EEOC FORM 

715-02 

PARTA - D 

U.S. Equal Employment Opportunity Commission 

FEDERAL AGENCY ANNUAL 

EEO PROGRA."\1 STATUS REPORT 

Commodity Futures Trading Commission I For period cove1·ing October 1, 2019 to September 30, 2020 

PART A 

Department 1. Agency 1. Commodity Futures Trading Commission 

or Agency 

Identifying 

Information I.a 2nd level reporting component 

2. Address 2. 1155 21st Street, NW 

3. City, State, Zip Code 3. Washington, DC 20581 

4. Agency Code Is. FIPS code(s) 4. CTO0 Is. 11001 

PART B 

Total 1. Enter total number of permanent full-time and part-time employees 1. 691 

Employment 

2. Enter total number of temporary employees 2. I 

3. TOTAL EMPLOYMENT [add lines B 1 through 2) 4. • 

PART C Title Type Name Title 

Head of Agency Rostin Behnam Acting Chair, Commodity Futures Agency Official(s) Responsible Trading Commission For Oversight of EEO 

Program(s) Principal EEO Director/Official Sarah Summerville Director, Office of Minority and 

Women Inclusion 

Affirmative Employment Program Manager Sarah Pauly Equal Employment Opportunity 

Specialist 

Complaint Processing Program Manager Sarah Summerville Director, Office of Minority and 

Women Inclusion 

Diversity & Inclusion Officer Sarah Pauly Equal Employment Opportunity 

Specialist 

Hispanic Program Manager (SEPM) Derrick Wilson Diversity and Inclusion Specialist 

Women's Program Manager (SEPM) Derrick Wilson Diversity and Inclusion Specialist 

Disability Program Manager (SEPM) Derrick Wilson Diversity and Inclusion Specialist 

Special Placement Program Coordinator (Individuals KerriLaine Prunella Chief Human Capital Officer 

with Disabilities) 

Reasonable Accommodation Program Manager Lauren Colon Chief, Workforce Relations 

Anti-Harassment Program Manager Lauren Colon Chief, Workforce Relations 

ADR Program Manager Sarah Summerville Director, Office of Minority and 

Women Inclusion 

ADR Program Manager KerriLaine Prunella Chief Human Capital Officer 

Compliance Manager Sarah Summerville Director, Office of Minority and 

Women Inclusion 

Principal MD-715 Preparer Sarah Pauly EEO Specialist 

Other EEO Staff Derrick Wilson Diversity and Inclusion Specialist 

Page 1 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTA-D EEO PROGRAM STATUS REPORT 

I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

PARTD Subordinate Component and Location Country Agency Code 

List of Subordinate Components Covered in (City/State) 

This Report I 

EEOC FORMS and Documents Required Uploaded 

Personal Ass y y istance Services 

Procedures 

Agency Strategic Plan y y 

Ant y y i-Harassment Policy and 

Procedures 

Alternative Dispute Resolution y y 

Procedures 

EEO Policy Statement y y 

Organization Chart y y 

Reasonable Accommodat y y ion 

Procedure 

Disabled Veterans Affirmative N N 

Action Program (DV AAP) Report 

Federal Equal Opportunity N N 

Recruitment Program (FEORP) 

Report 

Diversity Policy Statement N N 

EEO Strategic Plan N N 

Human Capital Strategic Plan N N 

Results from most recent Federal N N 

Employee Viewpoint Survey or 

Annual Employee Survey 

Page 2 
U.S. Equal Employment Opportunity Commission 

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT 

EEOCFORM 

715-02 

PART E.l 

I 

Commodity Futur es Trading Commission I For pe1iod covering October 1, 2019 to September 30, 2020 

EXECUTIVE SUMMARY: MISSION 

Congress created the Commodity Futures Trading Commission (CFTC) in 1974 as an independent agency with the mandate to regulate 

commodity futures and option markets in the United States. The agency's mandate has been renewed and expanded several times since 

then, most recently by the Dodd-Frank Wall Street Reform and Consumer Protection Act, which includes regulating swaps and educating 

consumers about commodities fraud. 

The CFTC's mission is to promote the integrity, resilience, and vibrancy of the U.S. derivatives markets through sound regulation. It envisions 

the agency to be the global standard for sound derivatives regulation. The agency's core values are: 

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

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

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

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

Page 3 
U.S. Equal Employment Opportunity Commission 

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT 

EEOCFORM

715-02 

PART E.2 

I 

Commodity Futur es Trading Commission I For pe1iod covering October 1, 2019 to September 30, 2020 

EXECUTIVE SUMMARY: ESSENTIAL ELEMENT A-F 

EEOC Management Directive 715 (MD-715) defines the essential elements of a model equal employment opportunity (EEO) program as: 

(1) demonstrated commitment from agency leadership; (2) integration of EEO into the agency's strategic mission; (3) management and 

program accountability; (4) proactive prevention of unlawful discrimination; (5) efficiency; and (6) responsiveness and legal compliance. 

The CFTC assessed its FY20 EEO program compliance using the self-assessment checklist located in Part G of this report. This checklist 

includes 27 compliance indicators and 100 performance measures. 

Below, an overview is first provided of the performance measures requiring further agency action in order to achieve full compliance, 

followed by a narrative description of key accomplishments and activities under the 6 model EEO program elements. 

Measures Requiring Agency Action to Achieve Full Compliance: 

The FY20 self-assessment found the CFTC met 84 of the 100 performance measures. The 16 performance measures that require action 

are listed below. Information regarding the activities the agency plans to take to remedy the below 16 deficient performance measures and 

the agency official responsible for addressing the performance measures are listed in Part G and H of the report as required. 

A.2.c.5. The agency does not yet inform employees of behaviors that are inappropriate in the workplace and that could result in disciplinary 

action. 

C.2.a. and C.2.a.1 Though there is an anti-harassment article in the Collective Bargaining Agreement, the agency has not yet established a 

comprehensive anti-harassment policy and procedures that comply with the EEOC's enforcement guidance. Additionally, the agency's antiharassment policy does not require corrective action to prevent or eliminate conduct before it rises to the level of unlawful harassment. 

C.2.b., C.2.c., and C.2.c.1 The agency has not established disability reasonable accommodation procedures or personal assistance services 

procedures that comply with the EEOC's regulations and guidance. It also has not posted its procedures for processing Personal Assistance 

Services on its public website. 

C.3.b.1. through C.3.b.9. Though the agency rates all supervisors on adherence to EEO principles and promoting diversity and inclusion in 

general terms, it does not yet specifically require rating officials to evaluate the performance of managers and supervisors based on the 

following activities: 

• Resolve EEO problems/disagreements/conflicts, including participation in ADR proceedings 

• Ensure full cooperation of employees under their supervision with EEO officials, such as counselors and investigators 

• Ensure a workplace that is free from all forms of discrimination, including harassment and retaliation 

• Ensure that subordinate supervisors have effective managerial, communication, and interpersonal skills to supervise in a workplace with 

diverse employees 

• Provide religious accommodations when such accommodations do not cause an undue hardship 

• Provide disability accommodations when such accommodations do not cause an undue hardship 

• Support the EEO program in identifying and removing barriers to equal opportunity 

• Support the anti-harassment program in investigating and correcting harassing conduct 

• Comply with settlement agreements and orders issued by the agency, EEOC, and EEO-related cases from the Merit Systems Protection 

Board, labor arbitrators, and the Federal Labor Relations Authority 

C.4.c Though the agency has made progress in terms of workforce demographic data collection, the EEO office does not have timely 

access to accurate and complete data (e.g. demographic data for the workforce, applicants, training programs, etc.) required to prepare the 

MD-715 workforce data tables. 

B.4.a.3. The agency has not allocated sufficient budget and staffing to timely, thoroughly, and fairly process EEO complaints, including 

EEO counseling, investigations, final agency decisions, and legal sufficiency reviews. 

A succinct narrative of key activities under the Commission's EEO program by essential element follows. 

Essential Element A - Demonstrated Commitment from Agency Leadership. Though much work remains in front of the agency, 

CFTC leadership took some concrete actions in FY20 to promote an environment that supports diversity, equity, inclusion, and 

accessibility. During FY20, after hearing from employee stakeholders such as leaders of the Association of African Americans, Women @ 

Work, and labor union, former Chairman Tarbert took several significant steps to demonstrate that commitment. For example, former 

Chairman Tarbert: 

• Supported the launch of a new Veterans' Affinity Group. 

Page 4 
EEOCFORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART E.2 EEO PROGRAM STATUS REPORT 

Commodity Futur es Trading Commission I For pe1iod covering October 1, 2019 to September 30, 2020 

EXECUTIVE SUMMARY: ESSENTIAL ELEMENT A-F 

• Approved a policy to compensate agency employees for leave under the Families First Coronavirus Response Act at their full salary, 

rather than being subject to pay caps and reduced pay rates. 

• Implemented the agency's pay reassessment program, which was designed to address concerns related to the potential unfair impact of 

agency pay-setting standards that were historically often based on an employee's prior salary, a practice that has been widely criticized 

for potentially disparately impacting women and minorities. The program was a one-time opportunity for most CFTC employees to have 

their pay reviewed and, if eligible, re-set based on their actual experience, rather than on their prior pay. 

• Announced plans to strengthen the agency's approach to diversity, equity, inclusion, and accessibility by: 

1) contracting with an outside consultant to conduct a 360-degree analysis of the agency's diversity and inclusion programs, 

structure, and culture and also conduct an agency-wide barrier analysis; 

2) require all agency employees to complete a mandatory diversity and inclusion training and require all supervisors, who generally 

serve as hiring officials, to attend further training on diversity and inclusion; 

3) make diversity and inclusion a fundamental component of the human capital plan, including consideration of features such as 

ensuring diversity in hiring panels where possible, approaches for sourcing and recruiting diverse talent, and potentially 

establishing and strengthening mentorship and internship opportunities; and 

4) formalizing the CFTC's Diversity Workgroup. 

Furthermore, during FY20 the CFTC continued to support legislative recommendations developed by the office of then-Commissioner 

Rostin Behnam (now CFTC Acting Chair) that were introduced in House Resolution 4257 that would bring the CFTC under the diversity 

mandates of Section 342 of the 2010 Dodd-Frank Act, which requires covered agencies to, for example: 1) assess the diversity policies and 

practices of their regulated entities; and 2) develop and implement standards and procedures to ensure, to the maximum extent possible, 

the fair inclusion and utilization of minorities, women, and minority-owned and women-owned businesses in all business and activities of the 

agency at all levels, including in procurement, insurance, and contracts. The legislation would also establish a paid internship program for 

students from 1890's land grant institutions, which would diversify the CFTC's applicant pipeline. 

Essential Element B - Integration of EEO into Agency Mission. EEO is integrated into the agency's mission and is included in the 

agency's 2020 - 2024 Strategic Plan. Strategic Goal 5.4 commits the organization to "attract, retain, and promote a diverse workforce of the 

best and the brightest." The plan also includes teamwork as a core value, which is defined as "valuing diverse skill sets and backgrounds to 

achieve our mission." 

Furthermore, as described above, the CFTC's Office of Human Resources will be creating a new human capital strategic plan that will 

integrate diversity, equity, and inclusion principles as a fundamental component. The CFTC also will develop an overarching Diversity, 

Equity, and Inclusion Strategic Plan. 

The CFTC's EEO programs are structured to maintain a workplace that is free from discrimination. The principal EEO official has 

appropriate authority to effectively carry out a successful EEO program. The EEO Director controls all aspects of the EEO program, is 

involved in and consulted on management and personnel actions, and involves managers in the implementation of its EEO program. 

Essential Element C - Management and Program Accountability. The CFTC's Office of Minority and Women Inclusion (OMWI) 

advises managers/supervisors on EEO matters and effectively coordinates with the Human Resources Branch. In the event of a finding of 

discrimination, the CFTC will explore whether it should take a disciplinary action. 

In FY20, the agency provided the opportunity for employees committed to diversity to be recognized with two awards: 1) the Excellence in 

Management Award for managers and supervisors who recruit, hire and promote a diverse workforce, including within the summer 

internship program; and 2) the Staff Excellence Award for non-supervisory employees who support diversity. In FY20, OMWI nominated 

all affinity group leaders for an award, and during FY21 twenty employees were honored with an 8-hour time off awards for their work to 

further diversity at the agency. 

The CFTC is working to ensure that all of its policies and procedures comply with EEOC mandates. The CFTC's Human Resources Branch 

drafted updated reasonable accommodation and personal assistance services procedures and submitted a draft of them to the EEOC for 

review on 7/29/2019; the EEOC provided its feedback on 2/08/2021. The CFTC is incorporating the EEOC's feedback and will then post the 

procedures on the CFTC's public-facing website to comply with C.2.b., C.2.c., and C.2.c.1. Additionally, an anti-harassment policy has been 

incorporated into the CFTC's collective bargaining agreement; the CFTC's Human Resources Branch is currently working on an update to the 

CFTC's anti-harassment policy and procedures to comply with C.2.a. and C.2.a.1. 

CFTC is working to better comply with indicator C.4.c to ensure that the EEO office has timely access to accurate and complete data (e.g. 

demographic data for the workforce, applicants, training programs, etc.) required to prepare the MD-715 workforce data tables. CFTC's 

Page 4 
EEOCFORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART E.2 EEO PROGRAM STATUS REPORT 

Commodity Futur es Trading Commission I For pe1iod covering October 1, 2019 to September 30, 2020 

EXECUTIVE SUMMARY: ESSENTIAL ELEMENT A-F 

Human Resources Branch will place an increased emphasis on encouraging employee self-identification to ensure that all of the quantitative 

workforce data provided to the EEO office is accurate and will work to establish practices for collecting required data under it's purview where 

such practices may not already be in place. 

The Commission evaluates managers and supervisors on their efforts to ensure equal employment opportunity. Though not fully compliant 

with EEOC requirements due to the deficiencies described under Part G C.3.b.1. through C.3.b.9 of this report, rating officials do evaluate the 

performance of supervisors and managers based on general EEO elements. The CFTC Performance Assessment (Form 442) used for all 

employees, includes elements that assess whether the manager and supervisors: 1) encourage and recognize others in the areas of diversity 

and equal opportunity; 2) demonstrate adherence to EEO and diversity principles within the agency and when representing the agency 

outside the CFTC; 3) respond constructively and proactively when employees make protected disclosures; and 4) take responsible actions to 

resolve such disclosures and foster a comfortable work environment for making such disclosures. Additionally, all employees, even nonsupervisors, are rated on whether or not they demonstrate adherence to EEO and diversity principles. The agency is working to update its 

performance management system to fully comply with the criteria in Part G C.3.b.1. through C.3.b.9. 

Essential Element D - Proactive Prevention. The CFTC makes early efforts to prevent discrimination and to identify and eliminate barriers 

to equal employment opportunity. In FY20, the CFTC's OMWI office spearheaded the agency's first cross-office workforce barrier analysis 

effort directed towards two agency divisions. As described above, that effort was later expanded to address the entire agency with the 

assistance of a team of contractors hired by the CFTC. 

Furthermore, the CFTC works to foster a culture of inclusion that values diversity. OMWI organizes seven observance events and supports 

a community of six internal employee affinity groups: the Association of Asian Americans & Pacific Islanders, the Latino-Hispanic Employee 

Association, the Association of African Americans, CFTC Pride: Gay, Lesbian, Bisexual, Transgender & Allied Employees, Women @ 

Work, and the Veterans' Affinity Group. Affinity groups play an important role in promoting a sense of belonging and providing networking 

and leadership development opportunities. With supervisor approval, affinity group leaders and employee members may use up to six preapproved hours per month of official time to fulfill their duties and obligations; interns may devote up to two hours of official time per month. 

During FY20, the affinity groups, along with labor union leaders, played a particularly important role in advocating for some of the key steps 

that agency leadership took to promote inclusive practices. For example, Women @ Work leaders as well as the labor union advocated 

for payment of full salaries under the Families First Coronavirus Response Act and implementation of the pay reassessment program; the 

leaders of the Association of African Americans as well as the labor union advocated for the agency to hire a contractor to perform a 360-

degree diversity review and agency-wide barrier analysis, make diversity and inclusion training mandatory, formalize the agency's diversity 

workgroup, and integrate diversity and inclusion principles into the agency's human capital plan. Affinity group leaders also shared vital 

resources to promote well-being amongst their members during the challenges of 2020 by, for example, sharing resources on mentalhealth, wellness, and educational resources for families with children working at home due to school closures. 

During FY20, after receiving a request from Regional Office Directors, the CFTC's OMWI staff developed an agency-wide training for the 

Commission's Learning Circle "Diversity in the Legal Profession: Busting Cognitive and Structural Biases" which was approved for continuing 

legal education credit in both Illinois and Missouri. It was attended by over 180 employees and over sixty agency attorneys were able to use it 

to fulfill the diversity training requirements of their local bar associations. 

Essential Element E - Efficiency. The CFTC continues to maintain an efficient, fair, and impartial complaint resolution process and in 

FY20 processed 100% of complaint actions within the timeframes defined in EEOC regulations for processing EEO complaints. The 

agency has established a fair alternative dispute resolution (ADR) program and applies this program to resolve issues at the earliest stage 

possible. 

The CFTC's OMWI has an effective and accurate data collection process in place to evaluate its EEO program and to identify significant 

trends and best practices. One of these best practices is the use of high-quality contractor support for EEO counseling and investigations. 

The use of quality contractor support with extensive experience in EEO complaint processing is cost-beneficial and ensures that quality 

work product is consistently delivered. Using internal due dates more aggressive than MD-110 requirements ensures all case actions are 

processed timely. 

Essential Element F - Responsiveness and Legal Compliance. The CFTC continues to comply with EEO statutes, regulations, policy, 

guidance, and other written instructions. Processes are in place to ensure timely and full compliance with EEOC Orders and settlement 

agreements and efforts and accomplishments are reported to the EEOC. 

Page 4 
,, , 

EEOCFORM 

715-02

PART E.3 

Commodity Futures Trading Commission For pe1iod covering October 1, 2019 to September 30, 2020 I 

EXECUTIVE SUMMARY: WORKFORCE ANALYSES 

Workforce Profile. During FY20, the Commission employed 698 employees total. The majority of Commission staff are 

analytical professionals with strong academic records, advanced degrees, and specialized skills in commodities and derivatives 

industries. 

