Federal Trade

Commission

Performance Plan for

Fiscal Years 2011 and 2012

Table of Contents

Budgeted Resources by Objective � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 50

Objectives by FTE � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 51

Annual Performance Measures: Fiscal Years 2010 to 2012 � � � � � � � � � � � � � � � � � � � � � � 52

Annual Performance Measures: Historical � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 57

Strategic Goal 1: Protect Consumers � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 63

Strategic Goal 2: Maintain Competition � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 83

Strategic Goal 3: Advance Performance � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 101
Tables 50 FY 2011 and 2012 Performance Plan

Budgeted Resources by Objective

($ in thousands)

Protect Consumers

Strategic Goal 1: Prevent fraud, deception, and unfair 

business practices in the marketplace

FY 2011 

FTE

FY 2011 

Amount

FY 2012 

FTE

FY 2012 

Amount

Objective 1.1: Identify fraud, deception, and unfair practices that cause the greatest consumer injury 91 $22,548 93 $27,502

Objective 1.2: Stop fraud, deception, unfairness and 

other unlawful practices through law enforcement 448 $113,824 458 $127,191

Objective 1.3: Prevent consumer injury through 

education 50 $16,063 51 $14,628

Objective 1.4: Enhance consumer welfare through 

research, reports, rulemaking, and advocacy 44 $11,049 46 $13,000

Objective 1.5: Protect American consumers in the global 

marketplace by providing sound policy recommendations and technical advice to foreign governments and 

international organizaions to promote sound competition policy 7 $2,959 7 $3,541

Total 640 $166,443 655 $185,862

Maintain Competition

Strategic Goal 2: Prevent anticompetitive mergers 

and other anticompetitive business practices in the 

marketplace

FY 2011 

FTE

FY 2011 

Amount

FY 2012 

FTE

FY 2012 

Amount

Objective 2.1: Take actions against anticompetitive 

mergers and practices that may cause significant consumer injury 460 $106,277 469 $118,825

Objective 2.2: Prevent consumer injury through 

education 45 $10,059 45 $11,032

Objective 2.3: Enhance consumer welfare through 

research, reports, and advocacy 19 $4,385 20 $4,981

Objective 2.4: Protect American consumers in the global 

marketplace by providing sound policy recommendations and technical advice to foreign governments and 

international organizations to promote sound competition policy 12 $4,536 12 $5,300

Total 536 $125,257 546 $140,138
Tables 51 FY 2011 and 2012 Performance Plan

Objectives by FTE

Protect Consumers

Fiscal Year 2011 Fiscal Year 2012

Objective Number Total 

FTE

Objective Number Total 

1 2 3 4 5 1 2 3 4 5 FTE

Financial Practices 5 90 4 6 0 105 5 93 4 6 0 108

Privacy and Identity Protection 6 33 2 9 0 50 6 34 2 10 0 52

Marketing Practices 5 87 2 3 0 97 5 91 2 3 0 101

Advertising Practices 5 48 1 6 0 60 5 48 1 6 0 60

Enforcement 3 48 1 1 0 53 3 48 1 1 0 53

Planning and Information 39 8 3 0 0 50 40 8 3 0 0 51

Consumer and Business Education 0 0 20 1 0 21 0 0 21 1 0 22

Economic and Consumer Policy 

Analysis 0 1 1 3 0 5 0 1 1 3 0 5

Management 5 15 3 4 0 27 5 15 3 4 0 27

Support 23 118 13 11 7 172 24 120 13 12 7 176

Total 91 448 50 44 7 640 93 458 51 46 7 655

Maintain Competition

Fiscal Year 2011 Fiscal Year 2012

Objective Number Total 

FTE

Objective Number Total 

1 2 3 4 1 2 3 4 FTE

Premerger Notification 16 2 1 0 19 17 2 1 0 20

Merger and Joint Venture Enforcement 183 8 4 1 196 186 8 4 1 199

Merger and Joint Venture Compliance 9 1 1 0 11 10 1 1 0 12

Nonmerger Enforcement 113 20 3 1 137 113 20 4 1 138

Nonmerger Compliance 2 0 0 0 2 2 0 0 0 2

Antitrust Policy Analysis 3 1 3 0 7 3 1 3 0 7

Other Direct 16 2 2 0 20 17 2 2 0 21

Support 118 11 5 10 144 121 11 5 10 147

Total 460 45 19 12 536 469 45 20 12 546
Tables 52 FY 2011 and 2012 Performance Plan

Annual Performance Measures: Fiscal Years 2010 to 2012

FY 2010

Actual 

FY 2011 

Target

FY 2012 

Target

Strategic Goal 1 - Protect Consumers: Prevent fraud, deception, and unfair business practices in the 

marketplace.

Objective 1.1–Identify fraud, deception, and unfair practices that cause the greatest consumer injury:

Measure 1.1.1: Complaints collected and entered into 

the Consumer Sentinel Network database. 3.1 million 2.6 million 2.7 million

Key Measure 1.1.2: The percentage of the FTC’s consumer protection law enforcement actions that are the 

subject of consumer complaints to the FTC.

95.9% 65%

Measure 1.1.3: The rate of customer satisfaction with 

the FTC’s Consumer Response Center.

(a) For the website, exceeded 

average citizen 

satisfaction rate 

as published in 

the American 

Customer 

Satisfaction 

Index 

E-Government 

Satisfaction 

Index

(b) For the call 

center, met 

standards for 

call centers 

developed by 

the Citizen 

Service Levels 

Interagency 

Committee

(a) For the website, exceed average citizen satisfaction rate 

as published in the American 

Customer Satisfaction Index 

E-Government Satisfaction 

Index

(b) For the call center, meet or 

exceed standards for call centers developed by the Citizen 

Service Levels Interagency 

Committee

Objective 1.2–Stop fraud, deception, unfairness, and other unlawful practices through law 

enforcement:

Key Measure 1.2.1: The percentage of all cases filed 

by the FTC that were successfully resolved through 

litigation, a settlement, or issuance of a default 

judgment.

99.2% 75-85% 

Measure 1.2.2: The FTC’s effectiveness in stopping 

prohibited business practices in three high priority 

areas over the next five years.

- - -

Statistically significant 

decrease in the prevalence of 

the practice

Measure 1.2.3: The percentage of redress cases in 

which the FTC distributes redress dollars designated 

for distribution to consumers within 6 months.

96% of cases 90% of cases
Tables 53 FY 2011 and 2012 Performance Plan

FY 2010

Actual 

FY 2011 

Target

FY 2012 

Target

Measure 1.2.4: Investigations or cases in which the 

FTC obtains foreign-based evidence or engaged 

in mutual assistance that contributes to FTC law 

enforcement actions or in which we cooperate with 

foreign agencies and/or multilateral organizations.

39 30

Objective 1.3–Prevent consumer injury through education:

Measure 1.3.1: Consumer protection messages accessed online or in print. 43.9 million 50 million

Key Measure 1.3.2: Customer satisfaction rate with an 

FTC consumer education website or microsite.

Exceeded 

average citizen 

satisfaction rate 

as published in 

the American 

Customer 

Satisfaction 

Index 

E-Government 

Satisfaction 

Index

Exceed average citizen 

satisfaction rate as published in the American 

Customer Satisfaction Index 

E-Government Satisfaction 

Index

Measure 1.3.3: Organizations requesting consumer 

education publications. 15,372 11,300 11,600

Objective 1.4–Enhance consumer welfare through research, reports, rulemaking, and advocacy

Measure 1.4.1: Workshops and conferences convened 

or cosponsored that address consumer protection 

problems.

11 8

Measure 1.4.2: Advocacy comments and amicus briefs 

on consumer protection issues filed with entities 

including federal and state legislatures, agencies, or 

courts.

