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Accession Number:

AD1168952

Title:

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

Author(s):

• Clements, Michael E.

Author Organization(s):

• GOVERNMENT ACCOUNTABILITY OFFICE WASHINGTON DC

Report Date:

2016-12-01

Abstract:

The Dodd-Frank Wall Street Reform and Consumer Protection Act contains a provision for GAO to report triennially on SEC's personnel management. GAO's first report in 2013 (GAO-13-621) identified a number of challenges, such as SEC's lack of a mechanism to monitor supervisors' use of its performance management system, and included seven recommendations. This report examines (1) employee views on SEC's organizational culture since 2013 and (2) SEC's 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 SEC's practices.

Document Type:

Conference:

Journal:

Pages:

114

File Size:

5.11MB

Contracts:

Grants:

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

Identifiers:

• CHCO CHIEF HUMAN CAPITAL OFFICERS)
• COO(CHIEF OPERATING OFFICER)
• FEVS(FEDERAL EMPLOYEE VIEWPOINT SURVEY)
• HCAAF(HUMAN CAPITAL ASSESSMENT AND ACCOUNTABILITY FRAMEWORK)
• OPM(OFFICE OF PERSONNEL MANAGEMENT)

SubjectCategory:

• Behavioral and Social Sciences
• Behavioral and Social Sciences

Communities of Interest:

• Human Systems

Distribution Statement:

Approved For Public Release

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