Major Occupations at CFTC include attorneys (0905 Series), auditors (0511 and 1801 Series), economists and data analysts (0110 

and 1101 Series) and management professionals (0301 and 2210 Series). 

Attorneys across the CFTC's divisions and offices represent the Commission in administrative and civil proceedings, assist U.S. Attorneys 

in criminal proceedings related to CEA violations, assist other domestic and international criminal and regulatory authorities, develop 

regulations and policies governing clearinghouses, exchanges and intermediaries, and monitor compliance with applicable rules. The 

General Attorney Series (0905) represents 39% of the workforce. 

Economists and Data Analysts (0110 Series and 1101 Series) monitor trading activities and price relationships in derivatives markets 

to detect and deter price manipulation and other potential market disruptions. Economists also analyze the economic effect of various 

Commission and industry actions and events, evaluate policy issues, and advise the Commission accordingly. The Economist (0110) and 

General Business and Industry (1101) Series represent 20% of the workforce. 

Auditors, Investigators, Risk Analysts, and Trade Practice Analysts examine records and operations of derivatives exchanges, 

clearinghouses, and serve as intermediaries for compliance with the provisions of the CEA and the Commission's regulations. The 

Auditing (0511) and General Inspection, Investigation and Compliance (1801) Series represent 11 % of the workforce. 

Management Professionals support the CFTC mission by performing strategic planning, information technology, human resources, 

staffing, training, accounting, budgeting, procurement, contracting, and other management operations. The Miscellaneous Administration 

and Program (0301) and Information Technology Management (2210) Series represent 16% of the workforce. 

The Commission is headquartered in Washington, DC, and has three regional offices: Central - Chicago, IL; Eastern - New York, NY; 

and Southwestern - Kansas City, MO. 

Trigger Identification and Barrier Analysis. This year, as described above, the CFTC contracted with a consultant to conduct an agencywide barrier analysis. The contractor's findings regarding agency triggersW and barriers arem: "A review of the CFTC's employment data 

indicates that the CFTC's workforce reflects the diversity of the relevant civilian labor force (RCLF) in some respects. For example: 

U.S. Equal Employment Opportunity Commission 

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT I 

• 41.69% of the total CFTC workforce are female compared to 40.6% of the RCLF;

• 5.73% of the total CFTC workforce are Black males compared to 4.5% of the RCLF;

• 10.46% of the total CFTC workforce are Black females compared to 6.8% of the RCLF;

• 5.44% of the total CFTC workforce are Asian males compared to 4.8% of the RCLF;

• 5.16% of the total CFTC workforce are Asian females compared to 3.6% of the RCLF.

Nevertheless, analysis revealed three triggers: 

Trigger 1 • Participation of Hispanic or Latino male and female employees. Hispanic or Latino males participate at- %* in the 

permanent workforce as compared to a RCLF of 3.4%. Hispanic or Latina females participate at-% in the permanent workforce as 

compared to a RCLF of 3.1 %. Barriers identified that likely contributed to this trigger are: 1) lack of hiring due to the Coronavirus Pandemic; 

2) the lack of funding and staff dedicated to diversity recruitment; and 3) the lack of an agency-wide diversity recruitment strategy.

Trigger 2 - Lower than expected representation of racial and ethnic minorities overall in senior-level permanent positions. Only 

22% of individuals in CT16+ permanent positions are racial and ethnic minorities compared to their representation in the RCLF at 27%. The 

largest gap between representation in CT16+ permanent positions and the RCLF exists for Hispanic employees:1% of CT16+ permanent 

positions are filled by Hispanic employees, despite their representation in the RCLF at 6.5%. Positively, the % of Two or More Races females 

at CT16+ has risen to-% which exceeds the RCLF benchmark of 0.34% In addition to the barriers listed in Trigger 1 above, a barrier of 

lack of a comprehensive formal development strategy has been identified in previous MD-715 reports. 

Finally, the representation of women in CT16+ permanent positions increased to 44% in FY20 and is now above the RCLF of 41%, no longer 

indicating a trigger for gender representation in senior-level permanent positions. 

Trigger 3 - Participation Below Goal for People with Disabilities (PWD) and People with Targeted Disabilities (PWTD) 

*Note that for privacy purposes, derived values of nine or less have been redacted from the public posting of this report. 

Page 5 
EEOCFORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART E.3 EEO PROGRAM STATUS REPORT 

Commodity Futur es Trading Commission I For pe1iod covering October 1, 2019 to September 30, 2020 

EXECUTIVE SUMMARY: WORKFORCE ANALYSES 

In FY20, the 12% participation rate goal for PWD was not met for grades CT10 and below nor for grades CT11 and above; instead, the 

participation rates were I % and 5.7% respectively. The 2% participation rate goal for PWTD was not met for grades CT10 and below or CT11 

and above and was instead l 0/o and % respectively. Positively, CT11 -13 was close to the 2% participation rate goal for PWTD atl o/o. 

Based on American Community Survey (ACS) data, the major occupations at the CFTC have a much smaller population of individuals with 

disabilities. The FY 2011-FY 2015 ACS reports that 12.8 percent of the population as 'disabled' (using the ACS definition of disabled), 

however, limiting this to CFTC occupational categories resulted in only about 4 percent of the relevant labor force for CFTC major 

occupations identifying as 'disabled'. Achieving representation rates for the CT1 to CT10 cluster will not be possible given the fact that the 

CFTC workforce plan includes no federal employee backfill at these grade levels. The barriers identified are: 1) PWD and PWTD are 

underrepresented in the CFTC's applicant pipeline; and 2) societal attitudinal barriers may create a reluctance to self-disclose disability 

status." 

Furthermore, the contractor also identified the below potential barriers: 

• "No Commission wide D&I strategy: No specific D&I strategy exists to guide initiatives and programming;" 

• "Talent Processes do not Effectively Mitigate Bias: Standard Operating Procedures for talent processes do not actively remove barriers 

and bias" and "Hiring, performance management, and promotions are highly subjective with no measures to combat biases. This 

reduces the ability for the CFTC to actively promote DEi through talent processes." 

• "No development programs for underrepresented groups: no programs exist to actively support the development of employees from 

underrepresent backgrounds;" 

• "Approach to hiring and recruitment is rudimentary: there are no explicit D&I focused hiring and recruiting programs" and "Hiring is 

limited to a few positions, mainly high grade, and is done by individual hiring managers who own the roles. This leaves the hiring 

process open to bias. Additionally, the recruitment processes at the Commission do not proactively source a diverse pool of candidates." 

• "Data only used to meet federal reporting requirements: workforce data is not strategically collected or leveraged to drive decisionmaking." 

Ul It was reported to the EEO office this year that some of the quantitative demographic data reported to it for this and previous MD-715 

reports is likely innacurate, as mentioned in Part G of this report, due a portion of the workforce that has not self-identified having been 

assigned a default demographic category; the Human Resources Branch is working to update their processes in regards to demographic 

data collection and reporting to improve data accuracy, including increasingly emphasizing self-identification of staff. Note this problem likely 

does not apply to the data points that allow employees to not self-identify, such as the disability data and some applicant flow data. 

Ill The contractor also provided the conclusions regarding triggers and barriers listed throughout parts I and J of this report. 

Page 5 
U.S. Equal Employment Opportunity Commission 

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT 

EEOCFORM 

715-02 

PART E.4 

I 

Commodity Futures Trading Commission I For pe1iod covering October 1, 2019 to September 30, 2020 

EXECUTIVE SUMMARY: ACCOMPLISHMENTS 

The CFTC remains committed to a diverse workforce and preventing and addressing barriers to equal opportunity in the 

workplace and made positive progress in advancing the EEO program in FY20. Some examples of key steps taken include: 

Announced agency-w ide initiatives to strengthen the agency's approach to diversity, equity, inclusion, and 

accessibility. Those initiatives include planning to1) contract with an outside consultant to conduct a 360-degree analysis of 

the agency's diversity and inclusion programs, structure, and culture and to also conduct an agency-wide barrier analysis; 2) 

require all agency employees to complete a mandatory diversity and inclusion training and require all supervisors, who 

generally serve as hiring officials, to attend further training on diversity and inclusion; 3) make diversity and inclusion a 

fundamental component of the human capital plan, including consideration of features such as ensuring diversity in hiring 

panels where possible, approaches for sourcing and recruiting diverse talent, and establishing and strengthening mentorship 

and internship opportunities; and 4) formalizing the CFTC's Diversity Workgroup. 

Increased paid benefits for employees with Covid-related leave needs. The CFTC approved a policy to compensate 

agency employees for the Families First Coronavirus Response Act at their full salary, rather than being subject to pay caps 

and reduced pay rates. 

Began to implement the agency's pay reassessment program. The pay reassessment program was designed to 

address concerns related to the potential unfair impact of agency pay-setting standards that were historically often based on 

an employee's prior salary, a practice that has been widely criticized for potentially disparately impacting women and 

minorities. The program was a one-time opportunity for most CFTC employees to have their pay reviewed and, if eligible, reset based on their actual experience, rather than on their prior pay. 

Monitored pending legislation, policies, and procedures. OMWI continued to monitor and report on the agency's update 

of its Reasonable Accommodation and Personal Assistance Services procedures as well as its Anti-Harassment policy and 

procedures. OMWI drafted and submitted a compliance update to the EEOC in March of 2020 regarding the agency's status 

on updating its anti-harassment policy and procedures. The CFTC will also monitor the legislative proposal House 

Resolution 4257 to ensure that the agency is prepared to implement its mandates should it pass and be signed into law. 

Delivered new training. In FY20, OMWI collaborated with the Human Resources Branch's Learning Officer to develop and 

deliver an agency-wide training Diversity in the Legal Profession: Busting Cognitive and Structural Biases. This training was 

requested by the agency's regional offices and allowed participants to fulfill the Diversity and Inclusion Continuing Legal 

Education Requirements for the Missouri, Illinois, and New York bars associations. The training covered cognitive and 

structural biases, provided examples of how they manifest in the legal profession, proposed action items that every person 

can take to address barriers, and connected the importance of diversity and inclusion to the Agency's mission. 

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FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT 

EEOCFORM 

715-02 

PART E.5 

I 

Commodity Futur es Trading Commission I For pe1iod covering October 1, 2019 to September 30, 2020 

EXECUTIVE SUMMARY: PLANNED ACTIVITIES 

The CFTC plans to complete the following activities during FY21. However, the execution of these activities is subject to the availability of 

funds, and may be modified. 

Listening Sessions. OMWI will partner with CFTC Commissioner Berkovitz to organize listening sessions for the CFTC's Affinity Groups. 

The listening sessions will provide an opportunity for each of the agency's six Affinity Groups to speak directly with Commissioner 

Berkovitz about issues that may be affecting their members, including how the agency can best support diversity, equity, inclusion, and 

accessibility within its workforce. 

Training. The agency will plan to hold further training related to diversity, equity, inclusion, and accessibility, such as training on 

unconscious bias. 

Formalize the Diversity Workgroup. The agency will formalize its Diversity Workgroup by drafting a charter. 

Address potential barriers and compliance deficiencies. The agency will work to address potential barriers as well as the compliance 

deficiencies listed in Part G as described in parts H, I and J of this report. 

Contractor recommendations. A report was submitted during FY21 from the contractor that conducted the 360-degree analysis of the 

agency's approach to diversity, equity, and inclusion. Agency leadership is developing an implementation plan to cover the next two 

years, broken down into 30, 60, 90 day increments. 

Human Capital Plan. A human capital strategic plan will be developed that integrates diversity, equity, and inclusion principles as a key 

component. The plan will include, where possible, approaches for sourcing and recruiting diverse talent, ensuring diversity in hiring 

panels, and establishing and strengthening mentorship and internship opportunities. 

Diversity, Equity, and Inclusion Strategic Plan. The agency will start to develop an overarching Diversity, Equity, and Inclusion 

Strategic Plan. 

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FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT 

EEOCFORM 

715-02 

PARTF 

I 

Commodity Futures Trading Commission For pe1iod covering October 1, 2019 to Septembe1· 30, 2020 

CERTIFICATION of ESTABLISHMENT of CONTINUING 

EQUAL EMPLOYMENT OPPORTUNITY PROGRAl"\fS 

am the 

(Insert Name Above) (Insert official 

title/series/grade above) 

Principal EEO Director/Official for 

(Insert Agency/Component Name above) 

The agency has conducted an annual self-assessment of Section 717 and Section 501 programs against tlie essential 

elements as prescribed by EEO MD-715. If an essential element was not fully compliant with the standards of EEO MD-715, a 

further evaluation was conducted and, as appropriate, EEO Plans for Attaining the Essential Elements of a Model EEO 

Program, are included witli this Federal Agency Annual EEO Program Status Report. 

The agency has also analyzed its work force profiles and conducted barrier analyses ainied at detecting whether any 

management or personnel policy, procedure or practice is operating to disadvantage any group based on race, national origin, 

gender or disability. EEO Plans to Eliminate Identified Barriers, as appropriate, are included witli this Federal Agency Annual 

EEO Program Status Report. 

I certify that proper documentation of this assessment is in place and is being maintained for EEOC review upon request. 

Signature of Principal EEO Director/Official Date 

Certifies that this Federal Agency Annual EEO Program Status Report is in compliance witli 

EEO MD-715. 

Signature of Agency Head or Agency Head Designee Date 

Page 8 
U.S. Equal Employment Opportunity Commission 

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT 

EEOC FORM 

715-02 

PARTG 

I 

Commodity Futures Trading Commission For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

Essential Element: A Demonstrated Commitment From agency Leadership 

Compliance 

Indicator 

Measure Has 

Been Met 

... Measures 

A. 1. The agency issues an effective, up-to-date EEO policy statement. 

Yes No NIA 

A. I .a. Does the agency annually issue a signed and dated EEO policy statement on agency letterhead that X 

clearly communicates the agency's commitment to EEO for all employees and applicants? If"Yes", please 

provide the annual issuance date in the comments colwnn. [see MD-715, ll(A)] 

A. l .b. Does the EEO policy statement address all protected bases (age, color, disability, sex (including X 

pregnancy, sexual orientation and gender identity), genetic information, national origin, race, religion, and 

reprisal) contained in the laws EEOC enforces? [see 29 CFR § 1614.I0I(a)] If the EEO policy statement covers 

any additional bases (e.g., marital status, veteran status and political affiliation), please list them in the 

comments colwnn. 

For all unmet 

measures, provide 

a 

brief explanation 

in 

the space below or 

complete and 

attach 

an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

12/02/2020 

12/2/2020 

The EEO 

statement also 

covers any other 

non-merit based 

factors. 

Page 9 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

... Measure Has For all unmet Compliance Been Met measures, provide Indicator a 

• 

brief explanation 

in 

the space below or 

A.2. The agency has communicated EEO policies and procedures to all employees. complete and 

attach Measures Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

A.2.a. Does the agency disseminate the following policies and procedures to all employees I I I I 

A.2.a.1. Anti-harassment policy? [see MD 715, ll(A)] X I I I I 

A.2.a.2. Reasonable accommodation procedures? [see 29 CFR § 1614.203(d)(3)] X I I I I 

A.2.b. Does the agency prominently post the following information throughout the workplace and on its public 

website: I I I I 

A.2.b.1. The business contact information for its EEO Counselors, EEO Officers, Special Emphasis Program X 

Managers, and EEO Director? [see 29 C.F.R § 1614.102(b)(7)] 

A.2.b.2. Written materials concerning the EEO program, laws, policy statements, and the operation of the EEO I X 

complaint process? [see 29 CFR §1614.102(b)(5)] I I I 

A.2.b.3. Reasonable accommodation procedures? [see 29 CFR § 1614.203(d)(3)(i)] If so, please provide the X http://cftcnet/ 

internet address in the comments column. Commission/ 

About/Policies/ 

CFTCPolicies/ 

A.2.c. Does the agency inform its employees about the following topics: I I I I 

A.2.c.1. EEO complaint process? [see 29 CFR §§ 1614.102(a)(l2) and 1614.102(b)(5)] If"yes", please provide X Biennially. 

how often and the means by which such training is delivered. Offered in person 

and through video 

conference. 

A.2.c.2. ADR process? [see MD-llO, Ch. 3(II)(C)] If"yes", please provide how often. X I Biennially I I I 

A.2.c.3. Reasonable accommodation program? [see 29 CFR § 1614.203(d)(7)(ii)(C)] If"yes'', please provide X Training will be 

how often. provided as part 

oftheCBA 

training across the 

agency. 

A.2.c.4. Anti-harassment program? [see EEOC Enforcement Guidance on Vicarious Employer Liability for X Training will be 

Unlawful Harassment by Supervisors (1999), § V.C.l ] If"yes", please provide how often. provided as part 

oftheCBA 

training across the 

agency. 

A.2.c.5. Behaviors that are inappropriate in the workplace and could result in disciplinary action? (5 CFR X The agency will 

§2635.l0l(b)] If"yes", please provide how often. develop guidance 

that lists 

examples of such 

behaviors. 

Page 10 
EEOCFORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

Measure Has For all unmet Compliance Been Met measures, provide Indicator a 

• 

brief explanation 

in 

the space below or 

A.3. The agency assesses and ensures EEO principles are part of its culture. complete and 

attach Measures Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

A.3 .a. Does the agency provide recognition to employees, supervisors, managers and units demonstrating X See Executive 

superior accomplishment in equal employment opportunity? [see 29 CFR § 1614.102(a)(9)] If"yes", provide Summary for 

one or two examples in the comments section . . examples. 

A.3.b. Does the agency utilize the Federal Employee Viewpoint Survey or other climate assessment tools to X 

monitor the perception of EEO principles within the workforce? [see 5 CFR Part 250]' I I I I 

Page 11 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

Essential Element: B Integration of EEO into the agency's Strategic Mission 

... Measure Has For all unmet Compliance Been Met measures, provide Indicator a 

brief explanation 

in 

B. l. The reporting structure for the EEO program provides the principal EEO the space below or 

official with appropriate authority and resources to effectively carry out a complete and 

... successful EEO program. attach 

Measures Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

B. l .a. Is the agency head the immediate supervisor of the person ("EEO Director") who has day-to-day control I X 

over the EEO office? [see 29 CFR §1614.102(b)(4)] I I I 

B.l.a.l. If the EEO Director does not report to the agency head, does the EEO Director report to the same X Not Applicable 

agency head designee as the mission-related programmatic offices? If"yes," please provide the title of the 

agency head designee in the comments. 

