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2 

Contents

Contents ......................................................................................................................................................... 2

Chairman’s Letter............................................................................................................................................. 3

The CFTC Organization and Responsibilities...................................................................................................... 4

Strategic Goal 1............................................................................................................................................... 5

Strategic Goal 2............................................................................................................................................... 6

Strategic Goal 3............................................................................................................................................... 7

Strategic Goal 4............................................................................................................................................... 8

Strategic Goal 5............................................................................................................................................... 9

Planning, Evaluation, & Enterprise Risk Management........................................................................................10

External Factors.............................................................................................................................................10

Appendix A – CFTC Divisions and Offices

Appendix B – Glossary of Acronyms

Appendix C – CFTC Planning & Accountability Roadmap
3 

The CFTC’s New Mission Statement, Vision Statement and Core Values

Mission Statement

To promote the integrity, resilience, and vibrancy of the U.S. derivatives markets through sound regulation.

Vision Statement

To be the global standard for sound derivatives regulation. 

Core Values

Commitment: Bringing our best to work every day and holding ourselves to the highest professional 

standards.

Forward-thinking: Challenging ourselves to stay ahead of the curve. 

Teamwork: Valuing diverse skill sets and backgrounds to achieve our mission. 

Clarity: Providing transparency to market participants about our rules and processes.

Chairman’s Letter

Like most of the employees I have had the pleasure to meet with and work beside, I am 

immensely proud – also humbled – to serve the American people by helping to lead the 

Commodity Futures Trading Commission (CFTC, or Commission). The CFTC is the world’s 

premier derivatives regulator. Few agencies have such a broad, consequential, and unique 

mission. Futures, swaps, and options provide critical risk management and price discovery 

tools that can promote long-term stability and growth in the real economy. 

Strategic planning plays a crucial role in helping achieve the mission of any successful 

organization. Shortly after my confirmation I began working with all CFTC employees to revise 

our mission statement. And for the first time, we adopted a vision statement and identified a 

set of core values. The word “our” is emphasized because we wrote them together; every 

CFTC employee was given an opportunity to provide input and then vote as a community. 

I am pleased to present these key ingredients to organizational excellence – they create the foundation upon which our success 

will be built, and will ensure that we continue to row in the same direction. 

The strategic goals and objectives that are encapsulated in this plan will guide and prioritize our efforts to achieve the CFTC’s 

mission. This mission includes a special obligation to ensure our derivatives markets support the U.S. free enterprise system in 

innovative ways. We will meet these obligations with an eye toward serving the interests of Main Street Americans, making sure 

these voices are heard and their concerns are addressed. 

Our success is built on the expertise, skill, and dedication of the CFTC’s vital workforce. Our workforce has made it possible for 

U.S. futures, options, and swaps markets to serve as the global standard, because these markets are deep, open, liquid, 

transparent, and soundly regulated. Together, we are committed to maintain and strengthen these qualities, and achieve the 

CFTC’s essential mission of promoting the integrity, resilience, and vibrancy of the U.S. derivatives markets through sound 

regulation. 
4 

The CFTC Organization and Responsibilities

To promote market integrity, the CFTC regulates and polices the derivatives markets, seeking to lower the risk of the futures and 

swaps markets to the economy and the public. The agency oversees a variety of individuals and organizations, including 

derivatives clearing organizations (DCOs), swap execution facilities (SEFs), designated contract markets (DCMs), swap data 

repositories (SDRs), swap dealers (SDs), futures commission merchants (FCMs), commodity pool operators (CPOs), and other 

entities.

Established by statute as an independent agency in 1974, the CFTC assumed responsibilities previously belonging to the 

Department of Agriculture since the 1920s. The Commission historically has been charged by the Commodity Exchange Act 

(CEA) with regulatory authority over the commodity futures and options markets. These markets have existed since the 1860s, 

beginning with agricultural commodities.

Over time, these markets, known as DCMs, regulated by the Commission, have grown to include those for energy and metals 

commodities such as crude oil, heating oil, gasoline, copper, gold, and silver. The agency now also oversees DCMs for financial 

products such as interest rates, stock indexes, and foreign currency. Most recently, the CFTC has granted DCM licenses for 

exchanges specializing in futures relating to digital assets. 

In addition, the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) directed the agency to oversee 

the U.S. swaps market, which is more than $400 trillion in notional value; about twelve times the size of the futures market. This 

link includes the laws and regulations that guide the Commission’s work.