6 6

Measure 1.4.3: The percentage of respondents finding the FTC’s advocacy comments and amicus briefs 

“useful.”

100% 50%

Key Measure 1.4.4: The percentage of proposed 

Administrative Procedure Act (APA) rulemakings, 

conducted solely by the FTC, completed in 9 months 

of receipt of final comments in the Final Notice of 

Proposed Rulemaking.

100% 75%

Objective 1.5-Protect American consumers in the global marketplace by providing sound policy and 

technical input to foreign governments and international organizations to promote sound consumer 

policy 

Key Measure 1.5.1: Policy advice provided to foreign 

consumer protection and privacy agencies, directly 

and through international organizations, through 

substantive consultations, written submissions, or 

comments.

64 40

Measure 1.5.2: Technical assistance to foreign consumer protection and privacy authorities. 23 8
Tables 54 FY 2011 and 2012 Performance Plan

Annual Performance Measures: Fiscal Years 2010 to 2012

FY 2010

Actual 

FY 2011 

Target

FY 2012 

Target

Strategic Goal 2 - Maintain Competition: Prevent anticompetitive mergers and other anticompetitive 

business practices in the marketplace.

Objective 2.1–Take action against anticompetitive mergers and practices that may cause significant 

consumer injury

Key Measure 2.1.1: Actions to maintain competition 

including litigated victories, consent orders, abandoned transaction remedies, restructured transactions remedies, or fix-it-first transactions remedies 

in a significant percentage of substantial merger and 

nonmerger investigations.

39% 40-60%

Measure 2.1.2: Consumer savings of at least $500 million through merger actions to maintain competition. $586 million $500 million

Measure 2.1.3: Actions against mergers likely to harm 

competition in markets with at least $25 billion in 

sales.

$22.5 billion $25 billion

Measure 2.1.4: Consumer savings of at least six times 

the amount of FTC resources allocated to merger 

program.

1,670% 600%

Measure 2.1.5: Consumer savings of at least $80 million through nonmerger actions taken to maintain 

competition.

$508 million $80 million

Measure 2.1.6: Actions against anticompetitive conduct 

in markets with a total of at least $8 billion in annual 

sales.

$11.7 billion $8 billion

Measure 2.1.7: Consumer savings of at least four times 

the amount of FTC resources allocated to nonmerger 

program over a five-year period.

2,418% 400%

Measure 2.1.8: The percentage of cases in which the 

FTC had at least one substantive contact with a foreign 

antitrust authority in which the agencies followed 

consistent analytical approaches and reached compatible outcomes.

100% 90%
Tables 55 FY 2011 and 2012 Performance Plan

FY 2010

Actual 

FY 2011 

Target

FY 2012 

Target

Objective 2.2–Prevent consumer injury through education:

Key Measure 2.2.1: Competition resources accessed via 

the FTC’s website. 21.5 million 10 million

Objective 2.3–Enhance consumer through research, reports, and advocacy:

Key Measure 2.3.1: Workshops, seminars, conferences, 

and hearings convened or cosponsored that involve 

significant competition-related issues.

6 4

Key Measure 2.3.2: Reports and studies issues on key 

competition related topics. 9 8

Key Measure 2.3.3: Advocacy comments and amicus 

briefs on competition issues filed with entities including federal and state legislatures, agencies or courts.17 6

Measure 2.3.4: The percentage of respondents finding the FTC’s advocacy comments and amicus briefs 

“useful.”

100% 50%

Measure 2.3.5: The volume of traffic on www.ftc.

gov relating to competition research, reports, and 

advocacy.

2.2 million 1.7 million

Objective 2.4–Protect American consumers in the global marketplace by providing sound policy 

recommendations and technical advice to foreign governments and international organizations to 

promote sound competition policy

Key Measure 2.4.1: Policy advice provided to foreign 

competition agencies, directly and through international organizations, through substantive consultations, written submissions, or comments.

76 40

Measure 2.4.2: Technical assistance provided to foreign 

competition authorities. 60 10
Tables 56 FY 2011 and 2012 Performance Plan

FY 2010

Actual FY 2011 Target FY 2012 Target

Strategic Goal 3 - Advance Performance: Advance the FTC’s performance through organizational, 

individual, and management excellence.

Objective 3.1–Provide effective human resources management

Measure 3.1.1: The extent employees believe their 

organizational culture promotes improvements in 

processes, products and services, and organizational 

outcomes.

Exceeded the 

governmentwide results 

on the Federal 

Human 

Capital 

Survey’s 

ResultsOriented 

Performance 

Culture Index

Exceed the 

governmentwide results 

on the Federal 

Human 

Capital 

Survey’s 

ResultsOriented 

Performance 

Culture Index

Exceed the 

governmentwide results 

on the Federal 

Human 

Capital 

Survey’s 

ResultsOriented 

Performance 

Culture Index

Key Measure 3.1.2: The extent employees think the 

organization has the talent necessary to achieve organizational goals.

Exceeded the 

governmentwide results 

on the Federal 

Human 

Capital 

Survey’s 

Talent 

Management 

Index

Exceed the 

governmentwide results 

on the Federal 

Human 

Capital 

Survey’s 

Talent 

Management 

Index

Exceed the 

governmentwide results 

on the Federal 

Human 

Capital 

Survey’s 

Talent 

Management 

Index

Objective 3.2–Provide effective infrastructure and security management

Key Measure 3.2.1: A favorable Continuity of 

Operations (COOP) rating. 85% 75% 75%

Key Measure 3.2.2: Availability of information technology systems. 99.86% 98.50% 99.00%

Objective 3.3–Provide effective information resource management:

Key Measure 3.3.1: The percentage of Commissionapproved documents in ongoing and newly initiated 

public FTC proceedings available via the Internet 

within 15 days of becoming part of the public record.

93.8% 75% 80%

Objective 3.4–Provide effective financial and acquisition management

Measure 3.4.1: Independent auditor’s financial statement audit results. Unqualified Unqualified Unqualified

Key Measure 3.4.2: The percentage of Bureau/Offices 

that establish and maintain an effective, risk-based 

internal control environment.

100% 100% 100%

Measure 3.4.3: Performance against the Small 

Business Administration’s government-wide small 

business procurement goals.

58.9% 23% 23%

Annual Performance Measures: Fiscal Years 2010 to 2012
Tables 57 FY 2011 and 2012 Performance Plan

Annual Performance Measures: Historical

Fiscal Years 2006 to 2009

FY 2006 

Actual

FY 2007 

Actual

FY 2008

Actual

FY 2009 

Actual

Protect Consumers

Goal 1: Prevent fraud, deception, and unfair business practices in the marketplace.

Objective 1.1–Identify fraud, deception, and unfair practices that cause the greatest consumer injury

Measure 1.1.1: Collect and enter complaints and inquiries 

entered into the consumer database. 1,011,000 1,100,000 3,050,000 3,300,000

Measure 1.1.2: The percentage of the agency’s consumer protection law enforcement actions that are responsive to complaint 

information gathered by the agency.

_ _ _ 76% 71% 79%

Objective 1.2–Stop fraud, deception, unfairness, and other unlawful practices through law enforcement

Measure 1.2.1: Stop economic injury to consumers each year 

through law enforcement. $293 million $519 million $474 million $505 million

Measure 1.2.2: Stop fraudulent, deceptive, unfair, and other unlawful practices by obtaining orders or conducting other direct 

interventions with businesses resulting in a change in business 

conduct.

