to construct a
direct comparison group.

Page 34 GAO- 01- 377 SES Diversity

EEOC also opposes the use of representation indexes, which are the ratios
that we calculated to present our comparison of the percentage of an
employee group in the SES workforce to that same group?s percentage in the
benchmark workforce (see table 1 and appendix V of this report). EEOC
believes these indexes magnify the impact of imperfections and flaws in the
benchmark used and imply conclusions that are misleading and inappropriate.
As we explain in this report, we did statistical tests to determine whether
the percentage comparisons were dissimilar enough to be unlikely due to
imperfections and flaws in the benchmark data. We also noted in this report
where differences in the compared percentages are not large enough to
provide the confidence that they might not be due to imperfections and flaws
in the benchmark data. We provide six different comparisons in this report,
and because the results vary for each of them, we have drawn no conclusions.
Furthermore, we have cautioned the reader about drawing conclusions from
these results.

The Chairwoman said EEOC is concerned that our use of aggregate data from 24
federal agencies may be statistically inappropriate and therefore result in
misleading conclusions. She also said that appendix III of this report
indicates that many of the 24 agencies have had problems in achieving
diversity. We do not agree that aggregation of the data for the 24 agencies
results in misleading conclusions, because we have clearly delineated our
governmentwide and agency- specific findings. We provide full disclosure of
governmentwide and agencywide numbers throughout this report. We also do not
agree with EEOC?s statement that the data in appendix III of this report
indicate many agencies have had problems achieving diversity if EEOC?s basis
for saying this is the fact that some agencies had a smaller number of women
and minorities than other agencies. The data in appendix III simply
represent a statistical profile of the agencies? SES workforces, and one
should not conclude from these data alone that agencies with smaller numbers
of women and minorities had problems achieving diversity in their SES
workforces.

In conclusion, EEOC stated that a reader of this report might get the
impression that whites and men are underrepresented in the career SES and
that women and minorities are overrepresented. We do not believe that a
reader would get such an impression, as EEOC suggested, given that the
results of the comparisons we present in table 1 of this report vary across
the six different workforces. For example, the GS- 15 workforce comparison,
which is the primary feeder group into the SES, shows that whites and men
are overrepresented and that women and minorities are underrepresented.
Moreover, we caution the reader that none of the

Page 35 GAO- 01- 377 SES Diversity

comparison labor forces, including our RCLF, can be seen as definitive or
conclusive as to whether the level of diversity in the SES is sufficient.

As agreed with your offices, unless you announce the contents of this report
earlier, we plan no further distribution until 30 days after the date of the
report. At that time we will send copies of this report to the Acting
Director of OPM and the Chairwoman of EEOC. We will also send copies to
Representative Dan Burton and Representative Henry A. Waxman, Chairman and
Ranking Minority Member, respectively, Committee on Government Reform;
Representative Joe Scarborough, Chairman, Subcommittee on Civil Service and
Agency Organization, Committee on Government Reform; Senator Fred Thompson
and Senator Joseph I. Lieberman, Chairman and Ranking Member, respectively,
Committee on Governmental Affairs; Senator George Voinovich and Senator
Richard Durbin, Chairman and Ranking Member, respectively, Subcommittee on
Oversight, Government Management, and the District of Columbia, Committee on
Governmental Affairs; and Senator Thad Cochran and Senator Daniel K. Akaka,
Chairman and Ranking Member, respectively, Subcommittee on International
Security, Proliferation and Federal Services, Committee on Governmental
Affairs. We will make copies available to others upon request.

The key contributors to this report are listed in appendix X. If you have
any questions about this report, please call me on (202) 512- 6806.

Carlotta C. Joyner Director, Strategic Issues

Appendix I: Agencies Covered in Our Review Page 36 GAO- 01- 377 SES
Diversity

Department of Agriculture Department of Commerce Department of Defense
Department of Education Department of Energy Department of Health and Human
Services Department of Housing and Urban Development Department of the
Interior Department of Justice Department of Labor Department of State
Department of Transportation Department of the Treasury Department of
Veterans Affairs Environmental Protection Agency Federal Emergency
Management Agency General Services Administration National Aeronautics and
Space Administration National Science Foundation Nuclear Regulatory
Commission Office of Personnel Management Small Business Administration
Social Security Administration U. S. Agency for International Development
Appendix I: Agencies Covered in Our Review

Appendix II: Objectives, Scope, and Methodology

Page 37 GAO- 01- 377 SES Diversity

Our first objective was to assess to what extent the composition of the
career Senior Executive Service (SES) changed over the 1990 through 1999
period to include more women and minorities. We did so by obtaining data, by
race/ ethnicity and gender, on the number of career SES members employed
governmentwide and at the 24 agencies covered by the Chief Financial Officer
(CFO) Act as of September 30 of each year from 1990 through 1999. 1 These
data were obtained from the Central Personnel Data File (CPDF), the database
of federal employees 2 maintained by the Office of Personnel Management
(OPM). We excluded from our study SES members who were either in limited-
term or limited emergency appointments; 169 individuals were in such
appointments as of September 30, 1999. We analyzed these data to identify
the composition of the career SES as of the end of each fiscal year from
1990 through 1999. We also analyzed these data to identify trends in how
much change occurred governmentwide and in the selected agencies in the
percentages of women and minorities employed in the career SES over the 1990
through 1999 period. We did not independently verify the CPDF data on the
SES for the years we reviewed. However, in a 1998 report, we found that
governmentwide data from the CPDF for the key variables in this study-
gender, race/ ethnicity, general schedule (GS) grade, pay plan, occupation,
career status, agency, and personnel action- were 97 percent or more
accurate. 3

For the first part of our second objective, to determine the proportion of
women and minorities appointed to the career SES annually over this 10year
period, we obtained and analyzed data from the CPDF for each fiscal year
from 1990 through 1999. We excluded career SES appointments that were
reinstatements into the career SES and transfers of career SES individuals
from one agency to another (about 11 percent combined). SES appointments in
the Federal Bureau of Investigation (FBI), an agency within the Department
of Justice, are not included because the FBI does not submit personnel
action data to the CPDF.

1 We obtained data on career SES members employed in the executive branch of
the federal government, including the FBI but excluding the intelligence
agencies and the Postal Service. We chose the 24 CFO agencies because 92
percent of the 6,205 career SES members , employed as of September 30, 1999,
were in these agencies.

2 By federal employees, we mean employees in the executive branch of the
federal government excluding the intelligence agencies and the Postal
Service. 3 See OPM?s Central Personnel Data File: Data Appear Sufficiently
Reliable to Meet Most Customer Needs, (GAO/ GGD- 98- 199, Sept. 30, 1998).
Appendix II: Objectives, Scope, and

Methodology

Appendix II: Objectives, Scope, and Methodology

Page 38 GAO- 01- 377 SES Diversity

For the second part of our second objective, to determine whether career SES
appointments reflected the SES pipeline from which most new SES members were
generally appointed, we obtained and analyzed data from the CPDF for each of
3 years (1990, 1995, and 1999). The 3 years represented the beginning,
middle and end of our overall review period. We compared the diversity of
the career SES appointees with the diversity of the pipeline. Because data
were not readily available on who actually applied for SES vacancies and
because we could not clearly determine the workforces from which all career
SES appointees came, we limited the pipeline analysis to career SES
appointments of career GS- 15 and equivalent employees 4 from within the
appointing agency. Over 90 percent of those appointed to the career SES from
within an agency were career GS- 15 employees the year prior to their
appointment and about 83 percent of all career SES appointments were from
within an agency. Because we could not clearly determine the labor force
(pipeline) for career SES appointments of individuals from outside an
agency, we excluded nonfederal employees (about 10 percent of appointees)
and federal employees from other agencies (about 7 percent of appointees).
Similarly, because we could not clearly determine the labor force for career
SES appointments of nonGS- 15 federal employees and noncareer GS- 15
employees within an agency, we excluded these two groups (about 8 percent)
of appointees.

In our analysis of appointment and pipeline data, we did not distinguish
between GS- 15 employees who had supervisory or managerial experience and
those who did not have such experience. We did not make this distinction
because we found that 25 percent of the GS- 15 employees appointed to the
SES in fiscal year 1999 were not managers or supervisors in fiscal year
1998.

Our third objective entailed identifying how the representation of women and
minority employees in the career SES governmentwide and in the 24 CFO
agencies as of September 30, 1999, compared with other labor forces. On the
basis of agreements reached with your staff, we compared the career SES to
six labor forces to provide some context for the extent of diversity in the
career SES. The six labor forces varied in the extent to which they were
similar to the SES in terms of occupation, salary, and

4 GS- 15 equivalent employees are those in equivalent grades under other pay
plans that follow the GS grade structure and job evaluation methodology or
are equivalent by statute.

Appendix II: Objectives, Scope, and Methodology

Page 39 GAO- 01- 377 SES Diversity

size. Table II. 1 shows the size of the six labor forces used in our
governmentwide comparisons.

Table II. 1: Labor Forces Selected for Comparison to the SES Labor force
Number of

employees

National civilian labor force (CLF) a 123.8 million Relevant CLF (RCLF) a
1.2 million Federal executive workforce b 1.6 million Federal employees in
professional/ administrative occupations b 888,000 GS- 15 workforce c 51,000
U. S. Postal Service career executive corps 812 a We included only employees
receiving wages or salaries and excluded federal employees from the CLF and
the RCLF that we constructed. The CLF was derived from the March 1999
Current Population Survey (CPS). Our RCLF was constructed based on the CLF
to correspond to the career SES workforce as closely as possible in terms of
salary and occupation. Because salary data collected for the CPS are only in
ranges of dollars, we used the salary range of $100,000 and over as that
most comparable to SES salaries. b Includes career employees only.

c The GS- 15 workforce includes career GS- 15 employees and career employees
in equivalent grades under other pay plans that follow the GS grade
structure and job evaluation methodology or are equivalent by statute.

Sources: OPM?s CPDF, March 1999 CPS, and U. S. Postal Service: Diversity in
the Postal Career Executive Service (GAO/ GGD- 00- 76, Mar. 30, 2000).

In addition to governmentwide comparisons of the career SES to each of the
labor forces, we also assessed the diversity of each of the CFO agency
career SES workforces separately. Because the mission of each of the CFO
agencies is different with a different occupational mix, we compared the
diversity of each agency?s career SES workforce to the diversity of its own
agency total career workforce, its own career professional and
administrative workforce, and its own career GS- 15 workforce. We also
compared the diversity of each agency?s career SES occupations to the
diversity of corresponding occupations in a RCLF that we developed. However,
in comparing the diversity of each agency?s career SES to the CLF and Postal
Service, we did not tailor these labor forces to correspond to the SES
occupational mix of each of the 24 agencies.

We used a proxy RCLF and the GS- 15 workforce as comparative groups. The
Equal Employment Opportunity Commission (EEOC) and the Department of Justice
have provided agencies advice on assessing the extent of diversity in their
SES workforces. EEOC said it has suggested that agencies look at their
relevant feeder groups when assessing the level of representation of women
and minorities in the SES or at any particular

Appendix II: Objectives, Scope, and Methodology

Page 40 GAO- 01- 377 SES Diversity

grade level, and in the case of the SES, it has suggested that agencies look
at their GS- 14 and GS- 15 workforces. 5 When an agency?s positions cannot
be precisely matched to those in the CLF, Justice has advised agencies to
compare their labor forces to those in other labor forces that have the
qualifications to perform the duties of the positions in their agencies-
such as comparing their SES with employees in their GS- 15 workforce. We
constructed an RCLF that consists of civilian workers employed in
occupations and earning salaries similar to those in the SES. We recognize
that our RCLF is not a perfect benchmark, and EEOC does not endorse it. 6
However, our RCLF was the closest match to the SES we could identify in
terms of occupations and salary level, because data were not available on
level of responsibilities for those in the CLF. We also used the CLF as a
comparative group, recognizing that it does not provide as comparable a
workforce to the SES as one that includes workers with education, skills,
experience, and age similar to the SES, because it includes workers with
limited education, skills, and experience as well as workers as young as age
16.