B. l .a.2. Does the agency's organizational chart clearly define the reporting structure for the EEO office? [see 29 1 X 

CFR §1614.102(b)(4)] I I I 

B. l .b. Does the EEO Director have a regular and effective means of advising the agency head and other senior X 

management officials of the effectiveness, efficiency and legal compliance of the agency's EEO program? [see 

29 CFR §1614.102(c)(l); MD-71S Instructions, Sec. I] 

B.l.c. During this reporting period, did the EEO Director present to the head of the agency, and other senior X 08/0S/2020 

management officials, the "State of the agency" briefing covering the six essential elements of the model EEO 

program and the status of the barrier analysis process? [see MD-71S Instructions, Sec. I] If"yes", please provide 

the date of the briefing in the comments column. 

B.l.d. Does the EEO Director regularly participate in senior-level staff meetings concerning personnel, budget, X 

technology, and other workforce issues? [see MD-71S, II(B)] 

Page 12 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

... Compliance 

Indicator 

• B.2. The EEO Director controls all aspects of the EEO program. 

Measures 

B.2.a. Is the EEO Director responsible for the implementation of a continuing affumative employment program 

to promote EEO and to identify and eliminate discriminatory policies, procedures, and practices? [ see MD-110, 

Ch. l(III)(A); 29 CFR §1614.102(c)] Ifnot, identify the office with this authority in the comments column. 

B.2.b. Is the EEO Director responsible for overseeing the completion of EEO counseling? [see 29 CFR 

§ 1614.102(c)(4)] 

B.2.c. Is the EEO Director responsible for overseeing the fair and thorough investigation of EEO complaints? 

[see 29 CFR §1614.102(c)(5)] [This question may not be applicable for certain subordinate level components.] 

B.2.d. Is the EEO Director responsible for overseeing the timely issuance of final agency decisions? [see 29 

CFR §1614.102(c)(5)] [This question may not be applicable for certain subordinate level components.] 

B.2.e. Is the EEO Director responsible for ensuring compliance with EEOC orders? [see 29 CFR §§ 

1614.102(e); 1614.502]' 

B.2 f. Is the EEO Director responsible for periodically evaluating the entire EEO program and providing 

recommendations for improvement to the agency head? [see 29 CFR § 1614.102(c)(2)] 

B.2.g. If the agency has subordinate level components, does the EEO Director provide effective guidance and 

coordination for the components? [see 29 CFR §§ 1614.102(c)(2); (c)(3)] 

... Compliance 

Indicator 

• 

B.3. The EEO Director and other EEO professional staff are involved in, and 

consulted on, management/personnel actions . 

Measures 

B.3.a. Do EEO program officials participate in agency meetings regarding workforce changes that might impact 

EEO issues, including strategic planning, recruitment strategies, vacancy projections, succession planning, and 

selections for training/career development opportunities? [see MD-715, II(B)] 

B.3.b. Does the agency's current strategic plan reference EEO I diversity and inclusion principles? [see 

MD-715, II(B)] If"yes", please identify the EEO principles in the strategic plan in the comments column. 

Measure Has For all unmet 

Been Met measures, provide 

a 

brief explanation 

in 

the space below or 

complete and 

attach Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

X 

I X I I I 

I X I I I 

I X I I I 

X 

I X I I I I Not Applicable I X I I 

Measure Has For all unmet 

Been Met measures, provide 

a 

brief explanation 

in 

the space below or 

complete and 

attach Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

X 

X EEO is integrated 

into the agency's 

mission and is 

included in the 

2020-2024 

Strategic Plan 

under Strategic 

Goal 5. See 

Executive 

Summary for 

more details. 

Page 13 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1i od covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

... Measure Has For all unmet Compliance Been Met measures, provide Indicator 

• 

a 

brief explanation 

in 

the space below or B.4. The agency has sufficient budget and staffing to support the success of its complete and EEO program . attach Measures Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

B.4.a. Pursuant to 29 CFR §1614.102(a)(l), has the agency allocated sufficient funding and qualified staffing to I 

successfully implement the EEO program, for the following areas: I I I 

B.4.a.1. to conduct a self-assessment of the agency for possible program deficiencies? [see MD-715, II(D)] X I I I I 

B.4.a.10. to effectively manage its reasonable accommodation program? [see 29 CFR §1614.203(d)(4)(ii)] X I I I I 

B.4.a.11. to ensure timely and complete compliance with EEOC orders? [see MD-715, II(E)] X I I I I 

B.4.a.2. to enable the agency to conduct a thorough barrier analysis of its workforce? [see MD-715, II(B)] X I I I I 

B.4.a.3. to timely, thoroughly, and fairly process EEO complaints, including EEO counseling, investigations, X Decision is 

final agency decisions, and legal sufficiency reviews? [see 29 CFR §§ 1614.102(c)(5); 1614.105(b) - (t); pending on 

MD-110, Ch. l(IV)(D) & 5(IV); MD-715, II(E)] additional staff. 

B.4.a.4. to provide all supervisors and employees with training on the EEO program, including but not limited to X 

retaliation, harassment, religious accommodations, disability accommodations, the EEO complaint process, and 

ADR? [see MD-715, II(B) and ID(C)] Ifnot, please identify the type(s) of training with insufficient funding in 

the comments column. 

B.4.a.5. to conduct thorough, accurate, and effective field audits of the EEO programs in components and the X 

field offices, if applicable? [see 29 CFR §1614.102(c)(2)] 

B.4.a.6. to publish and distribute EEO materials (e.g. harassment policies, EEO posters, reasonable X 

accommodations procedures)? [see MD-715, II(B)] 

B.4.a.7. to maintain accurate data collection and tracking systelllS for the following types of data: complaint X 

tracking, workforce demographics, and applicant flow data? [see MD-715, II(E)] If not, please identify the 

systelllS with insufficient funding in the comments section. 

B.4.a.8. to effectively administer its special emphasis progralllS (such as, Federal Women's Program, Hispanic X 

Employment Program, and People with Disabilities Program Manager)? [5 USC§ 7201; 38 USC § 4214; 5 CFR 

§ 720.204; 5 CFR § 213.3102(t) and (u); 5 CFR § 315.709] 

B.4.a.9. to effectively manage its anti-harassment program? [see MD-715 Instructions, Sec. I; EEOC X 

Enforcement Guidance on Vicarious Employer Liability for Unlawful Harassment by Supervisors (1999), § V.C. 

1] 

B.4.b. Does the EEO office have a budget that is separate from other offices within the agency? [see 29 CFR § I X 

1614.102(a)(l)] I I I 

B.4.c. Are the duties and responsibilities of EEO officials clearly defined? [see MD-llO, Ch. l(ill)(A), 2(ill), & X 

6(ill)] 

B.4.d. Does the agency ensure that all new counselors and investigators, including contractors and collateral I X 

duty employees, receive the required 32 hours of training, pursuant to Ch. 2(II) (A) of MD-11 0? I I I 

B.4.e. Does the agency ensure that all experienced counselors and investigators, including contractors and X 

collateral duty employees, receive the required 8 hours of annual refresher training, pursuant to Ch. 2(II)(C) of 

MD-110? 

Page 14 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

... Measure Has For all unmet Compliance Been Met measures, provide Indicator 

• 

a 

brief explanation 

in 

the space below or B.S. The agency recruits, hires, develops, and retains supervisors and managers complete and who have effective managerial, communications, and interpersonal skills 

attach Measures Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

B.S.a. Pursuant to 29 CFR §1614.102(a)(S), have all managers and supervisors received orientation, training, 

and advice on their responsibilities under the following areas under the agency EEO program: I I I I 

B.S.a.1. EEO complaint process? [see MD-71S(II)(B)] X I I I I 

B.S.a.2. Reasonable Accommodation Procedures? [see 29 CFR § 1614.102(d)(3)] X I I I I 

B.S.a.3. Anti-harassment policy? [see MD-71S(II)(B)] X I I I I 

B.S.a.4. Supervisory, managerial, communication and interpersonal skills in order to supervise most effectively X 

in a workplace with diverse employees and avoid disputes arising from ineffective communications? [see 

MD-71S, II(B)] 

B.S.a.S. ADR, with emphasis on the federal government's interest in encouraging mutual resolution of disputes I X 

and the benefits associated with utilizing ADR? [see MD-71S(II)(E)] I I I 

... Measure Has For all unmet Compliance Been Met measures, provide Indicator a 

brief explanation 

in 

• 

the space below or 

B.6. The agency involves managers in the implementation of its EEO program. complete and 

attach Measures Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

B.6.a. Are senior managers involved in the implementation of Special Emphasis Programs? [see MD-71S X 

Instructions, Sec. I] 

B.6.b. Do senior managers participate in the barrier analysis process? [see MD-71S Instructions, Sec. I] X I I I I 

B.6.c. When barriers are identified, do senior managers assist in developing agency EEO action plans (Part I, X 

Part J, or the Executive Summary)? [see MD-71 S Instructions, Sec. I] 

B.6.d. Do senior managers successfully implement EEO Action Plans and incorporate the EEO Action Plan I X 

Objectives into agency strategic plans? [29 CFR §1614.102(a)(S)] I I I 

Page 1S 
EEOC U.S. Equal Employment Opportunity Commission FORM I 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

Essential Element: C Management and Program Accountability 

Measure Has For all unmet Compliance Been Met measures, provide Indicator a 

brief explanation 

in 

the space below or 

C. l. The agency conducts regular internal audits of its component and field offices. complete and 

... attach 

Measures Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

C. l .a. Does the agency regularly assess its component and field offices for possible EEO program deficiencies? X Assessments of 

[see 29 CFR §1614.102(c)(2)] If''yes", please provide the schedule for conducting audits in the comments components and 

section. field offices are 

conducted 

annually. 

C. l .b. Does the agency regularly assess its component and field offices on their efforts to remove barriers from X Assessments of 

the workplace? [see 29 CFR §1614.102(c)(2)] If''yes", please provide the schedule for conducting audits in the components and 

comments section. field offices are 

conducted 

annually. 

C.l.c. Do the component and field offices make reasonable efforts to comply with the recommendations of the I X I 

field audit? [see MD-715, II(C)] I I 

Page 16 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

... Measure Has For all unmet Compliance Been Met measures, provide Indicator 

• 

a 

brief explanation 

in 

the space below or C.2. The agency has established procedures to prevent all forms of EEO complete and discrimination . attach Measures Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

C.2.a. Has the agency established comprehensive anti-harassment policy and procedures that comply with X The agency has 

EEOC's enforcement guidance? [see MD-715, II(C); Enforcement Guidance on Vicarious Employer Liability an antifor Unlawful Harassment by Supervisors (Enforcement Guidance), EEOC No. 915 .002, § V.C.1 (June 18, 1999)] harassment article 

in its Collective 

Bargaining 

Agreement. It is 

currently working 

on updating its 

anti-harassment 

policy and 

procedures to 

comply with the 

EEOC's guidance. 

C.2.a.1. Does the anti-harassment policy require corrective action to prevent or eliminate conduct before it rises X The agency has 

to the level of unlawful harassment? [see EEOC Enforcement Guidance on Vicarious Employer Liability for an antiUnlawful Harassment by Supervisors (1999), § V.C.1] harassment article 

in its Collective 

Bargaining 

Agreement. It is 

currently working 

on updating its 

anti-harassment 

policy and 

procedures to 

comply with the 

EEOC's guidance. 

C.2.a.2. Has the agency established a firewall between the Anti-Harassment Coordinator and the EEO Director? I X 

[see EEOC Report, Model EEO Program Must Have an Effective Anti-Harassment Program (2006)) I I I 

C.2.a.3. Does the agency have a separate procedure (outside the EEO complaint process) to address harassment X 

allegations? [see Enforcement Guidance on Vicarious Employer Liability for Unlawful Harassment by 

Supervisors (Enforcement Guidance), EEOC No. 915.002, § V.C.1 (June 18, 1999)) 

C.2.a.4. Does the agency ensure that the EEO office informs the anti-harassment program of all EEO counseling I X 

activity alleging harassment? [See Enforcement Guidance, V.C.] I I I 

C.2.a.5. Does the agency conduct a prompt inquiry (beginning within 10 days of notification) of all harassment X 

allegations, including those initially raised in the EEO complaint process? [see Complainant v. Dep't of 

Veterans Affairs, EEOC Appeal No. 0120123232 (May 21, 2015); Complainant v. Dep' t of Defense (Defense 

Commissary Agency), EEOC Appeal No. 0120130331 (May 29, 2015)) If"no", please provide the percentage 

of timely-processed inquiries in the comments column. 

C.2.a.6. Do the agency's training materials on its anti-harassment policy include examples of disability-based I X 

harassment? [see 29 CFR §1614.203(d)(2)] I I I 

Page 17 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1i od covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

C.2.b. Has the agency established disability reasonable accommodation procedures that comply with EEOC's X The CFTC sent its 

regulations and guidance? [see 29 CFR § 1614.203(d)(3)] draft procedures 

to the EEOC for 

review on 

7/29/2019 and 

received the 

EEOC's feedback 

regarding the 

procedures on 

2/8/2021. The 

agency is 

updating its 

procedures in 

accordance with 

theEEOC's 

feedback. 

C.2.b.1. Is there a designated agency official or other mechanism in place to coordinate or assist with processing X 

requests for disability accommodations throughout the agency? [see 29 CFR § 1614.203(d)(3)(D)] 

C.2.b.2. Has the agency established a firewall between the Reasonable Accommodation Program Manager and 

the EEO Director? [see MD- 110, Ch. l(IV)(A)] I X I I I 

C.2.b.3. Does the agency ensure that job applicants can request and receive reasonable accommodations during I X 

the application and placement processes? [see 29 CFR §1614 203(d)(l)(ii)(B)] I I I 

C.2.b.4. Do the reasonable accommodation procedures clearly state that the agency should process the request X 

within a maximum amount of time (e.g., 20 business days), as established by the agency in its affirmative action 

plan? [see 29 CFR §1614.203(d)(3)(i)(M)] 

C.2.b.5. Does the agency process all initial accommodation requests, excluding ongoing interpretative services, X 

within the time frame set forth in its reasonable accommodation procedures? [see MD-715, II(C)] If"no", please 

provide the percentage of timely-processed requests, excluding ongoing interpretative services, in the comments 

column. 

C.2.c. Has the agency established procedures for processing requests for personal assistance services that X The CFTC sent its 

comply with EEOC's regulations, enforcement guidance, and other applicable executive orders, guidance, and draft procedures 

standards? [see 29 CFR §1614.203(d)(6)] to the EEOC for 

review on 

7/29/2019 and 

received the 

EEOC's feedback 

regarding the 

procedures on 

2/8/2021. The 

agency is 

updating its 

procedures in 

accordance with 

theEEOC's 

feedback. 

Page 18 
EEOC U.S. Equal Employment Opportunity Commission FORM I 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

C.2.c.1. Does the agency post its procedures for processing requests for Personal Assistance Services on its X The CFTC sent its 

public website? [see 29 CFR §1614.203(d)(5)(v)] If"yes", please provide the internet address in the comments draft procedures 

column. to the EEOC for 

review on 

7/29/2019 and 

received the 

EEOC's feedback 

regarding the 

procedures on 

2/8/2021. The 

agency is 

updating its 

procedures in 

accordance with 

theEEOC's 

feedback. 

Procedures will 

be posted once 

that update is 

complete. 

Page 19 
EEOC U.S. Equal Employment Opportunity Commission FORM I 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

Compliance 

Indicator 

Measure Has 

Been Met 

For all unmet 

measures, provide 

a 

brief explanation 

in 

• 

the space below or C.3. The agency evaluates managers and supervisors on their efforts to ensure complete and equal employment opportunity . attach Measures Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

C.3.a. Pursuant to 29 CFR §1614.102(a)(5), do all managers and supervisors have an element in their X 

performance appraisal that evaluates their commitment to agency EEO policies and principles and their 

participation in the EEO program? 

C.3.b. Does the agency require rating officials to evaluate the performance of managers and supervisors based I on the following activities I I I 

C.3.b.1. Resolve EEO problems/disagreements/conflicts, including the participation in ADR proceedings? [see X While all 

MD-110, Ch. 3.1] supervisors are 

rated on their 

adherence to EEO 

principles and 

promoting 

diversity and 

inclusion in 

general per C.3.a, 

the specific 

activities listed 

from C.3.b.1 

through C.3.b.9 

are not part of 

supervisor ratings 

yet, but will be 

incorporated into 

future updates of 

the performance 

form. Exact 

wording is TBD. 

C.3.b.2. Ensure full cooperation of employees under his/her supervision with EEO officials, such as counselors X While all 

and investigators? [see 29 CFR §1614102(b)(6)] supervisors are 

rated on their 

adherence to EEO 

principles and 

promoting 

diversity and 

inclusion in 

general per C.3.a, 

the specific 

activities listed 

from C.3.b.1 

through C.3.b.9 

are not part of 

supervisor ratings 

yet, but will be 

incorporated into 

future updates of 

the performance 

form. Exact 

wording is TBD. 

Page 20 
EEOC U.S. Equal Employment Opportunity Commission FORM I 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

C.3.b.3. Ensure a workplace that is free from all forms of discrimination, including harassment and retaliation? 

[see MD-71S, II(C)] 

C.3.b.4. Ensure that subordinate supervisors have effective managerial, communication, and interpersonal skills 

to supervise in a workplace with diverse employees? [see MD-71S Instructions, Sec. I] 

C.3.b.S. Provide religious accommodations when such accommodations do not cause an undue hardship? [see 

29 CFR §1614.102(a)(7)] 

X While all 

supervisors are 

rated on their 

adherence to EEO 

principles and 

promoting 

diversity and 

inclusion in 

general per C.3.a, 

the specific 

activities listed 

from C.3.b.l 

through C.3.b.9 

are not part of 

supervisor ratings 

yet, but will be 

incorporated into 

future updates of 

the performance 

form. Exact 

wording is TBD. 

X While all 

supervisors are 

rated on their 

adherence to EEO 

principles and 

promoting 

diversity and 

inclusion in 

general per C.3.a, 

the specific 

activities listed 

from C.3.b.l 

through C.3.b.9 

are not part of 

supervisor ratings 

yet, but will be 

incorporated into 

future updates of 

the performance 

form. Exact 

wording is TBD. 

X While all 

supervisors are 

rated on their 

adherence to EEO 

principles and 

promoting 

diversity and 

inclusion in 

general per C.3.a, 

the specific 

activities listed 

from C.3.b.l 

through C.3.b.9 

are not part of 

supervisor ratings 

yet, but will be 

incorporated into 

future updates of 

the performance 

form. Exact 

wording is TBD. 