_ _ _ 137 132 _ _ _

Objective 1.3–Prevent consumer injury through education

Measure 1.3.1: Track consumer protection messages accessed 

online or in print. 53 million 47 million 49.2 million 43.1 million

Measure 1.3.2: Track consumer protection messages related to 

identity theft, accessed online or in print. 9.4 million 9.6 million 11.4 million 10.1 million

Measure 1.3.3: Track consumer protection messages in Spanish, 

accessed online or in print. 2.4 million 2.2 million 2.0 million 1.8 million

Measure 1.3.4: Track (a) the number of times print media publish articles that refer to FTC consumer protection activities and 

(b) the circulation of media that publish those articles.

_ _ _

(a) 3,066 

articles 

(b) 863 

million 

circulation

(a) 3,100 

articles

(b) 791 

million 

circulation

(a) 2,484 

articles

(b) 702 

million 

circulation

Objective 1.4–Enhance consumer welfare through research, reports, advocacy, and international cooperation and exchange

Measure 1.4.1: Convene or participate substantially in workshops and conferences on novel or challenging consumer protection problems or issues.

_ _ _ 10 16 9

Measure 1.4.2: Issue reports on novel or challenging consumer 

protection problems or issues. _ _ _ 8 12 14

Measure 1.4.3: File public and advocacy comments with other 

federal and state government agencies. _ _ _ 7 6 2

Measure 1.4.4: Cooperate with foreign government agencies on 

enforcement matters with cross-border components. _ _ _ 23 46 39

Measure 1.4.5: Provide consumer protection related policy or 

technical input to foreign government agencies or international 

organizations.

_ _ _ 34 88 81
Tables 58 FY 2011 and 2012 Performance Plan

Annual Performance Measures: Historical

Fiscal Years 2006 to 2009

FY 2006

Actual

FY 2007

Actual

FY 2008 

Actual

FY 2009 

Actual

Maintain Competition

Goal 2: Prevent anticompetitive mergers and other anticompetitive business practices in the marketplace.

Objective 2.1–Identify anticompetitive mergers and practices that cause the greatest consumer injury

Measure 2.1.1: Achieve positive outcomes in matters in which 

HSR requests for additional information are issued. 59% 100% 100% 100%

Measure 2.1.2: Percentage of significant nonmerger investigations that result in a positive outcome. 40% 100% 100% 100%

Measure 2.1.3: Track the number of enforcement actions for the 

total mission, for the (a) merger and (b) nonmerger actions. _ _ _ a) 22 b) 11

a) 21 

b) 4

a) 19 

b) 7

Measure 2.1.4: Report the number of (a) second requests, (b) 

reportable transactions for which premerger notifications were 

received, (c) HSR investigations that resulted in enforcement 

action, (d) transactions in which antitrust issues were resolved 

through voluntary abandonment or restructuring because of 

FTC concerns, and (e) investigations closed because the evidence indicated that a competitive problem was unlikely.

_ _ _

a) 31

b) 2,108

c) 20 

d) 5 

e) 11

a) 21

b)1,656 

c) 12 

d) 2 

e) 7

a) 15

b) 684

c) 13

d) 1 

e) 3

Measure 2.1.5: Track the number of significant nonmerger 

investigations closed each year, (a) with enforcement action and 

(b) without enforcement action.

_ _ _ a) 11 

b) 17

a) 4 

b) 14

a) 7

b) 27

Objective 2.2–Stop anticompetitive mergers and business practices through law enforcement

Measure 2.2.1: Positive result of cases brought by FTC due to 

alleged violations. 100% 100% 96% 96%

Measure 2.2.2: Achieve savings for consumers through merger 

enforcement. _ _ _ $805 million $360 million $791 million

Measure 2.2.3: Take action against mergers likely to harm competition in markets with a total of at least $125 billion in sales 

over a five-year period; $25 billion in sales each year.

$13.4 

billion

$ 42.6 

million

$14.9 

million

$22.3 

million

Measure 2.2.4: Achieve savings for consumers through nonmerger enforcement. _ _ _ $75 million $28 million $188 million

Measure 2.2.5: Take action against anticompetitive conduct in 

markets with a total of at least $40 billion in annual sales over 

five-year period; $8 billion each year.

$1.4 billion $2.6 billion $0.4 billion $14.6 billion

Measure 2.2.6: Save consumers at least six times the amount of 

agency resources allocated to merger activity. _ _ _ 2,500% 1,121% 2,132%

Measure 2.2.7: Save consumers at least four times the amount of 

agency resources allocated to nonmerger enforcement activity. _ _ _ 424% 164% 1,035%
Tables 59 FY 2011 and 2012 Performance Plan

FY 2006

Actual

FY 2007

Actual

FY 2008 

Actual

FY 2009 

Actual

Objective 2.3–Prevent consumer injury through education

Measure 2.3.1: Quantify number of hits on antitrust information 

on FTC website. 10.6 million 15.7 million 12.5 million 11.9 million

Measure 2.3.2: Track (a) the number of times print media publish articles that refer to FTC competition activities and (b) the 

circulation of the media that publish those articles.

_ _ _

(a) 2,982 

articles

(b) 635 

million 

(a) 1,858 

articles

(b) 397 

million

(a) 1,569 

articles

(b) 360 

million

Objective 2.4–Enhance consumer welfare through research, reports, advocacy, and international cooperation and exchange

Measure 2.4.1: Convene or participate substantially in workshops, conferences, seminars, and hearings involving significant 

competition-related issues.

_ _ _ 7 5 8

Measure 2.4.2: Issue studies, reports, and working or issues 

papers on significant competition-related issues. _ _ _ 18 7 20

Measure 2.4.3: Make advocacy filings with other federal and 

state government agencies urging them to assess the competitive ramifications and costs and benefits to consumers of their 

policies.

_ _ _ 11 12 10

Measure 2.4.4: Issue advisory opinions to persons seeking 

agency review of proposed business actions. _ _ _ 2 1 1

Measure 2.4.5: File amicus briefs with courts addressing 

competition-related issues. _ _ _ 4 1 2

Measure 2.4.6: Track the volume of traffic on ftc.gov relating 

to competition research, reports, advocacy, and international 

cooperation and exchange.

_ _ _ 1.1 million 1.2 million 1.6 million

Measure 2.4.7: Track the number of (a) cases on which the FTC 

cooperated with a foreign competition authority, (b) consultations with or comments to foreign competition authorities, (c) 

written submissions on international fora, (d) international 

events attended, and (e) leadership positions held by FTC staff 

in international competition organizations.

_ _ _

(a) 61

(b) 70 

(c) 19 

(d) 48

(e) 8

(a) 79

(b) 89 

(c) 30 

(d) 68 

(e) 9

(a) 87

(b) 56

(c) 19

(d) 125

(e) 10

Strategic Goal 1:

 Protect Consumers

Protect Consumers 63 FY 2011 and 2012 Performance Plan

Strategic Goal 1: Protect Consumers

Prevent fraud, deception, and unfair business 

practices in the marketplace

Objective 1.1: Identify fraud, deception, and unfair 

practices that cause the greatest consumer injury

The FTC has jurisdiction over a wide range of consumer 

protection issues. To carry out its broad mission, it must 

make effective use of limited resources by targeting its law 

enforcement and education efforts for maximum impact and 

by working closely with federal, state, international, and 

private sector partners in joint initiatives. In addition, the 

agency engages in dialogue with a variety of stakeholders to 

understand industry concerns, and engages in and encourages study of, and empirical research on, consumer protection topics.

To fulfill its goal of protecting consumers, the FTC must 

identify consumer protection problems and trends in the 

fast-changing, increasingly global marketplace. The agency 

strives to understand the issues affecting consumers, including any newly emerging methods of fraud or deceit, so that 

it can target its enforcement, education, and advocacy to 

those areas where consumers suffer the most harm. The FTC 

reports this information to other law enforcement authorities 

and encourages those authorities to assist in its efforts, either 

independently or jointly. In this way, the FTC can leverage 

its resources by ensuring multiple “cops on the beat.”