The Bureau of the Census conducts the CPS for the Bureau of Labor
Statistics. Because of the age of the CLF data from the 1990 decennial
census, we used CLF data from the March 1999 CPS, the most recent data
available at the time of our analyses, when it was statistically feasible to
do so. 7 We found that the CLF data from the 1999 CPS were statistically
feasible for all racial/ ethnic groups except Asian Americans and Native
Americans. CLF data were not statistically reliable for Asian Americans and
Native Americans because the CPS does not cover enough households

5 Although there were twice as many GS- 14s as GS- 15s as of September 30,
1999, GS- 14s only accounted for 1 percent of appointments to the SES as of
that time. Therefore, we did not include GS- 14s as a feeder group for
comparison to the SES.

6 EEOC does not endorse our RCLF because they do not consider it to be the
most appropriate measure for determining the extent of diversity in the SES.
EEOC prefers a comparison of the SES with the GS- 14 and GS- 15 workforces
and does not construct RCLF groupings for purposes of comparison to the SES
labor force.

7 CLF data derived from the 1999 CPS were insufficient for civilian workers
with salaries of $100,000 or more in the following eight occupations:
nuclear engineers (0840), physicists (1310), general biological scientists
(401), foreign affairs specialists (0130), general managers (0301), program
managers (0345), general business (1101) and transportation managers (2101).
About 20 percent of the SES we analyzed were in these occupations. Because
the 1999 CLF data were insufficient, we substituted comparable 1990 CLF data
on civilian workers with salaries between $75,000 and $99,999, because this
was the closest CLF salary range comparable to the salaries of the SES in
1990. We did not independently verify the CLF data obtained from the 1990
decennial census and from the 1999 CPS.

Appendix II: Objectives, Scope, and Methodology

Page 41 GAO- 01- 377 SES Diversity

to provide statistically sound projections for these two groups. Although
the 1999 data were not reliable for these two groups, we used the data
because the results of the 1999 CPS RCLF comparisons for Asian Americans and
Native Americans indicated the same findings as the 1990 CLF comparisons for
Asian Americans and Native Americans. Based on these similar findings, we
believe the 1999 CPS RCLF comparisons are not misleading.

To construct our governmentwide and agency- specific RCLF, we identified the
occupations that accounted for a large proportion of the entire career SES
as of September 30, 1999, as well as occupations that were small relative to
the entire career SES workforce but relatively large within an agency?s
career SES workforce (such as Correctional Administrators in the Department
of Justice). 8 This resulted in a total of 34 SES occupations that accounted
for 87 percent of the career SES workforce as of the end of fiscal year
1999. We then identified, using a crosswalk used by EEOC, occupations in the
CLF that corresponded as closely as possible to these SES occupations.
Because the CPDF and the CPS do not use the same occupational categories,
some CPS occupations included more than one CPDF SES occupation. This
resulted in a total of 28 occupations in the CPS that were comparable to the
34 SES occupations identified in the CPDF. We extracted data from the CLF
only for those salaried civilian workers in the 28 occupations with salaries
of $100,000 and over, which were comparable to the base salaries of career
SES members in 1999. These data were weighted to reflect the occupational
composition of each agency. For example, if 50 percent of an agency?s SES
were attorneys, then our RCLF that they were compared to also included 50
percent attorneys.

We then calculated a representation index to measure the extent of parity
between an employee group?s proportion in the SES and its proportion in the
comparison labor force by dividing the career SES percentage for each
employee group by the percentage for the same employee group in each of the
selected labor forces and multiplying by 100. The extent of parity for a
particular group can vary widely from one comparative labor force to
another. However, none of the comparisons of the SES to the other labor
forces, governmentwide or by agency, can be seen as definitive as to

8 Occupations (26) that represented a large proportion of the entire career
SES workforce included those that had at least 50 SES members as of
September 30, 1990 or as of September 30, 1999. Occupations (8) that
represented a relatively large proportion (from 7 percent to 31 percent) of
an agency?s SES workforce as of September 30, 1999 ranged in size from 12 to
42 career SES members.

Appendix II: Objectives, Scope, and Methodology

Page 42 GAO- 01- 377 SES Diversity

whether the SES corps is sufficiently diverse. We used shading to describe
the extent of parity between employee group representation in the SES and
comparative labor forces.

Using appropriate statistical tests, we tested whether the proportions of
women and minorities in the SES were significantly over or under (twotailed
test) their proportions in the six labor forces to determine whether the
proportional differences were statistically significant. We used the two-
standard deviation difference between compared proportions, as recommended
by the Justice Department, as our test of significance. A difference of two-
standard deviations indicates that the difference in proportions is very
unlikely to be due to sampling error or chance. Such a sizable difference
provides a strong basis for concluding that the differences are noteworthy.
The results of our comparisons are statistically significant unless
otherwise noted.

To provide data on the noncareer SES, we obtained data from the CPDF.
Specifically, we obtained data for each fiscal year from 1990 through 1999,
on the composition of and appointments to the noncareer SES governmentwide
and for the 24 CFO agencies. Because noncareer SES appointments are made at
the discretion of the administration and are not subject to merit selection
or to OPM approval, we did not include the noncareer SES in our pipeline or
comparative labor force analyses.

Appendix III: Profile of the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 43 GAO- 01- 377 SES Diversity

The following tables provide data on the number of women and minorities in
the career SES at each of the 24 CFO agencies and governmentwide. Table III.
1 shows the total number of career SES each year over the 1990 through 1999
period and how many of the career SES members were women and minorities.
Tables III. 2 and III. 3 show, by race and ethnicity, the extent of change
in the number of women and minorities, respectively, between 1990 and 1999.

Table III. 1: Number of Women and Minorities in the 24 CFO Agencies and
Governmentwide as of the End of Fiscal Years 1990 Through 1999

Number of: Agency Year Career SES as of

September 30 Women Minorities Agency for International Development 1990 23 3
3

1991 29 6 2 1992 33 7 3 1993 34 8 3 1994 29 8 3 1995 34 11 4 1996 30 11 4
1997 30 10 4 1998 30 9 5 1999 26 6 5

Agriculture 1990 275 18 18 1991 302 26 21 1992 320 33 25 1993 313 31 27 1994
278 39 32 1995 271 47 32 1996 269 58 32 1997 269 64 38 1998 278 66 45 1999
276 72 52

Commerce 1990 345 27 21 1991 365 29 24 1992 384 30 24 1993 382 31 24 1994
340 37 28 1995 322 45 28 1996 321 49 32 1997 305 50 25 1998 308 54 31 1999
306 62 30

Appendix III: Profile of the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Appendix III: Profile of the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 44 GAO- 01- 377 SES Diversity

Number of: Agency Year Career SES as of

September 30 Women Minorities Defense 1990 1309 65 59

1991 1402 73 72 1992 1386 78 66 1993 1358 85 69 1994 1178 a 87 60 1995 1157
a 113 62 1996 1161 b 134 65 1997 1139 141 68 1998 1099 152 61 1999 1109 b
163 66

Education 1990 60 13 12 1991 65 14 12 1992 67 17 11 1993 68 19 11 1994 64 19
11 1995 57 21 12 1996 59 22 10 1997 59 20 11 1998 60 b 19 9 1999 57 16 14

Energy 1990 433 33 26 1991 478 37 27 1992 515 38 32 1993 508 41 34 1994 444
45 35 1995 447 59 38 1996 412 58 38 1997 391 57 33 1998 374 55 33 1999 381
70 35

Environmental Protection Agency 1990 233 39 11 1991 256 46 11 1992 268 51 14
1993 267 56 15 1994 259 61 14 1995 244 62 17 1996 239 62 21 1997 232 62 21
1998 230 67 25 1999 249 73 32

Appendix III: Profile of the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 45 GAO- 01- 377 SES Diversity

Number of: Agency Year Career SES as of

September 30 Women Minorities Federal Emergency Management Agency 1990 24 2
1

1991 32 2 1 1992 37 2 1 1993 36 2 1 1994 33 2 2 1995 33 2 2 1996 33 4 1 1997
33 5 2 1998 29 4 2 1999 29 4 1

General Services Administration 1990 90 8 6 1991 97 10 7 1992 94 10 7 1993
91 11 6 1994 86 13 8 1995 96 18 12 1996 94 18 11 1997 86 19 12 1998 88 21 13
1999 86 21 12

Health and Human Services 1990 380 65 35 1991 481 88 51 1992 498 94 61 1993
509 100 61 1994 489 107 63 1995 451 109 66 1996 435 117 73 1997 422 126 70
1998 418 133 75 1999 417 143 81

Housing and Urban Development 1990 78 11 13 1991 90 15 14 1992 98 16 20 1993
95 16 19 1994 85 18 21 1995 79 18 21 1996 76 21 21 1997 74 22 24 1998 71 20
20 1999 70 19 22

Appendix III: Profile of the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 46 GAO- 01- 377 SES Diversity

Number of: Agency Year Career SES as of

September 30 Women Minorities Interior 1990 212 17 24

1991 234 19 35 1992 236 21 37 1993 247 26 41 1994 212 28 35 1995 196 41 30
1996 186 43 30 1997 181 45 34 1998 186 45 41 1999 182 53 40

Justice 1990 441 27 32 1991 463 34 35 1992 497 42 42 1993 500 42 45 1994 480
48 51 1995 497 56 56 1996 526 70 65 1997 520 76 68 1998 547 b 85 71 1999 556
b 95 73

Labor 1990 123 24 15 1991 152 31 21 1992 152 31 23 1993 149 30 22 1994 135
31 22 1995 131 31 27 1996 127 32 25 1997 130 34 27 1998 118 33 27 1999 126
35 25

National Aeronautics and Space Administration 1990 521 25 24 1991 571 30 28
1992 564 29 25 1993 550 33 31 1994 500 43 46 1995 451 48 47 1996 435 50 50
1997 385 53 44 1998 381 61 47 1999 404 74 55

Appendix III: Profile of the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 47 GAO- 01- 377 SES Diversity

Number of: Agency Year Career SES as of

September 30 Women Minorities National Science Foundation 1990 94 14 8

1991 103 14 11 1992 104 14 12 1993 99 14 12 1994 95 18 12 1995 97 19 12 1996
92 16 13 1997 90 18 13 1998 84 17 14 1999 81 20 14

Nuclear Regulatory Commission 1990 208 9 16 1991 212 9 16 1992 213 10 15
1993 207 11 14 1994 192 12 13 1995 183 14 13 1996 182 14 12 1997 184 20 16
1998 179 21 17 1999 140 18 15

Office of Personnel Management 1990 47 13 6 1991 51 14 6 1992 57 16 6 1993
52 15 5 1994 39 12 5 1995 34 12 4 1996 34 14 3 1997 34 14 2 1998 36 15 4
1999 38 16 7

Small Business Administration 1990 31 4 5 1991 37 6 9 1992 42 9 10 1993 43
10 11 1994 36 10 12 1995 37 10 12 1996 40 11 12 1997 36 11 12 1998 35 11 12
1999 34 11 12

Appendix III: Profile of the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 48 GAO- 01- 377 SES Diversity