Futures, options, and swaps markets are essential to our economy and the way that businesses and investors manage risk and 

uncertainties regarding future commodity price movements. Farmers, ranchers, commercial companies, municipalities, pension 

funds, and others use these markets to lock in a price or rate, helping them focus on innovating, producing goods and services, 

creating jobs, and reducing the risks of investing. The CFTC works to ensure market participants can use markets with 

confidence.
5 

Strategic Goal 1: Strategic Objectives

1.1 Ensure our central counterparties remain the 

soundest in the world.

Sound CCPs are essential to the efficiency and 

stability of derivatives markets, as they provide crucial 

services and reduce counterparty risk.

1.2 Work with our international counterparts to 

reduce market fragmentation.

A regulatory structure relying on international 

cooperation and comity reduces fragmentation by 

avoiding inconsistent or contradictory risk 

management requirements. 

1.3 Effectively monitor and work to ensure optimal 

requirements for margin and capital in our 

markets.

Finalizing capital rules for swap dealers and 

addressing operational difficulties in implementation of 

margin for uncleared swaps requirements will bolster 

the resilience of our markets.

1.4 Advance policies that deepen liquidity and 

increase transparency in our markets without 

reducing the risk-mitigating benefits of 

regulations.

A lack of liquidity and transparency can negatively 

impact the ability of derivatives markets participants to 

manage and mitigate risk.

Strategic Goal 1

Strengthen the resilience and integrity of our derivatives markets while fostering 

their vibrancy.

Derivatives markets strengthen the U.S. and global economy

by helping market participants manage price risks. This frees 

up capital for business investment and job creation. To 

foster economic growth, our markets must be open and 

competitive so that price discovery reflects the forces of 

supply and demand, unaltered by fraud, manipulation, or 

other abuses. 

The CFTC’s unique challenge is to achieve the dual goals of 

protecting and advancing the world’s leading derivatives 

markets. Protecting these markets will bolster confidence in 

their integrity. Taking steps to avoid systemic risk will not 

only protect market participants, but increase confidence in 

the soundness of the U.S. derivatives markets. As the 

Commission develops and implements regulations consistent 

with statutory mandates, we commit to do so in a way that 

retains the vibrancy derivatives markets need to perform their 

fundamental risk-management functions. As our markets 

continue to rapidly evolve, the CFTC remains committed to 

maintaining its role as a global leader in sound derivatives 

regulation. 

The CFTC will achieve the following outcomes tied to 

Strategic Goal 1:

• The CFTC will demonstrate coherent and 

consistent central counterparty (CCP) oversight.

• The CFTC will use risk-based analysis to develop 

and implement derivatives markets regulations.

 
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Strategic Goal 2: Strategic Objectives

2.1 Deepen our commitment to stakeholders in the 

agricultural community.

When derivatives markets are not working to benefit our 

farmers and ranchers, they are not working. The CEA’s 

cornerstone is to provide our agricultural sector tools to 

hedge risk and receive fair prices.

2.2 Consider the unique role played by Main Street 

financial institutions and smaller FCMs.

With fewer resources, small financial institutions and 

FCMs may bear a disproportionate compliance burden

relative to the risk they contribute to the larger financial 

system. Where appropriate, regulations should take into 

account the size of relevant entities and the risk profiles of 

their activities. 

2.3 Make markets more accessible to end users.

We must ensure that our regulations and their 

implementation do not discourage or penalize commercial 

end users who need to hedge risk. 

2.4 Increase protections for customer assets and 

information.

The Commission works vigilantly to protect customer 

assets and information. We are identifying potential rule 

revisions and orders that promote asset and information 

protection.

2.5 Educate the American public on derivatives and 

the CFTC’s mission.

Knowledge of derivatives and the CFTC mission will help 

Main Street Americans gain access to valuable risk 

management tools and help them to avoid fraud.

Strategic Goal 2

Regulate our derivatives markets to promote the interests of all Americans.

The significant benefits that the commodity futures, swaps, 

and options markets bring to the lives of everyday Americans 

often go unnoticed. These markets enable businesses to 

provide more stable and predictable prices to consumers for 

everything from groceries to gasoline and heating bills to 

home mortgages. In regulating derivatives markets and their 

financial instruments, the CFTC serves a critical role in our 

free-enterprise system. In regulating these markets, we must 

not lose sight of their underlying purpose: to serve the needs 

of all Americans. 

America’s farmers and ranchers have relied on derivatives 

markets to hedge production and costs for more than 100 

years. Those markets provide fair value for farmers’ and 

ranchers’ hard work and enable more stable prices for 

consumers. The Commission will demonstrate commitment 

to the agricultural community and its stakeholders by 

understanding and addressing issues that positively and 

negatively impact agricultural commodity derivatives markets. 

