Exhibit 1. Information Technology

The Commission's over-arching information technology (IT) strategy is to increase the integration of IT into the Commission operating model. The first area of focus continues to be on data ingestion and analysis—particularly because CFTC has a unique imperative to aggregate various types of data from multiple industry sources across multiple markets.  The Commission has implemented a data ingestion framework that enables the sharing and reuse of data for cross-divisional purposes and for use in automated systems as well as independently by CFTC analysts.  The Commission will extend its data ingestion and analysis framework to manage market data as it evolves with the industry and to make greater use of order message data.  The framework will continue to be leveraged and built upon to provide services that multiply the effectiveness of staff, accomplishing integration between futures and swaps data and increased integration of CFTC systems and processes for monitoring registered entities, market and financial risk, market integrity, trade practice; and conducting enforcement, and economic analysis.

In addition to leveraging the data framework, the Commission must also:

  • Develop and implement data standards for regulatory and industry benefit,
  • Increase data analytics capability,
  • Extend business continuity,
  • Consistently deliver technology improvements, and
  • Provide ongoing maintenance of new IT services.

The Commission has organized its IT portfolio into the five major investments described below:

  • Surveillance.  Supports market, trade practice, and financial and risk oversight. Success in this area is highly dependent on the ability to acquire large volumes of data and the development of standards and analytics to support data segregation, as well as identify trends and/or outlying events that warrant further investigation.
  • Enforcement.  Provides a variety of critical automated litigation and investigation support services to facilitate the overall management of documents and data. Enforcement technology also provides the ability to rapidly query and retrieve information about investigations and litigation and perform analytics.
  • Other Mission Support.  Provides services that are vital to CFTC's regulatory mission activities including: Registration and Compliance, Product Review and Assessment, Examinations, Legal and Economic Analysis, and International Policy Coordination.
  • Data Infrastructure.  Supports all mission areas by providing the underlying infrastructure for IT services including: messaging, communications, network security, database administration, business continuity, and data storage management. The data infrastructure effort also provides transparency through the CFTC.gov website, staff collaboration and knowledge management, as well as document and records management.
  • Management and Administrative Support.  Includes IT service to commission-wide general support activities that do not require specialized or dedicated IT service components, for example, financial management, payroll and personnel services, training, hiring and logistics support.