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SEC O

OURTH

EPORT ON THE

MPLEMENTATION OF

RGANIZATIONAL

EFORM

ECOMMENDATIONS

Table of Contents

Explanatory Note ......................................................................................................................................... 2

Introduction .................................................................................................................................................. 4

Completed Recommendations ...................................................................................................................... 6

Workstream 2A: Reorganizing the Office of Administrative Services (OAS) ............................. 6

Workstream 2A: Reorganizing the Office of Financial Management (OFM) .............................. 7

Workstream 2A: Reorganizing the Office of Human Resources (OHR) .................................... 11

Workstream 2A: Creating the Office of the Chief Data Officer (OCDO) .................................. 13

Workstream 2E: Implementing a Continuous Improvement Program (CIP) .............................. 14

Workstream 3A: Transforming the Office of Information Technology (OIT) and enhancing the

SEC’s technology capabilities .................................................................................................... 15

Workstream 3C: Creating a Technology Center of Excellence .................................................. 17

Workstream 3H: Hiring staff for priority positions ................................................................... 18

Workstream 3G: Developing a capability to monitor and manage market risk .......................... 18

Workstream 2B: Conducting a Regional Organizational Assessment (ROA) ............................ 20

10.

Workstream Decision Process Completed Outside the ESC Governance Process .................................. 22

Workstream 2C: Seeking flexibility from Congress on Dodd-Frank-mandated Offices ............ 22

11.

12.

Workstream 3E: Accelerating the roll-out of the SEC’s Evidence-Based Performance

Management (EBPM) system ..................................................................................................... 22

Workstream 5A: Conducting an outcome-oriented performance measures feasibility study .... 23

13.

Workstream 3H: Hire staff for priority skill positions – administrative skills ............................ 24

14.

Workstream 3G: Enhancing the SEC’s Operational Risk Management capabilities .................. 24

15.

Analysis, Design and/or Recommendations in Process ............................................................................ 25

Workstream 1A/B: Reprioritizing mission activities .................................................................. 26

16.

17.

Workstream 2D: Reviewing the Commission/staff interaction process and delegation of

authority ...................................................................................................................................... 26

Workstream 3D: Restructure OHR (Workforce Planning) ......................................................... 26

18.

19.

Workstream 4ABC: Strengthen Oversight of Self-Regulatory Organizations (SROs); Centralize

and Coordinate Self-Regulatory Organization Interactions ........................................................ 27

Two-Year Program Summary .................................................................................................................... 29

Conclusion .................................................................................................................................................. 34

Appendix A: Acronym List ........................................................................................................................ 35

AGE