This is the accessible text file for GAO report number GAO-03-745R entitled 'U.S Postal Service: Data on Career Employee Diversity' which was released on October 15, 2003. This text file was formatted by the U.S. General Accounting Office (GAO) to be accessible to users with visual impairments, as part of a longer term project to improve GAO products' accessibility. Every attempt has been made to maintain the structural and data integrity of the original printed product. Accessibility features, such as text descriptions of tables, consecutively numbered footnotes placed at the end of the file, and the text of agency comment letters, are provided but may not exactly duplicate the presentation or format of the printed version. The portable document format (PDF) file is an exact electronic replica of the printed version. We welcome your feedback. Please E-mail your comments regarding the contents or accessibility features of this document to Webmaster@gao.gov. This is a work of the U.S. government and is not subject to copyright protection in the United States. It may be reproduced and distributed in its entirety without further permission from GAO. Because this work may contain copyrighted images or other material, permission from the copyright holder may be necessary if you wish to reproduce this material separately. September 15, 2003: The Honorable Henry A. Waxman: Ranking Minority Member: Committee on Government Reform: 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: Subject: U.S. Postal Service: Data on Career Employee Diversity: Over the years, Committees and members of Congress have requested information about employee equal opportunity and diversity issues at the U.S. Postal Service (USPS). This report follows up on our past reports concerning diversity issues at the USPS and responds to your request for more current information on the representation of minorities and women at the USPS.[Footnote 1] As agreed with your offices, our objective was to provide data on the makeup (numbers and percentages) for each equal employment opportunity (EEO) group--white, black, Hispanic, Asian-American and Pacific Islander (AAPI), American Indian and Alaskan Native (AIAN), and Native Hawaiian (Hawaiian)--and gender group of USPS career employees[Footnote 2] for USPS fiscal years 2000 through 2002. These data are provided for (a) all employees, (b) employees who were promoted, (c) employees who voluntarily retired, and (d) employees who received monetary performance awards. Also, these data are provided for all employee levels, including craft employees, technicians, officials and managers, and senior executive service employees. Information contained in this report was obtained from USPS databases, which we deemed sufficiently reliable for the informational purpose of this engagement. Results in Brief: According to the USPS data, the USPS career employee workforce has declined over the course of the last three fiscal years from 786,446 in fiscal year 2000 to 751,650 in fiscal year 2002. Although the number of minorities and women also declined over this 3-year period, their representation in the workforce remained fairly constant, about 36 and 38 percent, respectively. Table 1 provides a breakdown of the workforce by race/ethnicity and gender for each of the three years. Relative to the Current Population Survey (CPS),[Footnote 3] black and AAPI men and women in the USPS were fully represented, while Hispanic and AIAN men and women and white women were underrepresented in the USPS workforce. Overall, the representation of minorities in the USPS workforce exceeded their representation in the U.S. workforce each year, while the representation of women was less than their representation in the U.S. workforce each year. Table 1: USPS Career Employee Workforce Representation by Race/ Ethnicity and Gender, Fiscal Years 2000 through 2002: [See PDF for image] Source: GAO analysis of USPS data. Note: Percentages may not add due to rounding. [A] CPS = Current Population Survey as of March 2001. [B] AAPI = Asian American and Pacific Islander. [C] AIAN = American Indian and Alaskan Natives. [D] CPS does not specifically breakout data for Hawaiians. Data for Hawaiians are included in AAPI. [End of table] The percentage representation of minorities and women at higher-grade levels was generally less for each of the three years than their representation in the USPS workforce. The percentage representation of white males at higher-grade levels was generally greater than their representation in the USPS workforce for each of the three years. For example, at the Executive and Administrative Schedule (EAS) levels 19- 26, the average representation of white males for the three fiscal years was 55.5 percent, compared with their overall average representation in the workforce of 41 percent. The number of USPS workforce promotions steadily declined over the three fiscal years decreasing from 7,114 in fiscal year 2000 to 5,320 in fiscal year 2002--a decrease of about 26 percent. On the other hand, the proportion of USPS workforce promotions received by minorities and women remained relatively constant over the three fiscal years. For example, blacks accounted for 17.6 percent of promotions in fiscal year 2000, 18.7 percent in fiscal year 2001, and 17.8 percent in fiscal year 2002. Their average representation in the workforce for the three years was 21 percent, greater than their rates of promotion