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PERFORMANCE MEASURE 5.1.1.1 Executive approval and Commission adoption of efficient and effective organizational design. FY 2011 – Assess and identify organizational requirements. Prepare and design functional organization blueprints. Recommend and obtain approval for new organizational structure. Percentage of critical milestones complete.

Lead Program Office: Office of Executive Director (OED); Human Resources (HR) Data Source: CFTC Active Directory; National Finance Center Verification: Confirmed by division sign-off on crosswalks between old and new structure; documentation in the NFC personnel/payroll system; and the CFTC network directory
ACTUAL FY 2011	PLAN FY 2011	PLAN FY 2012	PLAN FY 2013	PLAN FY 2014	PLAN FY 2015
100%	100%	100%	100%	100%	100%

The performance target was met for FY 2011. The Commission was able to successfully assess and identify organizational requirements, prepare and design functional the organization blueprint, and obtain approval for the new organizational structure. Successful coordination by all agency participants allowed the reorganization project to meet its objective for the current reporting period. CFTC was able to identify, develop, and publish a template used to devise the new responsibilities of each Division to support the expanded scope of the agency mission under the Dodd-Frank Act. In addition, the development of a thorough project plan with a timeline through the effective date and tracking the project with weekly PMO reports provided communication and feedback throughout the process. However, the degree to which administrative systems had become more complex, automated, and interdependent since the last agency reorganization in 2002 resulted in longer lead times at each step in the process. In the end, planned and actual results were well aligned, despite a challenging deadline.

PERFORMANCE MEASURE 5.2.1.1 Develop, adopt, and implement a comprehensive planning process. FY 2011 – Develop and adopt well-defined and integrated planning process. Percentage of critical milestones complete.

Lead Program Office: Office of Executive Director (OED); Business Management and Planning (BMP) Data Source: CFTC Strategic, Budget, and Annual Operating Plan Manual Verification: Management review and approval
ACTUAL FY 2011	PLAN FY 2011	PLAN FY 2012	PLAN FY 2013	PLAN FY 2014	PLAN FY 2015
50%	100%	100%	100%	100%	100%

The performance target was not met for FY 2011. Although significant progress was made in developing and documenting a comprehensive planning process, it was not fully implemented in FY 2011 and therefore did not meet the performance target. During FY 2011 OED built on the momentum of the new strategic planning process, defined and documented an integrated planning process, and piloted the operational and project planning processes within OED. In FY 2012, the office is implementing and beginning the monitoring phase CFTC-wide.

As of the publication of this Annual Performance Report, an OED Performance Plan with OED Office goals and milestones has been approved by the Executive Director. In addition, a planning onsite was held at the Commission level to discuss agency priority goals and quarterly reporting on the Strategic Plan performance measures will be initiated in March 2012.

PERFORMANCE MEASURE 5.3.1.1 Assess, develop, and implement automated hiring system. FY 2011 – Assess and procure best fit system based on CFTC requirements. Develop and/or improve recruitment business processes to maximize efficiency gains from automation. Percentage of critical milestones complete.

Lead Program Office: Office of Executive Director (OED); Human Resources (HR) Data Source: Statement of Work Verification: Documentation of public notice and competition in conformance with the Federal Acquisition Regulations confirms status of procurement stage of project
ACTUAL FY 2011	PLAN FY 2011	PLAN FY 2012	PLAN FY 2013	PLAN FY 2014	PLAN FY 2015
100%	100%	100%	100%	100%	100%

The performance target was met for FY 2011. The Commission was able to assess and procure the best fit system based on requirements, while improving the recruitment processes to maximize efficiency gains from automation. Factors contributing to the successful completion of the Statement of Work (SOW) included thorough research on the available system options as well as reference checks on past performance of potential vendors of this specialized software support.

An unexpected determination that the acquisition could not be expedited by the use of an existing contract between a software vendor and the National Business Center personnel/payroll system, operated by the Department of the Interior (DOI), was a significant obstacle during the fiscal year. While this occurence lengthened the time required for the procurement as well as raise the overall cost, it provided the necessary time for added discussions within the Commission around features that could be omitted, holding costs associated with the project at optimal levels.

