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Testimony: 

Before the Subcommittee on Regulations, Health Care, and Trade, 
Committee on Small Business, House of Representatives: 

United States Government Accountability Office: 
GAO: 

For Release on Delivery: 
Expected at 12:00 noon EDT:
Wednesday, April 23, 2008: 

Human Capital: 

Workforce Diversity Governmentwide and at the Small Business 
Administration: 

Statement of George H. Stalcup: 
Director: 
Strategic Issues: 

GAO-08-725T: 

GAO Highlights: 

Highlights of GAO-08-725T, a testimony before the Subcommittee on 
Regulations, Health Care, and Trade, Committee on Small Business, House 
of Representatives. 

Why GAO Did This Study: 

Hispanics are the fastest-growing segment of the civilian labor force, 
which is defined as those 16 and older (including federal workers) who 
are employed or looking for work and are not in the military or 
institutionalized. In August 2006, GAO reported on factors affecting 
Hispanic representation in the federal workforce and efforts being 
taken by the Equal Employment Opportunity Commission (EEOC), the Office 
of Personnel Management (OPM), and other agencies, including the Small 
Business Administration (SBA)—an independent agency that aids, 
counsels, assists, and protects the interests of small business 
concerns (GAO-06-832). In May 2007, GAO issued a report that contained 
data on Hispanic representation in the federal government through 
fiscal year 2006 (GAO-07-493R). In April 2008, GAO testified on 
diversity in the Senior Executive Service (SES) and the senior ranks of 
the U.S. Postal Service (GAO-08-609T). 

In response to a request to provide updated information on minorities 
and Hispanics in the federal workforce, GAO is providing demographic 
data—with an emphasis on Hispanic representation—related to the federal 
government as a whole and SBA’s workforce. GAO obtained these data from 
OPM’s Central Personnel Data File (CPDF). 

What GAO Found: 

Data in OPM’s CPDF show that Hispanic representation governmentwide for 
permanent and nonpermanent employees increased from 6.6 percent in 2000 
to 7.7 percent in 2007. At SBA, Hispanic representation for 2007 among 
permanent and nonpermanent employees was 8.6 percent, which exceeded 
Hispanic representation governmentwide, but represented a decline from 
9.7 percent in 2000. 

For the SES, the highest nonpolitically appointed leaders in the 
federal workforce, GAO recently looked more closely at the workforce 
diversity of those who were career, or permanent, appointments (GAO-08-
609T). Data in OPM’s CPDF show that as of September 2007, the overall 
percentages of women and minorities, including Hispanics, have 
increased in the career SES governmentwide and the SES developmental 
pool for potential successors since October 2000. 

Governmentwide: SES; 
October 2000, Number: 6,110; 
October 2000, Percent Women: 23.6; 
October 2000, Percent Minorities: 13.8; 
September 2007, Number: 6,555; 
September 2007, Percent Women: 29.1; 
September 2007, Percent Minorities: 15.8. 

Governmentwide: SES potential developmental pool (GS-15s and GS-14s); 
October 2000, Number: 135,012; 
October 2000, Percent Women: 28.2; 
October 2000, Percent Minorities: 17.0; 
September 2007, Number: 149,149; 
September 2007, Percent Women: 34.3; 
September 2007, Percent Minorities: 22.5. 

Source: GAO analysis of OPM’s CPDF. 

As part of GAO’s recent analysis of the diversity of the SES and the 
SES developmental pool, GAO looked more closely at career, or 
permanent, SES appointments at federal agencies, including SBA. 

SBA: SES; 
October 2000, Number: 39; 
October 2000, Percent Women: 33.3; 
October 2000, Percent Minorities: 33.3; 
September 2007, Number: 36; 
September 2007, Percent Women: 27.8; 
September 2007, Percent Minorities: 38.9. 

SBA: SES potential developmental pool (GS-15s and GS-14s); 
October 2000, Number: 548; 
October 2000, Percent Women: 34.1; 
October 2000, Percent Minorities: 24.6; 
September 2007, Number: 541; 
September 2007, Percent Women: 40.7; 
September 2007, Percent Minorities: 31.8. 

Source: GAO analysis of OPM’s CPDF. 

Unlike the increase in the number of career SES governmentwide and 
those in the SES developmental pool for potential successors for 
October 2000 through September 2007, the number of career SES and those 
in the SES developmental pool at SBA declined. For this testimony, GAO 
did not analyze the factors that contributed to changes in SBA’s 
workforce from October 2000 through September 2007. However, OPM and 
EEOC in their oversight roles require federal agencies, including SBA, 
to analyze their workforces. As part of a strategic human capital 
planning approach, agencies need to develop long-term strategies for 
acquiring, developing, motivating, and retaining staff. An agency’s 
human capital planning should address the demographic trends that the 
agency faces with its workforce, especially retirements. 

To view the full product, including the scope and methodology, click on 
[hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-08-725T]. For more 
information, contact George Stalcup at (202) 512-6806 or 
stalcupg@gao.gov. 

[End of section] 

Chairman Gonzalez, Ranking Member Westmoreland, and Members of the 
Subcommittee: 

I am pleased to be here today to provide the Subcommittee with 
information on diversity, including Hispanic representation, of the 
federal workforce and at the Small Business Administration (SBA). 
Earlier this month, we reported on the diversity of the senior ranks of 
the federal government and the U.S. Postal Service.[Footnote 1] In 
August 2006, we reported on factors affecting Hispanic representation 
in the federal workforce and efforts being taken by the Equal 
Employment Opportunity Commission (EEOC), the Office of Personnel 
Management (OPM), and other agencies, including SBA--an agency that 
aids, counsels, assists, and protects the interests of small business 
concerns.[Footnote 2] In May 2007, we issued a report that contained 
data on Hispanic representation in the federal government through 
September 2006.[Footnote 3] While we have not done any additional 
analysis on Hispanic representation since our August 2006 report, for 
this testimony, we have added data on Hispanic representation for 
September 2007. 

As we have previously reported, Hispanics are the fastest-growing 
segment of the civilian labor force (CLF),[Footnote 4] with their 
representation increasing from 8.5 percent in 1990 to 13.3 percent in 
2007.[Footnote 5] Our August 2006 report identified citizenship and 
education as the two measurable factors having the greatest impact on 
Hispanic representation in the federal workforce. OPM reported that 
Hispanic representation in the federal workforce increased from 5.3 
percent in 1990 to 7.8 percent for 2007.[Footnote 6] 

Driven by long-term fiscal constraints, changing demographics, evolving 
governance models, and other factors, the federal government is facing 
new and more complex challenges in the 21st century, and federal 
agencies must transform their organizations to meet these challenges. 
Strategic human capital management must be the centerpiece of any 
serious change management strategy. We currently have work under way 
reviewing SBA's organizational transformation efforts. Today, as 
requested, my remarks will focus on demographic data related to the 
federal government as a whole and SBA's workforce, with an emphasis on 
Hispanic representation. 

For our analyses of governmentwide and SBA demographic data, we 
extracted data from OPM's Central Personnel Data File (CPDF). We 
believe the CPDF is sufficiently reliable for the informational purpose 
of this testimony.[Footnote 7] We conducted this performance audit in 
April 2008 in accordance with generally accepted government auditing 
standards. Those standards require that we plan and perform the audit 
to obtain sufficient, appropriate evidence to provide a reasonable 
basis for our findings and conclusions based on our audit objectives. 
We believe that the evidence obtained provides a reasonable basis for 
our findings and conclusions based on our audit objectives. 

Representation of Hispanics Increased Governmentwide and at Most 
Agencies from 2000 through 2007: 

Hispanic representation in the governmentwide workforce increased from 
6.6 percent in September 2000 to 7.7 percent in September 2007. 
[Footnote 8] Table 1 shows a breakdown of the representation of 
Hispanics by Chief Financial Officers (CFO) Act agencies for those 
years.[Footnote 9] 

Table 1: Hispanic Representation by CFO Act Agency for 2000 and 2007: 

CFO Act agency: Agriculture; 
Percent in September 2000: 5.8; 
Percent in September 2007: 6.7. 

CFO Act agency: AID; 
Percent in September 2000: 3.5; 
Percent in September 2007: 4.1. 

CFO Act agency: Commerce; 
Percent in September 2000: 4.0; 
Percent in September 2007: 3.9. 

CFO Act agency: Defense; 
Percent in September 2000: 6.0; 
Percent in September 2007: 6.3. 

CFO Act agency: Education; 
Percent in September 2000: 4.6; 
Percent in September 2007: 4.4. 

