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Outcome Objective 4.3

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Outcome Objective 4.3: An organizational infrastructure that efficiently and effectively responses to and anticipates both the routine and emergency business needs of the Commission.

Performance Measure 4.3.1

Performance Measure 4.3.1: Number of hours required to deploy staff and begin mission essential functions at the COOP site.
Status: Effective
Data Source: DHS/FEMA National Level Exercise 2-08 Eagle Horizon 2008 Continuity Evaluation; EOP/OSTP National Communications Systems Directive 3-10 Compliance Report; EH-09 participation and after action report; and DHS/FEMA approval of CFTC MEF/PMEF Designations.
Verification: The Commission’s DHS/FEMA-approved National Level Exercise 2-08 After Action Report; EOP/OSTP-approved NCSD 3-10 Compliance Report; White House-approved MEF/PMEF Designations issued June 2009; and CFTC internal EH-09 observations.
FY 2006
FY 2007
FY 2008
FY 2009
FY 2009
N/A 24 24 12 12

Lead Program Office

Office of the Executive Director (Chief, Security and Continuity Programs)

Performance Analysis & Review

In FY 2009, the CFTC measured its continuity-related performance based on the agency’s participation in Eagle Horizon 09 (EH-09). EH-09 was a mandatory, annual exercise for testing and evaluating the continuity capabilities of executive branch departments and agencies. EH-09 was internally evaluated; the exercise objectives as outlined by the U.S. Department of Homeland Security (DHS)/FEMA were to:

The CFTC fully participated in EH-09. The agency deployed 12 members of its continuity team to its continuity facility and tested its COOP capabilities within two hours of EH-09 activation. The continuity team conducted day-to-day business functions that directly support the Commission’s primary mission essential function (PMEF) from its alternate site and, through observations, provided recommendations for improvements or validated current capabilities and procedures.

In addition to the CFTC’s participation in EH-09 program, the agency assessed and reported on its compliance with the Executive Office of the President’s (EOP) Office of Science and Technology Policy (OSTP), National Communications System Directive 3-10, Minimum Requirements for Continuity Capabilities (NCSD 3-10). Of the 13 communications requirements assessed for headquarters, the CFTC identified requirements that provide meaningful communications capabilities at its headquarters facility and at its alternate facility for continuity missions.

The agency expects to procure and install the Homeland Security Data Network during FY 09. As outlined by the OSTP, CFTC will seek an exemption from requirements that the agency does not need for daily or contingency activities or that are already available to the CFTC through Federal partnerships at its shared continuity facility and other locations. The risk to CFTC from less than full and conventional compliance with NCS and FEMA Directive requirements is low and will not result in a significant impact on the agency’s ability to effectively communicate or support its PMEF during emergencies.

Performance Highlights

In June 2009, the White House validated the CFTC’s Mission Essential and Primary Mission Essential Functions. Validation of the agency’s functions formally provides both the foundation and the goal of CFTC continuity planning and preparedness for the remainder of FY 2009 and beyond. The CFTC’s continuity program is poised for marked improvement through ongoing exercise participation, interagency coordination through the recently established “Small Agency Council Continuity Committee,” and communications enhancement and cooperation. Other performance highlights include: