Report On The Implementation Of Sec Organizational Reform Recommendations - U.s. Securities And Exchange Comission - 2011 Page 20
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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
of existing OIT policies resulted in the elimination of 609 policies (a 91% reduction). Several Lean
Business Process Redesign efforts have been implemented to improve the efficiency and
effectiveness of OIT processes. Additionally, Information Technology Infrastructure Library (ITIL)
Version 3 (an international IT Best Practice) performance measurements, operations, Service Desk
enhancements, and a governance framework were introduced in May 2011.
Several IT systems were placed into production in order to improve the operational efficiency of the
SEC Enforcement, OCIE, Trading and Markets and other divisions. A state-of-the-art automated
business process workflow system was deployed to improve the intake and resolution of Tips
Complaints and Referrals (TCR). The HUB system leverages many of the TCR system components
to provide a more efficient case management system for the Division of Enforcement. In early
August, the TRENDS Examiner Investigation system was deployed for OCIE. The SEC is utilizing
the Edgar Filer System for the collection and storage of Dodd-Frank filing documents in order to
minimize system development and on-going operational costs.
Workstream 3C - Create a Technology Center of Excellence
This workstream will help the SEC better understand the technologies employed by market
participants and venues, while also supplying an awareness of emerging technologies relevant to the
securities markets. The workstream will study technology innovations and identify strong
candidates for internal adoption by the SEC in partnership with all Divisions and the OIT.
Progress to Date: The vision and concept behind the Center of Excellence has been established and
is in development, and a Steering Committee has been appointed to guide the decision making
around the components and technologies that should be considered or introduced at the SEC. The
analysis of best practices and technology benchmarking has commenced and will continue through
2012.
Workstream 3D - Restructure the Office of Human Resources
This workstream is focused on conducting an assessment of the Office of Human Resources (OHR)
organizational structure, resources, functions and processes to develop the OHR strategy and
operating model. Specific areas of study include how to improve service to the agency’s operating
divisions through embedded HR experts, more clearly define OHR’s administration, client relation
and center of expertise functions and specialities, expand and centralize the SEC’s training
programs and streamline the recruitment process. Additionally, this workstream will develop a
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