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The performance target was met for FY 2012. The CFTC reorganization was completed in 2012. The Commission has established key leadership positions and all employees have been assigned or reassigned to the appropriate offices and/or divisions within the CFTC. The Commission has also established mission-critical positions on an as-needed basis.

The performance target was met for FY 2012. High-level project tracking/management processes were implemented in OED and ODT, the Commission's primary project management organizations. New BPACs, which are organized by mission activity and linked to the budget and strategic plan, have been established and were implemented at the beginning of FY 2013 as highlighted in the plan. This will greatly enhance the CFTC's cost accounting and budget planning capabilities and continue to enhance the CFTC's stewardship of appropriated funds and overall efficiency.

The performance target was met for FY 2012. The automated hiring project was completed on budget and implemented for six major occupational groups on September 14, 2012. The Commission assessed and procured the best fit system based on requirements, while improving the recruitment processes to maximize efficiency gains from automation factors. An automated hiring system is designed to streamline the hiring process; improve the Commission's ability to meet the Office of Personnel Management's 80-day hiring timeline; provide electronic notification to the applicants; provide electronic access to certificates by hiring managers; position the Commission to remain competitive in the labor market by enabling online applications; ensure the Commission is able to resume posting its own jobs; and free up human resources specialists from routine work, allowing them to devote more time to the higher level consultative role with hiring managers (e.g., workforce planning and recruitment).

Hiring at the CFTC was primarily a manual process which required significant manpower and time to complete. It required the receipt of hard copy or softcopy applications which were then printed and logged into a database. This manual process was less efficient, more time consuming, and slower than the automated alternative. An assessment of the CFTC's hiring readiness concluded that an automated system was essential to meeting projected hiring goals for Dodd-Frank Act implementation. Failure to implement an automated hiring system would require additional resources to meet those hiring goals because of the labor-intensive nature of the manual process.

This new online application capability is fully functional and is essential for the CFTC to remain competitive in attracting applicants in the current and future labor market.

The performance target was met for FY 2012. With the Chairman announcing that timely hiring was essential to stepping up to the CFTC's mission under the Dodd-Frank Act, managers embraced the role of planning for and streamlining the recruitment process. Successful steps taken toward 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. The implementation of the automated staffing system at the end of FY 2012 should further improve the CFTC's average time to hire by improving recruitment business processes.

The performance target was not met for FY 2012. Based on results from the 2011 Employee Viewpoint Survey (EVS), the Commission implemented an action plan during FY 2012 to maintain progress in promoting continuous improvement in the CFTC work environment. A number of seminars and workshops were sponsored to enhance the Commission's wellness programs during the year. As a result, the 2012 EVS reflected strong improvements in satisfaction related to the various work-life programs offered by the CFTC (up 28-66 percent over 2011 results). CFTC employees also continue to remain a source of strength in meeting Commission mission goals and objectives. Survey items 7, 8, and 28 all indicate that CFTC employees are a committed workforce that regularly look for ways to improve work processes, willing to put forward the extra effort to get their job done, and feel that the overall quality of the work performed by their unit is highly favorable. The result illustrated a 1.0-2.6 percent increase in positive responses for 2012 over 2011, with positive response rates between 89.9 percent and 98.6 percent overall.

However, with the implementation of the Dodd-Frank Act, the Commission is in transition. The workforce is taking on expanded responsibilities and the demographics of the workforce are changing as well. The workforce with fewer than three years of service is roughly 28 percent.

CFTC's overall employee satisfaction declined by 5.6 percent which resulted in a drop in the Commission's ranking from 8th to 12th among 29 small agencies as one of the Best Places to Work in 2012. In response, the Commission will implement a new action plan based on these latest survey insights during the FY 2013.

More information on the ratings of the CFTC can be found on The Best Places to Work in the Federal Government website, http://bestplacestowork.org.

The performance target was met for FY 2012. By year end, the CFTC expanded its regulatory training vision by procuring and deploying a total of eight regulatory training programs. The programs increased the knowledge profile of the Commission in both current and emerging areas of mission responsibility; more than 50 percent of the Commission participated in formal regulatory training in FY 2012, including employees from every division. The training was particularly focused on enhancing knowledge of the swaps market. In addition to an expanded cadre of classroom courses, the Commission also increased its usage of on-demand computer-based regulatory training, including accessing more than 150 courses from multiple providers that allowed employees to obtain "just-in-time" learning solutions that could be immediately applied in the oversight of the financial marketplace.