To fulfill this objective, the FTC is using new technologies 

creatively and building on its broad base of private and public sector partners. The agency continues to collect consumer 

complaint information directly through four principal sources: (1) a toll-free helpline (1-877-FTC HELP); (2) an identity 

theft hotline (1-877-ID-THEFT); (3) the National Do Not 

Call Registry (1-888-382-1222); and (4) the online consumer 

complaint forms that support each of these efforts, as well as 

online forms dedicated to complaints from members of the 

U.S. Armed Forces and to cross-border fraud complaints. In 
Protect Consumers 64 FY 2011 and 2012 Performance Plan

Strategies

addition, the FTC continues to gather consumer complaint 

information from other sources, including state and federal 

law enforcement agencies, Better Business Bureaus, and 

private entities. Further, the FTC maintains an electronic 

mailbox (spam@uce.gov) to which Internet users are encouraged to forward spam.

The agency makes consumer complaint data and other 

information available to other law enforcers through a secure online database called the Consumer Sentinel Network 

(CSN). CSN is currently accessible to more than 1,900 law 

enforcement partner agencies worldwide. The agency augments identification of targets from its databases with other 

strategies for generating enforcement leads, such as ad 

monitoring, Internet surfs (monitoring the Internet for potentially false or deceptive advertising for a targeted product 

or service), and direct referrals from government and private 

sector partners.

•	 Continue to upgrade and enhance the Consumer 

Sentinel Network.

•	 Expand the pool of entities that make their consumer 

complaint data available to the law enforcement community through the Consumer Sentinel Network.

•	 Monitor the marketplace to identify illegal practices that 

may not be fully captured by the consumer complaint 

database, for example, through the FTC Internet Lab, 

spam database, Internet surfs, and consumer surveys.

•	 Make comprehensive consumer complaint information, as well as the analysis of that information, available to the FTC’s law enforcement partners through the 

Consumer Sentinel Network.

•	 Review current functions and determine what changes 

or upgrades to the Consumer Sentinel Network would 

be helpful.
Protect Consumers 65 FY 2011 and 2012 Performance Plan

FY 2011 and FY 2012 Implementation Plan 

•	 Assess whether the FTC’s law enforcement and education efforts are addressing the leading areas identified 

by the consumer complaint information gathered by the 

agency.

•	 Continue to upgrade and enhance the Consumer 

Sentinel Network to meet the increasing volume of 

consumer complaints, added number of users, and increased demands on access to pertinent data, and maintain it as the premier consumer protection law enforcement information resource.

•	 Recruit state, local, federal, and foreign law enforcement agencies to join Consumer Sentinel Network and 

contribute complaint data, and train them to take full 

advantage of its features.

•	 Improve the capacity to receive and integrate complaints 

from U.S. and foreign sources and facilitate the exchange 

of that data with law enforcement officials in the U.S. 

and other countries.

•	 Encourage consumers to report fraud, identity theft, financial and Do Not Call Registry complaints by increasing public awareness of the complaint process.

•	 Analyze the reported complaint data to identify enforcement targets and provide pertinent information to public 

and private sector partners.

•	 Ensure the quality, security, and integrity of the 

Consumer Sentinel Network and its data.

•	 Coordinate with enforcement partners and other sources 

of case generation leads, and conduct test shopping, 

Internet surfs, and consumer surveys.

•	 Monitor national advertising in print, television, radio, 

and online to identify illegal practices that may not be 

captured fully by the complaint database.
Protect Consumers 66 FY 2011 and 2012 Performance Plan

Evaluations

Performance Measures

•	 Identify novel or challenging consumer protection 

problems.

•	 The number of complaints collected and entered into the 

Consumer Sentinel Network database.

•	 The percentage of the FTC’s consumer protection law 

enforcement actions that target the subject of consumer 

complaints to the FTC.

•	 The rate of customer satisfaction with the FTC’s 

Consumer Response Center.

The first performance measure will ensure that the agency 

assimilates a large number of consumer complaints, including complaints about Do Not Call violations. The agency will 

receive these complaints from a variety of sources, including direct consumer complaints to the FTC and complaints 

received by the FTC’s partners. In this manner, the FTC will 

collect robust information to inform its law enforcement 

efforts. The second measure will ensure that FTC law enforcement actions target the subject of concerns identified by 

consumers. The third measure will ensure that the agency’s 

Consumer Response Center is providing satisfactory service 

responding to consumers.

•	 Assess the extent to which the consumer complaint 

and other information made available by the agency 

is used by its staff and law enforcement partners. The 

FTC mines the complaint data and other information it 

collects to identify and target the most serious cases of 

fraud and deception and respond quickly to emerging 

problems. The agency also makes this information available to its law enforcement partners. Information sharing helps the agency coordinate its efforts to fight the 

many serious problems facing consumers. It also helps 

the agency leverage law enforcement resources, as other 
Protect Consumers 67 FY 2011 and 2012 Performance Plan

Objective 1.2: Stop fraud, deception, unfairness, and other 

unlawful practices through law enforcement

Strategies

agencies who have access to the complaint data can take 

appropriate action to address consumer problems.

•	 Assess security and integrity protections for the 

Consumer Sentinel Network and proposed enhancements to the database and evaluate the policies in place.

The FTC protects consumers by enforcing Section 5 of the 

FTC Act, which prohibits unfair or deceptive acts or practices in or affecting commerce, as well as by enforcing an 

increasing number of statutes and rules proscribing specific 

unlawful practices. The agency initiates civil cases, primarily 

by filing actions in federal court, which allege that defendants have violated these laws and rules and seek injunctions and other relief. The Commission also brings enforcement actions via administrative proceedings.

•	 Stop injury to consumers through aggressive law 

enforcement.

•	 Enforce consumer credit statutes and rules to protect 

consumers from deceptive lending practices, illegal 

credit practices, and unfair and deceptive mortgage loan 

practices.

•	 Challenge practices that threaten consumer privacy.

•	 Halt advertising and marketing practices that are most 

injurious to consumers or that prey on specific groups of 

vulnerable consumers.

•	 Target those individuals and corporations that violate 

federal court and administrative orders obtained by the 

FTC.
Protect Consumers 68 FY 2011 and 2012 Performance Plan

FY 2011 and 2012 Implementation Plan

•	 Promote the criminal prosecution of the most egregious 

fraud violators through coordination with criminal law 

enforcement authorities.

•	 Target law enforcement toward violations that create the 

greatest risks to consumer health, safety, and economic 

well-being by reviewing complaints, evaluating practices in the marketplace, and monitoring industry data 

and other information.

•	 Respond to growing law enforcement challenges in the 

financial services arena, including unfair, deceptive, or 

otherwise unlawful mortgage lending and credit offers; 

unlawful practices in servicing mortgages; foreclosure 

“rescue” and loan modification scams; bogus debt 

relief and credit “repair” services; and unlawful debt 

collection.

•	 Pursue enforcement action in cases in which companies 

have misrepresented their policies about the use of 

personal information they collect from consumers or 

failed to take appropriate steps to protect the security of 

personal information.

•	 Use law enforcement to promote better data security 

practices through enforcement of the Gramm-LeachBliley Act, the Fair Credit Reporting Act, and Section 5 

of the FTC Act.

•	 Administer and enforce the National Do Not Call 

Registry.

•	 Challenge the deceptive marketing of health products 

and foods, particularly focusing on claims about serious 

disease or health conditions.

•	 Pursue enforcement action involving deceptive claims in 

the area of “green” marketing.

•	 Enforce protections for consumers from fraud, deception, and other abuse perpetrated through different 
Protect Consumers 69 FY 2011 and 2012 Performance Plan

media such as direct mail, telemarketing, the Internet, 

and new technologies.