in each of those years. For the three fiscal years, minorities received an average of about 30 percent of the promotions while representing, on average, about 36 percent of the workforce for the same period; whereas, the average representation of women promoted exceeded their average representation in the USPS workforce by almost 10 percent at about 46 percent for the same period. Promotions by grade levels varied among EEO groups. As two examples show: first, white men showed increases in their share of promotions as grade levels increased. In grade levels 11-14, they received an average of about 20 percent of promotions for the three years. At higher-grade levels, 15-18 and 19-26, their shares of promotions increased to averages of 39.5 percent and 49 percent, respectively, for the three years. Second, black women's share of promotions fluctuated from grade level to grade level. Black women in grade levels 11-14 received an average of 8.2 percent of promotions for the three years. At higher- grade levels, 15-18 and 19-26, their average shares of promotions were 11.4 percent and 9 percent, respectively, for the three years. Regarding the three stages of the promotion process--applications submitted, considered best qualified, and promoted--the average representation of minorities and women as they passed through these stages showed no differences for each of the three years. For all grade levels combined, minorities and women on average constituted about 61 percent of all applications submitted for promotion, about 61 percent were considered best qualified, and about 61 percent were promoted. At higher-grade levels, 15-18 and 19-26, white males represented the largest EEO group at all three promotion process stages for each of the three years. For example, in fiscal year 2002, for grade levels 19-26, white males constituted about 50 percent at each stage. According to the USPS data, the number of career employees retiring increased in fiscal year 2002 to 18,288 after experiencing a slight decrease from fiscal years 2000 to 2001, going from 15,692 to 15,504, respectively. The representation of minorities and women retiring remained constant--averaging about 27 and 28 percent of retirees, respectively, for fiscal years 2000 through 2002. The representation of minorities and women retiring each year was generally less than each group's average overall representation in the USPS workforce. The number of monetary performance awards fluctuated over the three fiscal years with 61,129 given in fiscal year 2000, 54,604 in fiscal year 2001, and 59,830 in fiscal year 2002. Overall, the 3-year average representation of such awards received by minorities and women--38 and 40 percent, respectively--exceeded their average representation in the USPS workforce of 36 and 38 percent, respectively. Blacks received about one-half of the total number of awards received by minorities for each of the three fiscal years--averaging 19 percent of all awards. This is less than their average representation in the USPS workforce. Awards for other minority groups either equaled or exceeded their average representation in the USPS workforce. Among women, white women had the most representation, receiving about 23 percent of all such awards in each of the three fiscal years. This is proportional to their average representation in the USPS workforce for those years. Background: According to USPS workforce profile statistics, the USPS had 751,650 career employees at the end of fiscal year 2002. This number represents all EEO groups for men and women. It also includes all employees beginning with Level 00 and going up through the Postal Career Executive Service (PCES). Level 00 through Level 14 primarily includes letter carriers and clerks that are considered craft employees and laborers, both skilled and unskilled. In addition, this group also includes some entry-level EAS managers. Positions at Level 15 and higher are mid-and high-level EAS managers, which are postmasters, managers of customer services, and managers of postal operations. PCES includes senior-level officers and executives in positions such as area vice presidents. (See enc. I for a more detailed explanation of employee grade levels.): According to USPS, one of its corporate goals is a commitment to employees, which includes an effort to provide equal employment opportunities to all employees, take advantage of its diverse workforce, and provide universal postal services to the American people. The USPS defines diversity as a mixture of differences and similarities of its employees, customers, and suppliers. USPS measures its diversity by comparing the percentage an EEO group is represented in its workforce to the percentage the group is represented in the U.S. labor force. For two of the three years that we reviewed, USPS used civilian labor force (CLF) data, which is collected by the Bureau of the Census for its most recent census, for this comparison. For the third year, fiscal year 2002, USPS used CLF data reported in the FY 2000 Federal Equal Opportunity Recruitment Program Annual Report (FEORP) to the Congress, prepared by the Office of Personnel Management. The CLF data in the FEORP are derived from the Bureau of Labor Statistics September 2000 Current Population Survey (CPS) and the 1990 Decennial Census. Because CLF data from the year 2000 census will not be available until the fall of 2003, we used the latest available CPS