Number of: Agency Year Career SES as of

September 30 Women Minorities Social Security Administration 1990 45 10 13

1991 75 19 23 1992 74 19 25 1993 78 21 27 1994 75 21 27 1995 80 23 30 1996
80 23 29 1997 84 26 31 1998 94 30 31 1999 104 34 34

State 1990 77 b 9 5 1991 90 b 11 7 1992 96 b 14 5 1993 101 16 5 1994 97 18 5
1995 89 17 5 1996 90 19 5 1997 88 21 5 1998 92 25 7 1999 107 27 5

Transportation 1990 315 32 29 1991 374 44 31 1992 385 47 36 1993 381 50 33
1994 329 49 30 1995 318 52 40 1996 186 38 22 1997 184 40 24 1998 184 43 26
1999 174 42 24

Treasury 1990 459 42 33 1991 544 52 39 1992 569 60 44 1993 559 68 44 1994
533 75 45 1995 493 82 47 1996 481 95 50 1997 512 106 55 1998 489 101 55 1999
509 116 63

Appendix III: Profile of the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 49 GAO- 01- 377 SES Diversity

Number of: Agency Year Career SES as of

September 30 Women Minorities Veterans Affairs 1990 253 19 23

1991 317 c 19 30 1992 329 a 24 29 1993 324 a 27 25 1994 291 c 29 28 1995 293
b 31 27 1996 285 a 34 25 1997 272 a 30 26 1998 261 c 31 28 1999 248 c 32 23

Governmentwide 1990 6609 b 626 487 1991 7379 d 750 592 1992 7583 c 816 631
1993 7537 a 876 648 1994 6838 e 954 666 1995 6629 c 1063 704 1996 6397 c
1142 709 1997 6255 a 1195 731 1998 6183 e 1244 767 1999 6205 e 1352 807 a
Gender and race/ ethnicity information missing for two SES members.

b Gender and race/ ethnicity information missing for one SES member. c
Gender and race/ ethnicity information missing for three SES members. d
Gender and race/ ethnicity information missing for four SES members. e
Gender and race/ ethnicity information missing for five SES members.

Source: GAO?s analysis of career SES composition data in OPM?s CPDF.

Appendix III: Profile of the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 50 GAO- 01- 377 SES Diversity

Table III. 2: Extent of Change in the Number of Career SES Women in the 24
CFO Agencies and Governmentwide From Fiscal Years 1990 Through 1999, by Race
and Ethnicity

Number of career SES women who were: Agency Year Career SES as

of September 30 White African American Hispanic Asian

American Native American AID 1990 23 2 1 0 0 0

1999 26 5 1 0 0 0 Difference 3 3 0 0 0 0

Agriculture 1990 275 17 1 0 0 0 1999 276 58 11 2 4 1 Difference 1 41 10 2 4
1

Commerce 1990 345 24 1 1 1 0 1999 306 54 3 3 2 0 Difference -39 30 2 2 1 0

Defense 1990 1309 60 2 2 1 0 1999 1109 a 141 10 4 7 1 Difference -200 81 8 2
6 1

Education 1990 60 9 2 2 0 0 1999 57 13 1 1 1 0 Difference -3 4 -1 -1 1 0

Energy 1990 433 29 4 0 0 0 1999 381 62 5 2 1 0 Difference -52 33 1 2 1 0

EPA 1990 233 38 1 0 0 0 1999 249 64 5 0 4 0 Difference 16 26 4 0 4 0

FEMA 1990 24 2 0 0 0 0 1999 29 3 1 0 0 0 Difference 5 1 1 0 0 0

GSA 1990 90 7 1 0 0 0 1999 86 17 4 0 0 0 Difference -4 10 3 0 0 0

HHS 1990 380 52 8 0 2 3 1999 417 103 23 5 5 7 Difference 37 51 15 5 3 4

HUD 1990 78 9 2 0 0 0 1999 70 8 10 1 0 0 Difference -8 -1 8 1 0 0

Interior 1990 212 15 1 1 0 0 1999 182 38 4 3 0 8 Difference -30 23 3 2 0 8

Justice 1990 441 24 3 0 0 0 1999 556 a 79 13 2 1 0 Difference 115 55 10 2 1
0

Appendix III: Profile of the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 51 GAO- 01- 377 SES Diversity

Number of career SES women who were: Agency Year Career SES as

of September 30 White African American Hispanic Asian

American Native American Labor 1990 123 17 7 0 0 0

1999 126 27 7 0 0 1 Difference 3 10 0 0 0 1

NASA 1990 521 22 3 0 0 0 1999 404 59 11 2 1 1 Difference -117 37 8 2 1 1

NSF 1990 94 14 0 0 0 0 1999 81 19 0 0 1 0 Difference -13 5 0 0 1 0

NRC 1990 208 9 0 0 0 0 1999 140 15 2 0 1 0 Difference -68 6 2 0 1 0

OPM 1990 47 12 1 0 0 0 1999 38 14 1 1 0 0 Difference -9 2 0 1 0 0

SBA 1990 31 3 1 0 0 0 1999 34 7 4 0 0 0 Difference 3 4 3 0 0 0

SSA 1990 45 4 4 1 1 0 1999 104 17 10 4 3 0 Difference 59 13 6 3 2 0

State 1990 77 a 8 100 0 1999 107 27 0 0 0 0 Difference 30 19 -1 0 0 0

Transportation 1990 315 27 2 2 1 0 1999 174 36 6 0 0 0 Difference -141 9 4
-2 -1 0

Treasury 1990 459 39 3 0 0 0 1999 509 102 11 1 1 1 Difference 50 63 8 1 1 1

Veterans Affairs 1990 253 17 1 1 0 0 1999 248 b 27 3 0 2 0 Difference -5 10
2 -1 2 0

Governmentwide 1990 6609 a 540 60 16 7 3 1999 6205 c 1093 169 38 32 20
Difference -404 553 109 22 25 17

a Gender and race/ ethnicity information missing for one SES member. b
Gender and race/ ethnicity information missing for three SES members. c
Gender and race/ ethnicity information missing for five SES members.

Source: GAO?s analysis of career SES composition data in OPM?s CPDF.

Appendix III: Profile of the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 52 GAO- 01- 377 SES Diversity

Table III. 3: Extent of Change in the Number of Minority Career SES Members
in the 24 CFO Agencies and Governmentwide From Fiscal Years 1990 Through
1999, by Race and Ethnicity

Agency Year Career SES as of September 30 African

American Hispanic Asian American Native

American AID 1990 23 2 1 0 0

1999 26 3 1 0 1 Difference 3 1 0 0 1

Agriculture 1990 275 15 1 0 2 1999 276 36 9 4 3 Difference 1 21 8 4 1

Commerce 1990 345 12 1 7 1 1999 306 17 7 5 1 Difference -39 5 6 -2 0

Defense 1990 1309 31 13 8 7 1999 1109 a 29 11 19 7 Difference -200 -2 -2 11
0

Education 1990 60 7 3 1 1 1999 57 8 3 2 1 Difference -3 1 0 1 0

Energy 1990 433 13 6 6 1 1999 381 16 9 9 1 Difference -52 3 3 3 0

EPA 1990 233 9 1 1 0 1999 249 21 6 5 0 Difference 16 12 5 4 0

FEMA 1990 24 0 0 1 0 1999 29 1 0 0 0 Difference 5 1 0 -1 0

GSA 1990 90 5 0 1 0 1999 86 11 0 1 0 Difference -4 6 0 0 0

HHS 1990 380 20 1 3 11 1999 417 44 10 9 18 Difference 37 24 9 6 7

HUD 1990 78 13 0 0 0 1999 70 18 3 0 1 Difference -8 5 3 0 1

Interior 1990 212 6 2 0 16 1999 182 9 6 1 24 Difference -30 3 4 1 8

Justice 1990 441 20 9 3 0 1999 556 a 44 23 5 1 Difference 115 24 14 2 1

Appendix III: Profile of the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 53 GAO- 01- 377 SES Diversity

Agency Year Career SES as of September 30 African

American Hispanic Asian American Native

American Labor 1990 123 12 3 0 0

1999 126 18 6 0 1 Difference 3 6 3 0 1

NASA 1990 521 14 6 2 2 1999 404 30 11 10 4 Difference -117 16 5 8 2

NSF 1990 94 4 1 3 0 1999 81 7 2 5 0 Difference -13 3 1 2 0

NRC 1990 208 6 3 6 1 1999 140 9 2 4 0 Difference -68 3 -1 -2 -1

OPM 1990 47 3 3 0 0 1999 38 3 4 0 0 Difference -9 0 1 0 0

SBA 1990 31 4 1 0 0 1999 34 9 3 0 0 Difference 3 5 2 0 0

SSA 1990 45 8 4 1 0 1999 104 22 9 3 0 Difference 59 14 5 2 0

State 1990 77 a 4 010 1999 107 1 4 0 0 Difference 30 -3 4 -1 0

Transportation 1990 315 21 4 4 0 1999 174 19 0 5 0 Difference -141 -2 -4 1 0

Treasury 1990 459 25 5 1 2 1999 509 48 6 5 4 Difference 50 23 1 4 2

Veterans Affairs 1990 253 17 6 0 0 1999 248 b 16 2 3 2 Difference -5 -1 -4 3
2

Governmentwide 1990 6609 a 306 85 51 45 1999 6205 c 487 151 100 69
Difference -404 181 66 49 24

a Gender and race/ ethnicity information missing for one SES member. b
Gender and race/ ethnicity information missing for three SES members. c
Gender and race/ ethnicity information missing for five SES members.

Source: GAO?s analysis of career SES composition data in OPM?s CPDF.

Appendix IV: Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 54 GAO- 01- 377 SES Diversity

The following tables provide data on the appointments of women and
minorities to the career SES at each of the 24 CFO agencies 1 and
governmentwide. Table IV. 1 shows the total number of appointments to the
career SES each year over the 1990 through 1999 period at each of the 24 CFO
agencies and how many of the career SES members appointed were women and
minorities. Tables IV. 2 shows, by race and ethnicity, the number of
minority group members appointed from 1990 through 1999 at each of the 24
CFO agencies.