•	 Aggressively combat fraud against Hispanic consumers 

through the FTC’s Hispanic Outreach and Enforcement 

Initiative, and pursue additional outreach to AfricanAmerican consumers.

•	 Address an expected increase in frauds targeting 

older Americans and those affected by the economic 

downturn.

•	 Maintain the agency’s order enforcement database to improve the monitoring of compliance with federal court 

and administrative orders and bring actions against 

those individuals and companies that violate those 

orders.

•	 Train FTC staff to improve investigative and litigation 

skills through formal activities that teach best practices 

used in government and private industry.

•	 Increase the FTC’s capacity to respond rapidly to fastmoving technology-based scams by enhancing the 

Internet Lab with mobile devices and increasing techsavvy litigation support.

•	 Leverage FTC enforcement resources by recruiting, 

supporting, and coordinating local, state, federal, and 

international law enforcement partners for initiatives 

and sweeps.

•	 Work with criminal prosecutors and investigators to 

promote criminal prosecution of FTC fraud defendants 

and those who assist their deceptive practices.

•	 Distribute redress dollars to consumers in a timely 

manner.

•	 Engage in active case cooperation with foreign counterparts on consumer protection matters.

•	 Continue to create and sustain international partnerships and networks to pursue matters involving foreign 

defendants, evidence, and assets, using the tools provided by the Undertaking Spam, Spyware, And Fraud 
Protect Consumers 70 FY 2011 and 2012 Performance Plan

Performance Measures

Enforcement With Enforcers Beyond Borders (U.S. SAFE 

WEB) Act.

•	 Make progress towards concluding enforcement cooperation agreements pursuant to the U.S. SAFE WEB 

Act with significant enforcement partners such as the 

European Union and Canada.

•	 Expand the FTC’s partnership with the DOJ Office of 

Foreign Litigation to develop evidence for cases with 

international components and pursue foreign assets for 

consumer redress.

•	 Increase the FTC’s forensic accounting capabilities to 

analyze financial documents and structure monetary 

settlements.

•	 The percentage of all cases filed by the FTC that were 

successfully resolved through litigation, a settlement, or 

issuance of a default judgment.

•	 The FTC’s effectiveness in stopping prohibited business 

practices in three high priority areas over the next five 

years.

•	 The percentage of redress cases in which the FTC distributes redress dollars designated for distribution to 

consumers within 6 months.

•	 Investigations or cases in which the FTC obtains foreignbased evidence or engages in other mutual assistance 

that contributes to FTC law enforcement actions or in 

which we cooperate with foreign agencies and/or multilateral organizations.

The first measure will ensure that the FTC successfully 

resolves cases, though it aims to file large, challenging, or 

precedent-setting cases when appropriate, including cases 

that raise novel legal and factual issues. The second measure will ensure the agency’s success in changing business 

practices within priority areas and demonstrate the change 
Protect Consumers 71 FY 2011 and 2012 Performance Plan

Evaluations

Objective 1.3: Prevent consumer injury through education

through research methods. The high priority areas will be 

identified by Bureau of Consumer Protection management 

in consultation with Commissioners. The third measure will 

ensure that the FTC returns redress dollars to consumers as 

quickly as possible. Dollars are considered “designated for 

distribution” when the FTC is in receipt of all funds, legal issues are resolved, and a usable claimant list is ready. The last 

measure helps gauge law enforcement efforts from an international perspective, including continuing to use and further 

develop new powers authorized under the U.S. SAFE WEB 

Act of 2006 to achieve the objective.

Evaluate whether enforcement activities are tracking the 

areas of greatest concern and injury to consumers and 

whether there are new practices or technologies that require 

additional consumer protection law enforcement.

Consumer and business education serves as the first line of 

defense against fraud, deception, and unfair practices. Most 

FTC law enforcement initiatives include a consumer and/or 

business education component aimed at preventing consumer injury and unlawful business practices, and mitigating financial losses. From time to time, the agency conducts 

pre-emptive consumer and business education campaigns 

to raise awareness of new or emerging marketplace issues 

that have the potential to cause harm. The agency creatively 

uses new technologies and private and public partnerships 

to reach new and under-served audiences, particularly those 

who may not seek information directly from the FTC. The 

FTC will continue to publicize its consumer complaint and 

identity theft website addresses and toll-free numbers in 

an ongoing effort to increase public awareness of its activities and inform the public of the ways to contact the FTC to 

obtain information or file a complaint.
Protect Consumers 72 FY 2011 and 2012 Performance Plan

Strategies

FY 2011 and FY 2012 Implementation Plan

•	 Focus consumer and business education efforts on areas 

where fraud, deception, unfair practices, and information gaps cause the greatest injury.

•	 Leverage resources (by working with federal, state, 

local, international, and private sector partners) to maximize the reach of consumer and business education 

campaigns.

•	 Target particular demographic groups with messages 

about marketplace issues that impact their health, safety, 

and economic well-being.

•	 Deliver efficiently and effectively educational information in English and Spanish to consumers, industry 

members, and law enforcement partners on how to prevent consumer injury, avoid unlawful business practices, 

and enhance consumer welfare.

•	 Close information gaps by focusing on new or highprofile areas, such as financial literacy, privacy, health 

fraud, “green” marketing, and new media.

•	 Continue education programs to meet the demand for 

information about significant events in the marketplace, 

such as scams targeting consumers affected by the economic downturn.

•	 Monitor, review, and provide guidance to parents and 

children on marketing that may affect children and 

teenagers.

•	 Find new and creative ways to reach consumers with 

information about marketplace issues that can cause 

them financial injury and to reach businesses with information that increases knowledge about consumer risks 

and compliance.
Protect Consumers 73 FY 2011 and 2012 Performance Plan

Additional Items for FY 2012 Implementation Plan

•	 Continue to integrate e-government initiatives into 

activities.

•	 Build partnerships with industry and advocacy organizations to distribute publications and lead more visitors 

to the FTC’s website (www.ftc.gov) and to other issueoriented websites developed by the FTC such as, www.

DoNotCall.gov, www.OnGuardOnLine.gov, and www.

DontServeTeens.gov.

•	 Build relationships with international organizations to 

educate consumers and businesses about cross-border 

consumer protection issues.

•	 Increase media coverage to broadcast the agency’s education message to a broader audience.

•	 Continue the Hispanic Outreach and Enforcement 

Initiative, and expand outreach to African-American 

consumers.

•	 Target outreach to financially distressed consumers 

among those most likely to fall victim to scammers.

•	 Advance consumer outreach using social media, modifying existing consumer education messages to fit different 

technology, driving traffic to the FTC website, and interacting with the various constituents and communities in 

new and efficient ways.

•	 Develop education projects with state and local partner 

agencies to allow states and the FTC to benefit from 

comparative advantages enjoyed by the other and provide consumers with a level of service that neither working alone could provide.
Protect Consumers 74 FY 2011 and 2012 Performance Plan

Evaluations

Performance Measures

•	 Consumer protection messages accessed online or in 

print.

•	 Customer satisfaction rate with an FTC consumer education website or microsite.

•	 Organizations requesting consumer education 

publications.

Consumer and business education are crucial tools in preventing and reducing consumer harm efficiently and effectively. The first performance measure will help ensure that 

the agency is engaging in a sufficient amount of educational 

activity and that the educational materials are aimed at 

new trends and at particularly vulnerable populations. The 

second measure will ensure that the agency’s consumer 

education websites are effective and helpful for consumers.

The third measure will ensure that the FTC is publicizing its 

activities in the best way possible, and that the agency has a 

wide array of partners to leverage resources.

•	 Measure the number of education messages disseminated each year relating to high-profile or emerging issues, such as mortgage rescue foreclosure scams, where 

consumer and business education can help alleviate 

consumer injury.