While a signed contract is not yet in place, the performance goal was set at an approximate target time and the deviation from that deadline is offset by the added information obtained in dealing with the unforeseen challenges to date that should result in a system that is more precisely tailored to CFTC recruitment needs.

PERFORMANCE MEASURE 5.3.1.2 Improve time to hire from 150 days to 80 days. FY 2011 – Improve time to hire by 10% in each of the next five years—saving 15 days. (Number of Days)

Lead Program Office: Office of Executive Director (OED); Human Resources (HR) Data Source: HR SharePoint Database Verification: Internal Review of Documentation (SF-52, SF-50)
ACTUAL FY 2011	PLAN FY 2011	PLAN FY 2012	PLAN FY 2013	PLAN FY 2014	PLAN FY 2015
79	135	122	110	99	89

The performance target was exceeded for FY 2011. With the Chairman announcing that timely hiring was essential to stepping up to our mission under the Dodd-Frank Act, the managers embraced the role of planning for and streamlining the recruitment process. Successful steps taken towards these ends were mapping the desired end-state of their workforce; allowing consolidation of recruitment actions where appropriate; sequencing announcements so that managerial positions were filled first, allowing those new selecting officials to have a role in staffing their organization; emphasizing the use of proven streamlining strategies, such as category ranking of applicants and referral of resumes in electronic form; and continuing review sessions for managers – especially those new to the federal sector – in key skills such as interviewing in conformance with the Merit System Principles.

PERFORMANCE MEASURE 5.3.2.1 The CFTC is consistently rated by its employees as a small agency workplace of choice and listed annually as one of the top 10 best places to work in the Federal government (small agency category). The CFTC identifies low scores determined to be of most significance to the Commission year over year to inform its improvement plans. (Agency Ranking)

Lead Program Office: Office of Executive Director (OED); Human Resources (HR) Data Source: Survey Results (U.S. Office of Personnel Management, per 5 CFR 250) Verification: External verification, published by The Partnership for Public Service
ACTUAL FY 2011	PLAN FY 2011	PLAN FY 2012	PLAN FY 2013	PLAN FY 2014	PLAN FY 2015
8	10	10	10	10	10

The performance target was exceeded for FY 2011. By clearly addressing past employee input to the annual Employee Viewpoint Survey (EVS), (i.e. offering an expanded telework program), CFTC has captured the potential value of this tool for providing insights into the needs and perspectives of the workforce we are challenged to recruit, develop, and maintain. This is also illustrated by the growing employee confidence in the value placed on their survey participation, with a 7.5% increase in positive responses in 2011 to EVS Item 41 – "I believe the results of this survey will be used to make my agency a better place to work".

To preserve the value of this survey by showing responsiveness to employee needs, each agency develops action plans based on survey input. During FY 2011, The Commission focused on two areas: (1) Enhance Human Resources Branch coordination with the Office of Diversity and Inclusion to boost positive responses related to Item 34: Policies and programs promote diversity in the workplace (i.e. recruiting minorities and women, training in awareness of diversity issues, mentoring). The result was a 4.8% increase in positive responses, from 56.3% in 2010 to 61.1% in 2011. The second initiative was mandating enhanced supervisory and managerial training, in order to boost EVS Items 56 - 59 regarding communication with the workforce on CFTC goals and performance outcomes. On the 2011 survey, CFTC did achieve incremental improvement, with the average positive responses for these four questions rising by 1.7%, from 57.6% to 59.3%. Overall, agency initiatives to improve the work environment were rewarded with a final small agency ranking of 8 out of 32 for FY 2011.

Ratings for CFTC can be found on The Best Places to Work in the Federal Government website, http://bestplacestowork.org.

PERFORMANCE MEASURE 5.3.3.1 Develop and implement comprehensive development and education program. FY 2011 – Design learning plan to include legal, technical, regulatory, and specialized training as well as management and supervisory training. Where practical, ensure that programming meets the criteria for continuing education requirements applicable to lawyers and other professionals so that credits may be earned and applied. Implement supervisory training for all new supervisors. Percentage of critical milestones complete.

