Outcome Objective 4.2
Outcome Objective 4.2: A modern and secure information system that reflect the strategic priorities of the Commission.
- Annual Performance Goal 4.2: Link business decisions on information technology resources to CFTC strategic goals by establishing a decision-making and review process for allocation of information technology resources.
Performance Measure 4.2.1
| Status: Effective Data Source: Information Technology (IT) budget documents, Project Management Life Cycle documents, and the CFTC Strategic Plan. Verification: IT planning and procurement process meetings with the Chief Information Officer (CIO) and OITS staff are held and documented twice monthly. Meetings assure that planning and procurement are aligned with to the CFTC Strategic Plan. |
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| ACTUAL FY 2007 |
ACTUAL FY 2008 |
ACTUAL FY 2009 |
ACTUAL FY 2010 |
PLAN FY 2010 |
|---|---|---|---|---|
| 100% | 100% | 100% | 100% | 100% |
Lead Program Office
Office of Information and Technology Services (OITS)
FY 2010 Performance Results
100%
Performance Analysis & Review
The CFTC develops its IT resources through a planning and procurement process based on the strategic goals of the CFTC.
The CFTC holds IT planning and procurement process meetings twice a month to assure its alignment of IT resources with the strategic plan. In these meetings, Commission staff review the planning and procurement documents to ensure that adequate resources are requested to support CFTC goals. The planning and procurement process tracks planned and actual budgets and aligns priorities as needed.
Performance Highlights
The CFTC continues to fund IT initiatives in support of its strategic plan. In FY 2010, the Commission invested in:
- Increased storage area network and communications capacity to support surveillance and enforcement data needs;
- Audio visual and teleconferencing upgrades to improve communication with stakeholders and across CFTC divisions;
- Automated FOIA, ethics management, training, and public commenting systems to improve stakeholder communication and business management;
- Electronic records and document management inventorying, requirements gathering, and business process documentation to improve knowledge management;
- Enterprise legal support system (eLaw) extension to general counsel and administrative proceedings organization(s) to improve knowledge management;
- Improvements and capacity increases in computer forensics capabilities to support enforcement investigations;
- Integrated Surveillance System (ISS) automated alerting and workflow and position limit monitoring changes to adapt to market changes;
- Risk analysis system upgrades to adapt to market changes;
- Automated trade surveillance profiling, modeling and alerting to increase trade surveillance;
- Business intelligence systems to increase market transparency;
- Intranet and public-facing Web site improvements to improve knowledge management and stakeholder communications;
- Implementing data standardization for trading activity reporting and planning data standardization for large trader and position limit reporting, trading order book reporting, and trading account ownership and control reporting; and
- Assessing IT management maturity and identifying areas for improving accountability, performance, and control.
Performance Measure 4.2.2
| Status: Effective Data Source: Project Management Life Cycle (PMLC) executive briefing documents. Verification: PMLC documents created by project managers, IT budget documents, and briefing documents. Project managers update the PMLC documents which are routed to and approved by the Deputy CIO and/or CIO. IT Budget documents are reviewed regularly by the CIO and the CFO. |
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| ACTUAL FY 2007 |
ACTUAL FY 2008 |
ACTUAL FY 2009 |
ACTUAL FY 2010 |
PLAN FY 2010 |
|---|---|---|---|---|
| 100% | 100% | 100% | 100% | 100% |
Lead Program Office
Office of Information and Technology Services
FY 2010 Performance Results
100%
Performance Analysis & Review
The CFTC holds IT planning and procurement process meetings twice a month to review investments. In addition, the CFTC conducted IT investment reviews for all of CFTC’s major systems within the last three years. The major systems include TSS, eLaw 1, ISS, and the CFTC network. The CFTC reviews its major systems to ensure that technology is meeting the needs of the CFTC and is properly aligned with the strategic goals of the Commission. These thorough reviews include senior management, business users, IT professionals, and the CFO staff. The reviews found that CFTC’s major systems continue to exceed expectations and are within budget.
