Fourth Report On The Implementation Of Sec Organizational Reform Recommendations - U.s. Securities And Exchange Commission - 2013 Page 29
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37F
R
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SEC O
R
R
OURTH
EPORT ON THE
MPLEMENTATION OF
RGANIZATIONAL
EFORM
ECOMMENDATIONS
• TM staff continued to prepare and circulate to Commissioners’ Offices and key senior
staff a written dashboard of noteworthy SRO rule changes. The dashboard has been
expanded to include additional information on SRO rules that are effective on a pilot
basis to assist the Commission in tracking outstanding pilot programs. The report has
assisted the staff in informing and engaging the Commission on important proposals early
in the review process.
Staff Skills and Tools
TM staff, in partnership with SEC University, continues to conduct a needs assessment to inform
the development of a training program to enhance the skills of, and the tools available to, TM
staff. The focus groups planned at the time of the Third Report to Congress have now been
conducted. The results of those sessions have informed the preparation of a survey that will be
circulated to TM staff to solicit targeted feedback on their training and skill development needs
and concerns. After the training needs assessment has been completed and a training program
has been developed, TM will consider the development of appropriate metrics to assess staff
performance.
Two-Year Program Summary
Over the last two years, the SEC’s leadership and staff have used the BCG report and the
creation of MAP to improve the agency’s mission and support operations. Led by staff from
Divisions and Offices, 20 working groups followed a disciplined process to identify potential
organizational changes and make a positive impact on the efficiency, structure, and capabilities
of the SEC.
Specifically, the SEC has realized benefits across the following four key themes outlined early in
the MAP management agenda.
• Optimize the agency’s organizational structure: Restructure Divisions and Offices to
align with the SEC’s strategic direction, clarify purpose, reduce duplication of effort, and
eliminate organizational confusion.
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