•	 Assess whether the appropriate mix of media is being 

used to communicate consumer education messages 

and whether the FTC is making the most efficient use of 

available media and technology.

•	 Assess the range of public and private sector organizations that partner with the FTC on outreach.

•	 Determine whether the FTC needs to reach new audiences, in light of any changes in demographics, advertising, 
Protect Consumers 75 FY 2011 and 2012 Performance Plan

Objective 1.4: Enhance consumer protection through 

research, reports, rulemaking, and advocacy

Strategies

and marketing practices, and what strategies or partnerships may allow the FTC to reach those audiences.

•	 Review the focus of FTC education efforts and adjust 

them based on changing consumer and business needs.

•	 Continue to assess and address the consumer information needs of the Hispanic, African-American, and 

elderly populations.

The FTC uses a variety of strategies in addition to law enforcement and education to enhance consumer protection.

The agency convenes and co-sponsors conferences and 

workshops through which experts and other experienced 

and knowledgeable parties identify novel or challenging 

consumer protection issues and discuss ways to address 

those issues. The FTC also issues reports that analyze consumer protection problems and provide recommendations to 

address them. Further, the FTC files comments with federal 

and state government bodies advocating policies that highlight the role of consumer and empirical research in their 

decision making and promote the interests of consumers.

The agency regularly testifies before Congress on consumer 

protection issues. The FTC also files amicus briefs to aid 

courts’ considerations of consumer protection issues.

•	 Focus workshops and conferences on emerging or challenging consumer protection problems, especially those 

related to new technologies and financial concerns. 

•	 Issue reports mandated by law and other reports that 

articulate concrete measures that the public and private 

sectors could take to address consumer protection problems, particularly those related to new technologies or 

financial concerns.
Protect Consumers 76 FY 2011 and 2012 Performance Plan

FY 2011 and 2012 Implementation Plan

•	 Update, rescind, or promulgate trade regulation rules 

and other agency rules in response to regulatory reviews, Congressional mandates, and emerging consumer protection issues.

•	 Target advocacy activities to encourage state, federal, 

and foreign government policymakers to evaluate both 

the costs and benefits of their policies for consumers. 

•	 Use letters and public comments to urge state, federal, 

and foreign government policymakers to consider consumer research and other empirical data in their decisions regarding the costs and benefits of their policies for 

consumers.

•	 Convene and co-sponsor workshops and conferences 

and issue reports, including those required by law, on 

emerging or challenging consumer protection problems.

•	 Study new technologies to enable the FTC to take a lead 

role in addressing the privacy, security, and other risks 

of consumer harm associated with the technologies.

•	 Further develop and refine a framework for businesses 

and policymakers to protect consumer privacy.

•	 In rulemakings, evaluate the regulatory effect on industry, consumers, and other parties, invite public comment, coordinate with other agencies, and promulgate 

rules accordingly.

•	 Analyze federal and state government policies and 

identify those that impose costs on consumers that may 

exceed their benefits to consumers, especially policies 

that affect the dissemination of truthful, non-misleading 

information to consumers.

•	 File comments or otherwise engage in advocacy with 

state, federal, and foreign government policymakers 

to encourage them to adopt policies that maximize 

consumer welfare by evaluating both the costs and the 
Protect Consumers 77 FY 2011 and 2012 Performance Plan

Performance Measures

benefits of their policies for consumers, with a particular 

emphasis on the role of consumer research and other 

empirical data in their policy development, and an 

awareness of the intersection of competition and consumer protection concerns.

•	 Publicize advocacy comments to increase public awareness of consumer protection problems and solutions.

•	 File amicus curiae briefs in state and federal courts urging adoption of legal principles that promote consumer 

welfare.

•	 Present major policy speeches that discuss emerging or 

challenging consumer protection problems and explain 

the FTC’s approach to them.

•	 Further the FTC’s Congressionally-endorsed efforts to 

promote industry self-regulation in the marketing of 

entertainment and food to children.

•	 Workshops and conferences convened or co-sponsored 

that address consumer protection problems.

•	 Advocacy comments and amicus briefs on consumer 

protection issues filed with entities including federal and 

state legislatures, agencies, or courts.

•	 The percentage of respondents finding the FTC’s advocacy comments and amicus briefs “useful.” (Note 

that “usefulness” is assessed by the recipient; the target 

percentage recognizes that comments critiquing a recipient’s proposed action may not be assessed positively.)

•	 The percentage of proposed Administrative Procedure 

Act (APA) rulemakings, conducted solely by the FTC, 

completed within 9 months of receipt of final comments 

in the Final Notice of Proposed Rulemaking.

Public policy that enhances consumer protection is based on 

a thorough understanding of complex issues, which arises 

from dialogue, study, and empirical research. Such policy 
Protect Consumers 78 FY 2011 and 2012 Performance Plan

Evaluations

Objective 1.5: Protect American consumers in the global marketplace 

by providing sound policy and technical input to foreign governments 

and international organizations to promote sound consumer policy

also appreciates that stakeholders other than government, 

such as industry associations or private standard-setting 

organizations, are at times better placed to address certain 

consumer protection issues. These performance measures 

will help ensure that the agency augments its enforcement 

and education efforts by encouraging discussions among all 

interested parties, through careful study of and empirical 

research on novel or challenging consumer protection problems, by urging adoption of policies and legal principles that 

promote consumers’ interest, and by conducting rulemaking 

as appropriate. These activities will help guide the FTC’s 

consumer protection policy decisions, as well as those of 

other state, federal, and international policymakers.

•	 Evaluate whether the FTC is filing comments or otherwise engaging in advocacy with state, federal, and foreign government bodies on consumer protection policies 

that will have a significant impact on consumers.

•	 Assess whether industry gives weight to the FTC’s 

evaluation, monitoring, and advocacy and whether 

market interests are affected.

The FTC increasingly works around the globe to address 

new and emerging consumer protection and privacy challenges and concerns. Numerous issues, including spam, 

phishing, spyware, telemarketing fraud, identity theft, data 

security, and privacy, cross national borders. The resulting 

challenges require the FTC to cooperate with counterparts 

in foreign agencies and international organizations. The FTC 

addresses these challenges with a broad-based international 

program that strives to develop a global marketplace that 

provides consumers with consistent and effective protections and that helps foreign governments and international 

organizations improve their capacity to develop and implement sound consumer protection policies.
Protect Consumers 79 FY 2011 and 2012 Performance Plan

Strategies

FY 2011 and 2012 Implementation Plan

•	 Pursue the development of an international consumer 

protection model that focuses on protecting consumers while maximizing economic benefit and consumer 

choice.

•	 Focus on understanding cutting-edge issues in technology and globalization that present challenges to American 

consumer interests.

•	 Influence policy development and implementation by 

advising multilateral organizations, regional entities, 

and foreign government agencies through substantive 

consultations and written comments.

•	 Provide technical assistance to newer consumer protection agencies to enhance their ability to apply sound 

consumer protection policies.

•	 Engage through the Organization for Economic 

Cooperation and Development (OECD) to develop 

improved approaches to implementation of the OECD 

Guidelines on consumer protection and electronic 

commerce.

•	 Work with international partners to strengthen cooperation among enforcement partners, including through 

leadership in the International Consumer Protection and 

Enforcement Network.

•	 Seek to conclude a multilateral privacy enforcement framework within the Asia Pacific Economic 

Cooperation cross-border data privacy rules project.

•	 Consult with international authorities on developing new approaches to privacy and cross-border data 

transfers through the OECD and other international 

organizations.
Protect Consumers 80 FY 2011 and 2012 Performance Plan

Performance Measures

Evaluations

•	 Enhance the FTC’s standing within international 

networks of data privacy officials, including the 

International Conference of Data Protection and Privacy 

Commissioners.

