Report On The Implementation Of Sec Organizational Reform Recommendations - U.s. Securities And Exchange Comission - 2011 Page 16
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25U.S. S
E
C
– M
A
P
(MAP)
ECURITIES AND
XCHANGE
OMMISSION
ISSION
DVANCEMENT
ROGRAM
R
I
SEC O
R
R
EPORT ON THE
MPLEMENTATION OF
RGANIZATIONAL
EFORM
ECOMMENDATIONS
the development of, and transition plan for, a streamlined, efficient, sharable target data
architecture. The end goal is to create a world-class enterprise data management capability,
supported by an optimized architecture.
Progress to Date: The CDO represents the newest of the Workstream 2A organizational
assessment studies and is in the process of defining its charter and approach for an SEC-wide data
management program. Led by the CDO, the working group is currently developing its vision and
communicating its role and functions to the SEC. The initial focus is on defining and establishing
roles and responsibilities, operational models, decision rights, authorities and the governance
structures required to drive the data strategy. While the overall operating model is under
development and infrastructure options are being considered, the working group is continuing to
build out the core operational data architecture plans and models. The CDO is also preparing to lead
an Enterprise Data Management Assessment to evaluate the current state of the SEC's capabilities
against industry best practices, analyze priorities and gaps, and develop a detailed roadmap and task
plan. All of this information will be captured in an Enterprise Data Management Program Strategy
and Plan by Fall 2011, with core stand-up activities such as the establishment of an executive Data
Governance Council; development and publication of data management policies, processes and
standards; and development of a high-level target Enterprise Data Architecture.
Workstream 2B - Conduct a Regional Organizational Assessment
The OCIE and the Division of Enforcement (Enforcement) are co-leading the regional
organizational assessment workstream to ensure that best practices are leveraged across their
respective programs. Since both OCIE and Enforcement have undertaken large-scale restructurings
in the past two years, this workstream will also review those efforts to determine if additional
changes are appropriate. Specifically, this workstream will critically assess whether today’s
headquarters and regional structure optimally supports the OCIE and Enforcement national
programs. The study will examine areas such as location strategy, role clarity, reporting
relationships, resource allocation and operational support. The workstream will undertake a
disciplined and transparent process to assess the need for any organizational changes with the goal
of maximizing efficiency, effectiveness and collaboration across the agency.
Progress to Date: Under the direction of the Directors of OCIE and Enforcement, the regional
organizational assessment workstream formed four subcommittees focused on developing a
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