Fourth Report On The Implementation Of Sec Organizational Reform Recommendations - U.s. Securities And Exchange Commission - 2013 Page 24
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37F
R
I
SEC O
R
R
OURTH
EPORT ON THE
MPLEMENTATION OF
RGANIZATIONAL
EFORM
ECOMMENDATIONS
• SEC will begin drafting a strategic plan aimed at advancing performance and
management efficiencies. Once complete, the strategic plan will enable the SEC to
continue development of performance goals and indicators that are outcome-oriented, and
will inform decisions related to agency operations, resource allocations, major new
acquisitions, and investments in IT and human capital. The SEC expects to publish the
new strategic plan in February 2014.
• In parallel to the development of the strategic plan, the SEC is developing a bi-annual
review process to ensure the strategic plan aligns with agency strategic objectives and
performance goals, and addresses any changes in agency priorities or legislation.
14. Workstream 3H: Hire staff for priority skill positions – administrative skills
Since the Third Congressional Report, contractor resources were hired in late 2012 to finalize the
initial assessment of the skills gaps of the agency’s administrative workforce and to develop a
comprehensive strategy that addresses those gaps. Each recommendation will address culture
and change management needs, propose timelines, and suggest an implementation sequence
appropriate to the recommendation. Upon completion, OHR will work with key leadership
within the Divisions and Offices to implement the recommendations.
15. Workstream 3G: Enhancing the SEC’s Operational Risk Management capabilities
The Operational Risk Management (ORM) Program Office’s mission is to enhance the agency’s
ability to proactively identify, correct, and mitigate operational risk. Since its inception in the
spring of 2011, the office has worked to cultivate an environment that minimizes operational
risk, mitigates and effectively manages identified risks, and ensures corrective action plans are
established and executed.
Progress since the last report includes the following:
• In FY12, the SEC reported an Unqualified Statement of Assurance reflecting the overall
effectiveness of internal controls. GAO concurred and reported overall effectiveness of
internal controls in the FY12 independent audit report.
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