Table IV. 1: Number of Women and Minorities Appointed to the Career SES at
the 24 CFO Agencies and Governmentwide During Fiscal Years 1990 Through 1999

Agency Year Career SES appointments Women Minorities

AID 1990 1 1 0 1991 3 2 0 1992 4 a 1 0 1993 2 1 0 1994 0 0 0 1995 7 a 3 0
1996 1 1 0 1997 2 a 0 0 1998 2 0 0 1999 0 0 0

Total 22 b 9 0 Agriculture 1990 18 4 1

1991 20 6 2 1992 36 9 3 1993 21 3 5 1994 37 13 10 1995 28 10 2 1996 30 9 7
1997 27 11 11 1998 24 4 10 1999 24 7 7

Total 265 76 58

1 SES appointments in the Federal Bureau of Investigation (FBI), an agency
within the Department of Justice, are not included because the FBI does not
submit appointment and other personnel action data to the CPDF. Appendix IV:
Appointments to the Career

SES During Fiscal Years 1990 Through 1999, By Gender, Race, and Ethnicity

Appendix IV: Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 55 GAO- 01- 377 SES Diversity

Agency Year Career SES appointments Women Minorities Commerce 1990 32 5 2

1991 19 3 2 1992 22 1 1 1993 18 2 1 1994 17 7 3 1995 28 10 3 1996 28 8 7
1997 21 5 2 1998 27 4 5 1999 28 12 4

Total 240 57 30 Defense 1990 104 a 13 6

1991 56 8 6 1992 50 7 2 1993 41 9 4 1994 67 14 3 1995 114 27 9 1996 135 28
10 1997 97 14 9 1998 100 a 17 5 1999 104 19 6

Total 868 c 156 60 Education 1990 10 3 1

1991 1 0 0 1992 5 3 1 1993 2 2 0 1994 1 0 0 1995 7 4 4 1996 6 2 0 1997 6 2 2
1998 7 2 1 1999 4 1 1

Total 49 19 10

Appendix IV: Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 56 GAO- 01- 377 SES Diversity

Agency Year Career SES appointments Women Minorities Energy 1990 44 6 2

1991 43 3 1 1992 51 3 4 1993 12 2 2 1994 16 4 4 1995 44 15 4 1996 16 7 1
1997 31 5 1 1998 21 4 2 1999 43 15 3

Total 321 64 24 Environmental Protection Agency 1990 15 2 2

1991 32 11 0 1992 21 5 3 1993 6 5 1 1994 11 5 1 1995 13 5 3 1996 8 2 4 1997
8 6 2 1998 15 6 7 1999 29 8 5

Total 158 55 28 FEMA 1990 1 0 0

1991 5 0 0 1992 8 1 0 1993 0 0 0 1994 2 0 0 1995 4 0 0 1996 2 1 0 1997 2 1 1
1998 0 0 0 1999 4 1 0

Total 28 4 1 GSA 1990 5 0 0

1991 5 1 0 1992 2 1 0 1993 1 0 0 1994 4 3 2 1995 22 7 4 1996 0 0 0 1997 8 2
2 1998 6 2 1 1999 7 1 0

Total 60 17 9

Appendix IV: Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 57 GAO- 01- 377 SES Diversity

Agency Year Career SES appointments Women Minorities HHS 1990 52 11 8

1991 39 12 5 1992 39 9 9 1993 28 8 6 1994 34 13 7 1995 33 16 13 1996 43 19 7
1997 39 18 6 1998 48 16 8 1999 46 21 10

Total 401 143 79 HUD 1990 10 1 1

1991 10 2 1 1992 14 5 8 1993 0 0 0 1994 6 4 2 1995 7 2 3 1996 6 4 2 1997 7 4
5 1998 6 3 3 1999 9 4 4

Total 75 29 29 Interior 1990 21 3 7

1991 8 1 4 1992 13 4 3 1993 17 4 4 1994 20 7 3 1995 36 16 4 1996 10 4 4 1997
18 6 9 1998 21 2 7 1999 18 11 4

Total 182 58 49

Appendix IV: Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 58 GAO- 01- 377 SES Diversity

Agency Year Career SES appointments Women Minorities Justice 1990 35 6 3

1991 31 6 3 1992 32 8 5 1993 16 2 0 1994 30 5 5 1995 58 11 15 1996 59 17 11
1997 29 5 5 1998 49 8 6 1999 44 10 6

Total 383 78 59 Labor 1990 9 5 1

1991 8 2 1 1992 4 1 1 1993 0 0 0 1994 6 3 3 1995 17 3 8 1996 9 3 2 1997 14 5
3 1998 4 0 1 1999 17 5 2

Total 88 27 22 NASA 1990 45 5 5

1991 60 4 4 1992 24 2 1 1993 25 3 6 1994 38 11 14 1995 43 10 6 1996 19 2 4
1997 29 8 3 1998 60 15 7 1999 51 10 6

Total 394 70 56

Appendix IV: Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 59 GAO- 01- 377 SES Diversity

Agency Year Career SES appointments Women Minorities NSF 1990 15 4 2

1991 9 0 3 1992 7 1 1 1993 1 1 0 1994 8 5 0 1995 9 2 0 1996 2 0 0 1997 2 1 0
1998 1 1 1 1999 5 2 0

Total 59 17 7 NRC 1990 16 0 1

1991 12 2 1 1992 3 0 0 1993 4 1 0 1994 4 1 0 1995 7 1 1 1996 4 0 0 1997 14 4
1 1998 10 3 2 1999 2 0 1

Total 76 12 7 OPM 1990 1 0 1

1991 4 1 0 1992 1 1 0 1993 1 0 0 1994 1 0 0 1995 3 3 0 1996 7 3 1 1997 3 1 0
1998 4 2 0 1999 7 3 3

Total 32 14 5

Appendix IV: Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 60 GAO- 01- 377 SES Diversity

Agency Year Career SES appointments Women Minorities SBA 1990 5 1 1

1991 7 2 4 1992 9 3 2 1993 1 1 1 1994 6 1 6 1995 6 1 1 1996 3 1 0 1997 0 0 0
1998 2 0 1 1999 3 1 3

Total 42 11 19 SSA 1990 5 1 2

1991 7 4 3 1992 2 1 2 1993 5 2 2 1994 2 1 1 1995 3 1 0 1996 8 4 2 1997 10 4
3 1998 15 6 4 1999 18 8 6

Total 75 32 25 State 1990 18 4 1

1991 9 1 1 1992 9 4 0 1993 3 0 1 1994 3 2 0 1995 4 0 0 1996 4 3 0 1997 5 2 0
1998 9 4 1 1999 7 3 0

Total 71 23 4

Appendix IV: Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 61 GAO- 01- 377 SES Diversity

Agency Year Career SES appointments Women Minorities Transportation 1990 30
2 4

1991 57 13 5 1992 26 4 5 1993 16 4 0 1994 15 5 1 1995 40 8 12 1996 28 10 5
1997 17 2 3 1998 12 5 3 1999 12 3 1

Total 253 56 39 Treasury 1990 49 9 2

1991 83 11 7 1992 49 11 5 1993 28 7 3 1994 54 10 9 1995 44 13 8 1996 49 19 9
1997 72 17 9 1998 54 7 11 1999 62 16 12

Total 544 120 75 Veterans Affairs 1990 18 2 1

1991 34 a 1 2 1992 10 3 0 1993 16 2 0 1994 34 8 5 1995 20 a 0 2 1996 10 a 5
2 1997 14 4 0 1998 22 5 6 1999 13 1 1

Total 191 b 31 19

Appendix IV: Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 62 GAO- 01- 377 SES Diversity

Agency Year Career SES appointments Women Minorities Governmentwide 1990 608
a 104 58

1991 602 c 104 62 1992 475 a 93 57 1993 293 68 40 1994 461 137 84 1995 641 c
181 106 1996 533 a 170 85 1997 514 a 133 83 1998 569 b 132 99 1999 598 c 176
89

Total 5294 d 1298 763

a Gender and race/ ethnicity information missing for one appointee. b Gender
and race/ ethnicity information missing for three appointees. c Gender and
race/ ethnicity information missing for two appointees. d Gender and race/
ethnicity information missing for thirteen appointees.

Source: GAO?s analysis of career SES appointment data in OPM?s CPDF.

Appendix IV: Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 63 GAO- 01- 377 SES Diversity

Table IV. 2: Number of Career SES Appointments at the 24 CFO Agencies and
Governmentwide From Fiscal Years 1990 Through 1999, by Race and Ethnicity

Agency Year Total appointments Whites African

Americans Hispanics Asian Americans Native

Americans AID 1990 1 1 0 0 0 0

1991 3 3 0 0 0 0 1992 4 a 3 0000 1993 2 2 0 0 0 0 1994 0 0 0 0 0 0 1995 7 a
6 0000 1996 1 1 0 0 0 0 1997 2 a 1 0000 1998 2 2 0 0 0 0 1999 0 0 0 0 0 0

Total 22 b 19 0 0 0 0 Agriculture 1990 18 17 1 0 0 0

1991 20 18 1 1 0 0 1992 36 33 2 0 1 0 1993 21 16 5 0 0 0 1994 37 27 8 2 0 0
1995 28 26 2 0 0 0 1996 30 23 5 2 0 0 1997 27 16 6 2 3 0 1998 24 14 8 0 1 1
1999 24 17 4 2 0 1

Total 265 207 42 9 5 2 Commerce 1990 32 30 1 0 1 0

1991 19 17 1 1 0 0 1992 22 21 1 0 0 0 1993 18 17 1 0 0 0 1994 17 14 2 0 1 0
1995 28 25 0 1 2 0 1996 28 21 4 3 0 0 1997 21 19 0 2 0 0 1998 27 22 5 0 0 0
1999 28 24 3 1 0 0

Total 240 210 18 8 4 0

Appendix IV: Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 64 GAO- 01- 377 SES Diversity

Agency Year Total appointments Whites African

Americans Hispanics Asian Americans Native

Americans Defense 1990 104 a 97 6 0 0 0

1991 56 50 2 1 2 1 1992 50 48 1 0 1 0 1993 41 37 3 1 0 0 1994 67 64 1 1 0 1
1995 114 105 6 1 2 0 1996 135 125 6 0 4 0 1997 97 88 2 4 2 1 1998 100 a 94 4
0 1 0 1999 104 98 2 1 3 0

Total 868 c 806 33 9 15 3 Education 1990 10 9 1 0 0 0

1991 1 1 0 0 0 0 1992 5 4 0 0 1 0 1993 2 2 0 0 0 0 1994 1 1 0 0 0 0 1995 7 3
3 0 0 1 1996 6 6 0 0 0 0 1997 6 4 1 0 0 1 1998 7 a 5 1000 1999 4 3 1 0 0 0

Total 49 a 38 7 0 1 2 Energy 1990 44 42 1 0 1 0

1991 43 42 0 1 0 0 1992 51 47 2 1 1 0 1993 12 10 1 1 0 0 1994 16 12 2 0 2 0
1995 44 40 3 1 0 0 1996 16 15 0 1 0 0 1997 31 30 0 0 1 0 1998 21 19 1 1 0 0
1999 43 a 39 1 1 0 1

Total 321 a 296 11 7 5 1

Appendix IV: Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 65 GAO- 01- 377 SES Diversity

Agency Year Total appointments Whites African

Americans Hispanics Asian Americans Native

Americans EPA 1990 15 13 1 1 0 0

1991 32 32 0 0 0 0 1992 21 18 3 0 0 0 1993 6 5 1 0 0 0 1994 11 10 0 1 0 0
1995 13 10 3 0 0 0 1996 8 4 4 0 0 0 1997 8 6 0 0 2 0 1998 15 8 5 0 2 0 1999
29 24 3 2 0 0

Total 158 130 20 4 4 0 FEMA 1990 1 1 0 0 0 0

1991 5 5 0 0 0 0 1992 8 8 0 0 0 0 1993 0 0 0 0 0 0 1994 2 2 0 0 0 0 1995 4 4
0 0 0 0 1996 2 2 0 0 0 0 1997 2 1 1 0 0 0 1998 0 0 0 0 0 0 1999 4 4 0 0 0 0

Total 28 27 1 0 0 0 GSA 1990 5 5 0 0 0 0

1991 5 5 0 0 0 0 1992 2 2 0 0 0 0 1993 1 1 0 0 0 0 1994 4 2 2 0 0 0 1995 22
18 4 0 0 0 1996 0 0 0 0 0 0 1997 8 6 2 0 0 0 1998 6 5 1 0 0 0 1999 7 7 0 0 0
0

Total 60 51 9 0 0 0

Appendix IV: Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 66 GAO- 01- 377 SES Diversity

Agency Year Total appointments Whites African

Americans Hispanics Asian Americans Native

Americans HHS 1990 52 44 6 0 1 1

1991 39 33 3 1 1 0 1992 39 30 3 3 2 1 1993 28 22 3 1 0 2 1994 34 27 4 1 1 1
1995 33 20 10 3 0 0 1996 43 36 2 2 0 3 1997 39 33 4 1 0 1 1998 48 40 1 1 2 4
1999 46 36 5 2 3 0