data (March 2001) for comparison. CPS is based on a monthly survey of about 50,000 households conducted by the Bureau of the Census for the Bureau of Labor Statistics. The survey has been conducted for more than 50 years. The CPS is a primary source of information on the characteristics of the civilian labor force in the U.S. The survey uses a scientific sampling design to generate a representative sample of the civilian noninstitutional population and to provide a variety of demographic characteristics including gender, race, and occupation. We do not believe that it is appropriate to compare the representation of women and minorities or EEO group representation in EAS levels 11 through 26, which are generally management-level positions, in the USPS with the CPS because CPS data are not broken down into an appropriate pool of employees for such comparisons. USPS career employees generally participate in one of the three federal retirement programs available to most federal civilian employees. These programs are: (1) the Civil Service Retirement System (CSRS), (2) the Federal Employees Retirement System (FERS), and (3) the CSRS Offset Plan.[Footnote 4] USPS has several performance awards and recognition programs for its employees. Some of these awards and recognition programs are monetary and others are non-monetary. The monetary awards can range in value from $50 to $7,500 and include spot awards, Vice President's awards, team awards, exceptional performance awards, special achievement awards, quality step increases, meritorious service awards, and distinguished service awards. The nonmonetary awards include informal awards, team awards, and some spot awards, such as gifts and letters of appreciation. Total Workforce and Representation of Minorities and Women: According to USPS data, over the course of the last three fiscal years, the number of career employees at USPS decreased from 786,446 in fiscal year 2000, to 774,601 in fiscal year 2001, and to 751,650 in fiscal year 2002. White males represented the largest EEO group in the USPS workforce--averaging about 41 percent for the 3-year period. The number of minorities and women career employees in the USPS workforce also decreased over this 3-year time period. On average, minorities represented about 36 percent of the total workforce for the three fiscal years and women represented about 38 percent. When compared with CPS data, black and AAPI men and women in the USPS were fully represented, while Hispanic and AIAN men and women and white women were underrepresented in the USPS workforce for each of the three years. Overall, the representation of minorities in the USPS workforce exceeded their representation in the U.S. workforce each year. As shown in figure 1, on average for the three fiscal years, blacks represented about 21 percent; Hispanics about 7 percent; and AAPI about 7 percent. The remaining groups--AIAN and Hawaiians--on average represented .6 and .04 percent, respectively. Figure 1: USPS Career Employee Workforce Representation by Race/ Ethnicity as a Percentage of Total Workforce for Fiscal Years 2000 through 2002: [See PDF for image] [End of figure] As previously stated, women represented, on average, 38 percent of the total USPS workforce for the three fiscal years. For these years, white women represented an average of about 22 percent of the workforce; black women an average of about 10 percent; Hispanic women an average of about 2 percent; AAPI women an average of about 2 percent; AIAN women an average of about .26 percent; and Hawaiian women an average of .02 percent. Overall, the representation of women was less than their representation in the U.S. workforce each year. Figure 2 shows a breakout of the representation of women employees by race/ethnicity. Figure 2: USPS Career Employee Workforce Representation of Women by Race/Ethnicity as a Percentage of Total Workforce for Fiscal Years 2000 through 2002: [See PDF for image] [End of figure] The majority of USPS employees, including minorities and women, were in grade levels 00-10 (craft employees and laborers, both skilled and unskilled) in fiscal years 2000 through 2002. At higher-level management positions, EAS grade levels 19-26, the average representation of minorities and women was generally lower than their average representation in the USPS workforce. USPS data showed that minorities' average representation at EAS levels 19-26 was about 27 percent--less than their average representation in the USPS workforce of 36 percent. Representation in these EAS levels compared with their representation in the USPS workforce was lower for each individual EEO group, with the exception of AIAN where they slightly exceeded their average representation in the USPS workforce of .6 percent. Additionally, women represented on average 28.6 percent in EAS levels 19-26 for the three years, but represented, on average, 38 percent of the USPS workforce. White males average representation in EAS levels 19-26 was 55.6 percent compared with their overall average representation in the USPS workforce of about 41 percent over the 3- year period. (See enc. II for additional data.): Promotions: Total and Representation of Minorities and Women: According to USPS applicant flow tracking reports[Footnote 5] for fiscal years 2000 through 2002, total employee promotions decreased by 26 percent over this time period. There were 7,114 promotions in fiscal year 2000; 6,821 in fiscal