We will also focus on ensuring that Main Street institutions 

are not unnecessarily burdened by regulatory requirements. 

The CFTC will achieve the following outcomes tied to 

Strategic Goal 2:

• The CFTC will demonstrate improved protection of 

and market accessibility to end users.

• The CFTC will take actions to right-size regulations 

for Main Street financial institutions and smaller 

FCMs.

Agriculture

Smaller 

Financial 

Institutions

End Users Customer 

Protection Education
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Strategic Goal 3: Strategic Objectives

3.1 Emphasize our tradition of principles-based 

regulation where appropriate.

The CFTC’s principles-based regulatory tradition has 

allowed markets to evolve to meet the economy’s 

changing demands while reducing systemic risk. 

“Principles-based” is not a euphemism for “deregulation.” 

Apply a principles-based approach, where appropriate, 

will help our markets remain fair, innovative, and vibrant.

3.2 Increase the transparency of our agency’s 

decision-making processes.

Because our regulatory decisions often have a broad 

and deep impact on derivatives markets, the economy, 

and all Americans, our decision-making must be open 

and transparent. 

3.3 Harmonize regulations for market participants 

subject to concurrent CFTC and SEC jurisdiction.

Firms dually registered with the CFTC and the SEC risk 

duplication and redundancy burdens. Harmonizing 

oversight reduces burdens through consistent

requirements. 

3.4 Address the risks and opportunities arising from 

“21st century commodities.”

We will develop a holistic framework to promote 

responsible innovation in digital assets. 

3.5 Address any regulations that no longer serve a 

regulatory purpose. 

We are maintaining regulatory effectiveness while 

reducing burdens where the burden on market 

participants is disproportionate to the regulatory purpose 

served.

PrinciplesBased 

Regulation

Transparency

CFTC-SEC 

Coordination

21st Century 

Commodities 

Eliminating Red 

Tape

Strategic Goal 3

Encourage innovation and enhance the regulatory experience for market 

participants at home and abroad. 

How we regulate is just as important as what we regulate. All 

our actions are aimed at developing and implementing 

regulations that are efficient, effective, and appropriately 

tailored. When crafting and revising regulations, we will be 

guided by the important outcomes of resiliency, avoiding

systemic risk, and improving the integrity of derivatives 

markets and advancing the interests of Main Street. 

Econometric analysis will help inform how we achieve those 

outcomes. Where appropriate, we will emphasize the 

principles we expect industry to adhere to. Where 

appropriate, a principles-based approach can help our 

markets remain fair, innovative, and vibrant.

Financial markets quickly adopt emerging technologies, and 

our derivatives markets have experienced an amazing digital 

transformation that presents opportunities as well as risks. 

Market regulation needs to keep pace and even lead, as our 

mandate to encourage responsible innovation is important to 

the Nation. The CFTC must promote responsible innovation, 

avoiding rules and approaches reflective of business 

practices long gone. 

The CFTC will achieve the following outcomes tied to 

Strategic Goal 3:

• The CFTC will increase agency decision-making 

transparency.

• The CFTC will reduce burdens that serve no 

regulatory purpose.

 
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Strategic Goal 4: Strategic Objectives

4.1 Provide fairness, consistency, and predictability 

across enforcement matters.

Certainty, consistency, and transparency are key criteria 

in guiding CFTC enforcement. The policies and 

procedures governing DOE’s efforts are found in its 

Enforcement Manual. 

4.2 Leverage the CFTC’s expertise and resources 

by coordinating with other criminal and civil 

enforcement authorities.

Misconduct is not limited to regulatory boundaries or 

international borders, so we must work closely with our 

domestic and international enforcement partners to 

protect our markets. 

4.3 Where necessary and appropriate, create 

bright-line rules to prevent market manipulation.

Attempts to corner or squeeze the market pose such a 

critical risk to participants that they merit the 

straightforward, predictable, and consistent application of 

bright-line rules. 

4.4 Focus market surveillance on areas where fraud 

and manipulation are most likely.

Prioritizing surveillance of products and markets where 

fraud and manipulation are most likely to occur, we are 

improving market integrity by using sophisticated data 

analytics to increase the probability of identifying 

potential violations of the CEA and CFTC regulations.

Strategic Goal 4

Be tough on those who break the rules. 

