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Summary of Goal Two Performance Indicators
Table Of Contents
| Outcome 2.1: Violations of Federal commodities laws are detected and prevented. | ||||
|---|---|---|---|---|
| Annual Performance Goal: Violators have a strong probability of being detected and sanctioned. | ||||
| Performance Measures | FY 2007 Actual |
FY 2008 Actual |
FY 2009 Plan |
FY 2010 Plan |
| Number of enforcement investigations opened during the fiscal year | 99 | 215 | 142 | 176 |
| Number of enforcement cases filed during the fiscal year | 41 | 40 | 50 | 55 |
| Percentage of enforcement cases closed during the fiscal year in which the Commission obtained sanctions (e.g., civil monetary penalties, restitution and disgorgement, cease and desist orders, permanent injunctions, trading bans, and registration restrictions) | 98% | 97% | 98% | 98% |
| Cases filed by other criminal and civil law enforcement authorities during the fiscal year that included cooperative assistance from the Commission | 24 | 31 | 24 | 25 |
| Outcome 2.2: Commodity professionals meet high standards. | ||||
| Annual Performance Goal: No unregistered, untested, or unlicensed commodity professionals. | ||||
| Performance Measures | FY 2007 Actual |
FY 2008 Actual |
FY 2009 Plan |
FY 2010 Plan |
| Percentage of self-regulatory organizations that comply with CFTC Core Principles | 100% | 100% | 100% | 100% |
| Percentage of derivatives clearing organizations that comply with CFTC Core Principles | 100% | 100% | 100% | 100% |
| Percentage of professionals compliant with standards regarding testing, licensing, and ethics training | 100% | 100% | 100% | 100% |
| Percentage of self-regulatory organizations that comply with requirement to enforce their rules | 100% | 100% | 100% | 100% |
| Percentage of total requests receiving CFTC responses for guidance and advice | 95% | 75% | 90% | 90% |
| Outcome 2.3: Customer complaints against persons or firms registered under the Act are handled effectively and expeditiously. | ||||
| Annual Performance Goal: Voluntary Proceedings customer complaints are resolved within one year from the date filed, Summary and Formal Proceedings are resolved within one year and six months from the date filed, and appeals are resolved within six months. | ||||
| Performance Measures | FY 2007 Actual |
FY 2008 Actual |
FY 2009 Plan |
FY 2010 Plan |
| Percentage of filed complaints resolved within one year of the filing date for Voluntary Proceedings | 100% | 67% | 100% | 100% |
| Percentage of filed complaints resolved within one year and six months of the filing date for Summary Proceedings | 50% | 57% | 60% | 60% |
| Percentage of filed complaints resolved within one year and six months of the filing date for Formal Proceedings | 90% | 73% | 90% | 90% |
| Percentage of appeals resolved within six months | 66% | 56% | 10% | 50% |