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Appendix 4 – FY 2013 Planned Objectives by Strategic Goal (continued)
Goal Five: Promote Commission excellence through executive direction and leadership, organizational and individual performance management, and effective management of resources.
Commission excellence reflected in the achievement of the agency’s strategic mission and goals depends on clear executive direction, strong and focused management, and a well-resourced, dedicated and productive workforce. These attributes of a high-performing organization combine to support and drive the critical work of the Commission to provide a sound regulatory oversight and enforcement program for the American people. To ensure the Commission’s continued success, continuity of operations and adaptation to the ever-changing markets it is charged with regulating, the Commission must maintain a well-qualified workforce supported by a modern information technology infrastructure and working environment.
During the next five years, the Commission will develop and implement a host of rules many of which address the Dodd-Frank requirements and many of which will also alter and expand the Commission’s mission and operation. To successfully develop, implement and manage these rules, the Commission requires unambiguous and timely direction, the right quantity and quality of staff, aligned in an optimal operating structure supported by the necessary training and development, tools and resources.
Summary of Goal Five Performance Indicators
Goal Five: Promote Commission excellence through executive direction and leadership, organizational and individual performance management, and effective management of resources.
Objective 5.1: An organizational structure that is aligned and streamlined to operate and carry out its mission efficiently and effectively.
| Performance Measure 5.1.1.1: Executive approval and Commission adoption of efficient and effective organizational design. | Plan | Actual | |
|---|---|---|---|
| FY 2011 | Assess and identify organizational requirements. Prepare and design functional organization blueprints. Recommend and obtain approval for new organizational structure. | 100% | 100% |
| FY 2012 | Complete implementation of new organizational structure: Identify and hire key leadership positions; Assign/re-assign staff to new divisions and offices as required; and, draft new career ladder and associated position descriptions as needed. | 100% | |
| FY 2013 | Use established organizational change procedures to adjust and improve organizational structure as needed. | 100% | |
Objective 5.2: Effectively respond to a the regulatory needs of a dynamic and complex derivatives market place and efficiently allocate limited resources to the highest priority activities.
| Performance Measure 5.2.1.1: Develop, adopt and implement a comprehensive planning process. | Plan | Actual | |
|---|---|---|---|
| FY 2011 | Develop and adopt well-defined and integrated planning process. | 100% | 50%1 |
| FY 2012 | Track high-level projects; redefine budget activity codes (BPAC). | 100% | |
| FY 2013 | Implement new BPAC; track major projects & activities; implement automated time & attendance. | 100% | |
Objective 5.3: Attract, engage, develop and retain an exceptionally qualified, diverse, and productive workforce.
| Performance Measure 5.3.1.1: Assess, develop and implement automated hiring system. | Plan | Actual | |
|---|---|---|---|
| FY 2011 | Assess and procure best fit system based on CFTC requirements. Develop and/or improve recruitment business processes to maximize efficiency gains from automation. | 100% | 100% |
| FY 2012 | Implement automated hiring system and associated business processes. | 100% | |
| FY 2013 | Optimize automated hiring system and associated business processes. Demonstrate reduction in FTE years dedicated to recruitment and staffing. |
100% | |
| Performance Measure 5.3.1.2: Improve time to hire from 150 days to 80 days. | Plan | Actual | |
| FY 2011 | Improve time to hire by 10% in each of the next five years. – Saving 15 days | 135 Days | 79 Days |
| FY 2012 | Improve time to hire by 10% in each of the next four years. – Saving 13.5 days | 122 Days | |
| FY 2013 | Improve time to hire by 10% in each of the next three years. – Saving 12 days | 110 Days | |
| Performance Measure 5.3.2.1: CFTC is consistently rated by its employees as a small agency workplace of choice and listed annually as one of the top ten best places to work in the federal government (small agency category). CFTC identifies low scores determined to be of most significance to the agency year over year to inform its improvement plans. | Plan | Actual | |
|---|---|---|---|
| FY 2011 | Top 10 rating. Identify low scoring areas for focused improvement. | <= 10 | 8 |
| FY 2012 | Top 10 rating. Incorporate survey information into human capital planning. | <= 10 | |
| FY 2013 | Top 10 rating. Incorporate survey information into human capital strategic planning. | <= 10 | |
| Performance Measure 5.3.3.1: Develop and implement comprehensive development and education program. | Plan | Actual | |
|---|---|---|---|
| FY 2011 | Design learning plan to include legal, technical, regulatory and specialized training as well as management and supervisory training. Where practical, ensure that programming meets the criteria for continuing education requirements applicable to lawyers and other professionals so that credits may be earned and applied. Implement supervisory training for all new supervisors. | 100% | 100% |
| FY 2012 | Augment and expand in-house legal and technical training to a comprehensive CFTC regulatory training program. Develop leadership and management training curriculum. | 100% | |
| FY 2013 | Increase by 10 to 25% over previous year the percentage of CFTC employees participating in CFTC’s training program as funding and resources available will allow. | 100% | |
| Performance Measure 5.3.3.2: Assess requirements, design and implement a comprehensive CFTC-wide mentoring program focused on enhancing the competencies of CFTC’s current and future workforce. | Plan | Actual | |
| FY 2011 | Assess and design program. Pilot program in the Office of General Counsel. | 100% | 100% |
| FY 2012 | Expand mentoring program to other offices and divisions. | 100% | |
| FY 2013 | Increase participation in mentoring program 5-10% over previous year. |
100% | |
Objective 5.4: Information Technology (IT) supports and enhances mission accomplishment through effective and efficient infrastructure, systems and services.