The Commission expanded its focus on management and leadership training, providing courses on critical thinking, crucial conversations, project management, generational differences, contracting officer training/refresher training, effective meetings, and situational leadership. The Commission piloted an executive coaching program to further enhance the decision-making capacity of senior leaders. Using enhanced technology, the Commission created a knowledge sharing program where employees in a division can pass along tacit knowledge within their division and throughout the Commission by capturing and making available short video learning modules. In addition to general regulatory, management, and leadership development curriculum, the Commission also completed a specific Business Managers Curriculum that will be deployed, pending funding availability.

The performance target was met for FY 2012. In July 2012, the CFTC broadened its mentoring effectiveness by deploying an enhanced program within DOE. The program was designed to help employees specifically gain a better understanding of what they need to do to assimilate to their roles, improve in their positions of record, and/or advance in their careers within DOE. The program has helped to create a robust learning culture which actively values ongoing learning and professional development, encourages greater communications, improves cooperation, and promotes collaboration within the division and with external stakeholders. Twenty-six individuals are currently participating in the DOE program. The program has visible senior leadership sponsorship; all participants complete a business strengths assessments/inventory which helps to identify areas of strength and improvement. To better prepare mentors for their important role, the Commission developed a mentor handbook, action planning log, and templates for discussion. The templates were utilized to enrich and provide focus for the mentor/mentee dialogue. The program has been successful, in large measure, because it provides employees with clarity regarding how they can be more effective, and it provides mentors with a forum to exchange and provide knowledge that will ensure the professional growth of participants.

The performance target was met for FY 2012. IT expenditures and budget estimates are now categorized by BPAC mission activities. IT budget exhibits submitted to the OMB for the FY 2014 President's Budget identified major IT investments by mission activities. The ODT FY 2013 annual IT Operating Plan (ITOP) identifies the primary mission activity for each IT project and is linked to the IT Strategic Plan (ITSP) through IT strategic objectives that are aligned with CFTC Strategic Plan objectives.

The performance target was not met for FY 2012. Critical milestones focused on the design and implementation of application restart-ability of Tier 1 (Mission Critical) and Tier 2 (Mission Essential) systems at the Commission's Alternate Computing Facility (ACF). In FY 2012, the Commission designed and implemented the critical storage, servers, virtualization, and telecommunications required to support the service restart-ability at the ACF. In the event of an unplanned or planned data center failure or voluntary shutdown, the Commission's Tier 1 and 2 systems can be available and fully functional at the ACF. The system can be consumed by end-users who reside at Commission headquarters, regional offices, or remote locations. In FY 2013, the final phase of the Business Continuity project will provide restart-ability for the Tier 3 systems.

The performance target was not met for FY 2012. The Commission achieved several key milestones during this reporting period. The "enterprise data warehouse" has been established. The system that will replace FILAC (Filings and Actions System) for the CFTC registration, OPERA (Organizations, Products, Events, Rules, and Actions), continues to progress and collects industry submitted data electronically through a newly developed CFTC extranet portal. The portal system feeds data into a central CFTC enterprise data warehouse. There are a number of active projects that leverage the CFTC portal and build upon the enterprise data warehouse (e.g., Ownership Control Reporting (OCR), DMO and DCO financial reporting (Parts 38 and 39); additional data system feeds will be built iteratively as time and budget allow. (50 percent)

The Commission has begun communications with industry participants about new CFTC data collection methods and its enterprise data warehouse. In addition, all system activities are being developed using a service oriented architecture (SOA)—OPERA, CFTC portal, Personnel Clearance System (PCS), Vendor Contact Management System (VCMS), Unified Reporting, and other systems are all being built with 100 percent compliance to the IT SOA standards. Web services and data services supporting automated data interchanges with NFA, the Office of Financial Research (OFR), SEC, and other external regulators will be communicated as capabilities are developed during Dodd-Frank Act implementation. (100 percent)