Page 21 
EEOC U.S. Equal Employment Opportunity Commission FORM I 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

C.3.b.6. Provide disability accommodations when such accommodations do not cause an undue hardship? [ see 

29 CFR §1614.102(a)(8)] 

C.3.b. 7. Support the EEO program in identifying and removing barriers to equal opportunity?. [see MD-71 S, 

II(C)] 

C.3.b.8. Support the anti-harassment program in investigating and correcting harassing conduct?. [see 

Enforcement Guidance, V.C.2] 

X While all 

supervisors are 

rated on their 

adherence to EEO 

principles and 

promoting 

diversity and 

inclusion in 

general per C.3.a, 

the specific 

activities listed 

from C.3.b.l 

through C.3.b.9 

are not part of 

supervisor ratings 

yet, but will be 

incorporated into 

future updates of 

the performance 

form. Exact 

wording is TBD. 

X While all 

supervisors are 

rated on their 

adherence to EEO 

principles and 

promoting 

diversity and 

inclusion in 

general per C.3.a, 

the specific 

activities listed 

from C.3.b.l 

through C.3.b.9 

are not part of 

supervisor ratings 

yet, but will be 

incorporated into 

future updates of 

the performance 

form. Exact 

wording is TBD. 

X While all 

supervisors are 

rated on their 

adherence to EEO 

principles and 

promoting 

diversity and 

inclusion in 

general per C.3.a, 

the specific 

activities listed 

from C.3.b.l 

through C.3.b.9 

are not part of 

supervisor ratings 

yet, but will be 

incorporated into 

future updates of 

the performance 

form. Exact 

wording is TBD. 

Page 22 
EEOC U.S. Equal Employment Opportunity Commission FORM I 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

C.3.b.9. Comply with settlement agreements and orders issued by the agency, EEOC, and EEO-related cases 

from the Merit Systems Protection Board, labor arbitrators, and the Federal Labor Relations Authority? [see 

MD-715, II(C)] 

C.3.c. Does the EEO Director recommend to the agency head improvements or corrections, including remedial X 

or disciplinary actions, for managers and supervisors who have failed in their EEO responsibilities? [see 29 CFR 

§ 1614.102(c)(2)] 

C.3.d. When the EEO Director recommends remedial or disciplinary actions, are the recommendations regularly I X 

implemented by the agency? [see 29 CFR §1614.102(c)(2)] 

X While all 

supervisors are 

rated on their 

adherence to EEO 

principles and 

promoting 

diversity and 

inclusion in 

general per C.3.a, 

the specific 

activities listed 

from C.3.b.l 

through C.3.b.9 

are not part of 

supervisor ratings 

yet, but will be 

incorporated into 

future updates of 

the performance 

form. Exact 

wording is TBD. 

I I I 

Page 23 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

... Measure Has For all unmet Compliance Been Met measures, provide Indicator 

• 

a 

brief explanation 

in 

the space below or C.4. The agency ensures effective coordination between its EEO program and complete and Human Resources (HR) program . attach Measures Yes No NIA a n EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

C.4.a. Do the HR Director and the EEO Director meet regularly to assess whether personnel programs, policies, I X 

and procedures conform to EEOC laws, instructions, and management directives? [see 29 CFR § 1614.102(a)(2)] I I I 

C.4.b. Has the agency established timetables/schedules to review at regular intervals its merit promotion X 

program, employee recognition awards program, employee development/training programs, and management/ 

personnel policies, procedures, and practices for systemic barriers that may be impeding full participation in the 

program by all EEO groups? [see MD-715 Instructions, Sec. I] 

C.4.c. Does the EEO office have timely access to accurate and complete data (e.g., demographic data for the X The agency will 

workforce, applicants, training programs, etc.) required to prepare the MD-715 workforce data tables? [see 29 place an increased 

CFR §1614.601(a)] emphasis on 

encouraging 

employee selfidentification to 

ensure that all of 

the quantitative 

workforce data 

provided to the 

EEO office is 

accurate and will 

work to establish 

practices for 

collecting 

required data 

where such 

practices may not 

already be in 

place. 

C.4.d. Does the HR office timely provide the EEO office with access to other data (e.g., exit interview data, I X 

climate assessment surveys, and grievance data), upon request? [see MD-715, II(C)] I I I 

C.4.e. Pursuant to Section II(C) ofMD-715, does the EEO office collaborate with the HR office to: I I I I 

C.4.e.1. Implement the Affirmative Action Plan for Individuals with Disabilities? [see 29 CFR §1614.203(d); I X 

MD-715, II(C)] I I I 

C.4.e.2. Develop and/or conduct outreach and recruiting initiatives? [see MD-715, II(C)] X I I I I 

C.4.e.3. Develop and/or provide training for managers and employees? [see MD-715, II(C)] X I I I I 

C.4.e.4. Identify and remove barriers to equal opportunity in the workplace? [see MD-715, II(C)] X I I I I 

C.4.e.5. Assist in preparing the MD-715 report? [see MD-715, II(C)] X I I I I 

Page 24 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

... Compliance 

Indicator 

• 

C.S. Following a finding of discrimination, the agency explores whether it should 

take a disciplinary action. 

Measures 

C.S.a. Does the agency have a disciplinary policy and/or table of penalties that covers discriminatory conduct? 

[see 29 CFR §1614.102(a)(6); see also Douglas v. Veterans Administration, S MSPR 280 (1981)] 

C.S.b. When appropriate, does the agency discipline or sanction managers and employees for discriminatory 

conduct? [see 29 CFR §1614.102(a)(6)] If"yes", please state the number of disciplined/sanctioned individuals 

during this reporting period in the comments. 

C.S.c. If the agency has a finding of discrimination (or settles cases in which a finding was likely), does the 

agency inform managers and supervisors about the discriminatory conduct (e.g., post mortem to discuss lessons 

learned)? [see MD-71S, II(C)] 

... Compliance 

Indicator 

• 

C.6. The EEO office advises managers/supervisors on EEO matters. 

Measures 

C.6.a. Does the EEO office provide management/supervisory officials with regular EEO updates on at least an 

annual basis, including EEO complaints, workforce demographics and data summaries, legal updates, barrier 

analysis plans, and special emphasis updates? [see MD-71S Instructions, Sec. I] If"yes", please identify the 

frequency of the EEO updates in the comments column. 

Measure Has For all unmet 

Been Met measures, provide 

a 

brief explanation 

in 

the space below or 

complete and 

attach Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

I X I I I 

X Zero (0) 

individuals were 

disciplined/ 

sanctioned during 

this reporting 

period for 

discriminatory 

conduct. 

X 

Measure Has For all unmet 

Been Met measures, provide 

a 

brief explanation 

in 

the space below or 

complete and 

attach Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

X Regular briefings 

are provided on 

an annual basis 

with biweekly 

status reports 

provided to the 

Chainnan. 

C.6.b. Are EEO officials readily available to answer managers' and supervisors' questions or concerns? [see I X 

MD-71 S Instructions, Sec. I] I I I 

Page 2S 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1i od covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

Essential Element: D Proactive Prevention 

... Measure Has For all unmet Compliance Been Met measures, provide Indicator a 

brief explanation 

in 

the space below or D .1. The agency conducts a reasonable assessment to monitor progress towards complete and achieving equal employment opportunity throughout the year . ... attach 

Measures Yes No NIA a n EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

~ .I.a. Does the agency have a process for identifying triggers in the workplace? [see MD-715 Instructions, Sec. I X I I I 

D. l .b. Does the agency regularly use the following sources of information for trigger identification: workforce X 

data; complaint/grievance data; exit surveys; employee climate surveys; focus groups; affinity groups; union; 

program evaluations; special emphasis programs; and/or external special interest groups? [see MD-715 

Instructions, Sec. I] 

D.l.c. Does the agency conduct exit interviews or surveys that include questions on how the agency could X 

improve the recruitment, hiring, inclusion, retention and advancement of individuals with disabilities? [see 29 

CFR §1614.203(d)(l)(iii)(C)] 

... Measure Has For all unmet Compliance Been Met measures, provide Indicator a 

brief explanation 

in 

the space below or D.2. The agency identifies areas where barriers may exclude EEO groups complete and (reasonable basis to act.) 

... attach Measures Yes No NIA a n EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

D.2.a. Does the agency have a process for analyzing the identified triggers to find possible barriers? [see X 

MD-715, (II)(B)] 

D.2.b. Does the agency regularly examine the impact of management/personnel policies, procedures, and X 

practices by race, national origin, sex, and disability? [see 29 CFR § 1614.102(a)(3)] 

D.2.c. Does the agency consider whether any group of employees or applicants inight be negatively impacted X 

prior to making human resource decisions, such as re-organizations and realignnients? [see 29 CFR § 1614 .102(a) 

(3)) 

D.2.d. Does the agency regularly review the following sources of information to find barriers: complaint/ X Complaint data, 

grievance data, exit surveys, employee climate surveys, focus groups, affinity groups, union, program employee climate 

evaluations, anti-harassment program, special emphasis programs, and/or external special interest groups? [see surveys (FEVS), 

MD-715 Instructions, Sec. I]] If"yes", please identify the data sources in the comments column. focus groups, 

affinity groups, 

and special 

emphasis 

programs. 

Page 26 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

Measure Has 

Been Met 

... Compliance 

Indicator 

• D .3. The agency establishes appropriate action plans to remove identified barriers. 

Measures Yes No 

D .3 .a. Does the agency effectively tailor action plans to address the identified barriers, in particular policies, I X 

procedures, or practices? [see 29 CFR §1614102(a)(3)] I 

D.3.b. If the agency identified one or more barriers during the reporting period, did the agency implement a plan I X 

in Part I, including meeting the target dates for the planned activities? [see MD-715, II(D)] I 

D.3.c. Does the agency periodically review the effectiveness of the plans? [see MD-715, II(D)] I X 

... Measure Has Compliance 

I 

Been Met Indicator 

D .4. The agency has an affinnative action plan for people with disabilities, 

including those with targeted disabilities . ... Measures Yes No 

D.4.a. Does the agency post its affinnative action plan on its public website? [see 29 CFR §1614.203(d)(4)] If X 

yes, please provide the internet address in the comments. 

D.4.b. Does the agency take specific steps to ensure qualified people with disabilities are aware of and I X 

encouraged to apply for job vacancies? [see 29 CFR §1614.203(d)(l)(i)] I 

D.4.c. Does the agency ensure that disability-related questions from members of the public are answered I X 

promptly and correctly? [see 29 CFR §1614.203(d)(l)(ii)(A)] I 

D .4 .d. Has the agency taken specific steps that are reasonably designed to increase the number of persons with X 

disabilities or targeted disabilities employed at the agency until it meets the goals? [see 29 CFR §1614.203(d)(7) 

(ii)] 

For all unmet 

measures, provide 

a 

brief explanation 

in 

the space below or 

complete and 

attach NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

I I 

I I 

I I 

For all unmet 

measures, provide 

a 

brief explanation 

in 

the space below or 

complete and 

attach NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

https:/1 

www.cftc.gov1 

WebPolicyl 

EEONoFearAct/ 

index.htm 

I I 

I I 

Page 27 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

Essential Element: E Efficiency 

... Measure Has For all unmet Compliance Been Met measures, provide Indicator a 

brief explanation 

in 

the space below or E. l. The agency maintains an efficient, fair, and impartial complaint resolution complete and 

process . ... attach 

Measures Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

E.l.a. Does the agency timely provide EEO counseling, pursuant to 29 CFR §1614.105? X I I I I 

E.1.b. Does the agency provide written notification of rights and responsibilities in the EEO process during the I X 

initial counseling session, pursuant to 29 CFR §1614.105(b)(l)? I I I 

E.1.c. Does the agency issue acknowledgment letters immediately upon receipt of a formal complaint, pursuant I X 

to MD-110, Ch. 5(1)? I I I 

E.l.d. Does the agency issue acceptance letters/dismissal decisions within a reasonable time (e.g., 60 days) after X The average 

receipt of the written EEO Counselor report, pursuant to MD-110, Ch. 5(1)? If so, please provide the average processing time to 

processing time in the comments. issue acceptance 

letters/dismissal 

decisions after 

receipt of a 

formal complaint 

in FY20 was 13 

days. 

E.1.e. Does the agency ensure that all employees fully cooperate with EEO counselors and EEO personnel in the X 

EEO process, including granting routine access to personnel records related to an investigation, pursuant to 29 

CFR §1614.102(b)(6)? 

E.1 f. Does the agency timely complete investigations, pursuant to 29 CFR §1614.108? X I I I I 

E.l.g. If the agency does not timely complete investigations, does the agency notify complainants of the date by X 

which the investigation will be completed and of their right to request a hearing or file a lawsuit, pursuant to 29 

CFR §1614.108(g)? 

E.1 h. When the complainant did not request a hearing, does the agency timely issue the final agency decision, X 

pursuant to 29 CFR §1614.llO(b)? 

E.1.i. Does the agency timely issue final actions following receipt of the hearing file and the administrative I X 

judge's decision, pursuant to 29 CFR §1614.1 lO(a)? I I I 

E.1.j. If the agency uses contractors to implement any stage of the EEO complaint process, does the agency hold X Contractors are 

them accountable for poor work product and/or delays? [See MD-110, Ch. 5(V)(A)] If"yes", please describe held accountable 

how in the comments column. throughfum 

deadlines and 

quality assurance 

reviews 

conducted by 

CFTC prior to 

accepting the 

work product. 

E.1 k. If the agency uses employees to implement any stage of the EEO complaint process, does the agency hold X 

them accountable for poor work product and/or delays during performance review? [See MD-110, Ch. 5(V)(A)] 

E.1.l. Does the agency submit complaint files and other documents in the proper format to EEOC through the I X 

Federal Sector EEO Portal (FedSEP)? [See 29 CFR § 1614.403(g)] I I I 

Page 28 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

Measure Has For all unmet 

Been Met measures, provide 

... Compliance 

Indicator a 

• 

brief explanation 

in 

the space below or 

E.2. The agency has a neutral EEO process. complete and 

attach Measures Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

E.2.a. Has the agency established a clear separation between its EEO complaint program and its defensive X CFTC ensures 

function? [see MD-110, Ch. l(IV)(D)] If"yes", please explain. this clear 

separation by 

providing the 

EEO Office 

Director with 

sufficient legal 

resources, within 

the autonomous 

EEO office, for 

reaching final 

agency decisions. 

E.2.b. When seeking legal sufficiency reviews, does the EEO office have access to sufficient legal resources X The EEO Director 

separate from the agency representative? [see MD-110, Ch. l(IV)(D)] If"yes", please identify the source/ conducts this 

location of the attorney who conducts the legal sufficiency review in the comments column. analysis. 

E.2.c. If the EEO office relies on the agency's defensive function to conduct the legal sufficiency review, is I X 

there a firewall between the reviewing attorney and the agency representative? [see MD-110, Ch. l(IV)(D)] I I I 

E.2.d. Does the agency ensure that its agency representative does not intrude upon EEO counseling, X 

investigations, and final agency decisions? [see MD-110, Ch. l(IV)(D)] 

E.2.e. If applicable, are processing time frames incorporated for the legal counsel's sufficiency review for timely X 

processing of complaints? [see EEOC Report, Attaining a Model Agency Program: Efficiency (Dec. 1, 2004)] 

Page 29 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

... Compliance 

Indicator 

• 

E.3. The agency has established and encouraged the widespread use of a fair 

alternative dispute resolution (ADR) program . 

Measures 

E.3.a. Has the agency established an ADR program for use during both the pre-complaint and formal complaint 

stages of the EEO process? [see 29 CFR §1614.102(b)(2)] 

E.3.b. Does the agency require managers and supervisors to participate in ADR once it has been offered? [see 

MD-715, II(A)(l)] 

E.3.c. Does the Agency encourage all employees to use ADR, where ADR is appropriate? [See MD-110, Ch. 

3(IV)(C)] 

E.3.d. Does the agency ensure a management official with settlement authority is accessible during the dispute 

resolution process? [see MD-110, Ch. 3(III)(A)(9)] 

E.3.e. Does the agency prohibit the responsible management official named in the dispute from having 

settlement authority? [see MD-ll0, Ch. 3(I)] 

E.3 f. Does the agency annually evaluate the effectiveness of its ADR program? [see MD-110, Ch. 3(II)(D)] 

Measure Has For all unmet 

Been Met measures, provide 

a 

brief explanation 

in 

the space below or 

complete and 

attach Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

I X I I I 

X The Chairman 

delegates 

settlement 

authority to the 

CFTC Resolving 

Official. This 

Official is 

required to 

participate in 

ADR on behalf of 

the Commission. 

I X I I I 

X 

X 

I X I I I 

Page 30 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

... Measure Has For all unmet Compliance Been Met measures, provide Indicator 

• 

a 

brief explanation 

in 

the space below or E.4. The agency has effective and accurate data collection systems in place to complete and evaluate its EEO program . attach Measures Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

E.4.a. Does the agency have systems in place to accurately collect, monitor, and analyze the following data: I I I I 

E.4.a.1. Complaint activity, including the issues and bases of the complaints, the aggrieved individuals/ X 

complainants, and the involved management official? [see MD-715, II(E)] 

E.4.a.2. The race, national origin, sex, and disability status of agency employees? [see 29 CFR §1614.601(a)] X I I I I 

E.4.a.3. Recruitment activities? [see MD-715, II(E)] X I I I I 

E.4.a.4. External and internal applicant flow data concerning the applicants' race, national origin, sex, and X 

disability status? [see MD-715, II(E)] 

E.4.a.5. The processing ofrequests for reasonable accommodation? [29 CFR §1614.203(d)(4)] X I I I I 

E.4.a.6. The processing of complaints for the anti-harassment program? [see EEOC Enforcement Guidance on X 

Vicarious Employer Liability for Unlawful Harassment by Supervisors (1999), § V.C.2] 

E.4.b. Does the agency have a system in place to re-survey the workforce on a regular basis? [MD-715 

Instructions, Sec. I] I I I 

... Measure Has For all unmet Compliance 

I X 

Been Met measures, provide Indicator 

• 

a 

brief explanation 

in 

the space below or E.5. The agency identifies and disseminates significant trends and best practices in complete and its EEO program . attach Measures Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

E.5.a. Does the agency monitor trends in its EEO program to determine whether the agency is meeting its X Trends in 

obligations under the statutes EEOC enforces? [see MD-715, II(E)] If"yes", provide an example in the complaint activity 

comments. are monitored 

regularly and 

reported annually. 

