U.S. SECURITIES AND EXCHANGE COMMISSION

Office of 

Inspector General 

Strategic Plan

FISCAL YEARS 

2019–2024 

OFFICE OF INSPECTOR GENERAL

U.S. SECURITIES AND EXCHANGE COMMISSION
Contents

A MESSAGE FROM THE INSPECTOR GENERAL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

STRATEGIC ENVIRONMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

OFFICE OF INSPECTOR GENERAL STRUCTURE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

MISSION, VISION, AND VALUES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Mission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Vision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

OIG Leadership Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

OUR APPROACH. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Strategic Goal 1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Strategic Goal 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Strategic Goal 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

OIG GENERAL OFFICE CONTACT INFORMATION . . . . . . . . . . . . . Inside Back Cover
OIG STRATEGIC PLAN, FISCAL YEARS 2019–2024 | 1

A MESSAGE FROM THE INSPECTOR GENERAL

I am pleased to present the U.S. Securities and Exchange 

Commission (SEC) Office of Inspector General (OIG) Strategic 

Plan for Fiscal Years 2019 to 2024. The Plan provides an 

overview of the OIG’s strategic goals and objectives.

Our Strategic Plan is the culmination of an in-depth process 

requiring much effort, reflection, and dialogue, during which OIG 

staff views and input were solicited and considered when finalizing 

our strategic goals, objectives, and priorities. Our approach is 

to strive for continued excellence with our results, people, and 

processes. We will do this by producing relevant, timely, and 

impactful results; maintaining high staff morale through employee 

engagement and transparent decision making; and leveraging technology to 

share information and foster collaboration.

The securities industry is ever-changing, and we will continue to adapt, fulfilling 

our commitment to the OIG’s mission of promoting the integrity, efficiency, and 

effectiveness of the programs and operations of the SEC. Moreover, the OIG will 

be agile in addressing emerging trends and issues that affect our mission, such as 

forming ad hoc, cross-functional teams to enhance our ability to be responsive.

These strategic goals will guide the OIG staff as we continue our efforts to oversee 

the SEC’s programs and operations and to bring positive change to the SEC. 

CARL W. HOECKER

Inspector General
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STRATEGIC ENVIRONMENT

The SEC’s mission is to protect investors; maintain fair, orderly, and efficient 

markets; and facilitate capital formation. The SEC promotes a market environment 

worthy of the public’s trust and characterized by transparency and integrity. 

Over the past decade, the markets, products, and participants that the SEC oversees 

and regulates—including investment advisers, mutual and exchange-traded funds, 

and broker-dealers—have grown in size and complexity, creating several challenges 

for the SEC as it carries out its mission. To keep pace with increasingly complex 

markets, the SEC is investing in its information technology and infrastructure, 

developing new analytic capabilities, and deploying tools and platforms to store 

and process increasing volumes of data.

OFFICE OF INSPECTOR GENERAL STRUCTURE

The OIG is composed of the Office of Audits, the Office of Investigations, 

the Office of Counsel to the Inspector General, and the Office of Operations 

and Management. The Office of Audits conducts, coordinates, and supervises 

independent audits and evaluations of the agency’s programs and operations. 

The Office of Investigations investigates allegations of criminal, civil, and 

administrative violations relating to SEC programs and operations by SEC 

employees as well as external parties. The Office of Counsel to the Inspector 

General serves as the general counsel to the Inspector General in all matters 

relating to the OIG’s operations and activities. The Office of Operations and 

Management is the managing executive function for the OIG. 