Lead Program Office: Office of Executive Director (OED); Human Resources (HR) Data Source: Approved Project Plan Verification: Implementation of component programs is recorded in budget documentation and enrollment records in the intranet Training Events and Registration System
ACTUAL FY 2011	PLAN FY 2011	PLAN FY 2012	PLAN FY 2013	PLAN FY 2014	PLAN FY 2015
100%	100%	100%	100%	100%	100%

The performance target was met for FY 2011. The Commission successfully designed a learning plan to include legal, technical, regulatory and specialized training, as well as management and supervisory training; where practical, ensured that programming met the criteria for continuing education requirements applicable to lawyers and other professionals so that credits may be earned and applied; and implemented supervisory training for all new supervisors.

Creation of an enterprise-wide Strategic Learning Initiative was the priority task for the CFTC Chief Learning Officer. Approved by the Chairman after input was received from all divisions, the implementation was a three-pronged approach: Regulatory Training; Management Training; Leadership Development Training. The immediate goal was to support implementation of the Dodd-Frank Act with both enhanced regulatory training and support for the level of expertise now demanded of agency managers as they help lead an agency that is larger and has a more complex mission. Implementation has included new training resources in a variety of formats such as off-the-shelf, customized, online, classroom, in-house seminars, and one-on-one coaching for executives.

To help assure full utilization and value received, each division's training budget is now being spent in coordination with the Chief Learning Officer, allowing the Commission to consolidate training purchases to save money and encourage post-training practice and utilization of the new skills. Examples include a new contract to offer access legal and audit staff access to courses that satisfy continuing education requirements at a small fraction of the price for enrolling employees individually. The offerings to date have been extremely popular, with a large proportion of the agency participating in the events.

PERFORMANCE MEASURE 5.3.3.2 Assess requirements, design, and implement a comprehensive CFTC-wide mentoring program focused on enhancing the competencies of CFTC's current and future workforce. FY 2011 – Assess and design program. Pilot program in the Office of the General Counsel. Percentage of critical milestones complete.

Lead Program Office: Office of Executive Director (OED); Human Resources (HR) Data Source: Approved Strategic Learning Initiative Verification: Documentation of voluntary enrollment and participation by Office of General Counsel (OGC) employees and managers
ACTUAL FY 2011	PLAN FY 2011	PLAN FY 2012	PLAN FY 2013	PLAN FY 2014	PLAN FY 2015
100%	100%	100%	100%	100%	100%

The performance target was met for FY 2011. The Commission successfully assessed and designed a mentoring program, conducting a pilot program in the Office of General Counsel (OGC). The pilot attracted over a third of the OGC employees as participants by generating interest and laying the groundwork through presentations and individual office assessments. The presentations explored the different work and learning styles of the four generational cadres currently making up the CFTC workforce, acknowledging the Commission's need to efficiently manage the knowledge of its senior experts and to share the unique skills each generation brings to the workplace.

PERFORMANCE MEASURE 5.4.1.1 Transparency and process maturity of IT governance for reinforcing business unit and IT partnership. FY 2011 – Integrate Commission strategic planning with IT strategic planning. Percentage of critical milestones complete.

Lead Program Office: Office of Data and Technology (ODT) Data Source: IT Management Road Map and Concept of Operations Verification: Results are documented in formally-accepted contract deliverables
ACTUAL FY 2011	PLAN FY 2011	PLAN FY 2012	PLAN FY 2013	PLAN FY 2014	PLAN FY 2015
100%	100%	100%	100%	100%	100%

The performance target was met for FY 2011. Critical milestones achieved during this period included an integrated IT Strategic Plan, which is illustrated by the roadmap and concept of operations. The Concept of Operations identifies the following target state characteristics:

• IT Portfolio Management (ITPFM) that integrates CPIC, Enterprise Architecture (EA), and IT Strategic Planning (ITSP).
  
  
• Proposal Management coordinating the capture, dissemination, and fulfillment of business needs that might require an IT system implementation.
  
  
• Business cases that capture the reasoning for initiating a project, ensure alignment of the project to the strategic goals and objectives, and are built on evidence derived from feasibility studies or impact analysis to support project objectives.
  
  
• A CPIC select process by which new and existing IT initiatives are screened, scored, and selected for inclusion in the CFTC IT Portfolio.
  
  
• A CPIC control phase is to ensure, through timely oversight, quality control, and executive review, that IT initiatives are managed in a disciplined and consistent manner.
  
  
• A CPIC evaluation phase to measure actual contributions of a new investment towards improving the capability delivered by the portfolio.
  
