Accession Number:

AD1168952

Title:

Securities and Exchange Commission: Actions Needed to Address Limited Progress in Resolving Long-Standing Personnel Management Challenges

Descriptive Note:

[Technical Report, Congressional Report]

Corporate Author:

GOVERNMENT ACCOUNTABILITY OFFICE WASHINGTON DC

Personal Author(s):

• Clements, Michael E.

Report Date:

2016-12-01

Pagination or Media Count:

114

Abstract:

The Dodd-Frank Wall Street Reform and Consumer Protection Act contains a provision for GAO to report triennially on SECs personnel management. GAOs first report in 2013 GAO-13-621 identified a number of challenges, such as SECs lack of a mechanism to monitor supervisors use of its performance management system, and included seven recommendations. This report examines 1 employee views on SECs organizational culture since 2013 and 2 SECs current personnel management practices. GAO surveyed all SEC employees staff in its six key divisions and offices, staff in all other offices and divisions, and all senior officers, with response rates of 69, 60, and 70 percent, respectively evaluated SEC policies and procedures against relevant criteria and analyzed information on SECs practices.

Descriptors:

• organizational structure
• personnel management
• business administration
• employment
• management personnel
• congress
• united states government
• law
• teamwork
• best practices
• computer programs
• human resources
• minority groups
• national governments
• data analysis
• demography
• electronic mail

Subject Categories:

• Personnel Management and Labor Relations
• Administration and Management

Distribution Statement:

[A, Approved For Public Release]