CFO Act agency: Energy; 
Percent in September 2000: 5.4; 
Percent in September 2007: 6.4. 

CFO Act agency: EPA; 
Percent in September 2000: 4.7; 
Percent in September 2007: 5.0. 

CFO Act agency: FEMA; 
Percent in September 2000: 10.5; 
Percent in September 2007: [A]. 

CFO Act agency: GSA; 
Percent in September 2000: 4.9; 
Percent in September 2007: 5.4. 

CFO Act agency: HHS; 
Percent in September 2000: 3.1; 
Percent in September 2007: 3.5. 

CFO Act agency: DHS; 
Percent in September 2000: [B]; 
Percent in September 2007: 18.3. 

CFO Act agency: HUD; 
Percent in September 2000: 7.0; 
Percent in September 2007: 7.2. 

CFO Act agency: Interior; 
Percent in September 2000: 4.7; 
Percent in September 2007: 5.1. 

CFO Act agency: Justice; 
Percent in September 2000: 12.9; 
Percent in September 2007: 9.0. 

CFO Act agency: Labor; 
Percent in September 2000: 6.9; 
Percent in September 2007: 6.8. 

CFO Act agency: NASA; 
Percent in September 2000: 5.0; 
Percent in September 2007: 5.6. 

CFO Act agency: NRC; 
Percent in September 2000: 2.5; 
Percent in September 2007: 5.0. 

CFO Act agency: NSF; 
Percent in September 2000: 2.7; 
Percent in September 2007: 2.5. 

CFO Act agency: OPM; 
Percent in September 2000: 3.9; 
Percent in September 2007: 3.9. 

CFO Act agency: SBA; 
Percent in September 2000: 9.7; 
Percent in September 2007: 8.6. 

CFO Act agency: SSA; 
Percent in September 2000: 10.1; 
Percent in September 2007: 13.1. 

CFO Act agency: State; 
Percent in September 2000: 4.1; 
Percent in September 2007: 4.7. 

CFO Act agency: Transportation; 
Percent in September 2000: 4.9; 
Percent in September 2007: 6.2. 

CFO Act agency: Treasury; 
Percent in September 2000: 8.8; 
Percent in September 2007: 8.9. 

CFO Act agency: VA; 
Percent in September 2000: 6.3; 
Percent in September 2007: 6.9. 

Source: GAO analysis of OPM's CPDF. 

Notes: Data on Hispanic representation by agency include permanent and 
nonpermanent employees. AID is the Agency for International 
Development; EPA is the Environmental Protection Agency; FEMA is the 
Federal Emergency Management Agency; GSA is the General Services 
Administration; HHS is the Department of Health and Human Services; DHS 
is the Department of Homeland Security; HUD is the Department of 
Housing and Urban Development; NASA is the National Aeronautics and 
Space Administration; NRC is the Nuclear Regulatory Commission; NSF is 
the National Science Foundation; SSA is the Social Security 
Administration; and VA is the Department of Veterans Affairs. 

[A] FEMA was an independent agency and 1 of the 24 CFO Act agencies 
until the formation of DHS in 2003. 

[B] DHS did not exist before March 2003. It was created from 22 
agencies or parts of agencies, including the U.S. Customs Service, 
which was formerly located in the Department of the Treasury; FEMA; the 
Coast Guard; and part of the Immigration and Naturalization Service, 
which was formerly located in the Department of Justice. 

[End of table] 

Hispanic representation increased at 16 CFO Act agencies from September 
2000 through September 2007. As of September 2007, Hispanic 
representation in 5 CFO Act agencies exceeded the 7.7 governmentwide 
percentage: the Department of Homeland Security, the Department of 
Justice, SBA, the Social Security Administration, and the Department of 
the Treasury. Of those 5, representation at 2--the Department of 
Justice and SBA--declined from 2000 through 2007.[Footnote 10] 

Table 2 shows the representation of Hispanics under another subset of 
the federal workforce, by pay plan/grade, for 2000 and 2007. 

Table 2: Hispanic Representation Governmentwide by Pay Plan/Grade for 
2000 and 2007: 

Pay plan/grade: Blue collar; 
Percent in September 2000: 7.6; 
Percent in September 2007: 7.8. 

Pay plan/grade: Grades 1-4; 
Percent in September 2000: 8.7; 
Percent in September 2007: 9.2. 

Pay plan/grade: Grades 5-8; 
Percent in September 2000: 8.0; 
Percent in September 2007: 9.5. 

Pay plan/grade: Grades 9-12; 
Percent in September 2000: 6.6; 
Percent in September 2007: 8.4. 

Pay plan/grade: Grade 13; 
Percent in September 2000: 4.3; 
Percent in September 2007: 5.5. 

Pay plan/grade: Grade14; 
Percent in September 2000: 3.7; 
Percent in September 2007: 4.6. 

Pay plan/grade: Grade 15; 
Percent in September 2000: 3.3; 
Percent in September 2007: 4.1. 

Pay plan/grade: SES[A]; 
Percent in September 2000: 3.1; 
Percent in September 2007: 3.7. 

Pay plan/grade: SL/ST[B]; 
Percent in September 2000: 1.9; 
Percent in September 2007: 2.3. 

Pay plan/grade: ES[C]; 
Percent in September 2000: 6.4; 
Percent in September 2007: 5.6. 

Pay plan/grade: Other[D]; 
Percent in September 2000: 5.6; 
Percent in September 2007: 7.0. 

Source: GAO analysis of OPM's CPDF. 

Note: These data include permanent and nonpermanent employees. 

[A] The SES consists of both permanent and nonpermanent appointments, 
paid according to the SES pay schedule and those in the Federal 
Aviation Administration (FAA) who have equivalent positions. These are 
the highest nonpolitically appointed leaders in the federal workforce. 

[B] SL/ST includes those in the Senior Level and Senior Technical pay 
plans and those in FAA who have equivalent positions. These are 
primarily engineers, scientists, and other top-level professionals. 
They do not have the leadership role of the SES. 

[C] ES consists of Executives, who are politically appointed agency 
leaders paid according to the Executive Schedule. 

[D] Other includes those who could not be placed in one of the above 
pay plans or grades. 

[End of table] 

Hispanic representation increased in all plans/grades governmentwide 
but one, ES, which consists of Executives, who are politically 
appointed agency leaders paid according to the Executive Schedule. For 
this testimony, we did not analyze factors that contributed to the 
changes in Hispanic representation from 2000 to 2007 or changes by pay 
plans or grade levels. 

Data presented up to this point have been for both permanent and 
nonpermanent employees. For the Senior Executive Service (SES), the 
highest nonpolitically appointed leaders in the federal workforce, we 
recently looked more closely at those who were career, or permanent, 
appointments.[Footnote 11] As we have reported, leadership in agencies 
across the federal government, especially at senior executive levels, 
is essential to providing accountable, committed, consistent, and 
sustained attention to human capital and related organizational 
transformation issues. Having a diverse SES corps, which generally 
represents the most experienced segment of the federal workforce, can 
be an organizational strength that can bring a wider variety of 
perspectives and approaches to bear on policy development and 
implementation, strategic planning, problem solving, and decision 
making. Table 3 shows the changes in the representation of career SES 
governmentwide from October 2000 through September 2007. 

Table 3: Changes in the Career SES Governmentwide: 

Equal employment opportunity group: African American; 
Career SES governmentwide: October 2000: Number: 512; 
Career SES governmentwide: October 2000: Percent: 8.4; 
Career SES governmentwide: September 2007: Number: 560; 
Career SES governmentwide: September 2007: Percent: 8.5; 
Changes in career SES governmentwide: Number: +48; 
Changes in career SES governmentwide: Percent: +0.1. 

Equal employment opportunity group: American Indian/Alaska Native; 
Career SES governmentwide: October 2000: Number: 75; 
Career SES governmentwide: October 2000: Percent: 1.2; 
Career SES governmentwide: September 2007: Number: 88; 
Career SES governmentwide: September 2007: Percent: 1.3; 
Changes in career SES governmentwide: Number: +13; 
Changes in career SES governmentwide: Percent: +0.1. 

Equal employment opportunity group: Asian/Pacific Islander; 
Career SES governmentwide: October 2000: Number: 103; 
Career SES governmentwide: October 2000: Percent: 1.7; 
Career SES governmentwide: September 2007: Number: 153; 
Career SES governmentwide: September 2007: Percent: 2.3; 
Changes in career SES governmentwide: Number: +50; 
Changes in career SES governmentwide: Percent: +0.8. 