The OIG has continued to develop a culture of leadership, which will ensure 

consistency and continuity in the OIG’s business practices and operations. Our 

strategic planning process provided OIG employees with opportunities to contribute 

to the development of the OIG’s strategic goals, objectives, and priorities. 
OIG STRATEGIC PLAN, FISCAL YEARS 2019–2024 | 3

MISSION, VISION, AND VALUES

Mission

The mission of the OIG is to promote the integrity, efficiency, and effectiveness of 

the critical programs and operations of the SEC. We accomplish this mission by 

the following:

• Conducting independent and objective audits, evaluations, and other reviews of 

SEC programs and operations;

• Conducting independent and objective investigations of potential criminal, civil, 

and administrative violations that undermine the ability of the SEC to accomplish 

its statutory mission;

• Preventing and detecting fraud, waste, and abuse in SEC programs and operations;

• Identifying vulnerabilities in SEC systems and operations and making 

recommendations to improve them;

• Communicating timely and useful information that facilitates management 

decision making and the achievement of measurable gains; and

• Keeping Congress and the Chairman and Commissioners fully and currently 

informed of significant issues and developments.

Vision

The OIG is an independent, professional organization that contributes to the 

success of the SEC and acts as a catalyst for positive change in the SEC’s programs 

and operations. We realize this vision by being engaged, insightful, proactive, 

and versatile.
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Values

The SEC has recognized several values that apply to the SEC’s work. These values 

are also fundamental to the OIG’s accomplishing its mission and conducting its 

daily operations.

INTEGRITY: Consistent with the Inspector General Act of 1978, as amended, 

the OIG is independent and objective in its activities. We hold ourselves and 

each other to the highest ethical standards.

EXCELLENCE: The OIG is committed to the highest standards of excellence in 

pursuit of its mission.

ACCOUNTABILITY: The OIG embraces the responsibility with which it is 

charged. We hold ourselves accountable to the public and take responsibility 

for achieving the OIG’s mission.

EFFECTIVENESS: The OIG strives to work creatively, proactively, and 

effectively in performing its oversight work and continually looks for ways to 

make its business processes more efficient and effective.

TEAMWORK: The OIG recognizes that its success lies in working together; 

fostering an inclusive and mutually supportive environment; and providing each 

team member opportunities to contribute, develop, grow, and learn. 

FAIRNESS: The OIG treats its employees and all its stakeholders with dignity, 

fairness, professionalism, and respect. We follow applicable professional 

standards and ensure that we make decisions in a fair and ethical manner.
OIG STRATEGIC PLAN, FISCAL YEARS 2019–2024 | 5

OIG Leadership Values

OIG management has identified the following leadership values, which guide OIG 

leadership in its daily endeavor to strive for continued excellence with our results, 

people, and processes.

INTEGRITY: OIG leaders do the right thing for the right reasons. Our 

actions are guided by consistent principles of honesty, accountability, fairness, 

courage, trust, and humility. We focus on what is essential for the success 

of the collective entity, take responsibility for actions, and set the tone of 

professionalism for the OIG.

COMPETENCE: OIG leaders are skilled in their fields of expertise and know 

how to lead others for accurate, reliable, value-added results. We develop and 

mentor our staff, set the right goals and objectives, and adapt to changing 

conditions to achieve optimal effectiveness, efficiency, and organizational 

success. We set the standard of excellence.

COLLABORATION: OIG leaders openly communicate, work well together, 

and facilitate harmonious communication internally and externally. We 

welcome the exchange of information, feedback, and other points of view to 

achieve OIG’s mission. We affirm our commitment to constant improvement, 

effective and creative approaches to problem solving, and successful 

stakeholder relationships.
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1

GOAL

OUR APPROACH: THE OIG STRIVES FOR 

CONTINUED EXCELLENCE WITH OUR RESULTS, 

PEOPLE, AND PROCESSES.

STRATEGIC GOAL 1: Deliver results that promote integrity, efficiency, 

and effectiveness in the SEC’s programs and operations.

OBJECTIVE 1.1: Produce relevant, timely, and impactful results.

Priorities:

• Issue accurate, clear, concise, and convincing products. 

• Continuously monitor and assess SEC programs and operations to identify 

emerging and high-risk areas, and target resources accordingly.

OBJECTIVE 1.2: Continually enhance the quality of our products in 

accordance with applicable professional standards.

