Diversity And Inclusion - SEC

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DiversityandInclusionSTRATEGIC PLANFISCAL YEARS 2020–2022U . S . S E C U R I T I E S A N D E XC H A N G E C O M M I S S I O N

CONTENTSMESSAGE FROM THE CHAIRMAN .1INTRODUCTION .2DEFINING DIVERSITY AND INCLUSION .3THE MISSION CASE FOR DIVERSITY AND INCLUSION.4GOALS OF THIS DIVERSITY AND INCLUSION STRATEGIC PLAN .5SEC DIVERSITY AND INCLUSION GOALS .6GOAL 1: Demonstrate leadership commitment and accountability .6GOAL 2: Foster a connected culture.7GOAL 3: Build a diverse talent pipeline .9GOAL 4: Leverage diversity and inclusion for mission effectiveness.11GOAL 5: Promote business diversity with SEC stakeholders .12SEC EMPLOYEE AFFINITY GROUPS .13HOW THIS PLAN WAS DEVELOPED .14ENDNOTES.15

“Our continued commitment topromoting diversity, inclusion, and equalopportunity is critical to allowing theCommission to attract and retain talentwith the mix of skills and expertiseneeded to maximize our effectiveness.

MESSAGE FROM THE CHAIRMANThe U.S. Securities and Exchange Commissiondepends on an effective, highly skilled workforce tocarry out its mission—protecting investors; maintaining fair, orderly, and efficient securities markets; andfacilitating capital formation. Our continued commitment to promoting diversity, inclusion, and equalopportunity is critical to allowing the Commissionto attract and retain talent with the mix of skills andexpertise needed to maximize our effectiveness. In addition, leveraging diversity and inclusion throughoutthe agency helps ensure the Commission’s regulatoryprograms and guidance reflect the diversity of theinvestors and businesses who depend on our work.Put simply, in order to perform at the highest level, we need to ensure that our work andour workforce reflect a diversity of thoughts, backgrounds, and experiences.I am pleased to present the SEC’s first Diversity and Inclusion Strategic Plan. This Plan,which was developed with input from staff throughout the Commission, outlines ourgoals and strategies for continuing to build a workforce that will deliver on our missionand fulfill our obligations to the investing public. The Plan also recognizes that diversity, inclusion, and opportunity should be reflected in the outward-facing aspects of theCommission’s work, including through ensuring that our education and outreach effortsadequately encompass underserved communities. Importantly, the Plan sets measurablegoals for Fiscal Years 2020 – 2022 upon which we can evaluate our progress.I have said on many occasions that the Commission’s greatest asset is its workforce.Implementing the Diversity and Inclusion Strategic Plan will help further our broadergoals of increasing our capabilities; leveraging our shared commitment to investors; andpromoting diversity, inclusion, and equality of opportunity among the Commission’sstaff. Each of us is responsible for ensuring the success of this Plan, and I look forwardto working with my colleagues at the Commission to achieve these important objectives.DIVERSITY AND INCLUSION STRATEGIC PLAN, FISCAL YEARS 2020 –2022 1

INTRODUCTIONAt the U.S. Securities and Exchange Commission (SEC), we recognize that ourpeople are our most important asset. We also recognize that diversity, inclusion, andopportunity are essential to the agency’s ability to effectively carry out its mission.These fundamental and value-enhancing tenets of our mission-oriented culture dictatethat we continuously work to attract, hire, develop, and retain high-quality, diversetalent. Doing so allows us to build and maintain a workforce that reflects a diversityof backgrounds and experiences, as well as the diversity of investors and marketparticipants we serve. We also must strive to cultivate an inclusive work environmentin which all employees are meaningfully engaged and have the opportunity to developand succeed. Similarly, beyond our workforce, we are committed to promotingdiversity and inclusion in the SEC’s supplier network and in the industry participantsthe agency oversees.The SEC developed this Diversity and Inclusion Strategic Plan (Plan) for Fiscal Years2020 – 2022 to provide a blueprint to build upon. We aim to continue making progresstoward promoting workforce diversity, inclusion, and opportunity, as well as supplierdiversity, in light of the dynamic and ever-changing nature of the markets we oversee.These dynamics include shifting demographics and emerging technologies that affect theway we work and interact.This Plan includes measurable actions that are designed to help fully integrate diversity,inclusion, and opportunity in the strategic decision-making of the agency, enhanceorganizational effectiveness, and meet future challenges. This Plan envisions that SECleadership, managers, and supervisors in all divisions and offices will assume directresponsibility for its implementation, recognizing that promoting diversity and inclusionand ensuring opportunity are both an individual and a collective responsibility andshould be a prominent part of the fabric and culture of the agency.2 U.S. SECURITIES AND EXCHANGE COMMISSION

