Report On The Implementation Of Sec Organizational Reform Recommendations - U.s. Securities And Exchange Comission - 2011 Page 22
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E
C
– M
A
P
(MAP)
ECURITIES AND
XCHANGE
OMMISSION
ISSION
DVANCEMENT
ROGRAM
R
I
SEC O
R
R
EPORT ON THE
MPLEMENTATION OF
RGANIZATIONAL
EFORM
ECOMMENDATIONS
Workstream 3F - Create a Surge Capacity Plan
This workstream is focused on developing mechanisms to manage the workforce to ensure adequate
capacity. The SEC has historically experienced sudden and sharp increases in workload and has
limited workforce planning processes to efficiently and effectively support the demand. Market
events, legislation and other drivers can create a need for surge support in rule writing, filing
reviews, examinations, enforcement and support services. In order to develop the ability to manage
the SEC’s workforce and ensure adequate capacity, this workstream will:
• Identify stakeholders (i.e., offices that may require direct and indirect surge support) and
interdependencies (e.g., space planning, IT, training, contracting resources)
• Benchmark against government agencies, businesses and other relevant entities
• Identify internal and external staffing options to address surge capacity needs and any
related impediments
Progress to Date: This workstream has begun analysis of workload surge drivers, conducted an
assessment of the current process to meet surge needs and has commenced benchmarking activities
against other federal government agencies to determine how other agencies plan for and ramp up
during surge times. As analysis continues, the workstream will continue to conduct “what-if”
scenarios and surge capacity staffing options into Fall 2011, with recommendations to follow.
Workstream 3G - Enhance Risk Management Capabilities in Line and Support Organizations
This workstream is focused on assessing current, and implementing further, programs related to two
aspects of risk management – one that is externally-facing and concerns risks that involve markets
and participants overseen by the SEC (Markets Risk Management subcommittee), and one that is
internally-facing and concerns operational risk in the day-to-day work of the SEC itself
(Operational Risk Management subcommittee).
Progress to Date: The Markets Risk Management subcommittee has begun to catalogue existing
risk management initiatives to assess cross-division priorities, areas that might require further
coverage, synergies across related programs, and enhanced communication channels. Through Fall
2011, the workstream will continue to explore potential future approaches to market risk
monitoring, defining the roles and responsibilities within the SEC and evaluating the pros and cons
of further embedding risk capabilities into the mission support areas or at an enterprise level.
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