Total 401 321 41 15 10 13 HUD 1990 10 9 1 0 0 0

1991 10 9 0 1 0 0 1992 14 6 6 2 0 0 1993 0 0 0 0 0 0 1994 6 4 2 0 0 0 1995 7
4 3 0 0 0 1996 6 4 2 0 0 0 1997 7 2 5 0 0 0 1998 6 3 1 1 0 1 1999 9 5 3 0 0
1

Total 75 46 23 4 0 2 Interior 1990 21 14 1 0 0 6

1991 8 4 2 0 0 2 1992 13 10 1 0 0 2 1993 17 13 2 0 1 1 1994 20 17 1 0 0 2
1995 36 32 2 0 0 2 1996 10 6 0 0 0 4 1997 18 9 3 2 0 4 1998 21 14 1 1 0 5
1999 18 13 0 1 0 3

Total 182 132 13 4 1 31

Appendix IV: Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 67 GAO- 01- 377 SES Diversity

Agency Year Total appointments Whites African

Americans Hispanics Asian Americans Native

Americans Justice 1990 35 32 2 1 0 0

1991 31 28 2 1 0 0 1992 32 27 2 3 0 0 1993 16 16 0 0 0 0 1994 30 25 3 2 0 0
1995 58 43 10 5 0 0 1996 59 48 8 1 2 0 1997 29 24 3 2 0 0 1998 49 42 2 4 0 0
1999 44 38 4 1 1 0

Total 383 323 36 20 3 0 Labor 1990 9 8 1 0 0 0

1991 8 7 1 0 0 0 1992 4 3 1 0 0 0 1993 0 0 0 0 0 0 1994 6 3 1 1 0 1 1995 17
9 6 2 0 0 1996 9 7 2 0 0 0 1997 14 11 2 1 0 0 1998 4 3 0 1 0 0 1999 17 15 2
0 0 0

Total 88 66 16 5 0 1 NASA 1990 45 40 4 1 0 0

1991 60 56 3 0 1 0 1992 24 23 1 0 0 0 1993 25 19 4 0 1 1 1994 38 24 8 2 4 0
1995 43 37 4 0 2 0 1996 19 15 1 3 0 0 1997 29 26 1 1 1 0 1998 60 53 4 1 2 0
1999 51 45 3 1 1 1

Total 394 338 33 9 12 2

Appendix IV: Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 68 GAO- 01- 377 SES Diversity

Agency Year Total appointments Whites African

Americans Hispanics Asian Americans Native

Americans NSF 1990 15 13 2 0 0 0

1991 9 6 2 0 1 0 1992 7 6 0 1 0 0 1993 1 1 0 0 0 0 1994 8 8 0 0 0 0 1995 9 9
0 0 0 0 1996 2 2 0 0 0 0 1997 2 2 0 0 0 0 1998 1 0 0 0 1 0 1999 5 5 0 0 0 0

Total 59 52 4 1 2 0 NRC 1990 16 15 1 0 0 0

1991 12 11 1 0 0 0 1992 3 3 0 0 0 0 1993 4 4 0 0 0 0 1994 4 4 0 0 0 0 1995 7
6 0 0 1 0 1996 4 4 0 0 0 0 1997 14 13 1 0 0 0 1998 10 8 1 0 1 0 1999 2 1 1 0
0 0

Total 76 69 5 0 2 0 OPM 1990 1 0 1 0 0 0

1991 4 4 0 0 0 0 1992 1 1 0 0 0 0 1993 1 1 0 0 0 0 1994 1 1 0 0 0 0 1995 3 3
0 0 0 0 1996 7 6 1 0 0 0 1997 3 3 0 0 0 0 1998 4 4 0 0 0 0 1999 7 4 0 3 0 0

Total 32 27 2 3 0 0

Appendix IV: Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 69 GAO- 01- 377 SES Diversity

Agency Year Total appointments Whites African

Americans Hispanics Asian Americans Native

Americans SBA 1990 5 4 0 1 0 0

1991 7 3 4 0 0 0 1992 9 7 1 0 1 0 1993 1 0 1 0 0 0 1994 6 0 3 2 1 0 1995 6 5
0 1 0 0 1996 3 3 0 0 0 0 1997 0 0 0 0 0 0 1998 2 1 1 0 0 0 1999 3 0 2 1 0 0

Total 42 23 12 5 2 0 SSA 1990 5 3 2 0 0 0

1991 7 4 2 1 0 0 1992 2 0 2 0 0 0 1993 5 3 1 0 1 0 1994 2 1 0 1 0 0 1995 3 3
0 0 0 0 1996 8 6 1 1 0 0 1997 10 7 2 1 0 0 1998 15 11 2 2 0 0 1999 18 12 5 0
1 0

Total 75 50 17 6 2 0 State 1990 18 17 1 0 0 0

1991 9 8 0 1 0 0 1992 9 9 0 0 0 0 1993 3 2 0 1 0 0 1994 3 3 0 0 0 0 1995 4 4
0 0 0 0 1996 4 4 0 0 0 0 1997 5 5 0 0 0 0 1998 9 8 0 1 0 0 1999 7 7 0 0 0 0

Total 71 67 1 3 0 0

Appendix IV: Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 70 GAO- 01- 377 SES Diversity

Agency Year Total appointments Whites African

Americans Hispanics Asian Americans Native

Americans Transportation 1990 30 26 3 1 0 0

1991 57 52 3 2 0 0 1992 26 21 3 1 1 0 1993 16 16 0 0 0 0 1994 15 14 0 1 0 0
1995 40 28 6 2 3 1 1996 28 23 4 0 1 0 1997 17 14 3 0 0 0 1998 12 9 3 0 0 0
1999 12 11 1 0 0 0

Total 253 214 26 7 5 1 Treasury 1990 49 47 2 0 0 0

1991 83 76 4 0 2 1 1992 49 44 4 1 0 0 1993 28 25 3 0 0 0 1994 54 45 8 0 1 0
1995 44 36 6 2 0 0 1996 49 40 5 1 2 1 1997 72 63 5 3 1 0 1998 54 43 8 1 1 1
1999 62 50 10 1 1 0

Total 544 469 55 9 8 3 Veterans Affairs 1990 18 17 1 0 0 0

1991 34 a 31 2 0 0 0 1992 10 10 0 0 0 0 1993 16 16 0 0 0 0 1994 34 29 4 0 1
0 1995 20 a 17 2 0 0 0 1996 10 a 7 2000 1997 14 14 0 0 0 0 1998 22 16 5 0 1
0 1999 13 12 1 0 0 0

Total 191 b 169 17 0 2 0

Appendix IV: Appointments to the Career SES During Fiscal Years 1990 Through
1999, By Gender, Race, and Ethnicity

Page 71 GAO- 01- 377 SES Diversity

Agency Year Total appointments Whites African

Americans Hispanics Asian Americans Native

Americans Governmentwide 1990 608 a 549 41 6 4 7

1991 602 c 538 39 12 7 4 1992 475 a 417 34 12 8 3 1993 293 253 28 5 3 4 1994
461 377 52 15 12 5 1995 641 c 533 73 18 11 4 1996 533 a 447 51 17 9 8 1997
514 a 430 45 20 11 7 1998 569 b 467 59 15 13 12 1999 598 c 507 53 18 11 7

Total 5294 d 4518 475 138 89 61

a Gender and race/ ethnicity information missing for one appointee. b Gender
and race/ ethnicity information missing for three appointees. c Gender and
race/ ethnicity information missing for two appointees. d Gender and race/
ethnicity information missing for thirteen appointees.

Source: GAO?s analysis of career SES appointment data in OPM?s CPDF.

Appendix V: 24 CFO Agencies? Career SES Workforce Compared With Selected
Labor Forces

Page 72 GAO- 01- 377 SES Diversity

In tables V. 1 through V. 6, we compare, by gender, minority group, race,
and ethnicity, the percentage of employees in the career SES at each of the
24 CFO agencies as of September 30, 1999, to the percentage of employees in
the following labor forces to determine the extent of parity:

 the national CLF ( see table V. 1);

 our agency- specific RCLFs- the proportion of employees in the overall CLF
who were in occupations and had incomes equivalent to that of the career SES
at each of the 24 CFO agencies (see table V. 2);

 each agency?s total workforce (see table V. 3);

 each agency?s workforce in professional and administrative occupations
(see table V. 4);

 each agency?s GS- 15 workforce (see table V. 5); and

 the U. S. Postal Service career executive corps (see table V. 6). We used
shading to illustrate the extent of parity between the career SES employee
group percentages and the percentages for the same employee group in the
comparative labor forces. To measure the extent of parity, we calculated a
representation index by dividing the career SES percentage for each employee
group by the percentage for the same employee group in each of the
comparative labor forces and multiplying by 100. The results of our
comparisons are statistically significant unless otherwise noted. Appendix
II describes the tests we performed to determine whether proportional
differences between the SES and the comparative labor forces were
statistically significant. Appendix V: 24 CFO Agencies? Career SES

Workforce Compared With Selected Labor Forces

Appendix V: 24 CFO Agencies? Career SES Workforce Compared With Selected
Labor Forces

Page 73 GAO- 01- 377 SES Diversity

Table V. 1: Comparison of Career SES Employee Groups in the 24 CFO Agencies
as of September 30, 1999, to the Same Employee Groups in the National CLF

a CLF data obtained from the 1999 CPS for Asian Americans and Native
Americans were not statistically reliable because the CPS does not cover
enough households to provide statistically sound projections for these two
groups. However, our comparisons for Asian Americans and Native Americans
using CLF data derived from the 1999 CPS and from the 1990 Census indicated
similar results. Therefore, we believe that the comparisons using CLF data
from the 1999 CPS are not misleading.

Sources: GAO?s analysis of workforce data in OPM?s CPDF and of CLF data
obtained from the March 1999 CPS and the 1990 Census.

Appendix V: 24 CFO Agencies? Career SES Workforce Compared With Selected
Labor Forces

Page 74 GAO- 01- 377 SES Diversity

Table V. 2: Comparison of Career SES Employee Groups in the 24 CFO Agencies
as of September 30, 1999, to the Same Employee Groups in Our Agency-
Specific RCLFs

Note: Our RCLF is the CLF that corresponds to the career SES workforce as
closely as possible in terms of occupations and salary levels but not
necessarily in terms of the level of responsibilities. For more details on
how we constructed agency- specific RCLFs and identified occupations in the
CLF that were comparable to the SES occupations, see appendix II. a CLF data
obtained from the 1999 CPS for Asian Americans and Native Americans were not
statistically reliable because the CPS does not cover enough households to
provide statistically sound projections for these two groups. However, our
comparisons for Asian Americans and Native Americans using CLF data derived
from the 1999 CPS and from the 1990 Census indicated similar results.
Therefore, we believe that the comparisons using CLF data from the 1999 CPS
are not misleading.

Sources: GAO?s analysis of workforce data in OPM?s CPDF and of CLF data
obtained from the March 1999 CPS and the 1990 Census.

Appendix V: 24 CFO Agencies? Career SES Workforce Compared With Selected
Labor Forces

Page 75 GAO- 01- 377 SES Diversity

Table V. 3: Comparison of Career SES Employee Groups in the 24 CFO Agencies
as of September 30, 1999, to the Same Employee Groups in Each Agency?s Total
Workforce

Source: GAO?s analysis of workforce data in OPM?s CPDF.

Appendix V: 24 CFO Agencies? Career SES Workforce Compared With Selected
Labor Forces

Page 76 GAO- 01- 377 SES Diversity

Table V. 4: Comparison of Career SES Employee Groups in the 24 CFO Agencies
as of September 30, 1999, to the Same Employee Groups in Professional and
Administrative Occupations at Each Agency

Source: GAO?s analysis of workforce data in OPM?s CPDF.