Equal employment opportunity group: Hispanic; 
Career SES governmentwide: October 2000: Number: 155; 
Career SES governmentwide: October 2000: Percent: 2.5; 
Career SES governmentwide: September 2007: Number: 236; 
Career SES governmentwide: September 2007: Percent: 3.6; 
Changes in career SES governmentwide: Number: +81; 
Changes in career SES governmentwide: Percent: +1.1. 

Equal employment opportunity group: White; 
Career SES governmentwide: October 2000: Number: 5,261; 
Career SES governmentwide: October 2000: Percent: 86.1; 
Career SES governmentwide: September 2007: Number: 5,502; 
Career SES governmentwide: September 2007: Percent: 83.9; 
Changes in career SES governmentwide: Number: +241; 
Changes in career SES governmentwide: Percent: -2.2. 

Equal employment opportunity group: Unspecified/other; 
Career SES governmentwide: October 2000: Number: 4; 
Career SES governmentwide: October 2000: Percent: 0.1; 
Career SES governmentwide: September 2007: Number: 16; 
Career SES governmentwide: September 2007: Percent: 0.2; 
Changes in career SES governmentwide: Number: +12; 
Changes in career SES governmentwide: Percent: +0.1. 

Equal employment opportunity group: Total[A]; 
Career SES governmentwide: October 2000: Number: 6,110; 
Career SES governmentwide: October 2000: Percent: 100.0; 
Career SES governmentwide: September 2007: Number: 6,555; 
Career SES governmentwide: September 2007: Percent: 100.0; 
Changes in career SES governmentwide: Number: +445; 
Changes in career SES governmentwide: Percent: +0.0. 

Source: GAO analysis of OPM's CPDF. 

Notes: Governmentwide includes civilian employees of all cabinet-level 
departments, independent agencies, commissions, councils, and boards in 
the executive branch except the intelligence agencies, the U.S. Postal 
Service, and the Foreign Service (as of 2007). 

[A] Percentages may not add to 100 because of rounding. 

[End of table] 

As shown in table 3, the two greatest percentage changes among equal 
employment opportunity (EEO) groups within the career SES 
governmentwide from October 2000 to September 2007 were a decrease 
among Whites and an increase among Hispanics. 

The vast majority of potential successors for career SES positions will 
come from the general schedule (GS) pay plan for grades GS-15 and GS- 
14, the levels that serve as the SES developmental pool.[Footnote 12] 
Table 4 shows the changes in the representation of the SES 
developmental pool governmentwide from October 2000 to September 2007. 

Table 4: Changes in the SES Developmental Pool Governmentwide: 

Equal employment opportunity group: African American; 
SES governmentwide developmental pool (GS-15s and GS-14s): October 
2000: Number: 10,679; 
SES governmentwide developmental pool (GS-15s and GS-14s): October 
2000: Percent: 7.9; 
SES governmentwide developmental pool (GS-15s and GS-14s): September 
2007: Number: 15,547; 
SES governmentwide developmental pool (GS-15s and GS-14s): September 
2007: Percent: 10.4; 
Changes in SES governmentwide developmental pool: Number: +4,868; 
Changes in SES governmentwide developmental pool: Percent: +2.5. 

Equal employment opportunity group: American Indian/Alaska Native; 
SES governmentwide developmental pool (GS-15s and GS-14s): October 
2000: Number: 1,254; 
SES governmentwide developmental pool (GS-15s and GS-14s): October 
2000: Percent: 0.9; 
SES governmentwide developmental pool (GS-15s and GS-14s): September 
2007: Number: 1,528; 
SES governmentwide developmental pool (GS-15s and GS-14s): September 
2007: Percent: 1.0; 
Changes in SES governmentwide developmental pool: Number: +274; 
Changes in SES governmentwide developmental pool: Percent: +0.1. 

Equal employment opportunity group: Asian/Pacific Islander; 
SES governmentwide developmental pool (GS-15s and GS-14s): October 
2000: Number: 6,361; 
SES governmentwide developmental pool (GS-15s and GS-14s): October 
2000: Percent: 4.7; 
SES governmentwide developmental pool (GS-15s and GS-14s): September 
2007: Number: 9,808; 
SES governmentwide developmental pool (GS-15s and GS-14s): September 
2007: Percent: 6.6; 
Changes in SES governmentwide developmental pool: Number: +3,447; 
Changes in SES governmentwide developmental pool: Percent: +1.9. 

Equal employment opportunity group: Hispanic; 
ES governmentwide developmental pool (GS-15s and GS-14s): October 2000: 
Number: 4,668; 
SES governmentwide developmental pool (GS-15s and GS-14s): October 
2000: Percent: 3.5; 
SES governmentwide developmental pool (GS-15s and GS-14s): September 
2007: Number: 6,611; 
SES governmentwide developmental pool (GS-15s and GS-14s): September 
2007: Percent: 4.4; 
Changes in SES governmentwide developmental pool: Number: +1,943; 
Changes in SES governmentwide developmental pool: Percent: +0.9. 

Equal employment opportunity group: White; 
SES governmentwide developmental pool (GS-15s and GS-14s): October 
2000: Number: 111,936; 
SES governmentwide developmental pool (GS-15s and GS-14s): October 
2000: Percent: 82.9; 
SES governmentwide developmental pool (GS-15s and GS-14s): September 
2007: Number: 115,368; 
SES governmentwide developmental pool (GS-15s and GS-14s): September 
2007: Percent: 77.4; 
Changes in SES governmentwide developmental pool: Number: +3,432; 
Changes in SES governmentwide developmental pool: Percent: -5.5. 

Equal employment opportunity group: Unspecified/other; 
SES governmentwide developmental pool (GS-15s and GS-14s): October 
2000: Number: 114; 
SES governmentwide developmental pool (GS-15s and GS-14s): October 
2000: Percent: 0.1; 
SES governmentwide developmental pool (GS-15s and GS-14s): September 
2007: Number: 287; 
SES governmentwide developmental pool (GS-15s and GS-14s): September 
2007: Percent: 0.2; 
Changes in SES governmentwide developmental pool: Number: +173; 
Changes in SES governmentwide developmental pool: Percent: +0.1. 

Equal employment opportunity group: Total[A]; 
SES governmentwide developmental pool (GS-15s and GS-14s): October 
2000: Number: 135,012; 
SES governmentwide developmental pool (GS-15s and GS-14s): October 
2000: Percent: 100.0; 
SES governmentwide developmental pool (GS-15s and GS-14s): September 
2007: Number: 149,149; 
SES governmentwide developmental pool (GS-15s and GS-14s): September 
2007: Percent: 100.0; 
Changes in SES governmentwide developmental pool: Number: 14,137; 
Changes in SES governmentwide developmental pool: Percent: +0.0. 

Source: GAO analysis of OPM's CPDF. 

Notes: Governmentwide includes civilian employees of all cabinet-level 
departments, independent agencies, commissions, councils, and boards in 
the executive branch except the intelligence agencies, the U.S. Postal 
Service, and the Foreign Service (as of 2007). We included GS-15, GS- 
14, and equivalent employees. GS-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. 

[A] Percentages may not add to 100 because of rounding. 

[End of table] 

As shown in table 4, the two greatest percentage changes among EEO 
groups within the SES governmentwide developmental pool from October 
2000 to September 2007 were a decrease among Whites and an increase 
among African Americans. 

Hispanic Representation Increased at SBA from 2000 through 2007, and 
Retirement Eligibility Presents Opportunities for Affecting Workforce 
Diversity: 

SBA was established as an independent agency of the federal government 
by the Small Business Act of 1953, among other things, to assist small 
business concerns.[Footnote 13] In pursuing its mission of aiding small 
businesses, SBA provides small businesses with access to credit, 
primarily by guaranteeing loans through its 7(a) and other loan 
programs, and provides entrepreneurial assistance through partnerships 
with private entities that offer small business counseling and 
technical assistance. SBA also administers small business development 
and procurement programs, which are designed to assist small businesses 
and small disadvantaged businesses in their development and in 
obtaining federal contracts and subcontracts. In addition, SBA makes 
loans to businesses and individuals trying to recover from disasters. 
In fiscal year 2007, SBA carried out its programs with about 5,000 
employees in headquarters and field offices.[Footnote 14] Based on your 
request, for this testimony as shown in table 5, we are providing data 
on Hispanic representation at SBA by pay plan/grade for 2000 and 2007. 

Table 5: Hispanic Representation at SBA by Pay Plan/Grade for Fiscal 
Years 2000 and 2007: 

Pay plan/grade: Blue collar; 
Percent in September 2000: [A]; 
Percent in September 2007: [A]. 