•	 Design and implement a timely system to inform foreign 

counterparts of important FTC developments. 

•	 Continue to build and expand a robust consumer protection technical assistance program for newer consumer 

protection agencies.

•	 Further develop the International Fellows, intern, and 

international staff exchange programs.

•	 Policy advice provided to foreign consumer protection 

and privacy agencies, directly and through international 

organizations, through substantive consultations, written submissions, or comments 

•	 Technical assistance to foreign consumer protection and 

privacy authorities.

These measures address the scope of our contact with international counterparts and help determine if our efforts are 

sufficiently broad-based.

•	 Where feasible, evaluate whether the advice and comments that the FTC provides to foreign government 

agencies and international organizations have been 

considered by the recipients in their policy development.

•	 Evaluate completed technical assistance missions to 

determine, from the perspective of participants and their 

managers, whether the assistance was deemed valuable.
Strategic Goal 2:

Maintain Competition

Maintain Competition 83 FY 2011 and 2012 Performance Plan

Strategic Goal 2: Maintain Competition 

Prevent anticompetitive mergers and other anticompetitive 

business practices in the marketplace

Objective 2.1: Take action against anticompetitive mergers and 

practices that may cause significant consumer injury

The FTC takes action to block or remedy anticompetitive 

mergers and to stop anticompetitive conduct. This antitrust 

enforcement provides substantial benefits to consumers by 

preventing anticompetitive mergers and other coordinated 

or unilateral conduct that are likely to lessen competition 

and innovation and cause consumers to pay higher prices or 

obtain lower quality goods and services than they otherwise 

would.

The FTC investigates proposed and consummated mergers, as well as anticompetitive conduct and agreements, and 

takes action when it has reason to believe that mergers or 

conduct will likely harm consumers. The FTC’s enforcement 

actions result in litigation, consent orders, and abandoned or 

restructured transactions or agreements. The FTC strives to 

maintain strong litigation capabilities to stop anticompetitive 

conduct and mergers and works to ensure that the remedies 

imposed by its consent orders are effective in maintaining 

competition in the marketplace.

The Hart-Scott-Rodino (HSR) Premerger Notification Act 

provides the FTC an effective starting point for identifying anticompetitive mergers and taking action to block or 

remedy these mergers before they are consummated. The 

FTC administers the HSR program both for itself and for 

the Department of Justice’s (DOJ) Antitrust Division, which 

shares authority to challenge anticompetitive mergers. The 

FTC also uses trade press articles, consumer and competitor 

complaints, and other means to identify potentially anticompetitive mergers that were not required to be reported under 

HSR, or that were not reported in violation of HSR.

On the nonmerger side, there is no comparable statutorily 

mandated program to help identify anticompetitive busi-
Maintain Competition 84 FY 2011 and 2012 Performance Plan

Strategies

ness practices. The FTC must instead employ a variety of 

methods to identify potentially anticompetitive practices 

(for example, consumer and competitor complaints, referrals 

from other government agencies, and monitoring the trade 

press).

•	 Make efficient use of the initial period after HSR filings to determine whether a more detailed investigation is needed to assess whether a merger is likely to 

harm competition.

•	 Use trade press articles, consumer and competitor 

complaints, and other means to identify potentially 

anticompetitive mergers that were not required to 

be reported under HSR, or that were not reported in 

violation of HSR.

•	 Use and improve existing techniques for identifying 

potentially anticompetitive business practices, such as 

monitoring the trade press, responding to and following up on case leads by Congressional offices, other 

Executive Branch agencies, state and local governments, and potentially aggrieved parties.

•	 When appropriate, use compulsory process in merger 

and nonmerger investigations to obtain additional 

information needed to make an informed judgment 

about the anticompetitive potential of mergers and 

nonmerger practices.

•	 Negotiate consent orders and win litigated orders that 

have significant remedial, precedential, and deterrent 

effects and ensure that administrative litigation and 

adjudication reach a timely resolution.

•	 Continue to seek improvements in both the substantive aspects of remedies, as well as the process by 

which they are derived.
Maintain Competition 85 FY 2011 and 2012 Performance Plan

FY 2011 and FY 2012 Implementation Plan

•	 Monitor and enforce compliance with consent decrees 

and orders and monitor and enforce compliance with 

HSR reporting obligations.

•	 Resolve anticompetitive mergers and practices, where 

possible, by negotiating consent orders that secure 

relief with significant remedial, precedential, and 

deterrent effects without the need for litigation.

•	 Challenge anticompetitive mergers and business 

practices in federal court or through administrative 

litigation, and obtain relief with significant remedial, 

precedential, and deterrent effects.

•	 Continue effective administration of the review of 

nonmerger practices so that the FTC may investigate 

those that raise potentially significant competitive 

issues.

•	 Employ integrated teams of lawyers, economists, and 

other professionals to conduct an economically sound, 

fact-based analysis of mergers and other potentially 

anticompetitive business practices.

•	 Continue to improve the investigative skills and 

antitrust analysis training programs and continue to 

improve negotiation and litigation skills and refine 

investigative and decisional tools through continuous 

learning and identification of “best practices.”

•	 Retain outside experts and consultants in relevant 

fields of expertise, as needed, when enforcement 

outcomes would be enhanced by specialized supplementary resources.

•	 Work with state or local officials, other federal agencies, and international agencies to maximize resources 

in taking action against anticompetitive mergers and 

business practices, and to minimize, to the extent possible, burdens on enforcers and business and duplication of effort, and to avoid conflicting remedies.
Maintain Competition 86 FY 2011 and 2012 Performance Plan

•	 Expedite the investigatory process including possible 

revisions to Part 2 of the FTC Rules of Practice.

•	 Assess whether revisions to the enforcement guidelines are required.

•	 Apply the merger process reforms to conduct investigations more efficiently, and continue to assess areas 

where improvements can be implemented in order 

to enhance enforcement outcomes while minimizing 

burdens on business.

•	 Continue to integrate e-government initiatives into 

mission activities.

•	 Apply the results of hearings, conferences, reports, 

studies, and workshops on significant competition 

issues to FTC case generation, investigation, and 

enforcement practices.

•	 Continue to monitor implementation of divestitures 

and other requirements of the FTC’s merger consent 

orders. Seek civil penalties where appropriate if a respondent fails to fulfill its obligations under an order 

in a timely fashion.

•	 Improve the integration of budget and performance 

by linking goals and objectives to results; develop 

improved processes for use and analysis of management data.

•	 Collect data, for management review, regarding the 

FTC’s efficiency in conducting investigations, such 

as the amount of time required to complete the HSR 

review process, the number of HSR matters requiring 

issuance of an investigative second request, the number of HSR and significant nonmerger investigations 

that result in enforcement action, the number of hours 

of staff time spent on investigations, and other costs 

associated with investigations.
Maintain Competition 87 FY 2011 and 2012 Performance Plan

Performance Measures

*External factors may cause the results to fluctuate significantly from year to year. As a result, the agency’s performance for these measures will be assessed each year by calculating the average of current year 

plus the previous four years.

•	 Actions to maintain competition, including litigated 

victories, consent orders, abandoned, restructured, or 

fix-it-first transactions in a significant percentage of 

substantial merger and nonmerger investigations.

•	 Filed Preliminary Injunctions or Permanent 

Injunctions, administrative litigations that are 

still pending, and abandoned, restructured, and 

fix-it-first enforcement actions that occurred 

without a second request or compulsory process 

are not included in “actions.”

•	 “Significant percentage” refers to the 40 to 60 

percent target.

•	 “Substantial investigation” includes, for merger 

investigations, second request, and compulsory 

process investigations. For nonmerger investigations, this refers to investigations where staff 

logged more than 150 hours.

