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Summary of Goal Two Performance Indicators
| Outcome 2.1: Violations of Federal commodities and swaps laws are detected and prevented. | ||||
|---|---|---|---|---|
| Annual Performance Goal: Violators have a strong probability of being detected and sanctioned. | ||||
| Performance Measures | FY 2009 Actual |
FY 2010 Actual |
FY 2011 Plan |
FY 2012 Plan |
| 2.1.1 Percentage of tips, complaints, and referrals assigned within 30 days of receipt | N/A1 | 100% | 100% | 100% |
| 2.1.2 Percentage of open investigation matters that are subjected to Director Office docket review if pending more than 270 days | N/A1 | 100% | 100% | 100% |
| 2.1.3 Percentage of matters resulted in civil injunction filings during the fiscal year that included referrals to other civil or criminal authorities | N/A1 | 75% | 75% | 75% |
| 2.1.4 Initial response made less than 60 days to requests for assistance from the Commission’s international counterparts pursuant to its information sharing arrangements | N/A1 | 100% | 100% | 100% |
| Outcome 2.2: Commodity professionals meet high standards. | ||||
| Annual Performance Goal: No unregistered, untested, or unlicensed commodity and swaps entities and professionals that are required to be registered. | ||||
| Performance Measures | FY 2009 Actual |
FY 2010 Actual |
FY 2011 Plan |
FY 2012 Plan |
| 2.2.1 Percentage of SROs that comply with core principles | 100% | 100% | 100% | 100% |
| 2.2.2 Percentage of DCOs that comply with core principles | 100% | 100% | 100% | 100% |
| 2.2.3 Percentage of professionals compliant with standards regarding testing, licensing, and ethics training | 100% | 100% | 100% | 100% |
| 2.2.4 Percentage of SROs that comply with requirement to enforce their rules | 100% | 100% | 100% | 100% |
| 2.2.5 Percentage of swaps dealers and major swaps participants that comply with business conduct standards, and capital and margin requirements. | N/A | N/A | 100% | 100% |
| 2.2.6 Percentage of total requests receiving CFTC responses for guidance and advice | 90% | 90% | 90% | 90% |
| Outcome 2.3: Customer complaints against persons or firms registered under the CEA 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 2009 Actual |
FY 2010 Actual |
FY 2011 Plan |
FY 2012 Plan |
| 2.3.1(a) Percentage of filed complaints resolved within one year of the filing date for Voluntary Proceedings | 83% | 71% | 50% | 50% |
| 2.3.1(b) Percentage of filed complaints resolved within one year and six months of the filing date for Summary Proceedings | 80% | 77% | 75% | 75% |
| 2.3.1(c) Percentage of filed complaints resolved within one year and six months of the filing date for Formal Proceedings | 93% | 67% | 75% | 75% |
| 1 These performance measures are newly developed for the FY 2012 Budget Estimate in order to better capture the Commission’s performance for Goal Two. (back to text) | ||||