Pay plan/grade: Grades 1-4; 
Percent in September 2000: 10.5; 
Percent in September 2007: [B]. 

Pay plan/grade: Grades 5-8; 
Percent in September 2000: 12.6; 
Percent in September 2007: 10.7. 

Pay plan/grade: Grades 9-12; 
Percent in September 2000: 10.3; 
Percent in September 2007: 8.1. 

Pay plan/grade: Grade 13; 
Percent in September 2000: 6.6; 
Percent in September 2007: 9.1. 

Pay plan/grade: Grade 14; 
Percent in September 2000: 6.2; 
Percent in September 2007: 5.6. 

Pay plan/grade: Grade 15; 
Percent in September 2000: 9.4; 
Percent in September 2007: 8.8. 

Pay plan/grade: SES; 
Percent in September 2000: 8.0; 
Percent in September 2007: 12.2. 

Pay plan/grade: SL/ST; 
Percent in September 2000: [C]; 
Percent in September 2007: [C]. 

Pay plan/grade: ES[D]; 
Percent in September 2000: [A]; 
Percent in September 2007: [A]. 

Pay plan/grade: Other[E]; 
Percent in September 2000: 6.1; 
Percent in September 2007: 2.3. 

Source: GAO analysis of OPM's CPDF. 

Notes: These data include permanent and nonpermanent employees. The SES 
consists of four categories of appointments: career, which is a 
permanent appointment, and noncareer, limited term, and limited 
emergency, which are nonpermanent. SL/ST includes those in the Senior 
Level and Senior Technical pay plans and those in FAA who have 
equivalent positions. These are primarily engineers, scientists, and 
other top-level professionals. They do not have the leadership role of 
the SES. 

[A] Because the total number of individuals employed in this category 
was less than 20 (i.e., 1 to 19), we are not reporting Hispanic 
representation at this grade level or in this pay plan, as there is an 
issue of sensitivity of percentages related to small numbers. 

[B] The total number of individuals employed in this category or in 
this pay plan ranged from 20 to 50. 

[C] SBA did not employ individuals at this grade level or pay plan 
during the indicated year. 

[D] ES consists of Executives, who are politically appointed agency 
leaders paid according to the Executive Schedule. 

[E] Other includes those who could not be placed in one of the above 
pay plans or grades. 

[End of table] 

In both 2000 and 2007, Hispanic representation in pay plans/grades 5 
through 8, 13, 14, 15, and the SES at SBA exceeded Hispanic 
representation governmentwide for these pay plans/grades (see table 2 
for Hispanic representation governmentwide by pay plan/grade). From 
September 2000 through September 2007, Hispanic representation at SBA 
increased in pay plans/grades 13 and SES. 

As part of our governmentwide analysis of the diversity of the SES and 
the SES developmental pool, we looked more closely at career, or 
permanent, SES appointments at federal agencies, including SBA. Table 6 
shows the changes in the representation of the career SES at SBA from 
October 2000 to September 2007. See appendix I for more information on 
career SES diversity at SBA. 

Table 6: Changes in the Career SES at SBA: 

Equal employment opportunity (EEO) group: African American; 
Career SES at SBA: October 2000: Number: 10; 
Career SES at SBA: October 2000: Percent: 25.7; 
Career SES at SBA: September 2007: Number: 8; 
Career SES at SBA: September 2007: Percent: 22.3;
Changes in career SES at SBA: Number: -2; 
Changes in career SES at SBA: Percent: -3.4. 

Equal employment opportunity (EEO) group: American Indian/Alaska 
Native; 
Career SES at SBA: October 2000: Number: 0; 
Career SES at SBA: October 2000: Percent: 0.0; 
Career SES at SBA: September 2007: Number: 0; 
Career SES at SBA: September 2007: Percent: 0.0; 
Changes in career SES at SBA: Number: 0; 
Changes in career SES at SBA: Percent: 0.0. 

Equal employment opportunity (EEO) group: Asian/Pacific Islander; 
Career SES at SBA: October 2000: Number: 0; 
Career SES at SBA: October 2000: Percent: 0.0; 
Career SES at SBA: September 2007: Number: 1; 
Career SES at SBA: September 2007: Percent: 2.8; 
Changes in career SES at SBA: Number: +1; 
Changes in career SES at SBA: Percent: +2.8. 

Equal employment opportunity (EEO) group: Hispanic; 
Career SES at SBA: October 2000: Number: 3; 
Career SES at SBA: October 2000: Percent: 7.7; 
Career SES at SBA: September 2007: Number: 5; 
Career SES at SBA: September 2007: Percent: 13.9; 
Changes in career SES at SBA: Number: +2; 
Changes in career SES at SBA: Percent: +6.2. 

Equal employment opportunity (EEO) group: White; 
Career SES at SBA: October 2000: Number: 26; 
Career SES at SBA: October 2000: Percent: 66.7; 
Career SES at SBA: September 2007: Number: 22; 
Career SES at SBA: September 2007: Percent: 61.1; 
Changes in career SES at SBA: Number: -4; 
Changes in career SES at SBA: Percent: -5.6. 

Equal employment opportunity (EEO) group: Unspecified/other; 
Career SES at SBA: October 2000: Number: 0; 
Career SES at SBA: October 2000: Percent: 0.0; 
Career SES at SBA: September 2007: Number: 0; 
Career SES at SBA: September 2007: Percent: 0.0; 
Changes in career SES at SBA: Number: 0; 
Changes in career SES at SBA: Percent: 0.0. 

Equal employment opportunity (EEO) group: Total[A]; 
Career SES at SBA: October 2000: Number: 39; 
Career SES at SBA: October 2000: Percent: 100.0; 
Career SES at SBA: September 2007: Number: 36; 
Career SES at SBA: September 2007: Percent: 100.0; 
Changes in career SES at SBA: Number: -3; 
Changes in career SES at SBA: Percent: 0.0. 

Source: GAO analysis of OPM's CPDF. 

Notes: Governmentwide includes civilian employees of all cabinet-level 
departments, independent agencies, commissions, councils, and boards in 
the executive branch except the intelligence agencies, the U.S. Postal 
Service, and the Foreign Service (as of 2007). 

[A] Percentages may not add to 100 because of rounding. 

[End of table] 

Similar to governmentwide career SES, the two greatest percentage 
changes among EEO groups within the career SES at SBA from October 2000 
to September 2007 were a decrease among Whites and an increase among 
Hispanics. However, with fewer than 40 total SES members, it should be 
noted that even small changes will have a notable impact on 
representation--for example, as seen in the September 2007 data, an 
increase of two Hispanics in the SES from October 2000 to September 
2007 resulted in an increase in SES Hispanic representation at SBA from 
7.7 percent to 13.9 percent. In addition, unlike the increase in the 
number of career SES governmentwide from October 2000 to September 
2007, the number of career SES at SBA declined. 

We did not analyze the factors that contributed to changes in SBA's 
workforce from October 2000 through September 2007. However, OPM and 
EEOC in their oversight roles require federal agencies, including SBA, 
to analyze their workforces, and both agencies also report on 
governmentwide representation levels. Under OPM's regulations 
implementing the Federal Equal Opportunity Recruitment Program (FEORP), 
[Footnote 15] agencies are required to determine where representation 
levels for covered groups are lower than the CLF and take steps to 
address those differences. EEOC's Management Directive 715 (MD-715) 
provides guidance and standards to federal agencies for establishing 
and maintaining effective EEO programs, including a framework for 
executive branch agencies to help ensure effective management, 
accountability, and self-analysis to determine whether barriers to EEO 
exist and to identify and develop strategies to mitigate or eliminate 
the barriers to participation.[Footnote 16] Specifically EEOC's MD-715 
states that agency personnel programs and policies should be evaluated 
regularly to ascertain whether such programs have any barriers that 
tend to limit or restrict equitable opportunities for open competition 
in the workplace. The initial step is for agencies to analyze their 
workforce data with designated benchmarks, including the CLF. If 
analysis of their workforce profiles identifies potential barriers, 
agencies are to examine all related policies, procedures, and practices 
to determine whether an actual barrier exists. EEOC requires agencies 
to report the results of their analyses annually. 

Table 7 presents changes in SBA's SES developmental pool of GS-15s and 
GS-14s. 

