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Objective 5.1

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Objective 5.1
An organizational structure that is aligned and streamlined to operate
and carry out its mission efficiently and effectively.

The CFTC will assess, design, and implement organizational requirements for a modernized and growing CFTC based on existing authorities and the addition of new programs to oversee and regulate swaps. Under consideration is how to best structure and enhance the Commission’s data management functions, implement formalized planning and business management processes, and coordinate heightened focus on the Commission’s consumer education and protection functions. For example, as mentioned above, the Commission will create a new group for the oversight of swaps and consolidated oversight of intermediaries and will reorganize its technology and market data functions. It will also reorganize the Commission’s current consumer education and protection functions, including, possibly, the reparations program, liaison functions in the Division of Enforcement (DOE), and representation on the Financial Literacy and Education Commission. It will create a new group charged with the design, implementation, and oversight of customer education and outreach initiatives and a group focused on implementing the whistleblower requirements of the Dodd-Frank Act. Potentially, the two groups may be housed together. These reorganization efforts will allow the Commission to avoid duplication of efforts and achieve optimal allocation of resources.

Strategy 5.1.1 Ensure organizational structure best reflects the needs of the CFTC.

To make certain the CFTC has the organizational structure it needs to carry out its new and expanded mission efficiently and effectively while remaining capable of adapting to changes in the markets, industries, and products it oversees and regulates, the CFTC will design, develop, implement, and manage newly created and restructured divisions and offices.

Performance Measure Executive approval and Commission adoption of
efficient and effective organizational design.
FY 2011 Assess and identify organizational requirements. Prepare and design functional organization blueprints. Recommend and obtain approval for new organizational structure.
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.
FY 2013 Use established organizational change procedures to adjust and improve organizational structure as needed.
FY 2014 N/A
FY 2015 N/A


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