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Appendix 2 – Summary of Goals, Outcomes, and Business Processes



Table Of Contents
Goal One: Ensure the economic vitality of the commodity futures and option markets.
Outcome Business Process
1.1 Markets that accurately reflect the forces of supply and demand for the underlying commodity and are free of disruptive activity.
  1. Conduct financial surveillance
  2. Conduct market surveillance
  3. Conduct trade practice surveillance
  4. Conduct economic research
  5. Review trading facility filings and clearing organization contracts and rules
  6. Conduct cooperative enforcement
  7. Investigate violations
  8. File and prosecute cases
  9. Take appropriate remedial or punitive action
1.2 Markets are effectively and efficiently monitored to ensure early warning of potential problems or issues that could adversely affect their economic vitality.
  1. Conduct financial surveillance
  2. Conduct market surveillance
  3. Conduct trade practice surveillance
  4. Conduct economic research
  5. Review trading facility filings and clearing organization contracts, and rules
  6. Investigate violations
  7. File and prosecute cases
  8. Share information externally
  9. Coordinate with domestic regulators
Goal Two: Protect market users and the public.
Outcome Business Process
2.1 Violations of Federal commodities laws are detected and prevented.
  1. Conduct financial surveillance
  2. Conduct cooperative enforcement
  3. Investigate violations
  4. File and prosecute cases
  5. Resolve administrative enforcement cases
  6. Resolve appeals
  7. Share information externally
  8. Take appropriate remedial or punitive action
  9. Represent Commission in litigation or other disputes
  10. Collect monetary penalties from violators
2.2 Commodity professionals meet high standards.
  1. Provide guidance, advice, and regulate business, financial, and sales practices
  2. Review self-regulatory organizations and clearing organizations
  3. Investigate, file, and prosecute cases
2.3 Customer complaints against persons or firms registered under the Act are handled effectively and expeditiously.
  1. Manage reparations program
  2. Resolve appeals
  3. Represent Commission in litigation or other disputes
Goal Three: Ensure market integrity in order to foster open,
competitive, and financially sound markets.
Outcome Business Process
3.1 Clearing organizations and firms holding customer funds have sound financial practices.
  1. Conduct financial surveillance
  2. Provide guidance, advice, and regulate business, financial, and sales practices
  3. Review self-regulatory organization enforcement
  4. Investigate violations
  5. File and prosecute cases
  6. Take appropriate remedial or punitive action
3.2 Commodity futures and option markets are effectively self-regulated.
  1. Conduct financial surveillance
  2. Provide guidance, advice, and regulate business, financial, and sales practices
  3. Review exchange applications, contracts, and rules
  4. Review self-regulatory organization enforcement
3.3 Markets are free of trade practice abuses.
  1. Investigate violations
  2. File and prosecute cases
3.4 Regulatory environment is flexible and responsive to evolving market conditions.
  1. Coordinate with domestic regulators
  2. Coordinate with foreign and international regulators
  3. Draft, review, and comment on legislation
  4. Provide guidance, advice, and regulate business, financial, and sales practices
Goal Four: Facilitate Commission performance through organizational and management excellence, efficient use of resources, and effective mission support.
Outcome Business Process
4.1 Productive, technically competent, competitively compensated, and diverse workforce that takes into account current and future technical and professional needs of the Commission.
  1. Plan for and manage the human needs and resources of the Commission
4.2 Modern and secure information system that reflects the strategic priorities of the Commission.
  1. Plan for and manage the information and technological needs and resources of the Commission
4.3 Organizational infrastructure that efficiently and effectively responds to and anticipates both the routine and emergency business needs of the Commission.
  1. Plan for and manage the security and infrastructure needs and resources of the Commission
4.4 Financial resources are allocated, managed, and accounted for in accordance with the strategic priorities of the Commission.
  1. Plan for and manage the financial needs and resources of the Commission
4.5 Commission’s mission is fulfilled and goals are achieved through sound management and organizational excellence provided by executive leadership.
  1. Provide executive leadership

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Last Updated: September 23, 2009