Derivatives markets function well only when there is 

confidence in their integrity. The CFTC is committed to 

protecting the public from misconduct in our markets. For 

this reason, the CFTC’s Division of Enforcement (DOE) 

focuses on detecting, investigating, and prosecuting 

misconduct that could potentially undermine market integrity. 

Such misconduct includes fraud, manipulation, spoofing, and 

disruptive trading. 

The CFTC’s strong enforcement program emphasizes being 

tough on those who break the rules but also being fair and 

consistent. We recognize that the best way to preserve 

market integrity is by deterring potential bad actors from 

engaging in misconduct in the first place. The CFTC’s 

enforcement efforts to obtain remedial sanctions and 

maximize deterrence against future violations increase public 

confidence and trust in our derivatives markets.

The CFTC will achieve the following outcomes tied to 

Strategic Goal 4:

• The CFTC will demonstrate coordination with other 

criminal and civil enforcement authorities.

• The CFTC will implement its recently published 

Enforcement Manual.

Fairness and 

Consistency

Focused 

Surveillance 

Efforts

Coordination with 

DOJ/FBI, SEC, 

SROs, and State 

Attorneys General
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Strategic Goal 5: Strategic Objectives

5.1 Reformulate a shared mission statement, vision 

statement, and list of core organizational values for 

the agency. 

The CFTC is building a culture of excellence, just like 

every successful organization, through three essential 

ingredients: 1) a clear mission, 2) a strategic vision, and 

3) a set of core values. 

5.2 Improve the agency’s collection, use, analysis, 

and protection of data. 

We are improving the CFTC’s data analysis competency 

and using advanced and sophisticated modeling 

techniques, such as machine learning, to improve data 

quality and validation and to identify potential harm to our 

markets and consumers. 

5.3 Be good stewards of taxpayer dollars by 

improving our efficiency, streamlining processes, 

and cutting unnecessary costs. 

Two ways the CFTC maximizes limited resources are 

streamlining and centralizing business management 

functions and improving space administration. Our 

organizational structure must evolve; prioritizing 

resources to best help us achieve our unique mission. 

5.4 Attract, retain, and promote a diverse workforce 

of the best and the brightest.

We continually review our human capital programs to 

ensure the CFTC consistently attracts, retains, and 

develops a diverse and high-performing workforce. We 

identify and address competency gaps to keep pace with 

market developments and maintain high performance. 

Strategic Goal 5

Focus on our unique mission and improve our operational effectiveness. 

The CFTC recently went through the valuable exercise of 

revising our mission statement, developing a vision 

statement, and identifying a set of core values. This was not 

a top-down effort, but one in which everyone in the agency 

was given an opportunity to provide input and then vote – so 

they are truly our mission, vision, and values. Together, with 

this strategic plan, the CFTC is creating a cohesive, resultsdriven workplace, and turning our aspirations into 

accomplishments. We are proud of our unique mission, with 

responsibilities for derivatives markets and their vast impact 

on the national economy. 

Because the CFTC has been entrusted with a critical mission 

and the resources to carry it out, it is our duty to improve our 

operational effectiveness. This will ensure that our resources 

are dedicated exclusively to achieving our mission. 

The CFTC will achieve the following outcomes tied to 

Strategic Goal 5:

• The CFTC will demonstrate improved operational 

efficiency. 

• The CFTC will improve data collection, use, 

analysis, and protection.
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Planning, Evaluation, & Enterprise Risk Management

The CFTC has a robust process for executing its strategic plan and achieving the CFTC’s mission. The Commission is in the 

midst of incorporating annual operating plans at the division and office level to implement and reinforce the CFTC Strategic Plan. 

To reinforce our strategic priorities, we are also improving the connection between the strategic goals and priorities in this plan to 

our corporate performance management practices. After extensive recent analysis and associated recommendations of the 

CFTC’s performance management system, we intend to add rigor to performance management practices. The intended result is 

to improve alignment between employee, management, and executive performance standards and assessments with the 

CFTC’s mission, strategic goals, and priorities. 

Another essential component to achieving the CFTC mission is Enterprise Risk Management (ERM). The Commission is 

currently standing up what will become a robust and mature ERM program. The CFTC ERM program will improve and integrate 

strategic planning, performance monitoring, and risk management capabilities to identify and proactively manage risks that 

threaten accomplishment of our mission. The aim of the ERM program is to establish an awareness of risk throughout the CFTC 

that will allow us to anticipate, examine, and systematically address risks the CFTC faces in its operations. 