year 2001; and 5,320 in fiscal year 2002. White males received the largest share of promotions for the three fiscal years--averaging about 39 percent. For the three fiscal years, minority employees' average share of promotions--about 30 percent--was less than their average representation in the USPS workforce--about 36 percent. Relative to individual EEO groups, promotions were as follows: * Blacks accounted for 17.6 percent of all promotions in fiscal year 2000, 18.7 percent in fiscal year 2001, and 17.8 percent in fiscal year 2002. These percentages are less than their average representation in the USPS workforce--about 21 percent for the 3-year period. * Hispanics and AAPI ethnic groups experienced slight increases in promotions in each of the three fiscal years. Hispanics received 6.4 percent of all promotions in fiscal year 2000, about 7 percent in fiscal year 2001, and 7.5 percent in fiscal year 2002. Compared with Hispanics average representation in the USPS workforce, 7.4 percent, their shares of promotions for fiscal years 2000 and 2001 were less and, for 2002, slightly more. AAPI received 3.6 percent of all promotions in fiscal year 2000, 3.9 percent in fiscal year 2001, and 4.3 percent in fiscal year 2002. Their shares of promotions are less than their 3-year average representation in the USPS workforce--about 6.7 percent. * AIAN represented, on average, about .6 percent of the USPS workforce. They accounted for .63 percent of all promotions in fiscal year 2000, .72 percent in fiscal year 2001, and .7 percent in fiscal year 2002. * Hawaiians represented, on average, about .04 percent of the USPS workforce, while accounting for about .02 percent of promotions in each of the three fiscal years. Figure 3 shows the shares of promotions by EEO groups. (See enc. III for additional data.): Figure 3: USPS Career Employee Workforce Promotions by Race/Ethnicity as a Percentage of Total Promotions for Fiscal Years 2000 through 2002: According to the USPS data, women accounted for about 46 percent of all promotions in fiscal years 2000 and 2001, and about 47 percent in fiscal year 2002. This exceeds their overall average representation in the USPS workforce of 38 percent for the three years. The shares of promotions of women across ethnic groups were relatively stable. The following shows the breakout of promotions for women: * White women accounted for 31.6 percent of all promotions in fiscal year 2000, * 30.5 percent in fiscal year 2001, and 31.7 percent in fiscal year 2002. Their shares of promotions exceed their average representation in the USPS workforce of about 22 percent. * Black women represented, on average, about 10.1 percent of the USPS workforce. They accounted for 10.1 percent of all promotions in fiscal year 2000, 10.6 percent in fiscal year 2001, and 10.4 percent in fiscal year 2002. * Hispanic and AIAN women experienced increases in their shares of promotions in each of the three fiscal years. Hispanic women received 2.4 percent of all promotions in fiscal year 2000, 2.8 percent in fiscal year 2001, and 3 percent in fiscal year 2002. Compared with their average representation in the USPS workforce, 2.3 percent, their shares of promotions were greater in each of the three years. AIAN women received .35 percent of all promotions in fiscal year 2000, .37 percent in fiscal year 2001, and .39 percent in fiscal year 2002. Their shares of promotions are slightly greater than their 3-year average representation in the USPS workforce--about .3 percent. * AAPI women accounted for 1.6 percent of all promotions in fiscal years 2000 and 2001 and 1.7 percent in fiscal year 2002. Their shares of promotions are less than their average representation in the USPS workforce of about 2.4 percent for the three years. * Hawaiian women represented, on average, about .02 percent of the USPS workforce for the three years. They accounted for no promotions in fiscal years 2000 and 2001 and .02 percent in fiscal year 2002. Figure 4 shows the shares of promotions of women by ethnicity for the three fiscal years. (See enc. III for additional data.): Figure 4: USPS Career Employee Workforce Promotions by Race/Ethnicity for Women as a Percentage of Total Promotions for Fiscal Years 2000 through 2002: [See PDF for image] [End of figure] Promotions by Grade Levels: Promotions by grade levels varied among EEO groups. In grade levels 11- 14, the entry-level EAS positions, white males accounted for an average of about 20 percent of the promotions for the three fiscal years compared with their average representation in these grade levels--about 23 percent. White women at this level received, on average, about 64 percent of the promotions for the three fiscal years, which exceeded their average representation in these grade levels of about 62 percent for the three years. Shares of promotions for minority groups and other women at these grade levels were generally greater than their average representation at these grade levels. Blacks represented, on average, about 9.6 percent of promotions in these levels for the three fiscal years, which is above their 9.1 percent average representation in these levels. Hispanics and AAPI followed with averages of 3.6 percent and 1.7 percent, respectively, for the three years, while their representation, on average, was about 3 and 1.5 percent, respectively, in these grade levels. AIAN received, on average, about .83 percent of the promotions for the three