| Performance Measure 5.4.1.1: Transparency and process maturity of IT governance for reinforcing business unit and IT partnership. | Plan | Actual | |
|---|---|---|---|
| FY 2011 | Integrate Agency Strategic Planning with IT Strategic Planning. | 100% | 100% |
| FY 2012 | Align IT governance with reengineered BPAC structure. | 100% | |
| FY 2013 | Institute CFTC-wide Data Management. | 100% | |
| Performance Measure 5.4.1.2: Implementation of IT strategy and architecture for Business Continuity (BC). | Plan | Actual | |
| FY 2011 | Establish remote data replication of Tier 1, 2, and 3 to the Commission’s collocation facility. | 100% | 100%2 |
| FY 2012 | Establish system service support at the collocation facility for Tier 1 and 2 applications and data sets. | 100% | |
| FY 2013 | Establish system service support at the collocation facility for Tier 3 applications and data sets. | 100% | |
| Performance Measure 5.4.2.1: Develop and implement comprehensive development and education program. | Plan | Actual | |
|---|---|---|---|
| FY 2011 | Develop data management governance and policy framework. Develop enterprise data management roadmap. | 100% | 100% |
| FY 2012 | Establish enterprise data warehouse and service oriented architecture for enterprise data management. Communicate enterprise data warehouse and service oriented architecture design to NFA, SEC, OFR, and other regulators. Integrate FILAC system into enterprise data warehouse. | 100% | |
| FY 2013 | Integrate TSS into enterprise data warehouse. Include swaps data in enterprise data warehouse. | 100% | |
| Performance Measure 5.4.2.2: Direct Access to SROs and swap data repositories for effective oversight. | Plan | Actual | |
| FY 2011 | Plan dedicated connections to high volume DCMs and SROs. | 100% | 92% |
| FY 2012 | Implement dedicated connections to high volume DCMs and SROs. | 100% | |
| FY 2013 | Receive and process swaps data pushed from existing swap data repositories. | 100% | |
| Performance Measure 5.4.3.1: CFTC-wide document and records management and intranet solutions for improved data security collaboration, retention, sharing, and disposal. | Plan | Actual | |
|---|---|---|---|
| FY 2011 | Automate rule making support. Implement Forensics Lab. Implement Web site preservation system. Implement CFTCnet. Re-host CFTC.gov to provide improved services. | 100% | 92% |
| FY 2012 | Implement eDiscovery preservation and legal hold. Implement enhancements to document search and retrieval software. Implement EDRM enterprise search and taxonomy and metadata management. Division collaboration sites migrate to/integrate with CFTCnet. | 100% | |
| FY 2013 | Implement automation of enterprise tips, complaints, and referral management. Implement Early Case Assessment System. Implement EDRM workflow and version control (5 process groups). | 100% | |
Objective 5.5: Ensure effective stewardship and management of CFTC financial resources.
| Performance Measure 5.5.1.1: Reengineer, improve and implement CFTC’s Cost Accounting Codes (BPAC). | Plan | Actual | |
|---|---|---|---|
| FY 2011 | Assess and procure reengineering options for BPAC. Design, develop and implement BPAC repository to retain all cost accounting codes. | 100% | 100% |
| FY 2012 | Choose best option for BPAC code structure in line with operating and reporting needs and in light of available resources. Implement new codes for use in FY 2013 budget formulation process. | 100% | |
| FY 2013 | Improve and adapt business processes associated with cost accounting codes. | 100% | |
| Performance Measure 5.5.2.1: Management Control Reviews are conducted and documented. Recommendations are implemented. The Chairman and the CFO are able to give unqualified FMFIA management assurances. | Plan | Actual | |
|---|---|---|---|
| FY 2011 | Conduct Program and Administrative Risk Assessments, Prepare Three Year Plan, Begin Conducting Reviews. | 100% | 100% |
| FY 2012 | Update Program and Administrative Risk Assessments and Three Year Plan, Continue Conducting Reviews, Developing Remediation Plans, and taking Corrective Actions. | 100% | |
| FY 2013 | Complete Corrective Action. | 100% | |
| Performance Measure 5.5.3.1: Implement Web-based time and attendance system. | Plan | Actual | |
|---|---|---|---|
| FY 2011 | Complete Project to Modernize Budget Program Activity Code Structure and Configure WebTA to accommodate. | 100% | 25% |
| FY 2012 | Pilot WebTA. | 100% | |
| FY 2013 | Go Live with WebTA. | 100% | |
| 1 A planning process manual was developed in FY 2011 but has not been adopted or implemented. (back to text) 2 All 3 tiers were replicated in June. Due to telecommunication circuit issues the Commission is only replicating Tiers 1 and 2 and eLaw data at present until the circuit is upgraded. (back to text) |
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