External Factors

External factors can materially affect the CFTC’s strategies, plans, and priorities. They include: 

• Legislation could be enacted that adds to or reduces the CFTC’s scope of action and its operations. 

• The level of appropriations could impact how strategies are applied and whether there are sufficient resources to 

achieve our goals. 

• World and U.S. economies could expand or contract dramatically.

• Demand for or supply of commodities and other goods and services that affect derivatives trading could change 

significantly.

• Court decisions may alter the CFTC’s workload projections, business processes, and resource requirements.

• Information technology capabilities could materially change, improving or hindering the CFTC’s ability to monitor 

market and participant behavior and analyze transactions.

• New derivative products, processes, or market participants may develop, having a positive or negative impact on the 

Commission’s ability to oversee the market.

• Global security matters could disrupt the CFTC’s ability to fulfill its mission.

• Critical staff attrition – especially for those staff members with hard to replace competencies – could impact our 

performance. 

• Unforeseen domestic and global risks with potentially catastrophic consequences (pandemic events, natural disasters, 

etc.).
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Appendix A – CFTC Divisions and Offices

Offices of the Chairman and the Commissioners

The Offices of the Chairman and the Commissioners provide executive direction and leadership to the CFTC as it implements 

the Commodity Exchange Act (CEA). 

Division of Clearing and Risk 

The Division of Clearing and Risk (DCR) oversees derivatives clearing organizations (DCOs) and other market participants in the 

clearing process. These include futures commission merchants, swap dealers, major swap participants, and large traders. DCR

monitors the clearing of futures, options on futures, and swaps by DCOs, assesses DCO compliance with the CEA and 

Commission regulations, and conducts risk assessment and surveillance. DCR also makes recommendations on DCO 

applications and eligibility, rule submissions, and which types of swaps must be cleared.

Division of Enforcement

The Division of Enforcement (DOE) identifies, investigates, and prosecutes alleged violations of the CEA and Commission 

regulations. Potential violations include fraud, misappropriation, manipulation, and disruptive trading practices. DOE’s 

Whistleblower Office receives tips, complaints, and referrals of potential violations, and its market surveillance program analyzes 

trade data to identify trading or positions that warrant further enforcement inquiry. 

Division of Market Oversight 

The Division of Market Oversight (DMO) oversees derivatives platforms and swap data repositories. DMO reviews new 

applications for designated contract markets, swap execution facilities, swap data repositories, and foreign boards of trade and 

examines existing trading platforms and swap data repositories to ensure their compliance with regulatory requirements, 

including system safeguards. DMO also evaluates new platform-traded products to ensure that they are not susceptible to 

manipulation, and reviews entity rules to ensure compliance with the CEA and Commission regulations. DMO’s data analysis 

informs CFTC policymaking. 

Division of Swap Dealer and Intermediary Oversight

The Division of Swap Dealer and Intermediary Oversight (DSIO) oversees the registration and compliance of intermediaries and 

futures industry self-regulatory organizations, including U.S. derivatives exchanges and the National Futures Association (NFA). 

DSIO also develops and monitors compliance with regulations addressing registration, business conduct standards, capital 

adequacy, and margin requirements for swap dealers and major swap participants.

Office of the Chief Economist

The Office of the Chief Economist (OCE) conducts economic and econometric analysis of derivatives markets. It also partners 

with other CFTC divisions and offices to integrate economic reasoning and data analysis into Commission policy and cost-benefit 

considerations.

Office of Data and Technology

The Office of Data and Technology (ODT) provides technology and data management support for Commission market and 

financial oversight, surveillance, enforcement, legal support, and public transparency activities. ODT also provides general

network, communication, storage, computing, and information management infrastructure and services. 

Office of the Executive Director

The Office of the Executive Director (OED) leads the innovative and strategic management of employee, financial, and 

operational resources in support of the CFTC’s mission. By delegation of the Chairman, the OED directs the internal 

management of the Commission, ensuring the Commission’s continued success, continuity of operations, and adaptation to the 

ever-changing markets it is charged with regulating. The OED directs effective and efficient allocation of CFTC resources, 

develops and implements management and administrative policy, and ensures program performance is measured and tracked 

agency-wide.
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Office of General Counsel

The Office of General Counsel (OGC) provides legal services and support to the Commission and all of its programs. These 

services include: engaging in defensive, appellate, and amicus curiae litigation; assisting the Commission in the performance of 

its adjudicatory functions; providing legal advice and support for Commission programs; assisting other program areas in 

preparing and drafting Commission regulations; interpreting the CEA; overseeing the Commission’s ethics program and 

compliance with laws of general applicability; and providing advice on legislative, regulatory issues and financial technology 

innovation. 