DEFINING DIVERSITY AND INCLUSIONDiversity is defined broadly andrefers to the range of similarities anddifferences in individual and organizationalInclusion refers tocharacteristics that shape our workplace.a culture that connectsThese include national origin, language,each employee to therace, color, disability, ethnicity, gender,age, religion, sexual orientation, gender identity,socioeconomic status,veteran status, andfamily structure.The concept alsoencompasses otherdifferences among people,organization; encouragescollaboration, flexibility,and fairness; andleverages diversitythroughout the organization so that allemployees are able to participate andcontribute to their full potential.including geographicdifferences and, importantly,diversity of thought andlife experiences.DIVERSITY AND INCLUSION STRATEGIC PLAN, FISCAL YEARS 2020 –2022 3

THE MISSION CASE FOR DIVERSITYAND INCLUSIONThere is strong support for the conclusion that diversity in both leadership and theworkforce is essential for maximizing mission effectiveness and impact. Researchdemonstrates that organizations with a diverse workforce, especially within the seniormanagement ranks, outperform their peers over time.1 Diverse organizations haveproven to be more capable than their counterparts in attracting top talent, developingstronger relationships with customers and stakeholders, improving decision-makingand innovation, and increasing employee engagement and satisfaction. Incorporatinga diversity of thought and perspectives into an organization’s approach to solvingproblems and furthering its mission helps that organization achieve better outcomes.In addition to these diversity-driven advantages in performance, federal law directs allfederal agencies to seek to achieve a workforce drawn from all segments of society, toensure equal employment opportunity, and to integrate diversity and inclusion as a keycomponent of their human resources strategies.2 Federal law specifically requires federalfinancial regulatory agencies, including the SEC, to develop standards for workforcediversity, and to take specific affirmative steps to seek diversity at all levels of theagency’s workforce in a manner consistent with applicable law.3Diversity alone, however, is not sufficient to achieve these performance advantages.The power of diversity is greatly amplified in organizations that value differencesand cultivate and empower diversity of thought within the organization. A culture ofinclusion is not only essential to equitable and fair practices, but, when coupled withdiversity, inclusion enhances mission effectiveness and innovation. A substantial bodyof research, and our own organizational history, strongly supports the notion thata tangible, continuous commitment to diversity and inclusion, and human capitaldevelopment more generally, creates organizations that are more resilient and effectiveat achieving their missions than organizations that do not invest in, and address, theirpeople and culture.For these reasons, the SEC has embraced diversity and inclusion as both a matter oflegal compliance and as a mission imperative. Continuing, deepening, and expandingour commitment to diversity and inclusion will assist the agency in maintaining thehighest standards of excellence in pursuit of its mission on behalf of investors andmarket participants.4 U.S. SECURITIES AND EXCHANGE COMMISSION

GOALS OF THIS DIVERSITY ANDINCLUSION STRATEGIC PLANThis Plan sets forth five overarching goals in support of diversity and inclusion:12345GOALGOALGOALGOALGOALGOAL 1: Demonstrate leadership commitment and accountabilityDemonstrate leadership commitment and accountability through agencypolicy, messaging, and behavior that advances diversity and inclusion goalsand objectives. (SEC 2018–2022 Strategic Plan Goal 3.1)GOAL 2: Foster a connected cultureCultivate a supportive, welcoming, inclusive, and fair work environment thatallows employees to feel connected to the agency’s mission and contribute totheir full potential. (SEC 2018–2022 Strategic Plan Goals 3.1, 3.5)GOAL 3: Build a diverse talent pipelinePursue a comprehensive strategy to build and maintain a high-performingworkforce drawn from all segments of American society. (SEC 2018–2022Strategic Plan Goal 3.1)GOAL 4: Leverage diversity and inclusion for mission effectivenessUse SEC resources and services in a manner that reflects diversity of investorsand businesses. (SEC 2018–2022 Strategic Plan Goals 1.1, 1.2, 1.3, 1.4, 2.2)GOAL 5: Promote business diversity with SEC stakeholdersAdvance diversity and inclusion in the SEC supplier base and with entitiesregulated by the SEC. (SEC 2018–2022 Strategic Plan Goals 1.4, 2.4, 3.2, 3.4)These five goals are designed to support the three major goals described in the overallSEC Strategic Plan for Fiscal Years 2018 –2022:SEC Goal 1: Focus on the long-term interests of our Main Street investors.SEC Goal 2: Recognize significant developments and trends in our evolvingcapital markets and adjust our efforts to ensure we are effectively allocatingour resources.SEC Goal 3: Elevate the SEC’s performance by enhancing our analyticalcapabilities and human capital development.DIVERSITY AND INCLUSION STRATEGIC PLAN, FISCAL YEARS 2020 –2022 5