Table 7: Changes in the SES Developmental Pool at SBA: 

Equal employment opportunity (EEO) group: African American; 
SBA's SES developmental pool (GS-15s and GS-14s): October 2000: Number: 
77; 
SBA's SES developmental pool (GS-15s and GS-14s): October 2000: 
Percent: 14.1; 
SBA's SES developmental pool (GS-15s and GS-14s): September 2007: 
Number: 104; 
SBA's SES developmental pool (GS-15s and GS-14s): September 2007: 
Percent: 19.2; 
Changes in SBA's SES developmental pool: Number: +27; 
Changes in SBA's SES developmental pool: Percent: +5.1. 

Equal employment opportunity (EEO) group: American Indian/Alaska 
Native; 
SBA's SES developmental pool (GS-15s and GS-14s): October 2000: Number: 
3; 
SBA's SES developmental pool (GS-15s and GS-14s): October 2000: 
Percent: 0.5; 
SBA's SES developmental pool (GS-15s and GS-14s): September 2007: 
Number: 3; 
SBA's SES developmental pool (GS-15s and GS-14s): September 2007: 
Percent: 0.5; 
Changes in SBA's SES developmental pool: Number: 0; 
Changes in SBA's SES developmental pool: Percent: 0.0. 

Equal employment opportunity (EEO) group: Asian/Pacific Islander; 
SBA's SES developmental pool (GS-15s and GS-14s): October 2000: Number: 
17; 
SBA's SES developmental pool (GS-15s and GS-14s): October 2000: 
Percent: 3.1; 
SBA's SES developmental pool (GS-15s and GS-14s): September 2007: 
Number: 29; 
SBA's SES developmental pool (GS-15s and GS-14s): September 2007: 
Percent: 5.4; 
Changes in SBA's SES developmental pool: Number: +12; 
Changes in SBA's SES developmental pool: Percent: +2.3. 

Equal employment opportunity (EEO) group: Hispanic; 
SBA's SES developmental pool (GS-15s and GS-14s): October 2000: Number: 
38; 
SBA's SES developmental pool (GS-15s and GS-14s): October 2000: 
Percent: 6.9; 
SBA's SES developmental pool (GS-15s and GS-14s): September 2007: 
Number: 36; 
SBA's SES developmental pool (GS-15s and GS-14s): September 2007: 
Percent: 6.7; 
Changes in SBA's SES developmental pool: Number: -2; 
Changes in SBA's SES developmental pool: Percent: -0.2. 

Equal employment opportunity (EEO) group: White; 
SBA's SES developmental pool (GS-15s and GS-14s): October 2000: Number: 
413; 
SBA's SES developmental pool (GS-15s and GS-14s): October 2000: 
Percent: 75.4; 
SBA's SES developmental pool (GS-15s and GS-14s): September 2007: 
Number: 369; 
SBA's SES developmental pool (GS-15s and GS-14s): September 2007: 
Percent: 68.2; 
Changes in SBA's SES developmental pool: Number: -44; 
Changes in SBA's SES developmental pool: Percent: -7.2. 

Equal employment opportunity (EEO) group: Unspecified/other; 
SBA's SES developmental pool (GS-15s and GS-14s): October 2000: Number: 
0; 
SBA's SES developmental pool (GS-15s and GS-14s): October 2000: 
Percent: 0.0; 
SBA's SES developmental pool (GS-15s and GS-14s): September 2007: 
Number: 0; 
SBA's SES developmental pool (GS-15s and GS-14s): September 2007: 
Percent: 0.0; 
Changes in SBA's SES developmental pool: Number: 0; 
Changes in SBA's SES developmental pool: Percent: 0.0. 

Equal employment opportunity (EEO) group: Total[A]; 
SBA's SES developmental pool (GS-15s and GS-14s): October 2000: Number: 
548; 
SBA's SES developmental pool (GS-15s and GS-14s): October 2000: 
Percent: 100.0; 
SBA's SES developmental pool (GS-15s and GS-14s): September 2007: 
Number: 541; 
SBA's SES developmental pool (GS-15s and GS-14s): September 2007: 
Percent: 100.0; 
Changes in SBA's SES developmental pool: Number: -7; 
Changes in SBA's SES developmental pool: Percent: 0.0. 

Source: GAO analysis of OPM's CPDF. 

Notes: We included GS-15, GS-14, and equivalent employees. GS- 
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. 

[A] Percentages may not add to 100 because of rounding. 

[End of table] 

Similar to the governmentwide SES developmental pool, the two greatest 
percentage changes among EEO groups within SBA's developmental pool 
from October 2000 to September 2007 were a decrease among Whites and an 
increase among African Americans. Hispanic representation in the SES 
developmental pool declined at SBA from October 2000 through September 
2007 but remained above Hispanic representation for the governmentwide 
SES developmental pool for the same period (see table 4). 

As we have previously reported,[Footnote 17] as part of a strategic 
human capital planning approach, agencies need to develop long-term 
strategies for acquiring, developing, motivating, and retaining staff. 
An agency's human capital planning should address the demographic 
trends that the agency faces with its workforce, especially 
retirements. In 2006, OPM reported that approximately 60 percent of the 
executive branch's 1.6 million white-collar employees and 90 percent of 
about 6,000 federal executives will be eligible for retirement over the 
next 10 years. SBA, like most federal agencies, will face these 
challenges. 

Rather than simply recreating the existing organization, as we have 
previously reported, effective succession planning and management, 
linked to the strategic human capital plan, can help an organization 
become what it needs to be. Leading organizations go beyond a 
"replacement" approach that focuses on identifying particular 
individuals as possible successors for specific top-ranking positions. 
Rather, they typically engage in broad, integrated succession planning 
and management efforts that focus on strengthening both current and 
future capacity, anticipating the need for leaders and other key 
employees with the necessary competencies to successfully meet the 
complex challenges of the 21st century. 

In an October 2007 report,[Footnote 18] the SBA Inspector General 
identified effective succession planning as a management challenge for 
SBA and found that the agency lacked effective human capital strategies 
needed to enable SBA to successfully carry out its mission and become a 
high performing organization. In its fiscal year 2007 annual 
performance report, SBA acknowledged that, among other actions, it 
needed to develop a more systematic workforce planning process and to 
better align its human capital plans, strategies, and systems to 
achieve organizational effectiveness and accomplish its mission. In 
fiscal year 2007, SBA reported achieving such outcomes as completing an 
occupational skills gap analysis and revising its SES Candidate 
Development Program.[Footnote 19] SBA also identified strategies for 
fiscal years 2008 and 2009 to further its progress in strategic human 
capital management. 

In addition, succession planning is tied to the federal government's 
opportunity to affect the diversity of the executive corps through new 
appointments. In September 2003,[Footnote 20] we reported that agencies 
in other countries use succession planning and management to achieve a 
more diverse workforce, maintain their leadership capacity, and 
increase the retention of high-potential staff. From 1991 through 2001 
at SBA, a District Director Candidate Development Program recruited and 
developed a diverse group of highly qualified and trained managers at 
the GS-15, GS-14, and GS-13 levels to fill district director positions 
on a noncompetitive basis as they became vacant.[Footnote 21] An SBA 
official stated that over that time the program had over 25 graduates 
and that in 2007 SBA expanded the program into a Management Development 
Program to fill management and leadership positions. 

Chairman Gonzalez, Ranking Member Westmoreland, and Members of the 
Subcommittee, this concludes my prepared statement. I would be pleased 
to respond to any questions that you may have. 

Contacts and Acknowledgments: 

For further information regarding this statement, please contact George 
Stalcup, Director, Strategic Issues, on (202) 512-6806 or at 
stalcupg@gao.gov. Contact points for our Offices of Congressional 
Relations and Public Affairs may be found on the last page of this 
statement. Individuals making key contributions to this statement 
included Belva Martin and Kiki Theodoropoulos, Assistant Directors; 
Nicholas C. Alexander, Karin Fangman, Jessica Thomsen, and Greg 
Wilmoth. Appendix I: Demographic Profiles of Career SES, GS-15, and GS- 
14 Employees Governmentwide and at the Small Business Administration. 

[End of section] 

Appendix I
Demographic Profiles of Career SES, GS-15, and GS-14 Employees 
Governmentwide and at the Small Business Administration: 

Table 8: Demographic Profiles of Career SES, GS-15, and GS-14 Employees 
Governmentwide: 

Equal employment opportunity (EEO) group: African American men; 
SES: October 2000: Number: 333; 
SES: October 2000: Percent: 5.5; 
SES: September 2007: Number: 328; 
SES: September 2007: Percent: 5.0; 
GS-15: October 2000: Number: 1,711; 
GS-15: October 2000: Percent: 3.3; 
GS-15: September 2007: Number: 2,123; 
GS-15: September 2007: Percent: 3.6; 
GS-14: October 2000: Number: 3,401; 
GS-14: October 2000: Percent: 4.1; 
GS-14: September 2007: Number: 4,316; 
GS-14: September 2007: Percent: 4.8. 