  
• Strategic IT goals that integrate the business and IT visions and facilitate the dialogue between the IT community and the business leaders of the Commission.
  
  
• Strategic IT objectives that show how an organization creates value for its customers and stakeholders and provide an actionable plan by which to achieve the Strategic IT Goals.
  
  
• An IT Strategic Plan (ITSP) balanced scorecard that improves communications, monitors organization performance against strategic goals, helps planners identify what should be done and measured, transforms the Strategic Plan from a passive document into the "marching orders" for the organization on a daily basis.
  
  
• Explicitly identified strategic IT initiatives that translate strategy into operational terms, and include the specific efforts that need to be executed in order to realize each objective.
  
  
• Enterprise Architecture (EA) program management and a fully-functional and influential EA Program that ensures alignment of strategy, processes and technology.
  
  
• An EA target state that illustrates the composite future state visions of the business, technology, and people, communicating the impact of strategic initiatives in the pipeline.
  
  
• An EA transition strategy provides a plan and roadmap to transform from the current architecture to the target architecture.
  
  
• An improved Project Management Life Cycle (PMLC) that is better integrated with other governance processes and scales to fit all ODT efforts.

PERFORMANCE MEASURE 5.4.1.2 Implementation of IT strategy and architecture for business continuity. FY 2011 – Establish remote data replication of Tier 1, 2, and 3 to the Commission's collocation facility. Percentage of critical milestones complete.

Lead Program Office: Office of Data and Technology (ODT) Data Source: Daily Storage Management System (Infrastructure and Operations Branch) Verification: Continuous internal monitoring of data replication to Alternate Computing Facility (ACF)
ACTUAL FY 2011	PLAN FY 2011	PLAN FY 2012	PLAN FY 2013	PLAN FY 2014	PLAN FY 2015
100%	100%	100%	100%	100%	100%

The performance target was met for FY 2011. Critical milestone achieved during this period included the establishment of remote data replication of Tier 1, 2, and 3 to the Commission's collocation facility. While all three tiers were replicated during the reporting period, telecommunication circuit issues resulted in the continuous replication of only Tiers 1, 2 and eLaw data, until the circuit has been upgraded. The Commission anticipates the upgrade to take place in FY 2012 and full replication operations to resume thereafter.

The Business Continuity project is significant and is a three phase initiative. Phase I is focused on the installation of the appropriate infrastructure to support the replication of the Commission's data between Headquarters (HQ) and the ACF, as described by this performance target. Phase II is focused on the application restart-ability of Mission Critical and Mission Essential classified applications at the ACF. Phase III is focused on application restart-ability of General Administrative classified applications at the ACF. In FY 2011, the Commission established a facility for offsite processing and data storage. The facility provides a highly available infrastructure that allows continued access to data and systems during planned maintenance outages, unplanned disruptions to DC and regional facilities, and catastrophic events. CFTC established a Service Availability Model (SAM) which formalizes the classifications of systems and defines what that means in terms of data loss and time to recovery. This model can be used to present to other program groups, divisions, and eventually the entire Commission. The discrete representation allows customers to determine what is adequate and appropriate based on individual system requirements. Also during the fiscal year, the Commission established replication to the ACF and have deployed a standby server for BlackBerry messenger and redundant servers for Exchange 2010. Current replication includes Exchange email, Home drive data, Shared drive data, SharePoint, eLaw Systems, CFTCnet, Blackberry, and ISS systems. CFTC plans to expand the number of systems being replicated in the future after we increase the bandwidth between the DC office and the ACF.

PERFORMANCE MEASURE 5.4.2.1 Implementation of enterprise data management for effective aggregation, correlation with external data, and increased collaboration with other regulators. FY 2011 – Develop data management governance and policy framework. Develop enterprise data management roadmap. Percentage of critical milestones complete.

Lead Program Office: Office of Data and Technology (ODT) Data Source: Information Management Road Map and Concept of Operations Verification: Results are documented in formally-accepted contract deliverables
ACTUAL FY 2011	PLAN FY 2011	PLAN FY 2012	PLAN FY 2013	PLAN FY 2014	PLAN FY 2015
100%	100%	100%	100%	100%	100%

The performance target was met for FY 2011. The Commission achieved several key milestones during this reporting period, which include the development of the data management governance and policy framework, and an enterprise data management roadmap. The Concept of Operations identifies the following target state characteristics:

• Established information management principles and guidelines.
  
