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.
|Status: Results Not Demonstrated
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.
|1The 2010 National Exercise focused on evaluating continuity capabilities, identifying areas for improvement and enhancing interdependencies with sister agencies; and as such, did not initiate with a “cold start”. (back to text)|
Office of the Executive Director (Chief, Security and Continuity Programs)
In FY 2010, the CFTC tested and assessed its continuity-related capability based on the agency’s participation in the National Level Exercise 2010 – Eagle Horizon 2010 (EH-10). EH-10 was a mandatory, annual exercise for testing and evaluating the continuity capabilities of executive branch departments and agencies. CFTC’s performance in EH-10 was evaluated by a third party contractor.
The exercise objectives as outlined by the U.S. Department of Homeland Security (DHS/FEMA) were to:
The EH-10 was a full-scale exercise based on National Planning Scenario (NPS) #1: Improvised Nuclear Device. The CFTC fully participated in EH-10. The CFTC deployed 15 members of its continuity team to its continuity facility and tested its Continuity of Operations Plan (COOP) capabilities within two hours of EH-10 activation. Once activated, 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 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 FY 2009 and beyond. The CFTC’s continuity program continues to improve through ongoing exercise participation, interagency coordination through the recently established “Small Agency Council Continuity Committee,” IT enhancements, and communications enhancement and cooperation.
During the EH-10, the CFTC Lead Exercise Planner reported on CFTC’s COGCON status. Specifically, it was demonstrated, through the activation of its COOP in EH-10, that the CFTC:
The CFTC’s exercise contractor noted two broad areas of importance. First, “that the CFTC fully accomplished the major things being exercised: the ability to successfully relocate and the ability, once relocated, to carry out day-to-day missions of the CFTC.” And, second, “the positive attitude of CFTC personnel to take the exercise seriously, to adequately prepare for it, and then to ask the kinds of questions that are necessary to support long-term continuity program development.”