Appendix 5. FY 2014 Planned Resources by Strategic Goal
Goal Five Planned Resources

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.

Breakout of Goal Five Request by Mission Activity
Dollars in Thousands
Mission Activities FY 2013 FY 2014 Change
  Budget FTE Budget Request FTE Budget FTE
Registration and Registration Compliance $0 0 $0 0 $0 0
Product Reviews 0 0 0 0 0 0
Surveillance, including Data Acquisition and Analytics 0 0 0 0 0 0
Examinations 0 0 0 0 0 0
Enforcement 0 0 0 0 0 0
Economic and Legal Analysis 470 2 480 2 10 0
International Policy Coordination 0 0 0 0 0 0
Data Infrastructure and Technology Support 50,900 54 51,410 55 510 1
Agency Direction, Management and Administrative Support 13,240 50 14,160 51 920 1
Total Goal Five $64,610 106 $66,050 108 $1,440 2

Breakout of Goal Five Request by Mission Activity

Pie chart showing the Breakout of Goal Five Request by Mission Activity. Values are as follows:

Economic and Legal Analysis: 1%.
Data Infrastructure and Technology Support: 78%.
Agency Direction, Management and Administrative Support: 21%.

Breakout of Goal Five Request by Division
Dollars in Thousands
  FY 2013 FY 2014 Change
  Budget FTE Budget Request FTE Budget FTE
Agency Direction $230 1 $480 2 $250 1
Administrative Management  and Support 10,080 43 10,250 43 170 0
Chief Economist 0 0 0 0 0 0
Clearing and Risk 0 0 0 0 0 0
Data and Technology 52,420 54 53,410 55 990 1
Enforcement 0 0 0 0 0 0
General Counsel 470 2 480 2 10 0
International Affairs 0 0 0 0 0 0
Inspector General 1,410 6 1,430 6 20 0
Market Oversight 0 0 0 0 0 0
Swap Dealer and Intermediary Oversight 0 0 0 0 0 0
Total $64,610 106 $66,050 108 $1,440 2

Breakout of Goal Five Request by Division

Pie chart showing the Breakout of Goal Five Request by Division. Values are as follows:

Agency Direction: 1%.
Administrative Management and Support: 15%.
Data and Technology: 81%.
General Counsel: 1%.
Inspector General: 2%.