Appendix V: 24 CFO Agencies? Career SES Workforce Compared With Selected
Labor Forces

Page 77 GAO- 01- 377 SES Diversity

Table V. 5: Comparison of Career SES Employee Groups in the 24 CFO Agencies
as of September 30, 1999, to the Same Employee Groups in the Agencies? GS-
15 Workforces

Source: GAO?s analysis of workforce data in OPM?s CPDF.

Selected SES employee groups Agency Women Men Minorities

African Americans Hispanics

Asian Americans

Native Americans Whites

AID Agriculture Commerce Defense Education Energy EPA FEMA GSA HHS HUD
Interior Justice Labor NASA NSF NRC OPM SBA SSA State Transportation
Treasury Veterans Affairs

SES employee group percentage met or exceeded the percentage for the same
employee group in the selected labor force.

SES employee group percentage was below the percentage for the same employee
group in the selected labor force. SES employee group percentage was either
above, below, or the same as the percentage for the

same employee group in the selected labor force, but the difference between
the percentages was not statistically significant.

Appendix V: 24 CFO Agencies? Career SES Workforce Compared With Selected
Labor Forces

Page 78 GAO- 01- 377 SES Diversity

Table V. 6: Comparison of Career SES Employee Groups in the 24 CFO Agencies
as of September 30, 1999, to the Same Employee Groups in the U. S. Postal
Service

Sources: GAO?s analysis of workforce data in OPM?s CPDF and of Postal
Service workforce data.

Selected SES employee groups Agency Women Men Minorities

African Americans Hispanics

Asian Americans

Native Americans Whites

AID Agriculture Commerce Defense Education Energy EPA FEMA GSA HHS HUD
Interior Justice Labor NASA NSF NRC OPM SBA SSA State Transportation
Treasury Veterans Affairs

SES employee group percentage met or exceeded the percentage for the same
employee group in the selected labor force.

SES employee group percentage was either above, below, or the same as the
percentage for the same employee group in the selected labor force, but the
difference between the percentages was not statistically significant.

SES employee group percentage was below the percentage for the same employee
group in the selected labor force.

Appendix VI: Composition of the Noncareer SES During Fiscal Years 1990
Through 1999

Page 79 GAO- 01- 377 SES Diversity

The following tables provide data on the composition of the noncareer SES
governmentwide and at each of the 24 CFO agencies. Table VI. 1 shows for
each year over the 1990 through 1999 period the overall size of the
noncareer SES as well as the number of women, men, minorities, and whites.
Table VI. 2 shows the number of women and minorities for each year from 1990
through 1999 at each of the 24 agencies.

Table VI. 1: Size of the Noncareer SES- Fiscal Year End 1990- 1999 Year
Total a Women Men Minorities Whites

1990 688 181 507 75 610 1991 727 190 537 87 637 1992 711 201 510 81 628 1993
364 134 230 62 302 1994 713 277 436 159 554 1995 753 293 460 169 584 1996
674 265 409 152 522 1997 657 254 403 144 512 1998 658 262 396 153 505 1999
666 269 397 154 510

a The totals for fiscal years 1990, 1991, 1992, 1997 and 1999 do not add up
to the remaining columns because gender and race/ ethnicity information was
missing for some noncareer SES members during these years.

Source: OPM?s CPDF.

Table VI. 2: Number of Women and Minorities in the Noncareer SES at the 24
CFO Agencies as of the End of Fiscal Years 1990 Through 1999

Number of: Agency Year Noncareer SES as of

September 30 Women Minorities AID 1990 6 1 0

1991 11 3 0 1992 12 3 0 1993 3 1 0 1994 8 2 4 1995 9 2 4 1996 7 3 2 1997 8 3
2 1998 7 2 3 1999 7 3 3

Appendix VI: Composition of the Noncareer SES During Fiscal Years 1990
Through 1999

Appendix VI: Composition of the Noncareer SES During Fiscal Years 1990
Through 1999

Page 80 GAO- 01- 377 SES Diversity

Number of: Agency Year Noncareer SES as of

September 30 Women Minorities Agriculture 1990 46 13 3

1991 51 15 5 1992 52 17 4 1993 13 6 7 1994 46 18 11 1995 54 20 12 1996 50 18
14 1997 45 16 14 1998 47 18 18 1999 49 19 15

Commerce 1990 59 12 9 1991 54 11 9 1992 52 14 8 1993 30 13 9 1994 64 24 19
1995 66 27 24 1996 61 24 19 1997 52 21 15 1998 48 18 12 1999 49 18 12

Defense 1990 67 12 4 1991 76 13 4 1992 72 12 6 1993 45 15 6 1994 84 31 10
1995 86 29 10 1996 81 23 12 1997 72 20 10 1998 70 19 9 1999 75 a 17 13

Education 1990 21 8 4 1991 20 9 2 1992 19 9 1 1993 10 4 3 1994 20 8 7 1995
20 9 8 1996 14 5 5 1997 18 9 6 1998 18 10 6 1999 15 8 4

Appendix VI: Composition of the Noncareer SES During Fiscal Years 1990
Through 1999

Page 81 GAO- 01- 377 SES Diversity

Number of: Agency Year Noncareer SES as of

September 30 Women Minorities Energy 1990 39 10 2

1991 37 10 1 1992 40 10 3 1993 18 7 1 1994 38 13 5 1995 43 14 10 1996 35 12
6 1997 35 10 6 1998 37 16 8 1999 42 13 6

Environmental Protection Agency 1990 15 1 0 1991 18 3 0 1992 19 5 0 1993 6 5
0 1994 21 10 2 1995 19 9 3 1996 17 9 1 1997 18 6 2 1998 19 6 2 1999 19 6 2

Federal Emergency Management Agency 1990 10 2 1 1991 14 2 1 1992 14 2 1 1993
6 1 0 1994 12 4 3 1995 13 4 2 1996 15 5 3 1997 15 5 3 1998 15 6 3 1999 16 5
3

General Services Administration 1990 20 5 2 1991 21 3 3 1992 23 3 3 1993 5 2
1 1994 16 8 5 1995 16 6 5 1996 14 5 5 1997 17 6 6 1998 17 6 6 1999 20 7 6

Appendix VI: Composition of the Noncareer SES During Fiscal Years 1990
Through 1999

Page 82 GAO- 01- 377 SES Diversity

Number of: Agency Year Noncareer SES as of

September 30 Women Minorities Health and Human Services 1990 54 23 12

1991 62 25 15 1992 59 24 13 1993 29 13 3 1994 66 34 11 1995 58 31 7 1996 58
34 14 1997 55 b 33 13 1998 58 40 11 1999 54 36 15

Housing and Urban Development 1990 25 5 5 1991 27 5 7 1992 11 2 1 1993 5 2 2
1994 17 8 6 1995 20 9 7 1996 15 7 7 1997 20 9 8 1998 18 6 5 1999 17 8 5

Interior 1990 32 7 3 1991 39 10 6 1992 49 12 9 1993 28 11 2 1994 38 17 6
1995 40 21 6 1996 37 19 5 1997 36 17 5 1998 35 15 9 1999 39 18 6

Justice 1990 59 7 3 1991 59 6 5 1992 54 6 6 1993 20 4 2 1994 52 18 9 1995 59
18 11 1996 55 15 9 1997 49 16 7 1998 48 15 11 1999 45 12 10

Appendix VI: Composition of the Noncareer SES During Fiscal Years 1990
Through 1999

Page 83 GAO- 01- 377 SES Diversity

Number of: Agency Year Noncareer SES as of

September 30 Women Minorities Labor 1990 21 10 5

1991 17 9 4 1992 19 12 2 1993 9 2 0 1994 28 9 10 1995 29 12 9 1996 27 11 6
1997 29 10 7 1998 24 9 7 1999 26 12 7

National Aeronautics and Space Administration 1990 3 1 0 1991 3 1 0 1992 4 1
0 1993 2 0 0 1994 3 1 0 1995 6 2 1 1996 4 2 1 1997 4 2 1 1998 3 2 1 1999 3 3
1

National Science Foundation 1990 0 0 0 1991 0 0 0 1992 0 0 0 1993 0 0 0 1994
0 0 0 1995 0 0 0 1996 0 0 0 1997 0 0 0 1998 0 0 0 1999 0 0 0

Nuclear Regulatory Commission 1990 0 0 0 1991 0 0 0 1992 0 0 0 1993 0 0 0
1994 0 0 0 1995 0 0 0 1996 0 0 0 1997 0 0 0 1998 0 0 0 1999 0 0 0

Appendix VI: Composition of the Noncareer SES During Fiscal Years 1990
Through 1999

Page 84 GAO- 01- 377 SES Diversity

Number of: Agency Year Noncareer SES as of

September 30 Women Minorities Office of Personnel Management 1990 9 4 1

1991 8 4 3 1992 7 4 2 1993 9 6 2 1994 8 5 1 1995 6 3 0 1996 6 5 1 1997 5 3 2
1998 5 3 1 1999 7 3 1

Small Business Administration 1990 18 7 3 1991 15 5 2 1992 16 7 2 1993 7 3 2
1994 10 4 4 1995 7 3 3 1996 7 3 3 1997 8 2 2 1998 7 2 2 1999 10 5 3

Social Security Administration 1990 4 3 0 1991 4 3 0 1992 4 3 0 1993 0 0 0
1994 4 4 3 1995 8 5 4 1996 8 5 4 1997 8 5 4 1998 12 7 6 1999 13 9 6

State 1990 28 c 6 2 1991 32 c 8 3 1992 30 a 6 4 1993 12 2 0 1994 29 9 7 1995
34 13 9 1996 32 13 9 1997 29 13 7 1998 31 13 5 1999 26 10 4

Appendix VI: Composition of the Noncareer SES During Fiscal Years 1990
Through 1999

Page 85 GAO- 01- 377 SES Diversity

Number of: Agency Year Noncareer SES as of

September 30 Women Minorities Transportation 1990 38 10 5

1991 39 10 5 1992 31 10 3 1993 18 8 4 1994 37 15 12 1995 38 17 10 1996 24 11
6 1997 23 8 6 1998 22 6 9 1999 27 11 12

Treasury 1990 21 6 2 1991 22 6 2 1992 26 6 3 1993 24 9 8 1994 31 8 9 1995 30
8 8 1996 27 6 6 1997 26 6 2 1998 28 8 5 1999 26 11 5

Veterans Affairs 1990 5 2 2 1991 6 1 1 1992 3 1 1 1993 7 2 2 1994 7 1 3 1995
6 2 3 1996 6 2 2 1997 6 2 2 1998 6 2 2 1999 8 4 3 a Gender and race/
ethnicity information missing for two persons.

b Gender and race/ ethnicity information missing for one person. c Gender
and race/ ethnicity information missing for three persons.

Source: GAO?s analysis of noncareer SES composition data in OPM?s CPDF.

Appendix VII: Noncareer SES Appointments, 1990- 1999

Page 86 GAO- 01- 377 SES Diversity

The following tables provide data on the composition of the noncareer SES
governmentwide and at each of the 24 CFO agencies. Table VII. 1 shows for
each year over the 1990 through 1999 period the total number of noncareer
SES appointments as well as the number of women, men, minorities, and
whites. Table VII. 2 shows the total number of appointments to the noncareer
SES each year over the 1990 through 1999 period at each of the 24 agencies
and how many of the noncareer SES members appointed were women and
minorities. Tables VII. 3 shows the number of minority group members, by
race and ethnicity, appointed from 1990 through 1999 at each of the 24
agencies.