Performance Highlights
The CFTC has no major investments that are high risk. Performance of, and results from, major investments in enterprise legal support and market oversight and surveillance compare favorably with those of other Federal regulators and SROs.
Performance Measure 4.2.3
| Status: Effective Data Source: Customer support logs. Verification: Customer support logs are recorded daily and reviewed periodically by the associate director for customer support. |
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| ACTUAL FY 2007 |
ACTUAL FY 2008 |
ACTUAL FY 2009 |
ACTUAL FY 2010 |
PLAN FY 2010 |
|---|---|---|---|---|
| 83% | 84% | 100% | 100% | 100% |
Lead Program Office
Office of Information and Technology Services
FY 2010 Performance Results
100%
Performance Analysis & Review
The CFTC achieved its goal of resolving inquiries within the performance metric to: resolve 80 percent of tickets identified as resolvable on the first contact and within one business day.
The CFTC tracks its customer support inquiries and their resolution through a sophisticated customer support system. The system also allows the CFTC to organize inquiries so that the CFTC can proactively make decisions to improve service and reduce issues.
Performance Highlights
In FY 2010, the CFTC resolved 100 percent of its inquiries within established performance metrics.
Performance Measure 4.2.4
| Status: Effective Data Source: Network logs. Verification: Network logs are recorded daily and reviewed periodically by the associate director for network operations. |
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| ACTUAL FY 2007 |
ACTUAL FY 2008 |
ACTUAL FY 2009 |
ACTUAL FY 2010 |
PLAN FY 2010 |
|---|---|---|---|---|
| 100% | 100% | 100% | 100% | 100% |
Lead Program Office
Office of Information and Technology Services
FY 2010 Performance Results
100%
Performance Analysis & Review
The CFTC maintains connectivity through redundant servers in Washington, D.C. and Chicago. The CFTC received additional funds to upgrade its aging network infrastructure to meet growing needs. The additional funds allowed the CFTC to continue to support its strategic goals by assuring network availability through refreshment of technology.
Performance Highlights
The CFTC completed major upgrades in network infrastructure capacity, functionality, and transition from FTS 2000 to Networx with zero downtime. Additionally, the effect of a fire in the CFTC New York regional office, which prevented building access for several days, was minimized as staff were quickly provided with mobile network access and network resources were migrated from New York to Washington to maintain availability during building reconstitution activities.
Performance Measure 4.2.5
| Status: Effective Data Source: Employee Remote Access Policy and Customer Support Center service ticket logs. Verification: All employees have remote access capability as advertised on the CFTC intranet via the Remote Access Policy. Customer Support Center service ticket logs document that those needing assistance with the available remote access service receive it in a timely manner. |
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| ACTUAL FY 2007 |
ACTUAL FY 2008 |
ACTUAL FY 2009 |
ACTUAL FY 2010 |
PLAN FY 2010 |
|---|---|---|---|---|
| 95% | 100% | 100% | 100% | 100% |
Lead Program Office
Office of Information and Technology Services
FY 2010 Performance Results
100%
Performance Analysis & Review
The CFTC provides employees with remote access to email, intranet resources, and duty station desktop computers.
Performance Highlights
The CFTC is committed to supporting workplace flexibility and providing mobile computing support. To support more telework, remote access server and communication resources were increased and more staff was provided with CFTC-issued laptops and mobile storage devices.
Performance Measure 4.2.6
| Status: Effective Data Source: Accreditation documentation. Verification: Accreditation reviews are conducted and documented by the chief information security officer and approved by the CIO. |
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| ACTUAL FY 2007 |
ACTUAL FY 2008 |
ACTUAL FY 2009 |
ACTUAL FY 2010 |
PLAN FY 2010 |
|---|---|---|---|---|
| 75% | 100% | 100% | 100% | 100% |
Lead Program Office
Office of Information and Technology Services
FY 2010 Performance Results
100%
Performance Analysis & Review
All four major CFTC systems are accredited. The CFTC certified and accredited its major systems, TSS, eLaw, ISS, and the CFTC network, within the last three years. The CFTC will continue to comply with FISMA and safeguard IT assets.