Equal employment opportunity (EEO) group: African American women' 
SES: October 2000: Number: 179; 
SES: October 2000: Percent: 2.9; 
SES: September 2007: Number: 232; 
SES: September 2007: Percent: 3.5; 
GS-15: October 2000: Number: 1,500; 
GS-15: October 2000: Percent: 2.9; 
GS-15: September 2007: Number: 2,374; 
GS-15: September 2007: Percent: 4.1; 
GS-14: October 2000: Number: 4,067; 
GS-14: October 2000: Percent: 4.9; 
GS-14: September 2007: Number: 6,734; 
GS-14: September 2007: Percent: 7.4. 

Equal employment opportunity (EEO) group: American Indian/Alaska Native 
men; 
SES: October 2000: Number: 54; 
SES: October 2000: Percent: 0.9; 
SES: September 2007: Number: 60; 
SES: September 2007: Percent: 0.9; 
GS-15: October 2000: Number: 278; 
GS-15: October 2000: Percent: 0.5; 
GS-15: September 2007: Number: 353; 
GS-15: September 2007: Percent: 0.6; 
GS-14: October 2000: Number: 579; 
GS-14: October 2000: Percent: 0.7; 
GS-14: September 2007: Number: 585; 
GS-14: September 2007: Percent: 0.6. 

Equal employment opportunity (EEO) group: American Indian/Alaska Native 
women; 
SES: October 2000: Number: 21; 
SES: October 2000: Percent: 0.3; 
SES: September 2007: Number: 28; 
SES: September 2007: Percent: 0.4; 
GS-15: October 2000: Number: 103; 
GS-15: October 2000: Percent: 0.2; 
GS-15: September 2007: Number: 193; 
GS-15: September 2007: Percent: 0.3; 
GS-14: October 2000: Number: 294; 
GS-14: October 2000: Percent: 0.4; 
GS-14: September 2007: Number: 397; 
GS-14: September 2007: Percent: 0.4. 

Equal employment opportunity (EEO) group: Asian/Pacific Islander men; 
SES: October 2000: Number: 70; 
SES: October 2000: Percent: 1.1; 
SES: September 2007: Number: 96; 
SES: September 2007: Percent: 1.5; 
GS-15: October 2000: Number: 2,063; 
GS-15: October 2000: Percent: 4.0; 
GS-15: September 2007: Number: 2,904; 
GS-15: September 2007: Percent: 5.0; 
GS-14: October 2000: Number: 2,426; 
GS-14: October 2000: Percent: 2.9; 
GS-14: September 2007: Number: 3,401; 
GS-14: September 2007: Percent: 3.7. 

Equal employment opportunity (EEO) group: Asian/Pacific Islander women; 
SES: October 2000: Number: 33; 
SES: October 2000: Percent: 0.5; 
SES: September 2007: Number: 57; 
SES: September 2007: Percent: 0.9; 
GS-15: October 2000: Number: 836; 
GS-15: October 2000: Percent: 1.6; 
GS-15: September 2007: Number: 1,604; 
GS-15: September 2007: Percent: 2.8; 
GS-14: October 2000: Number: 1,036; 
GS-14: October 2000: Percent: 1.2; 
GS-14: September 2007: Number: 1,899; 
GS-14: September 2007: Percent: 2.1. 

Equal employment opportunity (EEO) group: Hispanic men; 
SES: October 2000: Number: 112; 
SES: October 2000: Percent: 1.8; 
SES: September 2007: Number: 176; 
SES: September 2007: Percent: 2.7; 
GS-15: October 2000: Number: 1,197; 
GS-15: October 2000: Percent: 2.3; 
GS-15: September 2007: Number: 1,660; 
GS-15: September 2007: Percent: 2.8; 
GS-14: October 2000: Number: 2,117; 
GS-14: October 2000: Percent: 2.5; 
GS-14: September 2007: Number: 2,758; 
GS-14: September 2007: Percent: 3.0. 

Equal employment opportunity (EEO) group: Hispanic women; 
SES: October 2000: Number: 43; 
SES: October 2000: Percent: 0.7; 
SES: September 2007: Number: 60; 
SES: September 2007: Percent: 0.9; 
GS-15: October 2000: Number: 470; 
GS-15: October 2000: Percent: 0.9; 
GS-15: September 2007: Number: 760; 
GS-15: September 2007: Percent: 1.3; 
GS-14: October 2000: Number: 884; 
GS-14: October 2000: Percent: 1.1; 
GS-14: September 2007: Number: 1,433; 
GS-14: September 2007: Percent: 1.6. 

Equal employment opportunity (EEO) group: White men; 
SES: October 2000: Number: 4,097; 
SES: October 2000: Percent: 67.1; 
SES: September 2007: Number: 3,976; 
SES: September 2007: Percent: 60.7; 
GS-15: October 2000: Number: 33,567; 
GS-15: October 2000: Percent: 64.8; 
GS-15: September 2007: Number: 32,931; 
GS-15: September 2007: Percent: 56.5; 
GS-14: October 2000: Number: 49,548; 
GS-14: October 2000: Percent: 59.6; 
GS-14: September 2007: Number: 46,787; 
GS-14: September 2007: Percent: 51.5. 

Equal employment opportunity (EEO) group: White women; 
SES: October 2000: Number: 1,164; 
SES: October 2000: Percent: 19.1; 
SES: September 2007: Number: 1,526; 
SES: September 2007: Percent: 23.3; 
GS-15: October 2000: Number: 10,062; 
GS-15: October 2000: Percent: 19.4; 
GS-15: September 2007: Number: 13,326; 
GS-15: September 2007: Percent: 22.9; 
GS-14: October 2000: Number: 18,759; 
GS-14: October 2000: Percent: 22.6; 
GS-14: September 2007: Number: 22,324; 
GS-14: September 2007: Percent: 24.6. 

Equal employment opportunity (EEO) group: Unspecified/other; 
SES: October 2000: Number: 4; 
SES: October 2000: Percent: 0.1; 
SES: September 2007: Number: 16; 
SES: September 2007: Percent: 0.2; 
GS-15: October 2000: Number: 39; 
GS-15: October 2000: Percent: 0.1; 
GS-15: September 2007: Number: 87; 
GS-15: September 2007: Percent: 0.1; 
GS-14: October 2000: Number: 75; 
GS-14: October 2000: Percent: 0.1; 
GS-14: September 2007: Number: 200; 
GS-14: September 2007: Percent: 0.2. 

Equal employment opportunity (EEO) group: Total[A]; 
SES: October 2000: Number: 6,110; 
SES: October 2000: Percent: 100.0; 
SES: September 2007: Number: 6,555; 
SES: September 2007: Percent: 100.0; 
GS-15: October 2000: Number: 51,826; 
GS-15: October 2000: Percent: 100.0; 
GS-15: September 2007: Number: 58,315; 
GS-15: September 2007: Percent: 100.0; 
GS-14: October 2000: Number: 83,186; 
GS-14: October 2000: Percent: 100.0; 
GS-14: September 2007: Number: 90,834; 
GS-14: September 2007: Percent: 100.0. 

Equal employment opportunity (EEO) group: Minorities; 
SES: October 2000: Number: 845; 
SES: October 2000: Percent: 13.8; 
SES: September 2007: Number: 1,037; 
SES: September 2007: Percent: 15.8; 
GS-15: October 2000: Number: 8,158; 
GS-15: October 2000: Percent: 15.7; 
GS-15: September 2007: Number: 11,971; 
GS-15: September 2007: Percent: 20.5; 
GS-14: October 2000: Number: 14,804; 
GS-14: October 2000: Percent: 17.8; 
GS-14: September 2007: Number: 21,523; 
GS-14: September 2007: Percent: 23.7. 

Equal employment opportunity (EEO) group: Men; 
SES: October 2000: Number: 4,666; 
SES: October 2000: Percent: 76.4; 
SES: September 2007: Number: 4,646; 
SES: September 2007: Percent: 70.9; 
GS-15: October 2000: Number: 38,816; 
GS-15: October 2000: Percent: 74.9; 
GS-15: September 2007: Number: 40,030; 
GS-15: September 2007: Percent: 68.6; 
GS-14: October 2000: Number: 58,071; 
GS-14: October 2000: Percent: 69.8; 
GS-14: September 2007: Number: 57,973; 
GS-14: September 2007: Percent: 63.8. 