Table VII. 1: Noncareer SES Appointments- Fiscal Year End 1990- 1999 Year
Total a Women Men Minorities Whites

1990 336 88 245 42 291 1991 184 47 135 18 164 1992 175 56 117 19 154 1993
367 144 221 56 309 1994 430 166 260 101 325 1995 193 71 121 47 145 1996 129
56 73 28 101 1997 152 60 92 27 125 1998 182 78 103 46 135 1999 183 73 109 40
142 a The totals for fiscal years 1990 through 1995, 1998, and 1999 do not
add up to the remaining columns because gender and race/ ethnicity
information was missing for some noncareer SES members during these years.

Source: OPM?s CPDF.

Appendix VII: Noncareer SES Appointments, 1990- 1999

Appendix VII: Noncareer SES Appointments, 1990- 1999

Page 87 GAO- 01- 377 SES Diversity

Table VII. 2: Number of Women and Minorities Appointed to the Noncareer SES
at the 24 CFO Agencies During Fiscal Years 1990 Through 1999

Number of: Agency Year Noncareer SES

Appointments Women Minorities AID 1990 1 1 0

1991 4 a 2 0 1992 4 a 0 0 1993 2 1 0 1994 7 2 4 1995 2 1 1 1996 2 1 1 1997 2
0 0 1998 0 0 0 1999 1 1 0

Total 25 b 9 6 Agriculture 1990 22 9 2

1991 15 5 3 1992 16 6 1 1993 20 9 8 1994 33 12 5 1995 16 6 3 1996 7 4 4 1997
8 2 2 1998 17 7 8 1999 10 3 2

Total 164 63 38 Commerce 1990 26 5 4

1991 12 3 1 1992 15 7 1 1993 39 16 8 1994 34 12 13 1995 13 6 8 1996 14 7 3
1997 8 5 2 1998 13 5 4 1999 10 5 4

Total 184 71 48

Appendix VII: Noncareer SES Appointments, 1990- 1999

Page 88 GAO- 01- 377 SES Diversity

Number of: Agency Year Noncareer SES

Appointments Women Minorities Defense 1990 40 9 5

1991 18 2 0 1992 8 0 2 1993 37 14 5 1994 55 21 5 1995 17 4 3 1996 12 2 3
1997 11 1 0 1998 17 a 5 2 1999 15 a 1 3

Total 230 b 59 28 Education 1990 13 4 2

1991 5 2 0 1992 11 6 0 1993 14 6 4 1994 11 4 2 1995 2 2 1 1996 2 1 1 1997 7
5 3 1998 3 2 0 1999 1 1 0

Total 69 33 13 Energy 1990 20 2 1

1991 5 0 0 1992 13 4 3 1993 17 5 1 1994 21 7 4 1995 12 2 5 1996 5 2 0 1997 9
3 1 1998 11 7 3 1999 18 3 4

Total 131 35 22

Appendix VII: Noncareer SES Appointments, 1990- 1999

Page 89 GAO- 01- 377 SES Diversity

Number of: Agency Year Noncareer SES

Appointments Women Minorities Environmental Protection Agency 1990 7 2 0

1991 2 1 0 1992 5 2 0 1993 7 a 5 0 1994 15 c 4 2 1995 2 a 0 0 1996 1 0 0
1997 7 0 1 1998 1 0 0 1999 3 1 0

Total 50 d 15 3 Federal Emergency Management Agency 1990 5 0 1

1991 3 1 0 1992 0 0 0 1993 4 1 0 1994 8 3 3 1995 4 1 0 1996 2 1 1 1997 4 1 0
1998 1 1 0 1999 2 0 0

Total 33 9 5 General Services Administration 1990 4 3 0

1991 4 0 1 1992 1 0 0 1993 6 2 1 1994 11 5 4 1995 1 0 0 1996 2 2 1 1997 3 1
0 1998 0 0 0 1999 4 2 1

Total 36 15 8

Appendix VII: Noncareer SES Appointments, 1990- 1999

Page 90 GAO- 01- 377 SES Diversity

Number of: Agency Year Noncareer SES

Appointments Women Minorities Health and Human Services 1990 31 a 12 6

1991 18 8 2 1992 13 4 4 1993 29 a 13 3 1994 37 a 21 7 1995 9 5 1 1996 10 7 3
1997 7 4 0 1998 17 13 1 1999 12 5 6

Total 183 c 92 33 Housing and Urban Development 1990 11 1 3

1991 7 2 2 1992 3 0 0 1993 6 3 2 1994 14 8 5 1995 4 1 3 1996 4 3 1 1997 8 5
2 1998 6 1 1 1999 3 2 1

Total 66 26 20 Interior 1990 9 1 2

1991 14 3 4 1992 11 2 2 1993 32 12 1 1994 14 8 3 1995 13 9 2 1996 5 3 0 1997
9 5 2 1998 6 1 2 1999 11 7 2

Total 124 51 20

Appendix VII: Noncareer SES Appointments, 1990- 1999

Page 91 GAO- 01- 377 SES Diversity

Number of: Agency Year Noncareer SES

Appointments Women Minorities Justice 1990 40 4 2

1991 22 1 2 1992 13 1 0 1993 25 7 2 1994 42 14 8 1995 18 5 3 1996 13 4 1
1997 8 3 0 1998 16 6 8 1999 15 3 2

Total 212 48 28 Labor 1990 13 4 3

1991 6 1 0 1992 12 5 2 1993 9 2 0 1994 26 7 7 1995 17 9 4 1996 11 2 1 1997 9
4 2 1998 5 3 1 1999 12 7 3

Total 120 44 23 National Aeronautics and Space Administration 1990 2 1 0

1991 0 0 0 1992 1 0 0 1993 3 0 0 1994 1 1 0 1995 4 1 1 1996 1 0 0 1997 1 1 0
1998 2 0 0 1999 1 1 0

Total 16 5 1

Appendix VII: Noncareer SES Appointments, 1990- 1999

Page 92 GAO- 01- 377 SES Diversity

Number of: Agency Year Noncareer SES

Appointments Women Minorities National Science Foundation 1990 0 0 0

1991 0 0 0 1992 0 0 0 1993 0 0 0 1994 0 0 0 1995 0 0 0 1996 0 0 0 1997 0 0 0
1998 0 0 0 1999 0 0 0

Total 0 0 0 Nuclear Regulatory Commission 1990 0 0 0

1991 0 0 0 1992 1 1 0 1993 0 0 0 1994 1 1 0 1995 0 0 0 1996 0 0 0 1997 0 0 0
1998 0 0 0 1999 0 0 0

Total 2 2 0 Office of Personnel Management 1990 2 1 1

1991 5 1 2 1992 2 1 1 1993 9 5 3 1994 0 0 0 1995 0 0 0 1996 2 2 0 1997 2 0 1
1998 2 0 0 1999 3 1 0

Total 27 11 8

Appendix VII: Noncareer SES Appointments, 1990- 1999

Page 93 GAO- 01- 377 SES Diversity

Number of: Agency Year Noncareer SES

Appointments Women Minorities Small Business Administration 1990 5 1 2

1991 3 1 0 1992 4 2 0 1993 7 3 2 1994 4 2 2 1995 2 1 1 1996 3 0 2 1997 3 0 0
1998 2 1 0 1999 11 7 4

Total 44 18 13 Social Security Administration 1990 3 2 0

1991 0 0 0 1992 0 0 0 1993 0 0 0 1994 4 4 3 1995 2 0 1 1996 0 0 0 1997 0 0 0
1998 4 2 2 1999 2 2 1

Total 15 10 7 State 1990 11 a 1 1

1991 6 a 3 0 1992 8 a 1 1 1993 10 2 0 1994 23 8 7 1995 10 5 3 1996 5 2 2
1997 9 5 1 1998 7 4 0 1999 13 4 1

Total 102 c 35 16

Appendix VII: Noncareer SES Appointments, 1990- 1999

Page 94 GAO- 01- 377 SES Diversity

Number of: Agency Year Noncareer SES

Appointments Women Minorities Transportation 1990 16 3 1

1991 10 2 0 1992 5 3 0 1993 21 11 3 1994 23 9 9 1995 5 2 0 1996 11 5 3 1997
7 3 3 1998 10 3 6 1999 14 7 3

Total 122 48 28 Treasury 1990 5 2 0

1991 8 2 0 1992 10 2 1 1993 33 11 8 1994 10 0 2 1995 16 3 3 1996 6 2 0 1997
9 1 0 1998 17 6 5 1999 7 4 1

Total 121 33 20 Veterans Affairs 1990 3 a 2 1

1991 2 1 0 1992 0 0 0 1993 8 2 3 1994 2 0 1 1995 3 1 1 1996 0 0 0 1997 0 0 0
1998 0 0 0 1999 3 1 1

Total 21 a 7 7

a Gender and race/ ethnicity information missing for one appointee. b Gender
and race/ ethnicity information missing for two appointees. c Gender and
race/ ethnicity information missing for three appointees. d Gender and race/
ethnicity information missing for five appointees.

Source: GAO?s analysis of career SES appointment data in OPM?s CPDF.

Appendix VII: Noncareer SES Appointments, 1990- 1999

Page 95 GAO- 01- 377 SES Diversity

Table VII. 3: Number of Noncareer SES Appointments at the 24 CFO Agencies
From Fiscal Years 1990 Through 1999, by Race and Ethnicity

Number of noncareer SES appointees who were: Agency Year Appointments White
African

American Hispanic Asian American Native

American AID 1990 1 1 0 0 0 0

1991 4 a 3 0000 1992 4 a 3 0000 1993 2 2 0 0 0 0 1994 7 3 2 2 0 0 1995 2 1 0
1 0 0 1996 2 1 1 0 0 0 1997 2 2 0 0 0 0 1998 0 0 0 0 0 0 1999 1 1 0 0 0 0

Total 25 b 17 3 3 0 0 Agriculture 1990 22 20 1 0 1 0

1991 15 12 1 1 1 0 1992 16 15 1 0 0 0 1993 20 12 8 0 0 0 1994 33 28 3 1 1 0
1995 16 13 2 1 0 0 1996 7 3 3 0 0 1 1997 8 6 0 1 1 0 1998 17 9 4 3 1 0 1999
10 8 1 0 0 1

Total 164 126 24 7 5 2 Commerce 1990 26 22 2 1 1 0

1991 12 11 1 0 0 0 1992 15 14 0 1 0 0 1993 39 31 7 1 0 0 1994 34 22 5 5 3 0
1995 13 5 4 3 1 0 1996 14 11 3 0 0 0 1997 8 6 1 0 1 0 1998 13 9 2 2 0 0 1999
10 6 3 0 1 0

Total 184 137 28 13 7 0

Appendix VII: Noncareer SES Appointments, 1990- 1999

Page 96 GAO- 01- 377 SES Diversity

Number of noncareer SES appointees who were: Agency Year Appointments White
African

American Hispanic Asian American Native

American Defense 1990 40 35 1 4 0 0

1991 18 18 0 0 0 0 1992 8 6 1 1 0 0 1993 37 32 3 1 1 0 1994 55 50 3 1 0 1
1995 17 14 3 0 0 0 1996 12 9 2 1 0 0 1997 11 11 0 0 0 0 1998 17 a 14 0 2 0 0
1999 15 a 11 2 1 0 0

Total 230 b 200 15 11 1 1 Education 1990 13 11 0 2 0 0

1991 5 5 0 0 0 0 1992 11 11 0 0 0 0 1993 14 10 2 1 1 0 1994 11 9 2 0 0 0
1995 2 1 0 1 0 0 1996 2 1 0 1 0 0 1997 7 4 3 0 0 0 1998 3 3 0 0 0 0 1999 1 1
0 0 0 0