E.5.b. Does the agency review other agencies' best practices and adopt them, where appropriate, to improve the X CFTC participates 

effectiveness of its EEO program? [see MD-715, II(E)] If"yes", provide an example in the comments. in the Small 

Agency Council 

(SAC), and other 

working groups 

where EEO best 

practices are 

shared. 

E.5.c. Does the agency compare its performance in the EEO process to other federal agencies of similar size? I X 

[see MD-715, II(E)] I I I 

Page 31 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1i od covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

Essential Element: F Responsiveness and Legal Compliance 

... Compliance 

Indicator 

F .1. The agency has processes in place to ensure timely and full compliance with 

EEOC orders and settlement agreements . ... Measur es 

F. I .a. Does the agency have a system of management controls to ensure that its officials timely comply with 

EEOC orders/directives and final agency actions? [see 29 CFR §1614.102(e); MD-715, II(F)] 

F. l .b. Does the agency have a system of management controls to ensure the timely, accurate, and complete 

compliance with resolutions/settlement agreements? [see MD-715, II(F)] 

F. l .c. Are there procedures in place to ensure the timely and predictable processing of ordered monetary relief? 

[see MD-715, II(F)] 

F. l .d. Are procedures in place to process other forms of ordered relief promptly? [see MD-715, II(F)] 

F. l .e. When EEOC issues an order requiring compliance by the agency, does the agency hold its compliance 

officer(s) accountable for poor work product and/or delays during performance review? [see MD-110, Ch. 9(IX) 

(H)] 

... Compliance 

Indicator 

F.2. The agency complies with the law, including EEOC regulations, management 

directives, orders, and other written instructions . ... Measures 

F.2.a. Does the agency timely respond and fully comply with EEOC orders? [see 29 CFR §1614.502; MD-715, 

II(E)] 

F .2.a. l. When a complainant requests a hearing, does the agency timely forward the investigative file to the 

appropriate EEOC hearing office? [see 29 CFR §1614.108(g)] 

F.2.a.2. When there is a finding of discrimination that is not the subj ect of an appeal by the agency, does the 

agency ensure timely compliance with the orders of relief? [see 29 CFR §1614.501] 

F.2.a.3. When a complainant files an appeal, does the agency timely forward the investigative file to EEOC's 

Office ofFederal Operations? [see 29 CFR §1614.403(e)] 

F.2.a.4. Pursuant to 29 CFR § 1614.502, does the agency promptly provide EEOC with the required 

documentation for completing compliance? 

Measure Has For all unmet 

Been Met measur es, provide 

a 

brief explanation 

in 

the space below or 

complete and 

attach 

Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

I X I I I 

X 

X 

X I I I I 

X 

Measure Has For all unmet 

Been Met measur es, provide 

a 

brief explanation 

in 

the space below or 

complete and 

attach Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

X 

X 

I X I I I 

I X I I I 

X 

Page 32 
EEOCFORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTG EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Agency Self-Assessment Checklist 

Measure Has For all unmet Compliance Been Met measur es, provide Indicator a 

• 

brief explanation 

in 

the space below or 

F.3. The agency reports to EEOC its program efforts and accomplishments. complete and 

attach Measur es Yes No NIA an EEOC FORl"\i 

715-

01 PART H to the 

agency's status 

repmi 

F.3.a. Does the agency timely submit to EEOC an accurate and complete No FEAR Act report? [Public Law X 

107-174 (May 15, 2002), §203(a)] I I I I 

F.3.b. Does the agency timely post on its public webpage its quarterly No FEAR Act data? [see 29 CFR X 

§ 1614.703(d)] I I I I 

Essential Element: 0 Other 

Page 33 
EEOC FORM 

715-02 

PARTH I U.S. Equal Employment Opportunity Commission 

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Attain Essential Elements 

PARTH.l 

Brief Description of Program IA.2.c.5. Behaviors that are inappropriate in the workplace and could result in disciplinary action? (5 CFR §2635.l0l(b)] If"yes", 

Deficiency: please provide how often. 

The agency does not inform its employees of behaviors that are inappropriate in the workplace. 

Objectives for EEO Plan 

Date Initiated Target Date I Date Modified I Date Completed I Objective Description 

02/04/2021 09/30/2022 I I I Inform agency employees of behaviors that are inappropriate in the workplace. 

Responsible Officials 

Title Name Standards Address the Plan? 

Chief Human Capital Officer KerriLaine Prunella Yes 

Planned Activ ities 

Target Date Planned Activity Sufficient Modified Date Completion 

Staffing & Date 

Funding? 

09/30/2022 The agency will develop guidance that lists examples of behaviors that are not appropriate in Yes 

the workplace. 

Accomplishments 

Fiscal I Accomplishment 

Year 

Page 34 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART H EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Attain Essential Elements 

PART H.2 

Brief Description of Program IB.4.a.3. to timely, thoroughly, and fairly process EEO complaints, including EEO counseling, investigations, final agency decisions, 

Deficiency: and legal sufficiency reviews? [see 29 CFR §§ 1614.102(c)(S); 1614.l0S(b)-(f); MD-110, Ch. l(IV)(D) & S(IV); MD-71S, II(E)] 

The EEO office does not have sufficient resources to timely, thoroughly, and fairly process EEO complaints, including EEO counseling, investigations, final agency 

decisions, and legal sufficiency reviews. 

Objectives for EEO Plan 

Date Initiated Target Date Date Modified Date Completed Objective Description 

03/17/2021 09/30/2021 Provide the EEO office with sufficient resources to timely, thoroughly, and fairly process 

EEO complaints, including EEO counseling, investigations, 

final agency decisions, and legal sufficiency reviews. 

Title 

Responsible Officials 

Name Standards Address the Plan? 

Acting Chair Rostin Behnam Yes 

Planned Activ ities 

Target Date 

03/17/2021 A business case for an ad

Planned Activity 

ditional staff person has been submitted for review. 

Sufficient 

Staffing & 

Funding? 

Yes 

Modified Date Completion 

Date 

Fiscal 

Year I 

Accomplishments 

Accomplishment 

Page 3S 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART H EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1i od covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Attain Essential Elements 

I PART H.3 

Brief Description of Program C.2.b. Has the agency established disability reasonable accommodation procedures that comply with EEOC's regulations and 

Deficiency: guidance? [see 29 CFR §1614.203(d)(3)] 

The agency has not established disability reasonable accommodation procedures that comply with EEOC's regulations and guidance. 

Objectives for EEO Plan 

Date Initiated Target Date Date Modified Date Completed Objective Description 

02/08/2021 09/30/0022 Establish disability reasonable accommodation procedures that comply with the EEOC's 

regulations and guidance. 

Responsible Officials 

Title Name Standards Address the Plan? 

Chief Human Capital Officer KerriLaine Prunella Yes 

Planned Activities 

Target Date Planned Activity Sufficient Modified Date Completion 

Staffing & Date 

Funding? 

09/30/2022 The CFTC sent its draft procedures to the EEOC for review on 7/29/2019 and received the Yes 

EEOC's feedback regarding the procedures on 2/8/2021. The agency will update its 

procedures in accordance with the EEOC's feedback and then adopt them. 

Accomplishments 

Fiscal I Accomplishment 

Year 

Page 36 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART H EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1i od covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Attain Essential Elements 

PART H.4 

Brief Description of Program I C.3.b.8. Support the anti-harassment program in investigating and correcting harassing conduct?. [see Enforcement Guidance, V.C.2 Deficiency: 

The agency does not require rating officials to evaluate the performance of managers and supervisors based on the activities listed in C.3.bl-C.3.b.9. 

Objectives for EEO Plan 

Date Initiated Target Date Date Modified Date Completed Objective Description 

02/04/2021 11/30/2021 Require rating officials to evaluate the performance of managers and supervisors based on the 

activities listed in C.3.bl-C.3.b.9 

Responsible Officials 

Title Name Standards Address the Plan? 

Chief Human Capital Officer KerriLaine Prunella Yes 

Planned Activ ities 

Target Date Planned Activity Sufficient Modified Date Completion 

Staffing & Date 

Funding? 

11/30/2021 Reminders throughout year of the performance rating process. Updates to the performance Yes 

form are underway. 

Accomplishments 

Fiscal I Accomplishment 

Year 

Page 37 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART H EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1i od covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Attain Essential Elements 

I PART H.5 

Brief Description of Program C.3.b.4. Ensure that subordinate supervisors have effective managerial, communication, and interpersonal skills to supervise in a 

Deficiency: workplace with diverse employees? [see MD-715 Instructions, Sec. I] 

The agency does not require rating officials to evaluate the performance of managers and supervisors based on the activities listed in C.3.bl-C.3.b.9. 

Objectives for EEO Plan 

Date Initiated Target Date Date Modified Date Completed Objective Description 

02/04/2021 11/30/2021 Require rating officials to evaluate the performance of managers and supervisors based on the 

activities listed in C.3.bl-C.3.b.9 

Responsible Officials 

Title Name Standards Address the Plan? 

Chief Human Capital Officer KerriLaine Prunella Yes 

Planned Activities 

Target Date Planned Activity Sufficient Modified Date Completion 

Staffing & Date 

Funding? 

11/30/2021 Reminders throughout year of the performance rating process. Updates to the performance Yes 

form are underway. 

Accomplishments 

Fiscal I Accomplislunent 

Year 

Page 38 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART H EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1i od covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Attain Essential Elements 

PART H.6 

Brief Description of Program C.2.a. Has the agency established comprehensive anti-harassment policy and procedures that comply with EEOC's enforcement 

Deficiency: guidance? [see MD-715, II(C); Enforcement Guidance on Vicarious Employer Liability for Unlawful Harassment by Supervisors 

(Enforcement Guidance), EEOC No. 915.002, § V.C.1 (June 18, 1999)] 

Though the agency has an anti-harassment article in the collective bargaining agreement, the agency has not established a comprehensive anti-harassment policy and 

procedures that comply with the EEOC's enforcement guidance. 

Obj ectives for EEO Plan 

Date Initiated Target Date Date Modified Date Completed Objective Description 

02/04/2021 09/30/2022 Though the agency has an anti-harassment article in the collective bargaining agreement, the 

agency has not established a comprehensive anti-harassment policy and procedures that 

comply with the EEOC's enforcement guidance. 

Responsible Officials 

Title Name Standards Address the Plan? 

Chief Human Capital Officer KerriLaine Prunella Yes 

Planned Activities 

Target Date Planned Activity Sufficient Modified Date Completion 

Staffing & Date 

Funding? 

09/30/2022 The agency's anti-harassment policy and procedures will be updated to comply with the Yes 

EEOC's enforcement guidance. 

Accomplishments 

Fiscal I Accomplishment 

Year 

Page 39 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART H EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1i od covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Attain Essential Elements 

PART H.7 

Brief Description of Program C.2.a.1. Does the anti-harassment policy require corrective action to prevent or eliminate conduct before it rises to the level of 

Deficiency: unlawful harassment? [see EEOC Enforcement Guidance on Vicarious Employer Liability for Unlawful Harassment by Supervisors 

(1999), § V.C.1] 

Though the agency has an anti-harassment article in the collective bargaining agreement, there is no requirement for corrective action to prevent or eliminate conduct 

before it rises to the level of unlawful harassment. 

Objectives for EEO Plan 

Date Initiated Target Date Date Modified Date Completed Objective Description 

02/04/2021 09/30/2022 Include a requirement within the anti-harassment policy to prevent or eliminate conduct 

before it rises to the level of unlawful harassment. 

Responsible Officials 

Title Name Standards Address the Plan? 

Chief Human Resources Officer KerriLaine Prunella Yes 

Planned Activities 

Target Date Planned Activity Sufficient Modified Date Completion 

Staffing & Date 

Funding? 

02/04/2021 The agency will update its anti-harassment policy/procedures to include a requirement to Yes 

prevent or eliminate conduct before it rises to the level of unlawful harassment. 

Accomplishments 

Fiscal I Accomplishment 

Year 

Page 40 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTH EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Attain Essential Elements 

I PARTH.8 

Brief Description of Program C.2.c.1. Does the agency post its procedures for processing requests for Personal Assistance Services on its public website? [see 29 

Deficiency: CFR §1614.203(d)(5)(v)] If"yes", please provide the internet address in the comments column. 

The agency does not post its procedures for processing requests for Personal Assistance Services on its public website. 

Objectives for EEO Plan 

Date Initiated Target Date Date Modified Date Completed Objective Description 

02/04/2021 09/30/0022 The agency will post its procedures for processing requests for Personal Assistance Services 

on its public website. 

Responsible Officials 

Title Name Standards Address the Plan? 

Chief Human Capital Officer KerriLaine Prunella Yes 

Planned Activ ities 

Target Date Planned Activity Sufficient Modified Date Completion 

Staffing & Date 

Funding? 

09/30/2022 The CFTC sent its draft procedures to the EEOC for review on 7/29/2019 and received the Yes 

EEOC's feedback regarding the procedures on 2/8/2021. The agency is updating its 

procedures in accordance with the EEOC's feedback. Procedures will be posted once that 

update is complete. 

Accomplishments 

Fiscal I Accomplislunent 

Year 

Page 41 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PARTH EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Attain Essential Elements 

I PARTH.9 

Brief Description of Program C.2.c. Has the agency established procedures for processing requests for personal assistance services that comply with EEOC's 

Deficiency: regulations, enforcement guidance, and other applicable executive orders, guidance, and standards? [see 29 CFR §1614.203(d)(6)] 

The agency has not established procedures for processing personal assistance services that comply with EEOC's regulations and guidance. 

Objectives for EEO Plan 

Date Initiated Target Date Date Modified Date Completed Objective Description 

02/08/2021 09/30/0022 Establish procedures for processing personal assistance services that comply with EEOC's 

regulations and guidance. 

Responsible Officials 

Title Name Standards Address the Plan? 

Chief Human Capital Officer KerriLaine Prunella Yes 

Planned Activities 

Target Date Planned Activity Sufficient Modified Date Completion 

Staffing & Date 

Funding? 

09/30/0022 The CFTC sent its draft procedures to the EEOC for review on 7/29/2019 and received the Yes 

EEOC's feedback regarding the procedures on 2/8/2021. The agency is updating its 

procedures in accordance with the EEOC's feedback and will then adopt them. 

Accomplishments 

Fiscal I Accomplishment 

Year 

Page 42 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART H EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1i od covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Attain Essential Elements 

PARTH.10 

Brief Description of Program lc.3.b.1. Resolve EEO problems/disagreements/conflicts, including the participation in ADR proceedings? [see MD-110, Ch. 3.I] Deficiency: 

The agency does not require rating officials to evaluate the performance of managers and supervisors based on the activities listed in C.3.bl-C.3.b.9. 

Objectives for EEO Plan 

Date Initiated Target Date Date Modified Date Completed Objective Description 

02/04/2020 11/30/2021 Require rating officials to evaluate the performance of managers and supervisors based on the 

activities listed in C.3.bl-C.3.b.9 

Responsible Officials 

Title Name Standards Address the Plan? 

Chief Human Capital Officer KerriLaine Prunella Yes 

Planned Activities 

Target Date Planned Activity Sufficient Modified Date Completion 

Staffing & Date 

Funding? 

11/30/2021 Reminders throughout year of the performance rating process. Updates to the performance Yes 

form are underway. 

Accomplishments 

Fiscal I Accomplislunent 

Year 

Page 43 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART H EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1i od covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Attain Essential Elements 

PARTH.11 

Brief Description of Program lc.3.b.3. Ensure a workplace that is free from all forms of discrimination, including harassment and retaliation? [see MD-715, II(C)] Deficiency: 

The agency does not require rating officials to evaluate the performance of managers and supervisors based on the activities listed in C.3.bl-C.3.b.9. 

Objectives for EEO Plan 

Date Initiated Target Date Date Modified Date Completed Objective Description 

02/04/2021 11/30/2021 Require rating officials to evaluate the performance of managers and supervisors based on the 

activities listed in C.3.bl-C.3.b.9 

Responsible Officials 

Title Name Standards Address the Plan? 

Chief Human Capital Officer KerriLaine Prunella Yes 

Planned Activities 

Target Date Planned Activity Sufficient Modified Date Completion 

Staffing & Date 

Funding? 

11/30/2021 Reminders throughout year of the performance rating process. Updates to the performance Yes 

form are underway. 

Accomplishments 

Fiscal I Accomplishment 

Year 

Page 44 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART H EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1i od covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Attain Essential Elements 

PARTH.12 

Brief Description of Program I C.3 .b. 7. Support the EEO program in identifying and removing barriers to equal opportunity?. [see MD-715, II(C)] Deficiency: 

. The agency does not require rating officials to evaluate the performance of managers and supervisors based on the activities listed in C.3.bl-C.3.b.9. 

Objectives for EEO Plan 

Date Initiated Target Date Date Modified Date Completed Objective Description 

02/04/2021 11/30/2021 Require rating officials to evaluate the performance of managers and supervisors based on the 

activities listed in C.3.bl-C.3.b.9 

Responsible Officials 

Title Name Standards Address the Plan? 

Chief Human Capital Officer KerriLaine Prunella Yes 

Planned Activities 

Target Date Planned Activity Sufficient Modified Date Completion 

Staffing & Date 

Funding? 

11/30/2021 Reminders throughout year of the performance rating process. Updates to the performance Yes 

form are underway. 

Accomplishments 

Fiscal I Accomplislunent 

Year 

Page 45 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART H EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1i od covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Attain Essential Elements 

I PARTH.13 

Brief Description of Program C.3.b.2. Ensure full cooperation of employees under his/her supervision with EEO officials, such as counselors and investigators? 

Deficiency: [see 29 CFR §1614.102(b)(6)] 

The agency does not require rating officials to evaluate the performance of managers and supervisors based on the activities listed in C.3.bl-C.3.b.9. 

Objectives for EEO Plan 

Date Initiated Target Date Date Modified Date Completed Objective Description 

02/04/2021 11/30/2021 Require rating officials to evaluate the performance of managers and supervisors based on the 

activities listed in C.3.bl-C.3.b.9 

Responsible Officials 

Title Name Standards Address the Plan? 

Chief Human Capital Officer KerriLaine Prunella Yes 

Planned Activities 

Target Date Planned Activity Sufficient Modified Date Completion 

Staffing & Date 

Funding? 

