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Summary of Goal Two Performance Indicators

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Goal Two: Protect market users and the public.
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)

 

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