Performance Highlights
The CFTC has decided on the “Twenty Critical Controls for Effective Cyber Defense: Consensus Audit” as the target state for the General Support System (CFTC Network) implemented control set and has begun developing a detailed project plan to implement recommended controls not already in place and prepare for continuous monitoring of the CFTC network security posture.
Performance Measure 4.2.7
| Status: Effective Data Source: E-Government documents. Verification: E-Government documents are created by the OITS staff and reviewed by the CIO. |
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| ACTUAL FY 2007 |
ACTUAL FY 2008 |
ACTUAL FY 2009 |
ACTUAL FY 2010 |
PLAN FY 2010 |
|---|---|---|---|---|
| 100% | 100% | 100% | 100% | 100% |
Lead Program Office
Office of Information and Technology Services
FY 2010 Performance Results
100%
Performance Analysis & Review
The CFTC must use technology effectively and efficiently to meet its mission of protecting market users and the public from fraud, manipulation, and abusive practices related to the sale of commodity and financial futures and options, and to foster open, competitive, and financially sound futures and option markets. Meeting the mandates of the E-Government Act provides direct support for the CFTC in fulfilling its mission.
Performance Highlights
In FY 2010, the CFTC upgraded its public facing Web site to:
- Implement a new visual design to improve the presentation and readability of information throughout the Web site;
- Enhance the homepage to feature easy access to important information and events at the CFTC;
- Improve site navigation and implement dynamic dropdown menus for primary and secondary navigation;
- Provide greater transparency with the implementation of Web pages dedicated to transparency;
- Implement flash enabled headlines and an historical timeline of the CFTC; and
- Implement a Web 2.0 presence featuring YouTube, Flickr, and Facebook.
The CFTC has fully complied with the Federal Open Government Directive by increasing access to public meetings; increasing market reporting transparency; continuing transparency, participation, and collaboration efforts; and participating in the data.gov initiative.
Another successful E-Government Information Technology (IT) innovation was the continued implementation and expansion of eLaw to support our enforcement activities. eLaw is an automated law office that seamlessly integrates technology and work processes to support staff in their investigative, trial, and appellate work. It allows staff to track and monitor all activities related to investigations, discoveries, and litigation plans by integrating best-of-breed commercial, off-the-shelf (COTS) software products (Practice Manager, CaseMap, TimeMap, Concordance, Nexidia, LiveNote, Sanction, and Law Prediscovery). The eLaw program also formed the Commission’s first full-time in-house computer forensics program. The computer forensics program primarily supports the needs of the enforcement division by providing digital evidence collection, preservation, and analysis capabilities assuring that electronic evidence collected by, or provided to, the Commission is authentic and will remain admissible in court proceedings. Expert witness testimony is also provided by the computer forensics staff. eLaw effectively supported 57 enforcement actions and 419 investigations in FY 2010.
We also continued the modernization of our trade surveillance systems, implementing automated alerts, workflow, and complex modeling to improve the detection of trading abuses and market anomalies in FY 2010.
Performance Measure 4.2.8
| Status: Effective Data Source: Annual security and privacy training documents and attendance sheets. Verification: Annual security and privacy training is conducted and documented by the chief information security officer and reported in the agency’s FISMA filing to OMB. |
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| ACTUAL FY 2007 |
ACTUAL FY 2008 |
ACTUAL FY 2009 |
ACTUAL FY 2010 |
PLAN FY 2010 |
|---|---|---|---|---|
| 98% | 99% | 99% | 99% | 98% |
Lead Program Office
Office of Information and Technology Services
FY 2010 Performance Results
99%
Performance Analysis & Review
The Commission met its annual security and privacy training goal. FISMA requires that all Federal employees and contractors receive annual security and privacy training. The CFTC takes security and privacy training very seriously and is proud that 99 percent of the staff participated in security and privacy training this year.
Performance Highlights
The CFTC not only provided annual security and privacy training to staff and contract staff, but also provided training that was highly tailored to the CFTC environment and culture to ensure effectiveness.
1 Refer to CFTC Technology Systems in the Appendix for a description of functionality. (back to text)