GOAL1SEC DIVERSITY AND INCLUSION GOALSGOAL 1: Demonstrate leadership commitment and accountabilityDemonstrate leadership commitment and accountability through agency policy, messaging,and behavior that advances diversity and inclusion goals and objectives. (SEC 2018 – 2022Strategic Plan Goal 3.1)1a. Strategic PlanningMaintain a strategic plan that aligns diversity andinclusion efforts with SEC strategic goals andobjectives.1b. CommunicationStrategyCreate and implement a communications strategythat further elevates diversity and inclusion as akey strategic priority and reinforces leadershipcommitment.Develop additional investor outreach content andengagement initiatives specifically for diverseaudiences, including traditionally underservedcommunities.1c. AccountabilityClarify—through outreach by Office of Minority andWomen Inclusion (OMWI), Office of Human Resources(OHR), and Office of Equal Employment Opportunity(OEEO)—existing diversity and inclusion expectationsfor Senior Officers, managers, and supervisors,including how diversity and inclusion performanceimpacts evaluation results.Explore the feasibility of division- and office-leveldiversity and inclusion performance metrics topromote accountability and best practices.1d. TransparencyRaise awareness by including information aboutdiversity and inclusion on the SEC’s external website,and maintaining a Diversity Dashboard and othertools to provide updated diversity data to SeniorOfficers and SEC employees.6 U.S. SECURITIES AND EXCHANGE COMMISSION

GOALGOAL 2: Foster a connected cultureCultivate a supportive, welcoming, inclusive, and fair work environment that allowsemployees to feel connected to the agency’s mission and contribute to their fullpotential. (SEC 2018 – 2022 Strategic Plan Goals 3.1, 3.5)2a. EqualEmploymentOpportunity2Use quantitative and qualitative data to evaluateprograms and processes and identify barriers thatmay deter inclusivity and opportunity for all.Continue to develop and implement initiativesdesigned to prevent discrimination, harassment, andother actions that undermine our commitment todiversity, inclusion, and equal opportunity.Process, resolve, and adjudicate claims ofdiscrimination, including retaliation.2b. Fair andUnbiased SelectionProcessesAdminister a fair and systematic approach forrecruiting, evaluating, and selecting individualsfor competitive service, excepted service, seniormanagement, and professional developmentprograms, including when assembling selectionpanels.2c. EmployeeEngagement andSatisfactionUse employee feedback, including Federal EmployeeViewpoint Survey data, to create, update, andimplement action plans to improve organizationalculture; encourage leadership approaches thatsupport employee engagement and belonging; andaddress specific employee concerns.2d. CareerDevelopment andMentorshipContinue to sponsor employees for externalleadership development programs (e.g., Excellencein Government Fellows Program, the Women inLeadership Program, and Career AdvancementProgram).Maintain and further develop the SEC MentoringProgram to enhance opportunities for careerdevelopment, and encourage collaboration amongdivisions and offices.DIVERSITY AND INCLUSION STRATEGIC PLAN, FISCAL YEARS 2020 –2022 7

2e. DisabilityInclusionEnsure the SEC work environment is welcoming,accessible, and inclusive of individuals with disabilities;encourage support for programs and activities of theDisability Interests Advisory Committee; and supporthiring and promotion of individuals with disabilities,including the use of special hiring authorities.Ensure SEC’s programs and activities are accessible todiverse segments of the public.2f. Employee AffinityGroups and DiversityCommitteesSupport participation in Employee Affinity Groups(EAGs) and Regional Office Diversity Committees,and programs and activities sponsored by EAGs andDiversity Committees; encourage attendance atprograms commemorating Special Observances andheritage months; and promote engagement by andwith the entire SEC community.2g. Diversity andInclusion TrainingProvide training and education in collaboration withSECU on diversity and inclusion matters.Offer opportunities for agency-wide and targeteddiscussions (e.g., Town Hall meetings, roundtables,and small group discussions) on issues related todiversity and inclusion, such as generational diversity,unconscious bias, disability inclusion, and othercritical topics.8 U.S. SECURITIES AND EXCHANGE COMMISSION

GOALGOAL 3: Build a diverse talent pipelinePursue a comprehensive strategy to build and maintain a high-performing workforcedrawn from all segments of American society. (SEC 2018 – 2022 Strategic Plan Goal 3.1)3a. Outreach andRecruitment3Engage in strategic outreach and broad recruitment,utilizing a variety of sources including diverseprofessional organizations, to maximize the agency’sability to attract a diverse pool of applicants foremployment and internship opportunities.Engage with colleges and universities, includingwomen’s colleges, Historically Black Colleges andUniversities, Hispanic Serving Institutions, TribalColleges and Universities, and other minority-servinginstitutions, through career fairs, networking andrecruiting events.Conduct outreach and recruitment at job fairs andother events hosted by various organizationssupportive of diverse communities, including disabilityadvocacy groups and veterans.Support Regional Offices in their local outreach andrecruitment activities.Support and leverage the SEC’s intern program as arecruiting pipeline, and follow up with students overtime to gauge interest in applying to the SEC forpermanent employment opportunities.3b. DiversityPartnershipsEstablish and maintain partnerships with minority,women, and other diverse professional associationsto help develop and maintain a pipeline of diversecandidates for employment in professionaloccupations, such as attorney, accountant, examiner,economist, and information technology professional.3c. Data-DrivenStrategiesCollect and analyze applicant flow data to track andmonitor employment trends and inform division andoffice outreach and recruitment strategies.Use data sources to inform outreach and recruitmentstrategies.DIVERSITY AND INCLUSION STRATEGIC PLAN, FISCAL YEARS 2020 –2022 9

3d. Senior Officersand ManagersEstablish a goal for enhancing diversity amongSenior Officers using diversity metrics from otherfederal agencies and the private sector asbenchmarks to measure progress.3e. Mid-CareerProfessionalsExplore establishing development opportunities formid-career professionals, such as a rotation program.Consider ways to promote diversity in SEC fellowsprograms in Accounting and Economics.3f. Student InternDiversityEngage organizations that seek to place minoritystudents in internships when feasible, as part of astrategy for recruiting diverse interns and encouragingtheir interest in careers at the SEC and in the financialservices industry.Explore the possibility of paid internships, including,to the extent permitted by applicable law, partneringwith nonprofit organizations that can provideresources, or facilitating the ability for student internsto “split” their summers with paying internshipselsewhere.10 U.S. SECURITIES AND EXCHANGE COMMISSION

GOALGOAL 4: Leverage diversity and inclusion formission effectiveness4Use SEC resources and services in a manner that reflects diversity of investors andbusinesses. (SEC 2018 – 2022 Strategic Plan Goals 1.1, 1.2, 1.3, 1.4, 2.2)4a. DiversePerspectivesPromote diverse participation and perspectives in allfacets of the SEC’s mission and in the SEC’s AdvisoryCommittees.Promote rules and market practices that are effectivein meeting the needs of a diverse public and thatpromote participation in the capital markets for allAmericans.4b. Connectingwith UnderservedCommunitiesEnsure outreach, education, and consultation effortsextend to investors and potential investors andbusinesses in diverse and underserved communities.4c. Public-FacingDiversity andInclusionIdentify opportunities to embed diversity andinclusion priorities into public-facing aspects ofthe SEC’s work. Ensure that diverse voices arerepresented in programming, such as agency-wideevents, mission-focused training, advisory committeecomposition, and participation in roundtables andsimilar events.4d. InvestmentFrauds TargetingDiversePopulationsLeverage the SEC’s diverse workforce, EmployeeAffinity Groups, and regional presence to expandoutreach and enforcement efforts focused onhalting “affinity fraud” schemes that target minoritycommunities, ethnic and religious communities,language minorities, and the elderly.DIVERSITY AND INCLUSION STRATEGIC PLAN, FISCAL YEARS 2020 –2022 11

GOAL5GOAL 5: Promote business diversity with SEC stakehold

Strategic Plan Goal 3.1) 1a. Strategic Planning Maintain a strategic plan that aligns diversity and inclusion efforts with SEC strategic goals and objectives. 1b. Communication Strategy Create and implement a communications strategy that further elevates diversity and inclusion as a key strategic priori

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