years in these grade levels. This is less than their average representation in these levels--about 1.4 percent. Hawaiians did not receive any promotions in these grade levels, but represented .023 of the workforce. For other women in these grade levels for the three fiscal years, black women accounted for an average of 8.2 percent of promotions, Hispanic women an average of 2.7 percent, AAPI women an average of 1.1 percent, AIAN women an average of .73 percent, and Hawaiian women were not represented. Promotion of black, Hispanic, and AAPI women exceeded their average representation in these grade levels for the 3-year period while the promotion of women in other minority groups fell short of their average representation. Table 2 provides a breakdown of promotions by race/ethnicity and gender for grade levels 11-14 for the three fiscal years. Table 2: Promotions in Grade Levels 11-14 by Race/Ethnicity and Gender, Fiscal Years 2000 through 2002: [See PDF for image] Source: GAO analysis of USPS data. [End of table] At midlevel management positions, EAS levels 15-18, white males accounted for an average of 39.5 percent of promotions for the three fiscal years, which is below their average representation in these grade levels--about 43 percent for those years. Minorities share of promotions in these levels, on average, about 33 percent was proportional to their average representation in these grade levels of about 33 percent for the three years. More specifically, blacks accounted for, on average, about 20.5 percent for the three years, which is lower than their average representation in these grade levels of 22 percent. Hispanics followed at an average of 7.6 percent for the three years, which is greater than their average representation in the grade levels of 6.2 percent for those years. AAPI represented, on average, about 3.3 percent for these grade levels, while their average percentage of promotions in these grades was greater--about 4.5 percent--for the three years. AIAN average promotions in these grades were about .7 percent, which is greater than their average representation in these grade levels of .6 for the same time period. Hawaiians average share of promotions in these levels--.03 percent--for the three years was less than their average representation in these grade levels of .06 percent: Women promoted in grade levels 15-18 exceeded their average representation in the workforce for these levels for the three fiscal years except for black and Hawaiian women. Among women, whites represented the largest share of these promotions--averaging 27.3 percent--while representing, on average, about 25 percent of the USPS workforce in these grade levels for the three years. Black women followed with an average of 11.4 percent for the three years, which was slightly less than their average representation in these grade levels of 11.9 percent. Hispanic women accounted for an average of 3 percent of these promotions for the three fiscal years, which is greater than their average representation in these grade levels of 2.2 percent. AAPI women's average share of promotions--1.7 percent--was also greater than their average representation in the grade levels of 1.3 percent for the 3-year period. AIAN women promotions in these grade levels averaged about .3 percent, which was equal to their average representation in these grade levels for the three years. The average promotions for Hawaiian women--.01 percent--were less than their average representation in these grade levels of .04 for the three years. Table 3 provides a breakdown of promotions by race/ethnicity and gender for grade levels 15-18 for the three fiscal years. Table 3: Promotions in Grade Levels 15-18 by Race/Ethnicity and Gender, Fiscal Years 2000 through 2002: [See PDF for image] Source: GAO analysis of USPS data. [End of table] For the higher-level management positions, EAS grade levels 19-26, white males received on average about 49 percent of the promotions for the 3-year period. This is less than their average representation in these grade levels of about 56 percent over the same period. Minorities share of promotions at these grade levels averaged about 29 percent for the three years compared with their average representation at these grade levels of 27 percent over the same period. Blacks accounted for an average of 16.9 percent of the promotions for the three years, which is proportional to their average representation in these grade levels for the three years. Hispanics followed with an average of 7.4 percent for the three years, which is greater than their average representation in these grade levels of 5.9 percent. AAPI represented, on average, about 3.4 percent of the USPS workforce at these grade levels. Their average share of these promotions was greater at about 3.9 percent for the three years. AIAN promotions averaged about .7 percent, which was equal to their average representation in these levels for the three years. Hawaiians average share of promotions for the three years--.02- -equaled their average representation in these grade levels of .02 percent. Promotions of all women EEO groups at the higher-grade levels (EAS 19- 26) exceeded their representation in these grade levels except for Hawaiian women. White women received most of the promotions averaging 22 percent for the three fiscal years, while representing an average of 17.5 percent of the USPS workforce at these levels for the same