  
• A data asset inventory with metadata elements and values, an established set of synonyms, and authoritative data sources.
  
  
• Enterprise management of taxonomy, metadata, and synonyms.
  
  
• Enterprise information management governance processes that include business partners, data stewards, and senior level management.
  
  
• Use of automated, enterprise metadata and taxonomy management tools.

In addition, the Commission created an enterprise-focused data function by elevating the Office of Data and Technology (ODT) to report directly to the Chairman, providing the Commission with the ability to better leverage data and technology. This will facilitate a comprehensive approach to developing advanced technology investments, automate regulatory functions, and improve the Commission's data analysis.

PERFORMANCE MEASURE 5.4.2.2 Direct Access to SROs and SDRs for effective oversight. FY 2011 – Plan dedicated connections to high volume DCMs and SROs. Percentage of critical milestones complete.

Lead Program Office: Office of Data and Technology (ODT) Data Source: SRO Dedicated Connection Plan Verification: Internal Management Review
ACTUAL FY 2011	PLAN FY 2011	PLAN FY 2012	PLAN FY 2013	PLAN FY 2014	PLAN FY 2015
92%	100%	100%	100%	100%	100%

The performance target was not met for FY 2011. The Commission did establish and draft a SRO Dedicated Connection Plan that was reviewed by management in October 2011 rather than September 2011. Therefore, it can be stated that the performance goal was set at an approximate target level, and the deviation from that level was slight. There was no effect on overall program or activity performance. Critical milestones were achieved by the Commission during this period, including the draft plan of dedicated connections to high volume DCMs and SROs. Current internet capacity bandwidth is being expanded from 45Mbps to155 Mbps. The SRO Dedicated Connection Plan will be initiated once a firm requirement for data transfer activity that exceeds current internet connection bandwidth capacity is established.

PERFORMANCE MEASURE 5.4.3.1 CFTC-wide document and records management and intranet solutions for improved data security collaboration, retention, sharing, and disposal. FY 2011 – Automate rule making support. Implement Forensics Lab. Implement Web site preservation system. Implement CFTCnet. Re-host CFTC.gov to provide improved services. Percentage of critical milestones complete.

Lead Program Office: Office of Data and Technology (ODT) Data Source: Systems and Services in Production Operation Verification: N/A
ACTUAL FY 2011	PLAN FY 2011	PLAN FY 2012	PLAN FY 2013	PLAN FY 2014	PLAN FY 2015
92%	100%	100%	100%	100%	100%

The performance target was not met for FY 2011. Critical milestones to be achieved during this reporting period included automating rule making support, implementing a Forensics Lab, implementing a website preservation system, implementing CFTCnet, and re-hosting CFTC.gov to provide improved services. All the above, except CFTCnet, were completed during this reporting period. CFTCnet was deployed on October 31, 2011, rather than in September 2011. Therefore, it can be stated that the performance goal was set at an approximate target level, and the deviation from that level was slight. There was no effect on overall program or activity performance.

PERFORMANCE MEASURE 5.5.1.1 Reengineer, improve, and implement CFTC's BPACs. FY 2011 – Assess and procure reengineering options for BPAC. Design, develop, and implement BPAC repository to retain all cost accounting codes. Percentage of critical milestones complete.

Lead Program Office: Office of Executive Director (OED); Financial Management (FM) Data Source: BPAC Analysis and Recommendations Final Version Verification: Management review and approval
ACTUAL FY 2011	PLAN FY 2011	PLAN FY 2012	PLAN FY 2013	PLAN FY 2014	PLAN FY 2015
100%	100%	100%	100%	100%	100%

The performance target was met for FY 2011. Critical milestones achieved during this reporting period include completing an assessment of reengineering options for Budget Program Activity Codes (BPAC) within the existing financial system and implementation of a repository to create and maintain BPACs under the current structure. The assessment provided specific recommendations on how to streamline the BPAC structure, decrease ongoing maintenance efforts, and eliminate duplication of other accounting fields. Continuing forward with this effort, the BPAC code structure will be reengineered to provide more cost accounting flexibility, better reporting and decision support around resource allocation, activity based costing and the performance budget process, and other significant long-term benefits to all stakeholders.