11/30/2021 Reminders throughout year of the performance rating process. Updates to the performance Yes 

form are underway. 

Accomplishments 

Fiscal I Accomplishment 

Year 

Page 46 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART H EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1i od covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Attain Essential Elements 

I PARTH.14 

Brief Description of Program C.3.b.6. Provide disability accommodations when such accommodations do not cause an undue hardship? [ see 29 CFR § 1614.102(a 

Deficiency: (8)] 

The agency does not require rating officials to evaluate the performance of managers and supervisors based on the activities listed in C.3.bl-C.3.b.9. 

Objectives for EEO Plan 

Date Initiated Target Date Date Modified Date Completed Objective Description 

02/04/2021 11/30/2021 Require rating officials to evaluate the performance of managers and supervisors based on the 

activities listed in C.3.bl-C.3.b.9 

Responsible Officials 

Title Name Standards Address the Plan? 

Chief Human Capital Officer KerriLaine Prunella Yes 

Planned Activities 

Target Date Planned Activity Sufficient Modified Date Completion 

Staffing & Date 

Funding? 

11/30/2021 Reminders throughout year of the performance rating process. Updates to the performance Yes 

form are underway. 

Accomplishments 

Fiscal I Accomplishment 

Year 

Page 47 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART H EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1i od covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Attain Essential Elements 

PARTH.15 

Brief Description of Program IC.3.b.5. Provide religious accommodations when such accommodations do not cause an undue hardship? [see 29 CFR §1614.102(a) 

Deficiency: (7)] 

The agency does not require rating officials to evaluate the performance of managers and supervisors based on the activities listed in C.3.bl-C.3.b.9. 

Objectives for EEO Plan 

Date Initiated Target Date Date Modified Date Completed Objective Description 

02/04/2021 11/30/2021 Require rating officials to evaluate the performance of managers and supervisors based on the 

activities listed in C.3.bl-C.3.b.9 

Responsible Officials 

Title Name Standards Address the Plan? 

Chief Human Capital Officer KerriLaine Prunella Yes 

Planned Activities 

Target Date Planned Activity Sufficient Modified Date Completion 

Staffing & Date 

Funding? 

11/30/2021 Reminders throughout year of the performance rating process. Updates to the performance Yes 

form are underway. 

Accomplishments 

Fiscal I Accomplishment 

Year 

Page 48 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART H EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Attain Essential Elements 

I PARTH.16 

Brief Description of Program C.3.b.9. Comply with settlement agreements and orders issued by the agency, EEOC, and EEO-related cases from the Merit Systems 

Deficiency: Protection Board, labor arbitrators, and the Federal Labor Relations Authority'? [see MD-715, II(C)] 

The agency does not require rating officials to evaluate the performance of managers and supervisors based on the activities listed in C.3.bl-C.3.b.9. 

Objectives for EEO Plan 

Date Initiated Target Date Date Modified Date Completed Objective Description 

02/04/2021 11/30/2021 Require rating officials to evaluate the performance of managers and supervisors based on the 

activities listed in C.3.bl-C.3.b.9 

Responsible Officials 

Title Name Standards Address the Plan? 

Chief Human Capital Officer KerriLaine Prunella Yes 

Planned Activities 

Target Date Planned Activity Sufficient Modified Date Completion 

Staffing & Date 

Funding? 

11/30/2021 Reminders throughout year of the performance rating process. Updates to the performance Yes 

form are underway. 

Accomplishments 

Fiscal I Accomplishment 

Year 

Page 49 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART H EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1i od covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Attain Essential Elements 

PARTH.17 

Brief Description of Program I C.4.c. Does the EEO office have timely access to accurate and complete data (e.g., demographic data for the workforce, applicants, 

Deficiency: training programs, etc.) required to prepare the MD-71S workforce data tables? [see 29 CFR §1614.601(a)] 

The Agency is unable to provide the EEO office with all of the accurate data points needed for the MD-71S report. 

Objectives for EEO Plan 

Date Initiated Target Date I Date Modified I Date Completed I Objective Description 

04/10/2020 09/30/2021 I I I Create systems needed to accurately collect all data points required for the MD-71 S report. 

Responsible Officials 

Title Name Standards Address the Plan? 

Chief Human Resources Officer KerriLaine Prunella Yes 

Planned Activities 

Target Date Planned Activity Sufficient Modified Date Completion 

Staffing & Date 

Funding? 

04/10/2020 The Human Resources Branch will place an increased emphasis on encouraging employee Yes 

self-identification to ensure that all of the quantitative workforce data provided to the EEO 

office is accurate and will work to establish practices for collecting required data under it's 

purview where such practices may not already be in place. 

Accomplishments 

Fiscal I Accomplishment 

Year 

Page SO 
EEOC FORM 

715-02 

PART I I U.S. Equal Employment Opportunity Commission 

FEDERAL AGENCY ANNUAL 

EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Source of the Trigger: 

Specific Workforce Data 

Table: 

STATEMENT OF 

CONDITION THAT WAS 

A TRIGGER FOR A 

POTENTIAL BARRIER: 

Provide a brief na1rntive 

describing the condition at 

issue. 

How was the condition 

recognized as a potential 

hairier? 

STATEMENT OF 

BARRIER GROUPS: 

Barrier Analysis Process 

Completed?: 

Barrier(s) Identified?: 

STATEMENT OF 

IDENTIFIED BARRIER: 

Provide a succinct statement 

of the agency policy, 

procedure 

or practice that has been 

determined to be the ba1rier 

ofthe 

undesired condition. 

Plan to Eliminate Identified Baniers 

PART 1.1 

Workforce Data (if so identify the table) 

Workforce Data Table -A4 

Lower than expected representation of racial and ethnic minorities overall in senior-level 

permanent positions. Only 22% of individuals in CT16+ permanent positions are racial and ethnic 

minorities compared to their representation in the RCLF at 27%. The largest gap between 

representation in CT16+ permanent positions and the RCLF exists for Hispanic employees: 1 % of 

CT16+ permanent positions are filled by Hispanic employees, despite their representation in the 

RCLF at 6.5%. Positively, the % of Two or More Races females at CT16+ has risen to - % which 

exceeds the RCLF benchmark of 0.34% 

Barrier Group 

Hispanic or Latino Males 

Hispanic or Latino Females 

Black or African American Males 

Black or African American Females 

Asian Males 

Asian Females 

Native Hawaiian or Other Pacific Islander Males 

Native Hawaiian or Other Pacific Islander Males 

Native Hawaiian or Other Pacific Islander Females 

American Indian or Alaska Native Males 

American Indian or Alaska Native Males 

American Indian or Alaska Native Females 

Two or More Races Males 

Two or more Races Females 

y 

y 

Barrier Name Description of Policy, Procedure, or Practice 

Lack of measures to mitigate Standard Operating Procedures for talent processes do not actively mitigate 

potential bias in talent ban-iers and bias. Hiring, perfo1mance management, and promotions are 

process standai·d operating highly subjective with no measures to minimize biases. This reduces the 

procedures ability for CFTC to actively promote DEi through talent processes. 

Page S1 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART I EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Eliminate Identified Baniers 

Objective(s) and Dates for EEO Plan 

Date Target Date Sufficient Date Date Objective Description 

Initiated Funding / Modified Completed 

Staffing? 

10/01 /2016 09/30/2024 Yes Eliminate potential barriers to career advancement for 

underrepresented groups to senior-level positions. 

Responsible Official(s) 

Title Name Standards Address The Plan? 

Chief Human Capital Officer KerriLaine Prunella Yes 

OMWI Director Sarah Summerville Yes 

Planned Activities Toward Completion of Objective 

Target Date Planned Activities Sufficient Modified Completion 

Staffing & Date Date 

Funding? 

04/30/2018 Partner with Women at Work (WAW) affinity group to Yes 02/28/2018 

conduct a panel discussion about career advancement in the 

financial industry. 

07/30/2018 Conduct unconscious bias briefing for executives and Yes 02/28/2018 

training for employees 

09/28/2018 Validate data in Table A 11 , Internal Selections for Senior- Yes 09/28/2018 

Level Positions, to use FY16 as baseline data. 

09/30/2020 Hire a new full time employee to continue to conduct a Yes 06/14/2019 

robust barrier analysis and monitor selections to senior 

grade positions (Table A 11 ). 

09/30/2020 Launch an inter-office barrier analysis working group. Yes 01 /29/2020 

09/30/2020 Create and deliver new agency-wide training "Diversity in the Yes 07/15/2020 

Legal Profession: Busting Cognitive and Structural Biases" 

to allow participants to receive Continuing Legal Education 

Credits. 

03/01 /2021 Hire a consultant to conduct a 360 degree diversity, equity, Yes 

and inclusion review along with an agency-wide barrier 

analysis 

09/30/2021 Formalize the Diversity Workgroup Yes 

09/30/2021 Make diversity and inclusion training mandatory for Yes 

supervisors and employees; with additional targeted training 

required for supervisors 

12/31 /2021 The agency will create a human capital strategic plan with Yes 

diversity, equity, and inclusion principles woven into it. 

Report of Accomplishments 

Fiscal Year Accomplishments 

2016 The CFTC promoted its executive coaching training program among women in positions CT-14 and higher 

and has seen increased participation rates for women. Unconscious bias training was not conducted, but 

plans are in place to commence the subject training during FY18. OMWI continues to work with affinity group 

to prepare relevant briefings and panel discussions regarding career advancement in the financial industry. 

Table A 11 now contains relevant information to conduct better analysis of internal selections for senior level 

positions. 

Page S2 
EEOCFORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART I EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Eliminate Identified Baniers 

Report of Accomplishments 

Fiscal Year Accomplishments 

2017 After several years of partnering with the Women in Derivatives (WIND) organization CFTC commenced and 

chartered its own group in April 2017 - Association of Women at Work (WAW). WAW will assist the Agency 

with promoting and fostering a diverse and inclusive workplace and will provide mentoring and networking 

opportunities for women. 

2018 CFTC OMWI provided unconscious bias briefing to executives, senior staff and employees and provided No 

FEAR and EEO training (which included training in sexual harassment and reprisal). Reasonable 

Accommodation training is scheduled to be included in the Collective Bargaining Agreement training. OMWI 

drafted and submitted proposed language to OED to establish and recognize diversity standards in two 

Awards. The Excellence in Management Award will recognize supervisors and managers who recruit, hire 

and promote diversity: including in the internship program. The Staff Excellence Award will recognize 

nonsupervisory/managerial employees who support diversity. OMWI worked with Divisions to conduct 

outreach and recruit volunteer interns for the 2018 Spring and Summer resulting in 17 women being selected 

to participate in the intern program. 

2019 Though the Diversity Manager position was vacant throughout nearly three fourths of FY19, the CFTC 

succeeded in onboarding a new full-time Diversity Manager in late June of 2019. The position is housed in the 

CFTC's OMWI office and will increase the capacity of that office and the agency to maintain a model EEO 

program, identify and address potential barriers to equal employment opportunity, provide trainings, and 

promote an organizational culture that values diversity and inclusion. After onboarding, the Diversity Manager 

planned and executed introductory focus group meetings with affinity group leaders to ask them about 

perceived barriers to equal opportunity that their members may have faced. Input from those meetings, along 

with other feedback collected from agency stakeholders, will be incorporated into the FY20 MD-715 report. 

Additionally, the CFTC filled another position that had been vacant-- the Agency's Learning Officer, housed in 

the CFTC's Human Resources Branch, on-boarded in July of 2019. The Learning Officer will help ensure that 

individuals have the training and resources they need to equitably access promotions and that leaders are 

trained in practices that promote equal opportunity, diversity, and inclusion. 

OMWI also organized multiple events and supported a community of five internal employee affinity groups: 

the Association of Asian Americans & Pacific Islanders, the Hispanic Employee Association, the Association 

of African Americans, CFTC Pride: Gay, Lesbian, Bisexual, Transgender & Allied Employees, and Women @ 

Work. As mentioned above, OMWI and the Chairman's Office also planned for the launch of a new Veterans 

affinity group. Affinity groups played an important role in FY19 in promoting a sense of belonging and 

providing networking and leadership development opportunities for staff. For example, Women @ Work 

hosted a book club and regular mentorship coffee-hours for members; the Association of Asian Americans 

and Pacific Islanders planned agency-wide Lunar New Year and Diwali Celebrations and hosted a tea for new 

interns. OMWI worked with the affinity groups during FY19 to co-sponsor agency-wide observance month 

events that brought a diverse array of accomplished speakers from throughout the financial sector to the 

Commission to speak and provide guidance and mentorship to staff. 

Page S3 
EEOCFORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART I EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Eliminate Identified Baniers 

Report of Accomplishments 

Fiscal Year Accomplishments 

2020 As described in the executive summary and as planned, during FY2020, the agency launched the agency's 

first inter-office workgroup to conduct a barrier analysis focused on two agency divisions, and also provided 

an agency-wide training "Diversity in the Legal Profession: Busting Cognitive and Structural Biases." After the 

George Floyd tragedy, leaders of the African American Affinity Group and labor union made 

recommendations to the agency Chairman to take further action on diversity, equity, and inclusion. 

The CFTC Chairman then announced 4 steps during FY2020 that will help to address this barrier: 

1) the agency hired a consultant to conduct a 360 degree diversity, equity, and inclusion review along with an 

agency-wide barrier analysis; 

2) the agency will plan to formalize the Diversity Workgroup; 

3) the agency will make diversity and inclusion training mandatory for supervisors and employees; and 

4) the agency will create a human capital strategic plan with diversity, equity, and inclusion principles woven 

into it. 

Page S4 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART I EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Source of the Trigger: 

Specific Workforce Data 

Table: 

STATEMENT OF 

CONDITION THAT WAS 

A TRIGGER FOR A 

POTENTIAL BARRIER: 

Provide a brief na1rntive 

describing the condition at 

issue. 

How was the condition 

recognized as a potential 

hairier? 

STATEMENT OF 

BARRIER GROUPS: 

Barrier Analysis Process 

Completed?: 

Barrier(s) Identified?: 

STATEMENT OF 

IDENTIFIED BARRIER: 

Provide a succinct statement 

of the agency policy, 

procedure 

or practice that has been 

detennined to be the ba1rier 

ofthe 

undesired condition. 

Date Target Date 

Initiated 

07/19/2019 09/30/2024 

Title 

Director, OMWI 

Plan to Eliminate Identified Baniers 

PART I.2 

Workforce Data (if so identify the table) 

Workforce Data Table - A 1 

Hispanic or Latino males participate at- % in the permanent workforce as compared to a RCLF 

of 3.4%. Hispanic or Latina females participate at- % in the permanent workforce as compared 

to a RCLF of 3.1%. 

Barrier Group 

Hispanic or Latino Males 

Hispanic or Latino Females 

y 

y 

Barrier Name 

Lack of strategy, resources, 

transparency, and processes 

Description of Policy, Procedure, or Practice 

Ban-iers identified that likely conti-ibuted to this ti·igger are: 1) lack of hiring 

due to the Coronavirus Pandemic; 2) the lack of funding and staff dedicated 

to diversity recrnitinent; and 3) the lack of an agency-wide diversity 

recrnitinent strategy. Additionally, there are no explicit DEi focused hii-ing 

and recrniting programs. Hiring is limited to a few positions, mainly high 

grade, and is done by individual hiring managers who own the roles. This 

leaves the hi1-ing process open to bias. Additionally, the recrnitment processes 

at the Commission do not proactively source a diverse pool of candidates. 

Objective(s) and Dates for EEO Plan 

Sufficient 

Funding / 

Staffing? 

Date 

Modified 

Date 

Completed 

Objective Description 

Yes Remove barriers to the workplace for Hispanic male and 

female employees. 

Responsible Official(s) 

Name Standards Address The Plan? 

Sarah Summerville Yes 

Chief Human Capital Officer KerriLaine Prunella Yes 

Planned Activities Toward Completion of Objective 

Target Date Planned Activities Sufficient 

Staffing & 

Funding? 

Modified 

Date 

Completion 

Date 

09/30/2020 Partner with agency affinity groups to continue to identify 

and address potential barriers. 

Yes 12/31 /2020 

09/30/2020 Launch an interoffice barrier analysis working group. Yes 01/29/2020 

Page SS 
EEOC FORM I U.S. Equal Employment Opportunity Commission 

715-02 FEDERAL AGENCY ANNUAL 

PART I EEO PROGRAM STATUS REPORT 

Commodity Futures Trading Commission I For pe1iod covering Octobe1· 1, 2019 to September 30, 2020 

Plan to Eliminate Identified Baniers 

Planned Activities Toward Completion of Objective 

Target Date Planned Activities Sufficient Modified Completion 

Staffing & Date Date 

Funding? 

09/30/2020 Create and deliver new agency-wide training "Diversity in the Yes 07/15/2020 

Legal Profession: Busting Cognitive and Structural Biases" 

to allow participants to receive Continuing Legal Education 

Credits. 

03/01 /2021 Hire a consultant to conduct a 360 degree diversity, equity, Yes 

and inclusion review along with an agency-wide barrier 

analysis. 

09/30/2021 Make diversity and inclusion training mandatory for Yes 

supervisors and employees; with additional targeted training 

required for supervisors. 

12/31 /2021 The agency will create a human capital strategic plan with Yes 

diversity, equity, and inclusion principles woven into it. 

09/30/2021 Formalize the Diversity Workgroup Yes 

Report of Accomplishments 

Fiscal Year Accomplishments 

2019 The CFTC hired a new full-time Diversity Manager in its OMWI office. The position is housed in the CFTC's 

OMWI office and will increase the capacity of that office and the agency to maintain a model EEO program, 

identify and address potential barriers to equal employment opportunity, provide trainings, and promote an 

organizational culture that values diversity and inclusion. After onboarding, the Diversity Manager planned 

and executed introductory focus group meetings with affinity group leaders, including the leaders of the 

Hispanic Affinity Group, to ask them about perceived barriers to equal opportunity that their members may 

have faced. Input from those meetings, along with other feedback collected from agency stakeholders, will be 

incorporated into the FY20 MD-715 report. The agency held a Hispanic Heritage Month event featuring 

speaker Sergio Rodriguera Jr., a financial technology leader. 