period. Black women followed with an average of 9 percent for the three years, which is greater than their average representation in these levels of 8.2 percent. Hispanic women accounted for an average of 2.2 percent of promotions for the three years. This is greater than their average representation at these levels of 1.5 percent for the same period. AAPI women's average share of these promotions--1.7 percent--was also greater than their average representation of 1.2 percent for the three years. AIAN women promotions at these levels averaged about .3 percent, which was greater than their average representation of about .2 percent for the three years. Furthermore, Hawaiian women represented, on average, about .003 percent of the workforce in these grade levels for the three years; however, they received no promotions for the three years. Table 4 provides a breakdown of promotions by race/ethnicity and gender for grade levels 19-26 for the three fiscal years. Table 4: Promotions in Grade Levels 19-26 by Race/Ethnicity and Gender, Fiscal Years 2000 through 2002: [See PDF for image] Source: GAO analysis of USPS data. [End of table] Promotion Process Stages: According to USPS data, over the three fiscal years, there were no differences in the average representation of minorities and women as they passed through the three promotion process stages--applications submitted, considered best qualified, and promoted. Table 5 provides a breakdown of the three promotion process stages for minorities and women for fiscal years 2000 through 2002. Table 5: Minorities' and Women's Progress by Promotion Process Stage for Fiscal Years 2000 through 2002: [See PDF for image] Source: GAO analysis of USPS data. [End of table] Throughout the three stages of the promotion process for each of the three years, among minorities and women, the largest representation of all promotion applications came from white women; this same pattern was also found at the best qualified and promotion stages. Black women constituted the next largest representation throughout the three stages, followed by black men, Hispanic men and women, AAPI men and women, AIAN women and men, and Hawaiian men and women. For grade levels 00-10, white women represented the largest group of employees who submitted applications; who were considered best qualified; and who were promoted for each of the three years. The same holds true for grade levels 11-14. For the higher-grade levels, 15-18 and 19-26, white males represented the largest distribution for a specific EEO group for all three promotion process stages for the three years. For example, in grade levels 19-26 for fiscal year 2002, white males accounted for over 50 percent of the total applications submitted for promotions; about 49 percent of the total considered best qualified; and about 48 percent of the total promoted. Retirements: Total and Representation of Minorities and Women: USPS retirement data show that the number of retirements decreased slightly from fiscal year 2000 to fiscal year 2001, but increased in fiscal year 2002. Specifically, retirements went from 15,692 in fiscal year 2000, to 15,504 in fiscal year 2001, and to 18,288 in fiscal year 2002. The average representation of minorities and women retirements over the 3-year period was below their average representation in the workforce. Minorities accounted for an average of about 27 percent and women 28 percent of all retirements for the three years, while their average representation in the USPS workforce was about 36 and 38 percent, respectively. Blacks accounted for an average of approximately 19 percent of all retirements for the three years. This is less than their average representation in the USPS workforce of 21 percent. Hispanic retirements averaged 5 percent for the three fiscal years, which is less than their average representation in the workforce--7.4 percent. AAPI retirements for the three fiscal years averaged 2 percent, less than their average representation in the USPS workforce of about 7 percent. The remaining groups--AIAN and Hawaiian--retirements represented averages of .4 and .04 percent, respectively. AIAN retirements were less than their average representation in the workforce and Hawaiian retirements equaled their average representation in the workforce. For women, whites represented about 19 percent of all retirements, followed by an average representation for blacks at about 8 percent, Hispanics at .74 percent, AAPI at .41 percent, AIAN at .15 percent, and Hawaiians at .02 percent for the three years. The shares of retirements for each woman EEO group, except Hawaiians, were less than their average representation in the USPS workforce. Hawaiians equaled their average representation in the workforce. Figures 5 and 6, respectively, provide a detailed breakout of the retirement representation by ethnicity for minorities and women. (See enc. IV for additional data.): Figure 5: USPS Career Employee Workforce Retirements by Race/Ethnicity as a Percentage of Total Retirements for Fiscal Years 2000 through 2002: [See PDF for image] [End of figure] Figure 6: USPS Career Employee Workforce Retirements by Race/Ethnicity for Women as a Percentage of Total Retirements for Fiscal Years 2000 through 2002: [See PDF for image] [End of figure] Monetary Performance Awards: Total and Representation of Minorities and Women: According to the USPS data, the number of monetary performance awards has fluctuated