Total 69 56 7 5 1 0 Energy 1990 20 19 0 1 0 0

1991 5 5 0 0 0 0 1992 13 10 2 0 1 0 1993 17 16 1 0 0 0 1994 21 17 3 0 1 0
1995 12 7 2 2 1 0 1996 5 5 0 0 0 0 1997 9 8 0 1 0 0 1998 11 8 0 1 2 0 1999
18 14 1 3 0 0

Total 131 109 9 8 5 0

Appendix VII: Noncareer SES Appointments, 1990- 1999

Page 97 GAO- 01- 377 SES Diversity

Number of noncareer SES appointees who were: Agency Year Appointments White
African

American Hispanic Asian American Native

American EPA 1990 7 7 0 0 0 0

1991 2 2 0 0 0 0 1992 5 5 0 0 0 0 1993 7 a 6 0000 1994 15 c 10 1 0 0 1 1995
2 a 1 0000 1996 1 1 0 0 0 0 1997 7 6 0 0 0 1 1998 1 1 0 0 0 0 1999 3 3 0 0 0
0

Total 50 d 42 1 0 0 2 FEMA 1990 5 4 0 0 0 1

1991 3 3 0 0 0 0 1992 0 0 0 0 0 0 1993 4 4 0 0 0 0 1994 8 5 1 1 1 0 1995 4 4
0 0 0 0 1996 2 1 1 0 0 0 1997 4 4 0 0 0 0 1998 1 1 0 0 0 0 1999 2 2 0 0 0 0

Total 33 28 2 1 1 1 GSA 1990 4 4 0 0 0 0

1991 4 3 1 0 0 0 1992 1 1 0 0 0 0 1993 6 5 1 0 0 0 1994 11 7 3 1 0 0 1995 1
1 0 0 0 0 1996 2 1 1 0 0 0 1997 3 3 0 0 0 0 1998 0 0 0 0 0 0 1999 4 3 1 0 0
0

Total 36 28 7 1 0 0

Appendix VII: Noncareer SES Appointments, 1990- 1999

Page 98 GAO- 01- 377 SES Diversity

Number of noncareer SES appointees who were: Agency Year Appointments White
African

American Hispanic Asian American Native

American HHS 1990 31 a 24 5 0 1 0

1991 18 16 1 0 1 0 1992 13 9 2 0 2 0 1993 29 a 25 2 0 0 1 1994 37 a 29 4 2 1
0 1995 9 8 0 1 0 0 1996 10 7 2 0 1 0 1997 7 7 0 0 0 0 1998 17 16 0 1 0 0
1999 12 6 5 1 0 0

Total 183 c 147 21 5 6 1 HUD 1990 11 8 3 0 0 0

1991 7 5 1 1 0 0 1992 3 3 0 0 0 0 1993 6 4 0 2 0 0 1994 14 9 4 1 0 0 1995 4
1 1 1 1 0 1996 4 3 0 1 0 0 1997 8 6 1 1 0 0 1998 6 5 0 1 0 0 1999 3 2 1 0 0
0

Total 66 46 11 8 1 0 Interior 1990 9 7 0 0 0 2

1991 14 10 1 1 0 2 1992 11 9 0 0 0 2 1993 32 31 1 0 0 0 1994 14 11 2 0 0 1
1995 13 11 1 0 0 1 1996 5 5 0 0 0 0 1997 9 7 0 0 1 1 1998 6 4 0 0 0 2 1999
11 9 0 0 2 0

Total 124 104 5 1 3 11

Appendix VII: Noncareer SES Appointments, 1990- 1999

Page 99 GAO- 01- 377 SES Diversity

Number of noncareer SES appointees who were: Agency Year Appointments White
African

American Hispanic Asian American Native

American Justice 1990 40 38 1 1 0 0

1991 22 20 1 1 0 0 1992 13 13 0 0 0 0 1993 25 23 0 2 0 0 1994 42 34 4 2 2 0
1995 18 15 3 0 0 0 1996 13 12 0 0 1 0 1997 8 8 0 0 0 0 1998 16 8 2 3 3 0
1999 15 13 0 2 0 0

Total 212 184 11 11 6 0 Labor 1990 13 10 1 1 0 1

1991 6 6 0 0 0 0 1992 12 10 0 2 0 0 1993 9 9 0 0 0 0 1994 26 19 0 7 0 0 1995
17 13 1 3 0 0 1996 11 10 0 1 0 0 1997 9 7 2 0 0 0 1998 5 4 1 0 0 0 1999 12 9
2 1 0 0

Total 120 97 7 15 0 1 NASA 1990 2 2 0 0 0 0

1991 0 0 0 0 0 0 1992 1 1 0 0 0 0 1993 3 3 0 0 0 0 1994 1 1 0 0 0 0 1995 4 3
1 0 0 0 1996 1 1 0 0 0 0 1997 1 1 0 0 0 0 1998 2 2 0 0 0 0 1999 1 1 0 0 0 0

Total 16 15 1 0 0 0

Appendix VII: Noncareer SES Appointments, 1990- 1999

Page 100 GAO- 01- 377 SES Diversity

Number of noncareer SES appointees who were: Agency Year Appointments White
African

American Hispanic Asian American Native

American NSF 1990 0 0 0 0 0 0

1991 0 0 0 0 0 0 1992 0 0 0 0 0 0 1993 0 0 0 0 0 0 1994 0 0 0 0 0 0 1995 0 0
0 0 0 0 1996 0 0 0 0 0 0 1997 0 0 0 0 0 0 1998 0 0 0 0 0 0 1999 0 0 0 0 0 0

Total 0 0 0 0 0 0 NRC 1990 0 0 0 0 0 0

1991 0 0 0 0 0 0 1992 1 1 0 0 0 0 1993 0 0 0 0 0 0 1994 1 1 0 0 0 0 1995 0 0
0 0 0 0 1996 0 0 0 0 0 0 1997 0 0 0 0 0 0 1998 0 0 0 0 0 0 1999 0 0 0 0 0 0

Total 2 2 0 0 0 0 OPM 1990 2 1 0 1 0 0

1991 5 3 1 0 1 0 1992 2 1 0 1 0 0 1993 9 6 1 1 1 0 1994 0 0 0 0 0 0 1995 0 0
0 0 0 0 1996 2 2 0 0 0 0 1997 2 1 1 0 0 0 1998 2 2 0 0 0 0 1999 3 3 0 0 0 0

Total 27 19 3 3 2 0

Appendix VII: Noncareer SES Appointments, 1990- 1999

Page 101 GAO- 01- 377 SES Diversity

Number of noncareer SES appointees who were: Agency Year Appointments White
African

American Hispanic Asian American Native

American SBA 1990 5 3 2 0 0 0

1991 3 3 0 0 0 0 1992 4 4 0 0 0 0 1993 7 5 1 1 0 0 1994 4 2 2 0 0 0 1995 2 1
1 0 0 0 1996 3 1 2 0 0 0 1997 3 3 0 0 0 0 1998 2 2 0 0 0 0 1999 11 7 1 2 1 0

Total 44 31 9 3 1 0 SSA 1990 3 3 0 0 0 0

1991 0 0 0 0 0 0 1992 0 0 0 0 0 0 1993 0 0 0 0 0 0 1994 4 1 2 0 0 1 1995 2 1
0 1 0 0 1996 0 0 0 0 0 0 1997 0 0 0 0 0 0 1998 4 2 2 0 0 0 1999 2 1 1 0 0 0

Total 15 8 5 1 0 1 State 1990 11 a 9 1000

1991 6 a 5 0000 1992 8 a 6 0010 1993 10 10 0 0 0 0 1994 23 16 5 1 1 0 1995
10 7 3 0 0 0 1996 5 3 1 1 0 0 1997 9 8 0 1 0 0 1998 7 7 0 0 0 0 1999 13 12 0
1 0 0

Total 102 c 83 10 4 2 0

Appendix VII: Noncareer SES Appointments, 1990- 1999

Page 102 GAO- 01- 377 SES Diversity

Number of noncareer SES appointees who were: Agency Year Appointments White
African

American Hispanic Asian American Native

American Transportation 1990 16 15 0 1 0 0

1991 10 10 0 0 0 0 1992 5 5 0 0 0 0 1993 21 18 1 2 0 0 1994 23 14 3 4 2 0
1995 5 5 0 0 0 0 1996 11 8 2 1 0 0 1997 7 4 0 3 0 0 1998 10 4 5 0 1 0 1999
14 11 2 0 1 0

Total 122 94 13 11 4 0 Treasury 1990 5 5 0 0 0 0

1991 8 8 0 0 0 0 1992 10 9 0 0 1 0 1993 33 25 4 4 0 0 1994 10 8 0 1 1 0 1995
16 13 2 1 0 0 1996 6 6 0 0 0 0 1997 9 9 0 0 0 0 1998 17 12 3 2 0 0 1999 7 6
1 0 0 0

Total 121 101 10 8 2 0 Veterans Affairs 1990 3 a 1 0100

1991 2 2 0 0 0 0 1992 0 0 0 0 0 0 1993 8 5 1 0 2 0 1994 2 1 0 1 0 0 1995 3 2
1 0 0 0 1996 0 0 0 0 0 0 1997 0 0 0 0 0 0 1998 0 0 0 0 0 0 1999 3 2 1 0 0 0

Total 21 a 13 3 2 2 0

a Gender and race/ ethnicity information missing for one appointee. b Gender
and race/ ethnicity information missing for two appointees. c Gender and
race/ ethnicity information missing for three appointees. d Gender and race/
ethnicity information missing for five appointees.

Source: GAO?s analysis of career SES appointment data in OPM?s CPDF.

Appendix VIII: Comments From OPM Page 103 GAO- 01- 377 SES Diversity

Appendix VIII: Comments From OPM

Appendix VIII: Comments From OPM Page 104 GAO- 01- 377 SES Diversity

Appendix IX: Comments From EEOC Page 105 GAO- 01- 377 SES Diversity

Appendix IX: Comments From EEOC

Note: GAO comments supplementing those in the report text appear at the end
of this appendix.

Appendix IX: Comments From EEOC Page 106 GAO- 01- 377 SES Diversity

Appendix IX: Comments From EEOC Page 107 GAO- 01- 377 SES Diversity

See comment.

Appendix IX: Comments From EEOC Page 108 GAO- 01- 377 SES Diversity

Appendix IX: Comments From EEOC Page 109 GAO- 01- 377 SES Diversity

Appendix IX: Comments From EEOC Page 110 GAO- 01- 377 SES Diversity

The following is GAO?s comment on EEOC?s attachments to its letter dated
March 6, 2001.

The data presented in EEOC?s two attachments are virtually identical to the
data we present in our report, except for its data on the GS- 14 and GS15
white collar workforces. In our report, we have explained that we excluded
GS- 14s a feeder group for our comparison to the SES, because GS- 14s
constituted only 1 percent of appointments to the SES as of the end of
fiscal year 1999. GAO Comment

Appendix X: GAO Contact and Staff Acknowledgements

Page 111 GAO- 01- 377 SES Diversity

Carlotta C. Joyner (202) 512- 6806 In addition to the individual named
above, Richard W. Caradine, Mary Y. Martin, Gregory H. Wilmoth, Steven J.
Berke, Ellen T. Grady, William Trancucci, Michael R. Volpe, Sylvia L.
Shanks, Thomas G. Dowdal, Katharine M. Raheb, and Jena Y. Sinkfield made key
contributions to this report. Appendix X: GAO Contact and Staff

Acknowledgements GAO Contact Acknowledgements

(410494)

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