Equal employment opportunity (EEO) group: Minority Men; 
SES: October 2000: Number: 569; 
SES: October 2000: Percent: 9.3; 
SES: September 2007: Number: 660; 
SES: September 2007: Percent: 10.1; 
GS-15: October 2000: Number: 5,249; 
GS-15: October 2000: Percent: 10.0; 
GS-15: September 2007: Number: 7,040; 
GS-15: September 2007: Percent: 12.1; 
GS-14: October 2000: Number: 8,523; 
GS-14: October 2000: Percent: 10.2; 
GS-14: September 2007: Number: 11,060; 
GS-14: September 2007: Percent: 12.2. 

Equal employment opportunity (EEO) group: Women; 
SES: October 2000: Number: 1,440; 
SES: October 2000: Percent: 23.6; 
SES: September 2007: Number: 1,909; 
SES: September 2007: Percent: 29.1; 
GS-15: October 2000: Number: 12,971; 
GS-15: October 2000: Percent: 25.0; 
GS-15: September 2007: Number: 18,285; 
GS-15: September 2007: Percent: 31.4; 
GS-14: October 2000: Number: 25,040; 
GS-14: October 2000: Percent: 30.1; 
GS-14: September 2007: Number: 32,861; 
GS-14: September 2007: Percent: 36.2. 

Equal employment opportunity (EEO) group: Minority Women; 
SES: October 2000: Number: 276; 
SES: October 2000: Percent: 4.5; 
SES: September 2007: Number: 377; 
SES: September 2007: Percent: 5.8; 
GS-15: October 2000: Number: 2,909; 
GS-15: October 2000: Percent: 5.6; 
GS-15: September 2007: Number: 4,931; 
GS-15: September 2007: Percent: 8.5; 
GS-14: October 2000: Number: 6,281; 
GS-14: October 2000: Percent: 7.6; 
GS-14: September 2007: Number: 10,463; 
GS-14: September 2007: Percent: 11.5. 

Source: GAO analysis of the Office of Personnel Management’s Central 
Personnel Data File. 

Notes: Governmentwide includes civilian employees of all cabinet-level 
departments, independent agencies, commissions, councils, and boards in 
the executive branch except the intelligence agencies, the U.S. Postal 
Service, and the Foreign Service (as of 2007). We included GS-15, GS-
14, and equivalent employees. GS-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. 

[A] Percentages may not add to 100 because of rounding. 

[End of table] 

Table 9: Demographic Profiles of Career SES, GS-15, and GS-14 Employees 
at the Small Business Administration: 

Equal employment opportunity (EEO) group: African American men; 
SES: October 2000: Number: 6; 
SES: October 2000: Percent: 15.4; 
SES: September 2007: Number: 6; 
SES: September 2007: Percent: 16.7; 
GS-15: October 2000: Number: 13; 
GS-15: October 2000: Percent: 7.3; 
GS-15: September 2007: Number: 14; 
GS-15: September 2007: Percent: 7.3; 
GS-14: October 2000: Number: 26; 
GS-14: October 2000: Percent: 7.0; 
GS-14: September 2007: Number: 24; 
GS-14: September 2007: Percent: 6.9. 

Equal employment opportunity (EEO) group: African American women' 
SES: October 2000: Number: 4; 
SES: October 2000: Percent: 10.3; 
SES: September 2007: Number: 2; 
SES: September 2007: Percent: 5.6; 
GS-15: October 2000: Number: 11; 
GS-15: October 2000: Percent: 6.1; 
GS-15: September 2007: Number: 21; 
GS-15: September 2007: Percent: 10.9; 
GS-14: October 2000: Number: 27; 
GS-14: October 2000: Percent: 7.3; 
GS-14: September 2007: Number: 45; 
GS-14: September 2007: Percent: 12.9. 

Equal employment opportunity (EEO) group: American Indian/Alaska Native 
men; 
SES: October 2000: Number: 0; 
SES: October 2000: Percent: 0.0; 
SES: September 2007: Number: 0; 
SES: September 2007: Percent: 0.0; 
GS-15: October 2000: Number: 3; 
GS-15: October 2000: Percent: 1.7; 
GS-15: September 2007: Number: 2; 
GS-15: September 2007: Percent: 1.0; 
GS-14: October 2000: Number: 0; 
GS-14: October 2000: Percent: 0.0; 
GS-14: September 2007: Number: 1; 
GS-14: September 2007: Percent: 0.3. 

Equal employment opportunity (EEO) group: American Indian/Alaska Native 
women; 
SES: October 2000: Number: 0; 
SES: October 2000: Percent: 0.0; 
SES: September 2007: Number: 0; 
SES: September 2007: Percent: 0.0; 
GS-15: October 2000: Number: 0; 
GS-15: October 2000: Percent: 0.0; 
GS-15: September 2007: Number: 0; 
GS-15: September 2007: Percent: 0.0; 
GS-14: October 2000: Number: 0; 
GS-14: October 2000: Percent: 0.0; 
GS-14: September 2007: Number: 0; 
GS-14: September 2007: Percent: 0.0. 

Equal employment opportunity (EEO) group: Asian/Pacific Islander men; 
SES: October 2000: Number: 0; 
SES: October 2000: Percent: 0.0; 
SES: September 2007: Number: 0; 
SES: September 2007: Percent: 0.0; 
GS-15: October 2000: Number: 2; 
GS-15: October 2000: Percent: 1.1; 
GS-15: September 2007: Number: 5; 
GS-15: September 2007: Percent: 2.6; 
GS-14: October 2000: Number: 8; 
GS-14: October 2000: Percent: 2.2; 
GS-14: September 2007: Number: 7; 
GS-14: September 2007: Percent: 2.0. 

Equal employment opportunity (EEO) group: Asian/Pacific Islander women; 
SES: October 2000: Number: 0; 
SES: October 2000: Percent: 0.0; 
SES: September 2007: Number: 1; 
SES: September 2007: Percent: 2.8; 
GS-15: October 2000: Number: 0; 
GS-15: October 2000: Percent: 0.0; 
GS-15: September 2007: Number: 3; 
GS-15: September 2007: Percent: 1.6; 
GS-14: October 2000: Number: 7; 
GS-14: October 2000: Percent: 1.9; 
GS-14: September 2007: Number: 14; 
GS-14: September 2007: Percent: 4.0. 

Equal employment opportunity (EEO) group: Hispanic men; 
SES: October 2000: Number: 2; 
SES: October 2000: Percent: 5.1; 
SES: September 2007: Number: 4; 
SES: September 2007: Percent: 11.1; 
GS-15: October 2000: Number: 11; 
GS-15: October 2000: Percent: 6.1; 
GS-15: September 2007: Number: 11; 
GS-15: September 2007: Percent: 5.7; 
GS-14: October 2000: Number: 13; 
GS-14: October 2000: Percent: 3.5; 
GS-14: September 2007: Number: 6; 
GS-14: September 2007: Percent: 1.7. 

Equal employment opportunity (EEO) group: Hispanic women; 
SES: October 2000: Number: 1; 
SES: October 2000: Percent: 2.6; 
SES: September 2007: Number: 1; 
SES: September 2007: Percent: 2.8; 
GS-15: October 2000: Number: 4; 
GS-15: October 2000: Percent: 2.2; 
GS-15: September 2007: Number: 6; 
GS-15: September 2007: Percent: 3.1; 
GS-14: October 2000: Number: 10; 
GS-14: October 2000: Percent: 2.7; 
GS-14: September 2007: Number: 13; 
GS-14: September 2007: Percent: 3.7. 

Equal employment opportunity (EEO) group: White men; 
SES: October 2000: Number: 18; 
SES: October 2000: Percent: 46.2; 
SES: September 2007: Number: 16; 
SES: September 2007: Percent: 44.4; 
GS-15: October 2000: Number: 99; 
GS-15: October 2000: Percent: 55.3; 
GS-15: September 2007: Number: 96; 
GS-15: September 2007: Percent: 49.7; 
GS-14: October 2000: Number: 186; 
GS-14: October 2000: Percent: 50.4; 
GS-14: September 2007: Number: 155; 
GS-14: September 2007: Percent: 44.5. 