PERFORMANCE MEASURE 5.5.2.1 Management control reviews are conducted and documented. Recommendations are implemented. The Chairman and the Chief Financial Officer (CFO) are able to give unqualified Federal Managers' Financial Integrity Act (FMFIA) management assurances. FY 2011 – Conduct program and administrative risk assessments, prepare three-year plan, and begin conducting reviews. Percentage of critical milestones complete.

Lead Program Office: Office of Executive Director (OED); Financial Management (FM) Data Source: FM Annual Control Records Verification: Audited Financial Statements
ACTUAL FY 2011	PLAN FY 2011	PLAN FY 2012	PLAN FY 2013	PLAN FY 2014	PLAN FY 2015
100%	100%	100%	100%	100%	100%

The performance target was met for FY 2011. As it has done in previous years and in accordance with OMB Circular A-123, Management's Responsibility for Internal Control, the Commission conducted program and administrative risk assessments to identify all existing management controls and developed new management controls as necessary. For example, in FY 2011 the Commission received a multi-year appropriation for the first time and new management controls were developed and documented to ensure accurate financial and budgetary accounting of these funds.

Upon completion of the comprehensive risk assessment, a sample of approximately one-third of the identified management controls was selected for a thorough and well documented review. This approach to conducting reviews ensures that all material Commission management controls are reviewed at least every three years. The Office of Financial Management staff worked with the appropriate Commission managers to test and document each of the management controls selected for review in FY 2011. The test results, findings, and recommendations are recorded and stored in a centralized location for use and review by Commission management.

As a result of these efforts, the public accounting firm KPMG LLP, on behalf of the Inspector General, reported that the Commission's financial statements were presented fairly, in all material respects, and were in conformity with the GAAP for Federal agencies. For the fifth consecutive year the Commission had no material weaknesses, and was compliant with laws and regulations. This includes substantial compliance with the Federal Information Security Management Act (FISMA). No significant deficiencies in the controls over financial reporting were identified during the last four fiscal years.

PERFORMANCE MEASURE 5.5.3.1 Implement Web-based time and attendance system. FY 2011 – Conceptualize BPAC structure and configure WebTA to accommodate. Percentage of critical milestones complete.

Lead Program Office: Office of Executive Director (OED); Human Resources (HR) Data Source: BPAC Governance Working Group Documentation Verification: Review of Code Structure in Production System; Approval of BPAC Working Group Members
ACTUAL FY 2011	PLAN FY 2011	PLAN FY 2012	PLAN FY 2013	PLAN FY 2014	PLAN FY 2015
25%	100%	100%	100%	100%	100%

The performance target was not met for FY 2011. During the fiscal year, the Commission developed a basic Budget Program Activity Code (BPAC) structure that is compatible with the WebTA software contracted for purchase. During the remainder of this multi-year project to install WebTA as a front-end timekeeping system supporting CFTC's subscription to the National Finance Center personnel/payroll system, the BPAC Governance Working Group (BGWG) will complete its comprehensive revision of those codes, pilot their installation and use by agency acceptance testers, and roll out the program for agency-wide use as the method for completing the required time and attendance reporting.

Those next steps will benefit from the identification and progress on a number of challenges during FY 2011. Those include the complexity of the project to rewrite specific codes for all agency activities and expenditures, a task now well along and benefiting from additional resources provided by OED to aid in its coordination. Another challenge with a planned but not implemented solution is assuring contractor support for installation of the WebTA software and full, final confirmation of its proper functioning in the CFTC network environment. A remaining challenge is funding the project during a period of budgetary uncertainty.

While this best practice of online timekeeping will yield many benefits in future, including reduced cost and improved timekeeping accuracy, it has also had great utility as the occasion for rethinking the value, purpose, and form of the codes used to capture and report the activities to which each CFTC employee devotes each biweekly tour of duty. A representative committee is rethinking all the codes to assure they reflect the current reality and needs of the workforce that will need to commit to their accurate use. A thorough communication plan on that transformation will support that buy-in by employees, a signal achievement by itself. When completed, however, this piece of infrastructure will also greatly facilitate the agency move to an Activity Based Costing approach to strategic management of resources, an effort being piloted by OED during FY 2012.

 

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