The OPERA system to replace FILAC is scheduled to be completed in the second quarter of FY 2013. (75 percent)

The performance target was met for FY 2012. The CFTC has worked closely with the SDRs and SDR applicants to set up the following for SDRs which are either provisionally or finally registered with the Commission:

• Increased Internet bandwidth. The number of dedicated connections will be driven by data interchange volume with each SRO or SDR.
• Developed SDR onboarding plans for SDRs which are provisionally or finally registered and continue developing onboarding plans for SDR applicants which are still under consideration.
• Executed MOU with the SDRs to provide staff with access to SDR data that is reported voluntarily and under Part 45 of the CEA.
• Implemented the process to grant, manage and revoke access to Commission staff to SDR data.
• Developed additional requirements for reporting and analysis of swaps data reported to SDRs.

The performance target was not met for FY 2012. Critical milestones achieved during this reporting period included:

• eDiscovery preservation and legal hold was implemented earlier this fiscal year with the procurement and implementation of EnCase software within the OGC. (100 percent)
• The original intent for enhancements to document search and retrieval software was to upgrade Concordance with the latest version, which included the Vivisimo integrated search tool. Subsequent decisions have resulted in a procurement to replace Concordance with a different tool and its associated search capabilities. This procurement was completed and a product called Relativity was purchased. A pilot project for Relativity has been initiated with full rollout expect in FY 2013. (80 percent)
• Taxonomy was completed in the third quarter of FY 2012 and an Enterprise Search pilot was initiated. The Enterprise Search pilot is scheduled to be completed in the first quarter of FY 2013 with a full rollout of the Enterprise Search functionality phased in FY 2013. (80 percent)
• All division collaboration sites have migrated to CFTCnet. (100 percent)

The performance target was met for FY 2012. During the year the Commission completed the reengineering of the BPACs to enhance cost accounting, reporting, and budget planning; and implemented a repository to create and maintain BPACs. The new BPAC code structure is organized by mission activity and directly links to the budget and strategic plan. These BPACs were used Commission-wide for the first time in the ongoing formulation of the FY 2014 President's Budget.

Training for all CFTC staff was provided on the organization of the new BPACs and use of a Commission-wide time and attendance worksheet, which standardized time-keeping data gathering and entries and replaced a number of other time-keeping tools. The Commission will continue to monitor BPAC usage, enhance division level reporting capabilities, and incorporate the new codes into all budget, procurement, and accounting-related business processes.

The performance target was met for FY 2012. The CFTC Management Control Reviews were conducted and documented. Recommendations are being implemented. The Chairman and the CFO were able to give unqualified FMFIA management assurance.

The performance target was not met for FY 2012. The Commission's timeline was delayed in order to resolve unanticipated system compatibility issues which required the Commission to identify and evaluate alternative hosting services for WebTA. Specifically, a feasibility study was conducted to assess options and, based on this evaluation, the CFTC and USDA's National Finance Center (NFC) entered into an interim interagency agreement on July 31, 2012, to provide WebTA Hosting Plus services. The hosting service will allow the CFTC to efficiently transmit time and attendance data to NFC for processing. The decision to have NFC provide the WebTA Hosting Plus service is important in that NFC will provide assistance not only with implementing WebTA, but also with transitioning from the current time and attendance reporting STAR-web system to the WebTA system. As the host agency, NFC will also provide a WebTA Helpdesk to receive and respond to inquiries regarding functionality and system access.

The CFTC is currently working with NFC and the WebTA contractor to finalize the software development phase of the project. Once this phase is completed, NFC and CFTC will be able to finalize the interagency agreement and prepare a timeline for implementation. One major challenge in completing the software development phase has been programming the WebTA system with the CFTC's BPAC. Incorporating the BPAC structure into WebTA is important to implementation in that it will improve the Commission's ability to monitor labor costs associated with mission activities.

The WebTA implementation is projected to begin in the spring of FY 2013. At that time, the CFTC will conduct user acceptance testing; provide training on the WebTA system to supervisors/managers, timekeepers, and employees; and pilot test the system in two divisions to identify and resolve any issues before Commission-wide implementation.

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