Equal employment opportunity (EEO) group: White women; 
SES: October 2000: Number: 8; 
SES: October 2000: Percent: 20.5; 
SES: September 2007: Number: 6; 
SES: September 2007: Percent: 16.7; 
GS-15: October 2000: Number: 36; 
GS-15: October 2000: Percent: 20.1; 
GS-15: September 2007: Number: 35; 
GS-15: September 2007: Percent: 18.1; 
GS-14: October 2000: Number: 92; 
GS-14: October 2000: Percent: 24.9; 
GS-14: September 2007: Number: 83; 
GS-14: September 2007: Percent: 23.9. 

Equal employment opportunity (EEO) group: Unspecified/other; 
SES: October 2000: Number: 0; 
SES: October 2000: Percent: 0.0; 
SES: September 2007: Number: 0; 
SES: September 2007: Percent: 0.0; 
GS-15: October 2000: Number: 0; 
GS-15: October 2000: Percent: 0.0; 
GS-15: September 2007: Number: 0; 
GS-15: September 2007: Percent: 0.0; 
GS-14: October 2000: Number: 0; 
GS-14: October 2000: Percent: 0.0; 
GS-14: September 2007: Number: 00; 
GS-14: September 2007: Percent: 0.0. 

Equal employment opportunity (EEO) group: Total[A]; 
SES: October 2000: Number: 39; 
SES: October 2000: Percent: 100.0; 
SES: September 2007: Number: 36; 
SES: September 2007: Percent: 100.0; 
GS-15: October 2000: Number: 179; 
GS-15: October 2000: Percent: 100.0; 
GS-15: September 2007: Number: 193; 
GS-15: September 2007: Percent: 100.0; 
GS-14: October 2000: Number: 369; 
GS-14: October 2000: Percent: 100.0; 
GS-14: September 2007: Number: 348; 
GS-14: September 2007: Percent: 100.0. 

Equal employment opportunity (EEO) group: Minorities; 
SES: October 2000: Number: 13; 
SES: October 2000: Percent: 33.3; 
SES: September 2007: Number: 14; 
SES: September 2007: Percent: 15.8; 
GS-15: October 2000: Number: 44; 
GS-15: October 2000: Percent: 24.6; 
GS-15: September 2007: Number: 62; 
GS-15: September 2007: Percent: 32.1; 
GS-14: October 2000: Number: 91; 
GS-14: October 2000: Percent: 24.7; 
GS-14: September 2007: Number: 110; 
GS-14: September 2007: Percent: 31.6. 

Equal employment opportunity (EEO) group: Men; 
SES: October 2000: Number: 26; 
SES: October 2000: Percent: 66.7; 
SES: September 2007: Number: 26; 
SES: September 2007: Percent: 72.2; 
GS-15: October 2000: Number: 128; 
GS-15: October 2000: Percent: 71.5; 
GS-15: September 2007: Number: 128; 
GS-15: September 2007: Percent: 66.3; 
GS-14: October 2000: Number: 233; 
GS-14: October 2000: Percent: 63.1; 
GS-14: September 2007: Number:193; 
GS-14: September 2007: Percent: 55.5. 

Equal employment opportunity (EEO) group: Minority Men; 
SES: October 2000: Number: 8; 
SES: October 2000: Percent: 20.5; 
SES: September 2007: Number: 10; 
SES: September 2007: Percent: 27.8; 
GS-15: October 2000: Number: 29; 
GS-15: October 2000: Percent: 16.2; 
GS-15: September 2007: Number: 32; 
GS-15: September 2007: Percent: 16.6; 
GS-14: October 2000: Number: 47; 
GS-14: October 2000: Percent: 12.7; 
GS-14: September 2007: Number: 38; 
GS-14: September 2007: Percent: 10.9. 

Equal employment opportunity (EEO) group: Women; 
SES: October 2000: Number: 13; 
SES: October 2000: Percent: 33.3; 
SES: September 2007: Number: 10; 
SES: September 2007: Percent: 27.8; 
GS-15: October 2000: Number: 51; 
GS-15: October 2000: Percent: 28.5; 
GS-15: September 2007: Number: 65; 
GS-15: September 2007: Percent: 33.7; 
GS-14: October 2000: Number: 136; 
GS-14: October 2000: Percent: 36.9; 
GS-14: September 2007: Number: 155; 
GS-14: September 2007: Percent: 44.5. 

Equal employment opportunity (EEO) group: Minority Women; 
SES: October 2000: Number: 5; 
SES: October 2000: Percent: 12.8; 
SES: September 2007: Number: 4; 
SES: September 2007: Percent: 11.1; 
GS-15: October 2000: Number: 15; 
GS-15: October 2000: Percent: 8.4; 
GS-15: September 2007: Number: 30; 
GS-15: September 2007: Percent: 15.5; 
GS-14: October 2000: Number: 44; 
GS-14: October 2000: Percent: 11.9; 
GS-14: September 2007: Number: 72; 
GS-14: September 2007: Percent: 20.7. 

Source: GAO analysis of the Office of Personnel Management’s Central 
Personnel Data File. 

Note: We included GS-15, GS-14, and equivalent employees. GS-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. 

[A] Percentages may not add to 100 because of rounding. 

[End of table] 

[End of appendix] 

Footnotes: 

[1] GAO, Human Capital: Diversity in the Federal SES and Senior Levels 
of the U.S. Postal Service and Processes for Selecting New Executives, 
[hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-08-609T] 
(Washington, D.C.: Apr. 3, 2008). 

[2] GAO,The Federal Workforce: Additional Insights Could Enhance Agency 
Efforts Related to Hispanic Representation, [hyperlink, 
http://www.gao.gov/cgi-bin/getrpt?GAO-06-832] (Washington, D.C.: 
Aug. 17, 2006). 

[3] GAO,Data on Hispanic Representation in the Federal Workforce, 
[hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-07-493R] 
(Washington, D.C.: May 18, 2007). 

[4] The CLF is defined as those 16 and older (including federal 
workers), regardless of citizenship, who are employed or looking for 
work and are not in the military or institutionalized. A minimum age of 
18 years is required for most federal employment. 

[5] In 2005, Hispanics who were United States citizens comprised 7.6 
percent of the CLF. 

[6] OPM's percentages are based on the permanent, or career, federal 
workforce. Including both career and noncareer employees results in 
governmentwide Hispanic representation of 7.7 percent for 2007. 

[7] See [hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-08-609T] 
for a fuller discussion of the reliability of CPDF data. 

[8] Governmentwide data on Hispanic representation include permanent 
and nonpermanent employees. 

[9] The CFO Act agencies are 24 major executive agencies that are 
subject to the CFO Act. In 2006, the CFO Act agencies employed 98 
percent of federal employees. Pub. L. No. 101-576, 104 Stat. 2838 (Nov. 
15, 1990), as amended. 

[10] It should be noted that the loss of Hispanic employees at the 
Department of Justice could have been the result of staff 
reorganization because of the formation of the Department of Homeland 
Security, which was created in March 2003 and which exceeded the fiscal 
year 7.7 governmentwide percentage of Hispanic representation. 

[11] Career SES members are individuals with civil service status 
(permanent) who are appointed competitively to SES positions and serve 
in positions below the top political appointees in the executive branch 
of government. See [hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-08-609T]. 

[12] We included GS-15, GS-14, and equivalent employees. GS-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. 

[13] See Title II of Public Law 163, 67 Stat. 232 (July 30, 1953) 
(codified as amended at 15 U.S.C. §§ 631 et seq.) 

[14] According to SBA, its permanent staff in fiscal year 2007 equaled 
2,531, and temporary staff equaled 2,525. 

[15] 5 U.S.C. § 7201 and 5 C.F.R. Part 720, Subpart B. 

[16] EEOC defines barriers as agency policies, principles, or practices 
that limit or tend to limit employment opportunities for those of a 
particular gender, race, or ethnic background or based on an 
individual's disability status. 

[17] GAO, Human Capital: Federal Workforce Challenges in the 21st 
Century, [hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-07-556T] 
(Washington, D.C.: Mar. 6, 2007). 

[18] U.S. Small Business Administration, Office of Inspector General, 
Fiscal Year 2008 Report on the Most Serious Management and Performance 
Challenges Facing the Small Business Administration, Report No. 08-01 
(Washington, D.C.: Oct. 16, 2007). 

[19] The last SBA SES Candidate Development Program was completed in 
fiscal year 2004. 

[20] GAO, Human Capital: Insights for U.S. Agencies from Other 
Countries' Succession Planning and Management Initiatives, [hyperlink, 
http://www.gao.gov/cgi-bin/getrpt?GAO-03-914] (Washington, D.C.: 
Sept. 15, 2003). 

[21] At SBA, district director positions are key managerial career 
positions responsible for providing agency services to the small 
business community. 

[End of section] 

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