over the course of the last three fiscal years. Specifically, the numbers were 61,190 for fiscal year 2000, 54,604 for fiscal year 2001, and 59,909 for fiscal year 2002. Overall, the average percentage of such awards received by minorities and women---38 and 40 percent, respectively, were slightly higher than their average representation in the workforce of 36 percent for minorities and 38 percent for women. Among minorities, blacks received about one-half of the awards for each of the three fiscal years--averaging 19 percent of all awards. This is less than their average representation in the USPS workforce of 21 percent for the three years. Regarding other minority groups, for the three fiscal years, performance awards received by Hispanics, on average, exceeded their average representation in the USPS workforce. Hispanics received 8.4 percent of awards, while representing, on average, 7.4 percent of the USPS workforce. AAPI received an average of about 10 percent of monetary performance awards. This exceeds their average representation in the USPS workforce of 6.8 percent. Additionally, monetary performance awards received by AIAN equaled their average representation in the USPS workforce--about .6 percent. The average representation of monetary performance awards received by Hawaiians--.1 percent--was greater than their average representation in the USPS workforce--.04 percent. Figures 7 shows the shares of these awards for minorities by ethnicity for fiscal years 2000 through 2002. Figure 7: USPS Career Employee Workforce Monetary Performance Awards by Race/Ethnicity as a Percentage of Total Number of Monetary Performance Awards for Fiscal Years 2000 through 2002: [See PDF for image] [End of figure] White women had the most representation among women, receiving an average of about 22 percent of all such awards for the three fiscal years. This is proportional to their average representation in the USPS workforce for those years. For the 3-year period, black women received, on average, about 10 percent of the monetary performance awards. This is also proportional to their average representation in the USPS workforce. Hispanic women received an average of 2.9 percent of awards, while representing an average of 2.3 percent of the USPS workforce. AAPI women represented an average of 2.4 percent of the USPS workforce for the three years. This group exceeded its average representation in the USPS workforce by receiving an average of 3.6 percent of the monetary performance awards for the three fiscal years. The monetary performance awards received by AIAN women were proportional to their average representation in the USPS workforce--.26 percent for the three years. Furthermore, Hawaiian women exceeded their average representation in the USPS workforce receiving an average of .06 percent of monetary performance awards compared to their average representation of .02 percent of the USPS workforce for the three years. Figure 8 shows the shares of these awards for women by ethnicity for fiscal years 2000 through 2002. (See enc. V for additional data.): Figure 8: Women in the USPS Career Employee Workforce Receiving Monetary Performance Awards by Race/Ethnicity as a Percentage of Total Number of Monetary Performance Awards for Fiscal Years 2000 through 2002: [See PDF for image] [End of figure] Agency Comments: We requested comments on a draft of this report from the Postmaster General. The USPS Vice President of Diversity Development informed us orally that USPS concurred with the information provided in the letter. In addition, USPS provided several technical clarifications, which we have incorporated into this report where appropriate. Scope and Methodology: To address our objective, we obtained, reviewed, and analyzed data and documentation and interviewed USPS officials concerning career employee profiles, promotions, voluntary retirements, and monetary performance awards for fiscal years 2000, 2001, and 2002. We obtained and reviewed detailed data and information for each fiscal year, including actual numbers and percentages for each grade, including PCES, and aggregated for the entire USPS by equal employment opportunity group for men and women--white, black, Hispanic, AAPI, AIAN, and Hawaiians. To get an indication of whether the data were sufficiently reliable, we performed testing of electronic data for obvious errors of completeness and accuracy, reviewed related information from prior GAO reports, and discussed data reliability issues with USPS officials knowledgeable of the databases that produce this information. We considered the data to be sufficiently reliable for the informational purpose of this engagement. We performed our work from August 2002 through June 2003 in accordance with generally accepted government auditing standards. As agreed with your offices, unless you publicly announce the contents of this report earlier, we plan no further distribution until 30 days from the report date. At that time, we will send copies of this report to the Chairman, House Committee on Government Reform, and the Chairman, Subcommittee on Civil Service, Census and Agency Organization; the Chairman and Ranking Minority Member, Senate Committee on Governmental Affairs; the Postmaster General; and to other interested parties. We also will make copies available to others upon request. In addition, the report will be available at no charge on the GAO Web site at www.gao.gov. If