2020 As described in the executive summary and as planned, during FY2020, the agency launched the agency's 

first inter-office workgroup to conduct a barrier analysis focused on two agency divisions, and also provided 

an agency-wide training "Diversity in the Legal Profession: Busting Cognitive and Structural Biases." After the 

George Floyd tragedy, leaders of the African American Affinity Group and labor union made 

recommendations to the agency Chairman to take further action on diversity, equity, and inclusion. The CFTC 

Chairman then announced 4 steps during FY2020 that will help to address this barrier: 

1) the agency hired a consultant to conduct a 360 degree diversity, equity, and inclusion review along with an 

agency-wide barrier analysis; 

2) the agency will plan to formalize the Diversity Workgroup; 

3) the agency will make diversity and inclusion training mandatory for supervisors and employees; and 

4) the agency will create a human capital strategic plan with diversity, equity, and inclusion principles woven 

into it. 

Page S6 
MD-715-Part J 

Special Program Plan 

for the Recruitment, Hiring, Advancement, and 

Retention of Persons with Disabilities 

To capture agencies' affirmative action plan for persons with disabilities (PWD) and 

persons with targeted disabilities (PWTD), EEOC regulations (29 C.F.R. § 1614.203(e)) 

and MD-715 require agencies to describe how their affirmative action plan will improve the 

recruitment, hiring, advancement, and retention of applicants and employees with 

disabilities. 

Section I: Efforts to Reach Regulatory Goals 

EEOC regulations (29 CFR §1614.203(d)(7)) require agencies to establish specific numerical goals for increasing the 

participation of persons with disabilities and persons with targeted disabilities in the federal government 

1. Using the goal of 12% as the benchmark, does your agency have a trigger involving PWD by grade level cluster in the pennanent workforce? If"yes", 

describe the trigger(s) in the text box. 

a.Cluster GS-1 to GS-10 (PWD) Answer Yes 

b.ClusterGS-11 to SES (PWD) Answer Yes 

Within the cluster of 19 permanent employees in grades CT-1 to CT-10,I % I 

employees) are people with disabilities, a decrease from - % I employee) 

in FY19. Of the 677 employees in the cluster of CT 11 and higher, 5.47% are 

people with disabilities (37 employees), an increase from 4.76% (31 

employees) in FY19. Both clusters are below the 12% benchmark goal. 

•For GS employees, please use two clusters: GS-1 to GS-10 and GS-11 to SES, as set forth in 29 C.F.R. § 1614.203(d) 

(7). For all other pay plans, please use the approximate grade clusters that are above or below GS-11 Step 1 in the 

Washington, DC metropolitan region. 

2. Using the goal of2% as the benchmark, does your agency have a trigger involving PWTD by grade level cluster in the permanent workforce? If"yes", 

describe the trigger(s) in the text box. 

a.Cluster GS-1 to GS-10 (PWTD) Answer Yes 

b.ClusterGS-11 to SES (PWTD) Answer Yes 

Within the cluster of 19 permanent employees in grades CT-1 to CT-10,l°[o I 

employees) are people with targeted disabilities, a decrease from _ % __ 

employee) in FY19. Of the 677 permanent employees in the cluster of CT 11 

and higher,. % I employees) are PWTD. Both clusters are beneath the 2% 

targeted goal. 

3. Describe how the agency has communicated the numerical goals to the hiring managers and/or recruiters. 

The agency continues to take steps to ensure that key stakeholders know that 

the CFTC has adopted the mandatory 2% and 12% employment goals. For 

example HR Specialists provided and discussed the various options available 

to hiring officials for hiring PWDs and PWTDs. OMWI also reviews the goals 

with the Chief Human Capital Officer, and briefs the CFTC Chairman, Chief of 

Staff and labor union to ensure that they are aware of the goals and what the 

agency can do to reach them. 

Section II: Model Disability Program 

Pursuant to 29 C.F .R § 1614.203(d)(l), agencies must ensure sufficient staff, training and resources to recruit and hire 

persons with disabilities and persons with targeted disabilities, administer the reasonable accommodation program and 

special emphasis program, and oversee any other disability hiring and advancement program the agency has in place. 

A. PLAN TO PROVIDE SUFFICIENT & COMPETENT STAFFING FOR THE DISABILITY 

PROGRAM 

1. Has the agency designated sufficient qualified personnel to implement its disability program during the reporting period? If"no", describe the 

agency's plan to improve the staffing for the upcoming year. 

Answer Yes 

Page S7 
2. Identify all staff responsible for implementing the agency's disability employment program by the office, staff employment status, and responsible 

official. 

# ofFTE Staff By Employment Status 

Responsible Official (Name, Title, 

Disability Program Task Full Time Part Time Collateral Duty Office Email) 

Section 508 Compliance 0 0 Kennet Ake 

IT Specialist 

Section508@cftc.gov 

Processing applications from PWD and PWTD 0 0 Sarata Head 

Employment Manager 

SHead@cftc.gov 

Answering questions from the public about 

hiring authorities that take disability into 

account 

0 0 Sarata Head 

Employment Manager 

SHead@cftc.gov 

Processing reasonable accommodation requests 

from applicants and employees 

0 0 Lauren Colon 

Chief, Workforce Relations 

LColon@cftc.gov 

Architectural Barriers Act Compliance 0 0 Wesley French 

Manager - Programs and Planning 

dclohelpdesk@cftc.gov 

Special Emphasis Program for PWD and PWTD 0 0 Derrick Wilson 

Diversity and Inclusion Specialist 

dwilson@cftc.gov 

3. Has the agency provided disability program staff with sufficient training to carry out their responsibilities during the reporting period? If"yes", describe 

the training that disability program staff have received. If"no", describe the training planned for the upcoming year. 

Answer Yes 

CFTC staff has sufficient training to carry out their responsibilities, including 

training and extensive experience in the application of federal human resource 

requirements and best practices regarding reasonable accommodations, noncompetitive hiring authorities, accessibility, and disability inclusion. Staff also 

continues to engage in no-cost activities designed to increase their knowledge 

and skill including online training and reviewing material posted to the EEOC 

website. Disability Program Staff has full access to cutting-edge legal research 

tools such as Lexis Nexis to continue to build on their extensive experience and 

educate themselves on how to address complex disability issues. For example, 

staff members recently conducted negotiations for the agency's collective 

bargaining agreement. Through that process, staff conducted in-depth research 

on reasonable accommodation requirements under Section 501 of the 

Rehabilitation Act in order to effectively negotiate with the union. 

B. PLAN TO ENSURE SUFFICIENT FUNDING FOR THE DISABILITY PROGRAM 

Has the agency provided sufficient funding and other resources to successfully implement the disability program 

during the reporting period? If"no", describe the agency's plan to ensure all aspects of the disability program have 

sufficient funding and other resources 

Answer Yes 

N/A 

Section III: Plan to Recruit and Hire Individuals with Disabilities 

Pursuant to 29 C.F .R. §1614.203(d)(I)(i) and (ii), agencies must establish a plan to increase the recruitment and hiring 

of individuals with disabilities. The questions below are designed to identify outcomes of the agency's recruitment 

program plan for PWD and PWTD 

A. PLAN TO IDENTIFY JOB APPLICATIONS WITH DISABILITIES 

1. Describe the programs and resources the agency uses to identify job applicants with disabilities, including individuals with targeted disabilities. 

Page 58 
The agency utilizes a variety of recruitment strategies to increase the number 

of qualified applicants with disabilities and applicants with targeted disabilities 

within the major occupations. These include sourcing Schedule A, subpart (u) 

qualified applicants via State Vocational Rehabilitation Services and Veteran 

organizations, utilizing Veteran hiring programs, and attending local career fairs 

that focus on disability hiring, and identifying and reaching out to professional 

associations that include people with disabilities such as the National 

Association of Attorneys with Disabilities and the Deaf and Hard of Hearing Bar 

Association. 

2. Pursuant to 29 C.F .R. §1614.203(a)(3), describe the agency's use of hiring authorities that take disability into account (e.g., Schedule A) to recruit PWD 

and PWTD for positions in the permanent workforce 

The Human Resources Branch provides qualified Schedule A and disabled 

Veteran applicants to hiring officials when appropriate. 

3. When individuals apply for a position under a hiring authority that takes disability into account (e.g., Schedule A), explain how the agency (1) 

determines if the individual is eligible for appointment under such authority; and, (2) forwards the individual's application to the relevant hiring officials 

with an explanation of how and when the individual may be appointed. 

(1) CFTC determines if the individual is eligible for appointment under such 

authority by requiring certification for the appropriate disability resource. (2) 

Qualified schedule A, subpart (u) and Veterans applicant information (certs) are 

forwarded to hiring officials as part of the list of eligible candidates. HR 

Specialists are available to discuss all parts of the Schedule A and other PWDtype of hiring authorities. 

4. Has the agency provided training to all hiring managers on the use of hiring authorities that take disability into account (e.g., Schedule A)? If"yes", 

describe the type(s) of training and frequency. If"no", describe the agency's plan to provide this training. 

Answer Yes 

Instruction and use of hiring authorities - including Schedule A, subpart (u) and 

Veteran Hiring Authorities - are provided to new supervisors during their 

required 40 hours of training. Online courses are also made available and 

encouraged. Periodic refresher courses are also available and provided to 

hiring officials. 

B. PLAN TO ESTABLISH CONTACTS WITH DISABILITY EMPLOYMENT ORGANIZATIONS 

Describe the agency's efforts to establish and maintain contacts with organizations that assist PWD, including PWTD, 

in securing and maintaining employment. 

During FY20 and FY21 the CFTC will expand its outreach and find additional 

resources to increase the recruitment and hiring of PWD and PWTD to mission 

critical occupations. Two potential resources that have been identified include 

the National Association of Attorneys with Disabilities and the Deaf and Hard of 

Hearing Bar Association. 

C. PROGRESSION TOW ARDS GOALS (RECRUITMENT AND HIRING) 

1. Using the goals of 12% for PWD and 2% for PWTD as the benchmarks, do triggers exist for PWD and/or PWTD among the new hires in the 

permanent workforce? If"yes", please describe the triggers below. 

a. New Hires for Permanent Workforce (PWD) Answer No 

b. New Hires for Permanent Workforce (PWTD) Answer Yes 

Among the 10 hires in FY2020~ identified as a PWD  % ), which is 

above the benchmark of 12% . .--i,rres in FY2020 identified as a PWTD 1 °/o ), 

which is below the 2% benchmark resulting in a trigger. 

2. Using the qualified applicant pool as the benchmark, do triggers exist for PWD and/or PWTD among the new hires for any of the mission-critical 

occupations (MCO)? If"yes", please describe the triggers below. Select "n/a" if the applicant data is not available for your agency, and describe your plan 

to provide the data in the text box. 

a. New Hires for MCO (PWD) Answer NIA 

b. New Hires for MCO (PWTD) Answer 

I Data unavailable for this analysis. See Part H for plan to collect it. 

NIA 

Page S9 
3. Using the relevant applicant pool as the benchmark, do triggers exist for PWD and/or PWTD among the qualified internal applicants for any of the 

mission-critical occupations (MCO)? If"yes", please describe the triggers below. Select "n/a" if the applicant data is not available for your agency, and 

describe your plan to provide the data in the text box. 

a. Qualified Applicants for MCO (PWD) Answer NIA 

b. Qualified Applicants for MCO (PWTD) Answer 

I Data unavailable for this analysis. See Part H for plan to collect it. 

NIA 

4. Using the qualified applicant pool as the benchmark, do triggers exist for PWD and/or PWTD among employees promoted to any of the missioncritical occupations (MCO)? If"yes", please describe the triggers below. Select "n/a" if the applicant data is not available for your agency, and describe 

your plan to provide the data in the text box. 

a. Promotions for MCO (PWD) Answer Yes 

b. Promotions for MCO (PWTD) Answer Yes 

Of the 31 MCO employees promoted in FY2020,I identified as a Person with a 

Disability - %); while higher than the 5.3% participation in the workforce, it 

is still below the 12% benchmark. I identified as a Person with a Targeted 

Disability, below the 2% benchmark. 

Section IV: Plan to Ensure Advancement Opportunities for Employees with Disabilities 

Pursuant to 29 C.F .R. §1614.203(d)(I)(iii), agencies are required to provide sufficient advancement opportunities for 

employees with disabilities. Such activities might include specialized training and mentoring programs, career 

development opportunities, awards programs, promotions, and similar programs that address advancement. In this 

section, agencies should identify, and provide data on programs designed to ensure advancement opportunities for 

employees with disabilities. 

A. ADVANCEMENT PROGRAM PLAN 

Describe the agency's plan to ensure PWD, including PWTD, have sufficient opportunities for advancement. 

To ensure that people with disabilities can access all learning opportunities, the 

CFTC processes all requests for reasonable accommodations regarding 

training appropriately and ensures that trainings disseminated through its 

Learning Management System are compliant with Section 508 of the 

Rehabilitation Act. Though opportunities for training and development 

programs do not exclude PWD or PWTD and all employees are afforded the 

same opportunities for advancement as appropriate, the CFTC will work to 

further develop a comprehensive plan to ensure advancement opportunities for 

PWD. The plan will include the use of details and job assignments as well as 

mentoring to advance PWD. 

B. CAREER DEVELOPMENT OPPORTUNITES 

1. Please describe the career development opportunities that the agency provides to its employees. 

The Commission offered a number of regulatory learning engagements that 

were delivered through eLearning training sessions. The Commission 

continued to offer Continued Legal Educations (CLE) and Continued 

Professional Education (CPE) training access to all employees. These courses 

afford staff with relevant information in: Accounting, Auditing, Dodd-Frank 

legislation, Swaps, Derivatives, Financial Market essentials, Project 

Management, Financial Management and ethics. Using blended learning 

techniques, CFTC staff participated in mission-related seminars available via inperson training, forums, seminars, live webcasts, audio CD's and DVDs, MP3s, 

course handbooks and on- demand learning. This training opportunity is 

offered to all qualified employees, including persons with disabilities. The CFTC 

goes to law schools and colleges to recruit unpaid (voluntary) interns. CFTC 

trained these interns on the transition from being an Intern to federal employee 

and provided training on the OPM hiring authorities for internship programs: 

including the Pathways Program, Student Volunteer Program, Unpaid Intern 

Program and Disability Employment. Additionally, the CFTC utilizes competitive 

and non-competitive detail assignments both internally and with other agencies 

as opportunities for advancement. 

2. In the table below, please provide the data for career development opportunities that require competition and/or supervisory recommendation/approval 

to participate. 

Page 60 
Career Development Opportunities 

Total Participants PWD PWTD 

Applicants (#) Selectees (#) Applicants (#) Selectees (#) Applicants (#) Selectees (#) 

Internship Programs 0 0 0 0 0 0 

Fellowship Programs 0 0 0 0 0 0 

Mentoring Programs 0 0 0 0 0 0 

Coaching Programs 0 0 0 0 0 0 

Training Programs 0 0 0 0 0 0 

Detail Programs 0 0 0 0 0 0 

Other Career Development 0 0 0 0 0 0 

Programs 

3. Do triggers exist for PWD among the applicants and/or selectees for any of the career development programs? (The appropriate benchmarks are the 

relevant applicant pool for the applicants and the applicant pool for selectees.) If"yes", describe the trigger(s) in the text box. Select "n/a" if the applicant 

data is not available for your agency, and describe your plan to provide the data in the text box. 

a. Applicants (PWD) Answer NIA 

b. Selections (PWD) Answer NIA 

No triggers were identified as the CFTC does not have a formal career 

development program. 

4. Do triggers exist for PWTD among the applicants and/or selectees for any of the career development programs? (The appropriate benchmarks are the 

relevant applicant pool for the applicants and the applicant pool for selectees.) If"yes", describe the trigger(s) in the text box. Select "n/a" if the applicant 

data is not available for your agency, and describe your plan to provide the data in the text box. 

a. Applicants (PWTD) Answer NIA 

b. Selections (PWTD) Answer NIA 

No triggers were identified as the CFTC does not have a formal career 

development program. 

C. AWARDS 

1. Using the inclusion rate as the benchmark, does your agency have a trigger involving PWD and/or PWTD for any level of the time-off awards, 

bonuses, or other incentives? If"yes", please describe the trigger(s) in the text box. 

a. Awards, Bonuses, & Incentives (PWD) Answer No 

b. Awards, Bonuses, & Incentives (PWTD) Answer No 

PWD are 5.3% of the workforce, they received 4.8% of time off awards (1-9 

hours), 5.7% of time off awards (9+ hours), and 5.0% of cash awards. PWTD 

are % of the workforce, they received - % of time off awards (1-9 

hours), % of time off awards (9+ hours), and % of cash awards. 

2. Using the inclusion rate as the benchmark, does your agency have a trigger involving PWD and/or PWTD for quality step increases or performancebased pay increases? If"yes", please describe the trigger(s) in the text box. 

a. Pay Increases (PWD) Answer No 

b. Pay Increases (PWTD) Answer No 

lrhe CFTC is not a title 5 agency and does not have or use QSl's. I 

3. If the agency has other types of employee recognition programs, are PWD and/or PWTD recognized disproportionately less than employees without 

disabilities? (The appropriate benchmark is the inclusion rate.) If"yes", describe the employee recognition program and relevant data in the text box. 

a. Other Types of Recognition (PWD) Answer NIA 

b. Other Types of Recognition (PWTD) Answer NIA 

D. PROMOTIONS 

1. Does your agency have a trigger involving PWD among the qualified internal applicants and/or selectees for promotions to the senior grade levels? 

(The appropriate benchmarks are the relevant applicant pool for qualified internal applicants and the qualified applicant pool for selectees.) For non-GS 

pay plans, please use the approximate senior grade levels. If"yes", describe the trigger(s) in the text box. Select "n/a" if the applicant data is not available 

for your agency, and describe your plan to provide the data in the text box. 

a. SES 

i. Qualified Internal Applicants (PWD) Answer NIA 

Page 61 
ii. Internal Selections (PWD) Answer NIA 

b. Grade GS-15 

i. Qualified Internal Applicants (PWD) Answer NIA 

ii. Internal Selections (PWD) Answer NIA 

c. Grade GS-14 

i. Qualified Internal Applicants (PWD) Answer NIA 

ii. Internal Selections (PWD) Answer NIA 

d. Grade GS-13 

i. Qualified Internal Applicants (PWD) Answer NIA 

ii. Internal Selections (PWD) Answer NIA 

I Data unavailable for this analysis. See Part H for plan to collect it. 

2. Does your agency have a trigger involving PWTD among the qualified internal applicants and/or selectees for promotions to the senior grade levels? 

