U.S. COMMODITY FUTURES TRADING COMMISSION

Three Lafayette Centre 

1155 21st Street, NW, Washington, DC 20581 

Telephone: (202) 418-5000 

Facsimile: (202) 418-5521 

www.cftc.gov

Office of the 

Secretariat 

Chris Kirkpatrick

Secretary of the Commission

November 22, 2016 

ELECTRONIC MAIL 

United States Senate 

Washington, DC 20150 

U.S. House of Representatives 

Washington, DC 20515 

Re: Transmittal of the Semiannual Report of the Office of the Inspector General (OIG) 

of the Commodity Futures Trading Commission for the period from April 1, 2016 

through September 30, 2016. 

Dear Chairs and Ranking Members: 

A copy of the Semiannual Report of the Office of the Inspector General (OIG) of the 

Commodity Futures Trading Commission for the period from April 1, 2016 through September 

30, 2016 is enclosed. This report, with the accompanying statistical tables and required 

explanations, is submitted to you in accordance with the requirements of Section 5 of the 

Inspector General Act of 1978, as amended. The report provides a description of the resources 

and procedures of the OIG and its audit, investigation, and legislative and regulatory review 

programs. 

During this reporting period, there was one instance of an audit report over six months 

old where corrective action had not been completed. Specifically, management’s initial date of 

completion for updating logical access security policies, to be completed as part of the rollout for 

Personal Identity Verification (PIV) cards, was extended from March 2016 to December 2016. 

The OIG Semiannual Report states that, as of August 2016, 32% of CFTC employees and 22% 

of contractors were using PIV credentials. Management has continued to make progress in 

completing this corrective action, and as of November 22, 2016, 92% of CFTC employees and 

69% of contractors were using PIV credentials. Management continues to estimate that this 

corrective action will be fully completed in December 2016. 
November 22, 2016 

Page 2 

 If you have any questions regarding the OIG Semiannual Report, please contact Mr. A. 

Roy Lavik, the Inspector General, at 202-418-5110. 

 

 

 

Sincerely, 

Chris Kirkpatrick 

Secretary of the Commission 

Enclosures 

Recipients: 

The Honorable Mike Conaway 

Chairman 

Committee on Agriculture 

U.S. House of Representatives 

The Honorable Collin C. Peterson 

Ranking Member 

Committee on Agriculture 

U.S. House of Representatives 

The Honorable Austin Scott 

Chairman 

Subcommittee on Commodity Exchanges, Energy and Credit 

Committee on Agriculture 

U.S. House of Representatives 

The Honorable David Albert Scott 

Ranking Member 

Subcommittee on Commodity Exchanges, Energy and Credit 

Committee on Agriculture 

U.S. House of Representatives 

The Honorable Pat Roberts 

Chairman 

Committee on Agriculture, Nutrition and Forestry 

United States Senate 
November 22, 2016 

Page 3 

The Honorable Debbie Stabenow 

Rannking Member 

Committee on Agriculture, Nutrition and Forestry 

United States Senate 

The Honorable Thad Cochran 

Chairman 

Committee on Appropriations 

United States Senate 

The Honorable Barbara A. Mikulski 

Ranking Member 

Committee on Appropriations 

United States Senate 

The Honorable John Boozman 

Chairman 

Subcommittee on Financial Services and General Government 

Committee on Appropriations 

United States Senate 

The Honorable Christopher Coons 

Ranking Member 

Subcommittee on Financial Services and General Government 

Committee on Appropriations 

United States Senate 

The Honorable Hal Rogers 

Chairman 

Committee on Appropriations 

U.S. House of Representatives 

The Honorable Nita M. Lowey 

Ranking Member 

Committee on Appropriations 

U.S. House of Representatives 

The Honorable Robert B. Aderholt 

Chairman 

Subcommittee on Agriculture, Rural Development, 

 Food and Drug Administration, and Related Agencies 

Committee on Appropriations 

U.S. House of Representatives 
November 22, 2016 

Page 4 

The Honorable Sam Farr 

Ranking Member 

Subcommittee on Agriculture, Rural Development, 

 Food and Drug Administration, and Related Agencies 

Committee on Appropriations 

U.S. House of Representatives 

Washington, DC 20515 

The Honorable Ron Johnson 

Chairman 

Committee on Homeland Security and Governmental Affairs 

United States Senate 

The Honorable Thomas R. Carper 

Ranking Member 

Committee on Homeland Security and Governmental Affairs 

United States Senate 

The Honorable Jason Chaffetz 

Chairman 

Committee on Oversight and Government Reform 

U.S. House of Representatives 

The Honorable Elijah E. Cummings 

Ranking Member 

Committee on Oversight and Government Reform 

U.S. House of Representatives 

Cc: Mr. Sean Donovan 

Director 

Office of Management and Budget