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Overview of the FY 2013 Budget & Performance Estimate

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Summary of Requested Increases of $102.7 Million by Activity


Summary of Requested Increases of $102.7 Million by Activity
($ in thousands)
Activity FY 2012
Base		 FY 2013
Request		 FY 2013
Increase		 Percent of $ Increase
Budget FTE Budget FTE Budget FTE %
Total All Mission Activities $205,294 710 $308,000 1,015 $102,706 305 100%
Registration and Registration Compliance $11,073 34 $19,188 63 $8,115 29 8%
Reviews of Products and Rules of Operation 7,540 38 17,585 79 10,045 41 10%
Data Acquisition, Analytics and Surveillance 43,399 140 65,614 205 22,215 65 22%
Examinations 15,937 89 34,907 161 18,970 72 18%
Enforcement 44,293 175 60,394 225 16,101 50 16%
Commission-Wide Economic and Legal Analysis 20,947 64 27,787 88 6,840 24 7%
Commission-Wide International Policy Coordination 3,553 10 5,023 16 1,470 6 1%
Commission-Wide Data Infrastructure 31,214 41 48,449 52 17,235 11 17%
Commission-Wide Management and Administrative Support 26,204 114 27,674 120 1,470 6 1%
Inspector General 1,134 5 1,379 6 245 1 >1%

$102.7 Million Budget Increase by Activity
Activity Percentage
Registration and Registration Compliance 8%
Reviews of Products and Rules of Operation 10%
Data Acquisition, Analytics and Surveillance 22%
Examinations 18%
Enforcement 16%
Commission-Wide Economic and Legal Analysis 7%
Commission-Wide International Policy Coordination 1%
Commission-Wide Data Infrastructure 17%
Commission-Wide Management and Administrative Support 1%
Inspector General >1%

Breakout of $308 Million Budget Estimate by Program


Breakout of $308.0 Million Budget Estimate by Program
($ in thousands)
Program FY 2011
EOY
Employment		 FY 2011
Actual		 FY 2012
Base		 FY 2013
Request1
Budget FTE Budget FTE Budget FTE
Agency Direction 35 $7,907 35 $8,167 34 $8,167 34
Administrative Management & Support 74 16,718 74 18,150 80 19,620 86
Chief Economist 15 2,937 13 3,630 17 7,530 29
Clearing & Risk 54 11,296 50 12,705 56 24,220 103
Data & Technology 80 60,073 80 62,139 85 96,204 122
Enforcement 161 37,051 164 38,198 166 51,979 214
General Counsel 49 10,844 48 12,478 55 15,908 69
International Affairs 8 2,033 9 2,042 10 3,512 16
Inspector General 5 904 4 1,134 5 1,379 6
Market Oversight 118 26,658 118 28,812 123 49,147 206
Swap Dealer &  Intermediary Oversight 70 16,040 71 17,839 79 30,334 130
Total 669 $192,461 666 $205,294 710 $308,000 1,015
1After submission to OMB MAX, the Commission refined its request for FY 2013. (back to text)

Breakout of $308.0 Million Budget Esimate by Program
Program Percentage
Agency Direction 3%
Administrative Management & Support 6%
Chief Economist 3%
Clearing & Risk 8%
Data & Technology 31%
Enforcement 17%
General Counsel 5%
International Affairs 1%
Inspector General >1%
Market Oversight 16%
Swap Dealer & Intermediary Oversight 10%

Breakout of $308.0 Million Budget Estimate by Object Class


Breakout of $308.0 Million Budget Estimate by Object Class
($ in thousands)
Object Class FY 2011
Estimate		 FY 2012
Estimate		 FY 2013
Budget
Request
11.1-11.5 Personnel Compensation $95,439 $100,723 $145,059
12.1 Personnel Benefits: Civilian 27,336 28,637 41,101
13.0 Benefits for Former Personnel 0 0 0
21.0 Travel & Transportation of Persons 1,374 2,000 2,500
22.0 Transportation of Things 76 100 100
23.2 Rental Payments to Others 15,686 16,300 19,500
23.3 Communications, Utilities & Miscellaneous 4,712 5,700 7,500
24.0 Printing and Reproduction 986 1,000 1,500
25.0 Other Services 40,798 40,634 75,640
26.0 Supplies and Materials 1,086 2,000 3,100
31.0 Equipment 4,967 8,200 11,000
32.0 Building/Fixed Equipment 1 0 1,000
99.0 Total Obligations $192,461 $205,294 $308,000

Breakout of $308.0 Million Budget Estimate by Object Class
Object Class Percentage
Compensation and Benefits 60%
Travel and Transportation 1%
Space Rental 6%
Communication and Utilities 3%
Other Services 25%
Supplies and Printing 1%
Equipment 4%

Statement of Availability on Basis of Obligations


Estimates for 2011, 2012 and 2013
($ in thousands)
Obligations and Expenditures FY 2011
Amount		 FY 2012
Amount		 FY 2013
Amount
Budget FTE Budget FTE Budget FTE
Total Obligations and Expenditures $192,461 666 $205,294 710 $308,000 1,015
Unobligated balance lapsing – – – – – –
Unobligated balance from recoveries of prior year – – – – – –
Unobligated balance forward to the prior years – – (9,809) – – –
Unobligated balance forward to the next year 9,809 – – – – –
Total Available or Estimate $202,270 666 $195,485 710 $308,000 1,015

 

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