Fourth Report On The Implementation Of Sec Organizational Reform Recommendations - U.s. Securities And Exchange Commission - 2013 Page 14
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R
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SEC O
R
R
OURTH
EPORT ON THE
MPLEMENTATION OF
RGANIZATIONAL
EFORM
ECOMMENDATIONS
• OCDO created a consistent data architecture for SEC.Gov, EDGAR Modernization and
Enterprise Data Warehouse (EDW) which will serve as a foundation for future
development in these areas.
• To increase our ability to use advanced analytics tools, OCDO implemented a state of the
art capability to do analytics on data coming in from multiple sources, including
EDGAR, the Tips Complaints and Referrals System (TCR), the HUB, the National
Relationship Search Index (NRSI), Blue Sheets, and eDiscovery. This is the first step of
a multiphase project that will assist with automated triage, data visualization, and early
detection of fraud or abuse with previously unachievable speed and accuracy. It also will
enable seamless searches of data sets to examine activities, identify suspicious behavior,
and assist in quickly tracing the origin of the fraud or abuse.
Installation and
configuration of the tool in the development environment, as well as initial testing, is
under way.
The SEC is in the process of designing an EDW to combine various streams of currently siloed
data that will help the public gain easier access to more usable market data. Progress since the
last report includes the following:
• OCDO is in the process of installing and configuring the EDW Appliance, an Extract,
Transform, Load (ETL) (data movement) Tool to handle structured and unstructured
data, and is installing a Data Security monitoring tool in development, stage, production
and Continuity of Operations Planning (COOP) environments.
• OCDO designed a more streamlined approach to provisioning data into the EDW. The
first set of data provisioning will focus on EDGAR and FINRA-related data. SEC
currently is in the planning phase to document the requirements.
5. Workstream 2E: Implementing a Continuous Improvement Program (CIP)
In addition to the ongoing efforts of the CIP described in prior reports, in early FY13, the Office
of Information Technology (OIT) began gathering requirements to establish a Business Process
Improvement Center of Excellence (BPI CoE), and in February 2013, the SEC competitively
awarded a contract to launch it.
The placement of the BPI CoE within OIT ensures that all
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