Office of the Inspector General

The Office of the Inspector General (OIG) is an independent organizational unit at the CFTC. Its mission is to detect waste, 

fraud, and abuse and to promote integrity, economy, efficiency, and effectiveness in the CFTC’s programs and operations. In 

accordance with the Inspector General Act of 1978, the OIG issues semiannual reports detailing its activities, findings, and 

recommendations.

Office of International Affairs

The Office of International Affairs (OIA) advises the Commission on all international regulatory initiatives, provides guidance 

regarding international issues raised in Commission matters, represents the Commission in international groups (such as the 

Financial Stability Board (FSB)), standard setting bodies (such as the International Organization of Securities Commissions 

(IOSCO)) and bilateral fora, and provides technical assistance to non-U.S. authorities. 

Office of Legislative and Intergovernmental Affairs

The Office of Legislative and Intergovernmental Affairs (OLIA) is the Commission’s official liaison with Members of Congress,

federal agencies, and the Administration. OLIA develops and executes legislative strategy on behalf of the Chairman and 

Commission, manages congressional testimony, and works with the various divisions to provide technical assistance on 

legislation. 

Office of Minority and Women Inclusion

The Office of Minority and Women Inclusion (OMWI) leads the CFTC’s civil rights, equal employment opportunity, diversity, and 

inclusion programs.

Office of Public Affairs 

The Office of Public Affairs (OPA) is the Commission’s primary public-facing office that provides honest, timely, and useful 

information across all communication platforms in order to serve internal and external stakeholders in all sectors to accomplish 

and facilitate the Commission’s mission. OPA proactively conducts outreach and creates messages designed to raise 

awareness of the CFTC brand in order to promote the public’s trust.
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Appendix B – Glossary of Acronyms

CEA Commodity Exchange Act 

CCP Central Counterparty

CFTC Commodity Futures Trading Commission

Commission Commodity Futures Trading Commission

CPO Commodity Pool Operator 

DCM Designated Contract Market

DCO Derivatives Clearing Organization

DCR Division of Clearing and Risk 

Dodd-Frank Act Dodd-Frank Wall Street Reform and Consumer Protection Act

DOE Division of Enforcement

DMO Division of Market Oversight 

DSIO Division of Swap Dealer and Intermediary Oversight

ERM Enterprise Risk Management

FCM Futures Commission Merchant 

FSB Financial Stability Board

IOSCO International Organization of Securities Commissions

NFA National Futures Association

OCE Office of the Chief Economist

ODT Office of Data and Technology

OED Office of the Executive Director

OGC Office of General Counsel

OIG Office of the Inspector General 

OIA Office of International Affairs

OLIA Office of Legislative and Intergovernmental Affairs 

OMWI Office of Minority and Women Inclusion 

OPA Office of Public Affairs

PMPR Performance Management and Pay Reform 

SD Swap Dealer

SDR Swap Data Repository 

SEF Swap Execution Facility
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Division Operating 

Plans

PMPR 

Implementation

Business Planning Business Planning Business Planning

Employee Performance 

Reviews Better Aligned 

to Mission & Results

Strategic Plan

Resource Request 

& Allocation

Agency 

Performance Plan

CFTC-wide & Division 

Annual Performance 

Results

PMPR 

Performance Mgt. 

Recommendations

IT Strategic Plan

IT Operating 

Plan

Currently in 

Place

In 

Development

Not

Developed

Appendix C – CFTC Planning & Accountability Roadmap

 

• Strategic Plan (SP) 

implements mission; 

emphasizing leadership 

priorities. 

• Should influence 

resource request and 

allocation decisions. 

• Requires operational 

planning to implement. 

Performance 

Management and Pay 

Reform (PMPR) 

recommendations will 

add rigor to the CFTC’s 

performance 

management system 

and will better align 

with the CFTC mission 

and results.

With increased 

performance 

management rigor, 

Division Operating 

Plans that support and 

reinforce the CFTC SP 

& Mission will facilitate 

performance reviews, 

especially for senior 

positions, grounded in 

contributions to 

achieving the mission. 

• APP – Annual 

Corporate 

implementation of SP, 

with indicators and 

targets. 

•Operating Plans – 

Division level annual 

plans to implement and 

reinforce the SP. 

CFTC & IT Strat 

Plans: 4 –year 

focus.

Resource 

requests start 2 

years out, and 

are allocated 

annually.

Other processes 

& plans are 

annual.