Priorities:

• Identify opportunities to enhance quality controls and streamline 

reporting processes. 

• Ensure the integrity of OIG operations through effective quality 

assurance programs.
OIG STRATEGIC PLAN, FISCAL YEARS 2019–2024 | 7

2

GOAL

STRATEGIC GOAL 2: Advance an inclusive and dynamic OIG culture 

that inspires high performance.

OBJECTIVE 2.1: Maintain high staff morale through employee engagement 

and transparent decision making.

Priorities:

• Leverage individual and team contributions to achieve high-level organizational 

performance.

• Employ, retain, and engage a highly qualified, motivated, and diverse workforce.

• Promote initiatives that improve employee satisfaction and foster a positive 

work environment. 

• OIG management will foster transparent environment that includes updating staff 

on decisions/direction affecting the OIG. 

OBJECTIVE 2.2: Increase collaboration and staff knowledge to promote 

information sharing, continuous learning, and teamwork in support of the 

OIG’s mission.

Priorities:

• OIG management will create more collaborative communication opportunities to 

enhance staff’s understanding of critical issues and decisions.

• Encourage collaboration and information sharing throughout the OIG.

• Provide opportunities for staff to develop professional and leadership skills.
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3

GOAL

STRATEGIC GOAL 3: Improve the effectiveness and efficiency 

of OIG processes through continuous innovation, collaboration, 

and communication.

OBJECTIVE 3.1: Leverage technology to share information and 

foster collaboration.

Priorities:

• Seek opportunities to use technology to improve information gathering 

and presentation.

• Continue to provide employees with the information technology and tools 

that enhance mobility, collaboration, and communication.

OBJECTIVE 3.2: Enhance the OIG’s processes to further the OIG’s mission.

Priorities:

• Review, solicit feedback on OIG policies, procedures, and processes to identify 

potential improvements and/or sound business practices.

• Review SEC policies and procedures to assess OIG applicability and issue 

guidance to staff as needed. 

• Develop and use innovative methods to identify oversight opportunities. 

OBJECTIVE 3.3: Continue the OIG’s efforts to communicate the mission and 

role of the office to our stakeholders.

Priorities:

• Continue effective communication with internal and external stakeholders.

• Enhance outreach efforts to promote awareness of the OIG’s mission.
OIG GENERAL OFFICE CONTACT INFORMATION

PHONE: (202) 551-6061 

WEB: sec.gov/oig

MAIL: Office of Inspector General

 U.S. Securities and Exchange Commission

 100 F Street, NE

 Washington, DC 20549-2977

REPORT FRAUD, WASTE, OR ABUSE 

To report suspected fraud, waste, or abuse in SEC programs or operations, as well 

as SEC staff or contractor misconduct, use our online OIG hotline complaint form, 

sec.govcomhotline.com/, or call (833) 732-6441. This number is answered 

24 hours, 7 days a week.

Information received is held in confidence upon request. Although the OIG 

encourages complainants to provide information on how we may contact them 

for additional information, we also accept anonymous complaints.

EMPLOYEE SUGGESTION PROGRAM

The OIG SEC Employee Suggestion Program, established under the Dodd-Frank 

Wall Street and Consumer Protection Act, welcomes suggestions by all SEC 

employees for improvements in the SEC’s work efficiency, effectiveness, productivity, 

and use of resources. The OIG evaluates all suggestions received and forwards 

them to agency management for implementation, as appropriate. SEC employees 

may submit suggestions by calling (202) 551-6062 or sending an e-mail to 

OIGESProgram@sec.gov.

COMMENTS AND IDEAS

The SEC OIG also seeks ideas for possible future audits, evaluations, or reviews. 

We will focus on high-risk programs, operations, and areas where substantial 

economies and efficiencies can be achieved. Please send your input to 

AUDPlanning@sec.gov. 
OFFICE OF INSPECTOR GENERAL