you have any questions about this report or the enclosed data, you may contact me on (202) 512-4232 or at ungarb@gao.gov. Major contributors to this report include Sherrill Johnson, Dwayne Curry, Dorothy Tejada, Tanisha Stewart, and David Dornisch. Signed by: Bernard L. Ungar Director, Physical Infrastructure Issues: Enclosures: Enclosure I: Description of Employee Levels within the USPS: USPS employee levels: USPS employee levels: 00; Job description: Rural route letter carriers--categorized as craft workers (skilled). USPS employee levels: 01 through 04; Job description: Unskilled laborers--work in manual occupations, which generally require no special training. Includes: mail handlers, garage laborers, groundskeepers, and gardeners. These levels also include office and clerical workers. USPS employee levels: 05; Job description: Semiskilled operatives-- workers that operate machine or processing equipment or perform other factory-type duties of intermediate skill level which can be mastered in a few weeks and require only limited training. Includes: apprentices (auto mechanics, plumbers, carpenters, and electricians, among others). This level also includes office and clerical workers. USPS employee levels: 06 through 10; Job description: Skilled craft employees--manual workers of relatively high skill level having a thorough and comprehensive knowledge of the processes involved in their work. Includes: city letter carriers, hourly paid supervisors and lead operators who are not members of management, typesetters, electricians, engravers, painters (construction and maintenance), and technicians. USPS employee levels: 11 through 14; Job description: Executive and Administrative Schedule (EAS) workforce-- entry management level positions. USPS employee levels: 15 through 18; Job description: EAS workforce-- middle management level positions. Includes: postmasters, managers of customer services, and managers of postal operations. USPS employee levels: 19 through 26; Job description: EAS workforce-- high-level management positions. Includes: officials, executives, plant managers, department managers, and superintendents, and salaried supervisors who are members of management. USPS employee levels: 27 through 41; Job description: EAS workforce-- There are approximately 31 employees in this group, which includes attorneys, administrative judges, economists, rate commissioners and rate classification specialists, among others. USPS employee levels: 51 through 55; Job description: Part-time postmasters at 4[TH] class locations, small towns with populations less than 1,000. USPS employee levels: Postal Career Executive Service (PCES) levels 01, 02, and U1.; Job description: PCES-01 comprises executives; PCES-02 are; senior-level officers, and PCES-U1 are PCES employees in non-PCES positions. PCES executives include, among others, district managers and bulk mail center managers. PCES officers include, among others, area vice presidents, and the deputy postmaster general. [End of table] Source: GAO analysis of USPS data. Enclosure II: USPS Workforce Representation by Race, Ethnicity, and Gender for Each Employee Level, Including PCES, Fiscal Year 2000-2002: [See PDF for image] [End of table] [End of section] Enclosure III: USPS Promotions Postal Service-wide, Fiscal Years 2000- 2002: [See PDF for image] [End of table] [End of section] Enclosure IV: USPS Retirements for Each Employee Level, Including PCES, Fiscal Years 2000-2002: [See PDF for image] [End of table] [End of section] Enclosure V: USPS Monetary Performance Awards Including PCES, Fiscal Years 2000-2002: [See PDF for image] [End of table] [End of section] FOOTNOTES [1] See U.S. General Accounting Office, U.S. Postal Service: Information About Selected Promotions of Women and Minorities to EAS Management-Level Positions, GAO/GGD-98-200R (Washington, D.C.: Sept. 21, 1998). U.S. General Accounting Office, U.S. Postal Service: Diversity in High-Level EAS Positions, GAO/GGD-99-26 (Washington, D.C.: Feb. 26, 1999). U.S. General Accounting Office, U.S. Postal Service: Diversity in the Postal Career Executive Service, GAO/GGD-00-76 (Washington, D.C.: Mar. 30, 2000). U.S. General Accounting Office, U.S. Postal Service: Diversity in District Management-Level Positions, GAO/ GGD-00-142 (Washington, D.C.: June 30, 2000). [2] Generally, USPS has defined career employees as persons who have permanent work appointments and include such employees as clerks, postmasters, mail handlers, and city and rural letter carriers. Noncareer employees are those persons who have limited term work appointments and include such employees as some data conversion operators who work at postal remote encoding centers and substitutes for rural carriers. [3] The CPS is a primary source of information on the labor force characteristics of the U.S. population for persons aged 16 years or older who are employed or seeking employment. (See background section of this report for additional information about the CPS.) [4] See U.S. General Accounting Office, United States Postal Service: Information on Retirement Plans, GAO-02-170 (Washington, D.C.: Dec. 31, 2001). Federal employees hired after December 31, 1983, are not eligible to participate in CSRS, but they participate in either FERS or the CSRS Offset Plan. [5] Applicant flow tracking reports provide data on the number of applicants for a vacancy, the number considered best qualified, and the number promoted.