(The appropriate benchmarks are the relevant applicant pool for qualified internal applicants and the qualified applicant pool for selectees.) For non-GS 

pay plans, please use the approximate senior grade levels. If"yes", describe the trigger(s) in the text box. Select "n/a" if the applicant data is not available 

for your agency, and describe your plan to provide the data in the text box. 

a. SES 

i. Qualified Internal Applicants (PWTD) Answer NIA 

ii. Internal Selections (PWTD) Answer NIA 

b. Grade GS-15 

i. Qualified Internal Applicants (PWTD) Answer NIA 

ii. Internal Selections (PWTD) Answer NIA 

c. Grade GS-14 

i. Qualified Internal Applicants (PWTD) Answer NIA 

ii. Internal Selections (PWTD) Answer NIA 

d. Grade GS-13 

i. Qualified Internal Applicants (PWTD) Answer NIA 

ii. Internal Selections (PWTD) Answer NIA 

I Data unavailable for this analysis. See Part H for plan to collect it. 

3. Using the qualified applicant pool as the benchmark, does your agency have a trigger involving PWD among the new hires to the senior grade levels? 

For non-GS pay plans, please use the approximate senior grade levels. If"yes", describe the trigger(s) in the text box. Select "n/a" if the applicant data is 

not available for your agency, and describe your plan to provide the data in the text box. 

a. New Hires to SES (PWD) Answer NIA 

b. New Hires to GS-15 (PWD) Answer NIA 

c. New Hires to GS-14 (PWD) Answer NIA 

d. New Hires to GS-13 (PWD) Answer NIA 

I Data unavailable for this analysis. See Part H for plan to collect it. 

4. Using the qualified applicant pool as the benchmark, does your agency have a trigger involving PWTD among the new hires to the senior grade 

levels? For non-GS pay plans, please use the approximate senior grade levels. If"yes", describe the trigger(s) in the text box. Select "n/a" if the applicant 

data is not available for your agency, and describe your plan to provide the data in the text box. 

a. New Hires to SES (PWTD) Answer NIA 

b. New Hires to GS-15 (PWTD) Answer NIA 

c. New Hires to GS-14 (PWTD) Answer NIA 

d. New Hires to GS-13 (PWTD) Answer NIA 

I Data unavailable for this analysis. See Part H for plan to collect it. 

5. Does your agency have a trigger involving PWD among the qualified internal applicants and/or selectees for promotions to supervisory positions? 

(The appropriate benchmarks are the relevant applicant pool for qualified internal applicants and the qualified applicant pool for selectees.) If"yes", 

describe the trigger(s) in the text box. Select "n/a" if the applicant data is not available for your agency, and describe your plan to provide the data in the 

text box. 

Page 62 
a. Executives 

i. Qualified Internal Applicants (PWD) Answer NIA 

ii. Internal Selections (PWD) Answer NIA 

b. Managers 

i. Qualified Internal Applicants (PWD) Answer NIA 

ii. Internal Selections (PWD) Answer NIA 

c. Supervisors 

i. Qualified Internal Applicants (PWD) Answer NIA 

ii. Internal Selections (PWD) Answer NIA 

I Data unavailable for this analysis. See Part H for plan to collect it. 

6. Does your agency have a trigger involving PWTD among the qualified internal applicants and/or selectees for promotions to supervisory positions? 

(The appropriate benchmarks are the relevant applicant pool for qualified internal applicants and the qualified applicant pool for selectees.) If"yes", 

describe the trigger(s) in the text box. Select "n/a" if the applicant data is not available for your agency, and describe your plan to provide the data in the 

text box. 

a. Executives 

i. Qualified Internal Applicants (PWTD) Answer NIA 

ii. Internal Selections (PWTD) Answer NIA 

b. Managers 

i. Qualified Internal Applicants (PWTD) Answer NIA 

ii. Internal Selections (PWTD) Answer NIA 

c. Supervisors 

i. Qualified Internal Applicants (PWTD) Answer NIA 

ii. Internal Selections (PWTD) Answer NIA 

I Data unavailable for this analysis. See Part H for plan to collect it. 

7. Using the qualified applicant pool as the benchmark, does your agency have a trigger involving PWD among the selectees for new hires to 

supervisory positions? If"yes", describe the trigger(s) in the text box. Select "n/a" if the applicant data is not available for your agency, and describe your 

plan to provide the data in the text box. 

a. New Hires for Executives (PWD) Answer NIA 

b. New Hires for Managers (PWD) Answer NIA 

c. New Hires for Supervisors (PWD) Answer NIA 

I Data unavailable for this analysis. See Part H for plan to collect it. 

8. Using the qualified applicant pool as the benchmark, does your agency have a trigger involving PWTD among the selectees for new hires to 

supervisory positions? If"yes", describe the trigger(s) in the text box. Select "n/a" if the applicant data is not available for your agency, and describe your 

plan to provide the data in the text box. 

a. New Hires for Executives (PWTD) Answer NIA 

b. New Hires for Managers (PWTD) Answer NIA 

c. New Hires for Supervisors (PWTD) Answer NIA 

I Data unavailable for this analysis. See Part H for plan to collect it. 

Section V: Plan to Improve Retention of Persons with Disabilities 

To be model employer for persons with disabilities, agencies must have policies and programs in place to retain 

employees with disabilities. In this section, agencies should: (1) analyze workforce separation data to identify barriers 

retaining employees with disabilities; (2) describe efforts to ensure accessibility of technology and facilities; and (3) 

provide information on the reasonable accommodation program and workplace assistance services. 

A. VOLUNTARY AND INVOLUNTARY SEPARATIONS 

1. In this reporting period, did the agency convert all eligible Schedule A employees with a disability into the competitive service after two years of 

satisfactory service (5 CFR § 213.3102(u)(6)(i))? If"no", please explain why the agency did not convert all eligible Schedule A employees. 

Answer NIA 

I No employees have been eligible for conversion during this reporting period. 

Any employees that are eligible are converted as appropriate. I 

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2. Using the inclusion rate as the benchmark, did the percentage of PWD among vohmtary and involuntary separations exceed that of persons without 

disabilities? If"yes", describe the trigger below. 

a.Voluntary Separations (PWD) Answer No 

b.Involuntary Separations (PWD) Answer No 

I Data unavailable for this analysis. See Part H for plan to collect it. 

3. Using the inclusion rate as the benchmark, did the percentage of PWTD among voluntary and involuntary separations exceed that of persons without 

targeted disabilities? If"yes", describe the trigger below. 

a.Voluntary Separations (PWTD) Answer No 

b.Involuntary Separations (PWTD) Answer No 

I Data unavailable for this analysis. See Part H for plan to collect it. 

4. If a trigger exists involving the separation rate of PWD and/or PWTD, please explain why they left the agency using exit interview results and other 

data sources. 

B. ACCESSIBILITY OF TECHNOLOGY AND FACILITIES 

Pursuant to 29 CFR § 1614.203( d)( 4), federal agencies are required to inform applicants and employees of their rights 

under Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. § 794(b), concerning the accessibility of agency 

technology, and the Architectural Barriers Act of 1968 (42 U.S.C. § 4151-4157), concerning the accessibility of 

agency facilities. In addition, agencies are required to inform individuals where to file complaints if other agencies are 

responsible for a violation. 

1. Please provide the internet address on the agency's public website for its notice explaining employees' and applicants' rights under Section 508 of the 

Rehabilitation Act, including a description of how to file a complaint. 

I https://www.cftc.gov/WebPolicy/EEONoFearAct/index.htm 

2. Please provide the internet address on the agency's public website for its notice explaining employees' and applicants' rights under the Architectural 

Barriers Act, including a description of how to file a complaint. 

I https://www.cftc.gov/WebPolicy/EEONoFearAct/index.htm 

3. Describe any programs, policies, or practices that the agency has undertaken, or plans on undertaking over the next fiscal year, designed to improve 

accessibility of agency facilities and/or technology. 

Facilities comply with accessibility requirements in all Offices: Washington, DC; 

New York, NY; Chicago, IL; Kansas City, MO. 

C. REASONABLE ACCOMMODATION PROGRAM 

Pursuant to 29 C.F .R. § 1614.203(d)(3), agencies must adopt, post on their public website, and make available to all 

job applicants and employees, reasonable accommodation procedures. 

1. Please provide the average time frame for processing initial requests for reasonable accommodations during the reporting period. (Please do not include 

previously approved requests with repetitive accommodations, such as interpreting services.) 

The average time frame for processing initial requests for reasonable 

accommodation during the reporting period is seven (7) business days. 

2. Describe the effectiveness of the policies, procedures, or practices to implement the agency's reasonable accommodation program. Some examples of 

an effective program include timely processing requests, timely providing approved accommodations, conducting training for managers and supervisors, 

and monitoring accommodation requests for trends. 

CFTC has consistently provided responses to reasonable accommodation 

requests, both approved and not approved. Managers and supervisors have 

been trained on reasonable accommodation responsibilities, including the 

process. 

D. PERSONAL ASSISTANCE SERVICES ALLOWING EMPLOYEES TO PARTICIPATE IN THE 

WORKPLACE 

Pursuant to 29 CFR § 1614.203( d)(5), federal agencies, as an aspect of affumative action, are required to provide 

personal assistance services (PAS) to employees who need them because of a targeted disability, unless doing so 

would impose an undue hardship on the agency. 

Describe the effectiveness of the policies, procedures, or practices to implement the PAS requirement. Some examples 

of an effective program include timely processing requests for PAS, timely providing approved services, conducting 

training for managers and supervisors, and monitoring PAS requests for trends. 

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One of the strengths of the CFTC's personal assistance services procedures is 

that they are integrated into the CFTC's reasonable accommodation 

procedures to ensure consistency and efficiency. The CFTC did not receive 

any requests for Personal Assistance Services in FY 2019, but will continue to 

evaluate the effectiveness of its procedures in FY 2020 and FY 2021. 

Section VI: EEO Complaint and Findings Data 

A. EEO COMPLAINT DATA INVOLVING HARASSMENT 

1. During the last fiscal year, did a higher percentage of PWD file a formal EEO complaint alleging harassment, as compared to the government-wide 

average? 

Answer No 

2. During the last fiscal year, did any complaints alleging harassment based on disability status result in a finding of discrimination or a settlement 

agreement? 

Answer No 

3. If the agency had one or more findings of discrimination alleging harassment based on disability status during the last fiscal year, please describe the 

corrective measures taken by the agency. 

I CFTC did not have any findings of discrimination in FY 2020. 

B. EEO COMPLAINT DATA INVOLVING REASONABLE ACCOMMODATION 

1. During the last fiscal year, did a higher percentage of PWD file a formal EEO complaint alleging failure to provide a reasonable accommodation, as 

compared to the government-wide average? 

Answer No 

2. During the last fiscal year, did any complaints alleging failure to provide reasonable accommodation result in a finding of discrimination or a settlement 

agreement? 

Answer No 

3. If the agency had one or more findings of discrimination involving the failure to provide a reasonable accommodation during the last fiscal year, please 

describe the corrective measures taken by the agency. 

N/A 

Section VII: Identification and Removal of Barriers 

Element D of MD-715 requires agencies to conduct a barrier analysis when a trigger suggests that a policy, procedure, 

or practice may be impeding the employment opportunities of a protected EEO group. 

1. Has the agency identified any barriers (policies, procedures, and/or practices) that affect employment opportunities for PWD and/or PWTD? 

Answer Yes 

2. Has the agency established a plan to correct the barrier(s) involving PWD and/or PWTD? 

Answer Yes 

3. Identify each trigger and plan to remove the barrier(s), including the identified barrier(s), obj ective(s), responsible official(s), planned activities, and, 

where applicable, accomplishments 

Page 65 
Source of the Trigger: 

Specific Workforce Data 

Table: 

STATEMENT OF 

CONDITION THAT WAS 

A TRIGGER FOR A 

POTENTIAL BARRIER: 

Provide a brief na1rntive 

describing the condition at 

issue. 

How was the condition 

recognized as a potential 

hairier? 

STATEMENT OF 

BARRIER GROUPS: 

Barrier Analysis Process 

Completed?: 

Barrier(s) Identified?: 

STATEMENT OF 

IDENTIFIED BARRIER: 

Provide a succinct statement 

of the agency policy, 

procedure 

or practice that has been 

determined to be the ba1rier 

ofthe 

undesired condition. 

Date Target Date 

Initiated 

08/07/2019 09/20/2021 

Title 

Workforce Data (if so identify the table) 

Workforce Data Table - B4 

Trigger 1: PWD/PWTD by Grade level cluster in the permanent workforce - Within the cluster of 19 

permanent employees in grades CT-1 to CT-10, 1 % I employees) are people with disabilities, a 

decrease from - % I employee) in FY19. Of the 677 employees in the cluster of CT 11 and 

higher, 5.47% are people with disabilities (37 employees), an increase from 4.76% (31 employees) 

in FY19. Both clusters are below the 12% benchmark goal. Within the cluster of 19 permanent 

employees in grades CT-1 to CT-10, 1 % I employees) are people with targeted disabilities, a 

decrease from . % I employee) in FY19. Of the 677 permanent employees in the cluster of CT 

11 and higher, % employees) are PWTD. Trigger 2: PWD/PWTD by new hires in the 

permanent workforce - Among the 10 hires in FY2020,_ identified as a PWD  %), which is 

above the benchmark of 12% resulting in a trigger. hires in FY2020 identified as a PWTD I %), 

which is below the 2% benchmark resulting in a trigger. Trigger 3: PWD/PWTD by employees 

promoted to any MCO - Of the 31 MCO employees promoted in FY2020, I identified as a Person 

with a Disability ,.o); while higher than the 5.3% participation in the workforce, it is still below 

the 12% benchmark. identified as a Person with a Targeted Disability, below the 2% benchmark. 

Trigger 4: Participation Below Goal for People with Disabilities (PWD) and People with Targeted 

Disabilities (PWTD) - In FY20, the 12% participation rate goal for PWD was not met for grades 

CT10 and below nor for grades CT11 and above; instead, the participation rates werel 0

/o and 

5.7% respectively. The 2% participation rate goal for PWTD was not met for grades CT10 and 

below or CT11 and above and was instead 1 °/o andal 0

/o respectively. Positively, CT1 1 -13 was 

closest to the 2% participation rate goal for PWTD at %. 

Barrier Group 

People with Disabilities 

People with Tai·geted Disabilities 

y 

y 

Barrier Name Description of Policy, Procedure, or Practice 

PWD and PWTD are 1) PWD and PWTD are undeITepresented in the CFTC's applicant pipeline; 

undeITepresented in and 2) societal attitudinal ba1riers may create a reluctance to self-disclose 

applicant pipeline; disability status. 

attitudinal bairiers. 

Objective(s) and Dates for EEO Plan 

Sufficient Date Date Objective Description 

Funding / Modified Completed 

Staffing? 

Yes Increase the number of PWD and PWTD employed by 

the CFTC. 

Responsible Official(s) 

Name Standards Address The Plan? 

Chief Human Capital Officer Kerril aine Prunella Yes 

OMWI Director Sarah Summerville Yes 

Planned Activities Toward Completion of Objective 

Target Date Planned Activities Sufficient 

Staffing & 

Funding? 

Modified 

Date 

Completion 

Date 

09/30/2019 Research disability organizations to target for recruitment. Yes 09/30/2019 

09/30/2020 Resurvey the workforce's disability status. Yes 10/01/0019 

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Planned Activities Toward Completion of Objective 

Target Date Planned Activities Sufficient Modified Completion 

Staffing & Date Date 

Funding? 

09/30/2020 Create and conduct disability inclusion training. Yes 10/01 /0019 

03/01 /2021 Hire a consultant to conduct a 360 degree diversity, equity, Yes 

and inclusion review along with an agency-wide barrier 

analysis. 

09/30/2021 Make diversity and inclusion training mandatory for Yes 

supervisors and employees; with additional targeted training 

required for supervisors. 

12/31 /2021 The agency will create a human capital strategic plan with Yes 

diversity, equity, and inclusion principles woven into it. 

09/30/2021 Formalize the Diversity Workgroup Yes 

Report of Accomplishments 

Fiscal Year Accomplishments 

2020 As described in the executive summary and as planned, during FY2020, the agency launched the agency's 

first inter-office workgroup to conduct a barrier analysis focused on two agency divisions, and also provided 

an agency-wide training "Diversity in the Legal Profession: Busting Cognitive and Structural Biases." After the 

George Floyd tragedy, leaders of the African American Affinity Group and labor union made 

recommendations to the agency Chairman to take further action on diversity, equity, and inclusion. 

The CFTC Chairman then announced 4 steps during FY2020 that will help to address this barrier: 

1) the agency hired a consultant to conduct a 360 degree diversity, equity, and inclusion review along with an 

agency-wide barrier analysis; 

2) the agency will plan to formalize the Diversity Workgroup; 

3) the agency will make diversity and inclusion training mandatory for supervisors and employees; and 

4) the agency will create a human capital strategic plan with diversity, equity, and inclusion principles woven 

into it. 

2018 The CFTC's OMWI spearheaded a training on anxiety and depression in the workplace in order to address 

stigmas regarding those conditions and to create a more inclusive environment. 

2019 The CFTC's OMWI: 1) conducted a campaign to resurvey the workforce's disability status by sending an 

email blast to all agency employees and handing out fliers and candy in the lobby to promote awareness; 2) 

developed and led a training "Disability Inclusion 101" for agency employees; and 3) researched disability 

organizations to target for potential recruitment. 

4. Please explain the factor(s) that prevented the agency from timely completing any of the planned activities. 

N/A 

5. For the planned activities that were completed, please describe the actual impact of those activities toward eliminating the barrier(s). 

I Further steps are needed to address the barriers, as the triggers still remain. I 

6. If the planned activities did not correct the trigger(s) and/or barrier(s), please describe how the agency intends to improve the plan for the next fiscal 

year. 

During FY2021 , 1) the agency will hire a consultant to conduct a 360 degree 

diversity, equity, and inclusion review along with an agency-wide barrier 

analysis; 2) the agency will plan to formalize the Diversity Workgroup; 3) the 

agency will make diversity and inclusion training mandatory for supervisors and 

employees; and 4) the agency will create a human capital strategic plan with 

diversity, equity, and inclusion principles woven into it. The agency will ensure 

that people with disabilities and people with targeted disabilities are included 

throughout all of these initiatives. 

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