•	 Consumer savings of at least $500 million through 

merger actions to maintain competition.*

•	 Actions against mergers likely to harm competition in 

markets with a total of at least $25 billion in sales.*

•	 Consumer savings of at least six times the amount of 

FTC resources allocated to the merger program. *

•	 Consumer savings of at least $80 million through 

nonmerger actions taken to maintain competition.*

•	 Actions against anticompetitive conduct in markets 

with a total of at least $8 billion in annual sales.*

•	 Consumer savings of at least four times the amount of 

FTC resources allocated to the nonmerger program.*
Maintain Competition 88 FY 2011 and 2012 Performance Plan

•	 The percentage of cases in which the FTC had at least 

one substantive contact with a foreign antitrust authority in which the agencies followed consistent analytical approaches and reached compatible outcomes.

These measures evaluate agency performance in several 

ways: the percentage of substantial investigations that have 

positive results (i.e., litigated victories, consent orders, or 

abandoned, fix-it-first, or restructured transactions), the volume of commerce affected (benefitted) by merger and nonmerger actions to maintain competition, the estimated dollar 

savings to consumers resulting from merger and nonmerger 

actions, and the estimated dollar savings to consumers per 

dollar of enforcement resources.

In the absence of case-specific information, the dollar savings to consumers is conservatively estimated as one percent 

of the volume of commerce in the affected markets (for two 

years in merger cases and for one year in nonmerger cases).

It is not intended as a precise estimate of consumer savings, 

but, rather, as an indication of general magnitude. A more 

precise estimate based on case-specific information will be 

used whenever possible. The use of a volume of sales performance measure does not mean that the FTC will only investigate and take enforcement action in markets with large 

sales volumes. The FTC will continue to investigate and take 

enforcement action as necessary in all markets where considerable consumer harm is likely. The benchmarks for the 

estimated dollar savings to consumers per dollar of enforcement resources for merger and nonmerger actions are based 

on historical experience, reflecting the different mix of cases 

and the different investigative and enforcement processes.

These measures will help guide the agency in challenging 

conduct that causes substantial consumer injury through 

targeting of its resources effectively and efficiently. These 

measures evaluate appropriate investigation, case selection, 

and resolution, whether through litigation or settlement, as 

well as the crafting of sufficient and effective remedies.
Maintain Competition 89 FY 2011 and 2012 Performance Plan

Evaluations

•	 Assess the scope of the FTC’s annual merger actions 

to maintain competition, as reflected by the volume 

of commerce in markets in which the agency took 

merger actions.

•	 Determine whether the total volume of commerce in 

such markets is likely to reach $25 billion and determine whether the level of consumer savings is likely 

to reach $500 million.

•	 Compare the likely impact in these markets to the 

resources spent on the mission.

•	 Assess the scope of the FTC’s annual nonmerger 

actions to maintain competition, as reflected by the 

volume of commerce in markets in which the agency 

took nonmerger actions.

•	 Determine whether the total volume of commerce in 

such markets is likely to reach $8 billion and determine whether the level of consumer savings is likely 

to reach $80 million.

•	 Compare the likely impact in these markets to the 

resources spent on the mission.

•	 Assess qualitatively the deterrence value and precedential significance of the enforcement actions 

brought during each year.

•	 Evaluate litigation performance for lessons that may 

be applicable to future litigation.

•	 Assess markets where investigations were closed 

without enforcement action and consider whether 

competition was harmed in the markets resulting in 

substantial consumer injury, and use this information 

to guide and enhance the agency’s future investigations and enforcement actions.

•	 Assess the burden imposed on merger parties by the 

HSR merger investigation process, explore ways of 
Maintain Competition 90 FY 2011 and 2012 Performance Plan

Objective 2.2: Prevent consumer injury through education

Strategies

reducing that burden without compromising effectiveness of investigations, and explore methods of 

measuring HSR compliance burden.

•	 Assess the FTC’s efficiency in conducting antitrust 

investigations, explore ways to increase efficient use 

of investigatory resources and reduce burdens on 

business including through international cooperation mechanisms, and explore whether efficiency in 

conducting investigations can more meaningfully be 

measured.

Educating consumers and businesses about competition law 

and policy is a critical part of the FTC’s mission. Informing 

businesses and their legal advisers about potential antitrust 

violations deters anticompetitive mergers and anticompetitive business practices from being proposed and reduces 

businesses’ cost of compliance. Educating consumers about 

their rights and their ability to bring violations to the FTC’s 

attention reduces the cost of identifying anticompetitive conduct. Providing consumers and businesses with information 

about how antitrust enforcement benefits the common good 

and also encourages cooperation with the FTC’s investigations and enforcement actions.

•	 Educate consumers and businesses about antitrust 

issues through traditional means such as guidelines, 

advisory opinions, reports, articles in professional 

or other publications, speeches, and participation in 

professional organizations as well as through the FTC 

website, emails, and in press releases.

•	 Engage in outreach to lay groups and other stakeholders to provide information about the work of the FTC 

and basic principles of economics and competition.
Maintain Competition 91 FY 2011 and 2012 Performance Plan

FY 2011 and FY 2012 Implementation Plan

•	 Engage in outreach to foreign competition agencies to 

facilitate the agency’s efforts to promote convergence 

toward sound consumer-welfare-based competition 

enforcement and policy.

•	 Monitor the content of complaints, press releases, and 

analyses to aid public comment to ensure they are 

“transparent,” that is, that they explain in sufficient 

detail and with sufficient clarity the evidence and 

theory of a case, within the constraints of confidentiality requirements.

•	 Expand the use of other public statements to explain 

why the Commission elected not to take enforcement 

action in certain matters to further improve the public’s understanding of the FTC’s enforcement policies.

•	 Issue guidance to help businesses understand and 

comply with the application of the antitrust laws in 

certain areas, such as horizontal mergers, international operations, intellectual property, and health care.

•	 Continue to provide Commission and staff advisory 

opinions on various competition issues; continue to 

provide guidance in response to informal requests, 

particularly concerning HSR matters.

•	 Publish guidance issued by the FTC, including written releases, texts of speeches, Bureau of Economics 

reports, and other materials that explain the FTC’s 

policies and procedures on the FTC website.

•	 Seek the participation of businesses and consumer 

groups in conferences, workshops, and hearings and 

continue to disseminate the materials relating to these 

events, including transcripts, written submissions, 

and reports.

•	 Continue to have Commissioners and staff speak at 

and participate in seminars, panel discussions, and 
Maintain Competition 92 FY 2011 and 2012 Performance Plan

Performance Measure

Evaluations

conferences to explain how the FTC analyzes mergers 

and other business practices.

•	 When opportunities arise, engage in outreach to 

lay groups to provide information about the work 

of the FTC and basic principles of economics and 

competition.

•	 Engage in outreach to foreign competition authorities, practitioners, and international competition 

organizations.

•	 Develop and implement increasingly sophisticated 

web metric and analytical tools that will allow for a 

more accurate and representative view of the volume 

of traffic on the FTC’s antitrust related webpages. 

Monitor the results generated by the new web metric 

applications and, where necessary, make adjustments 

to the corresponding target.

•	 Competition resources accessed via the FTC’s website.

•	 Evaluate what antitrust content on the FTC website generates the largest amount of public interest, 

and why, and use this information in setting future 

priorities.

•	 Seek input from consumer groups, business groups, 

bar groups, international competition organizations, 

and other FTC “customers” on the effectiveness of 

FTC educational efforts.

•	 Evaluate the transparency of FTC merger review policy by assessing the extent to which significant changes in such policy are communicated to stakeholders.
Maintain Competition 93 FY 2011 and 2012 Performance Plan

Objective 2.3: Enhance consumer benefit through

research, reports, and advocacy

Strategies

In addition to its enforcement authority, the FTC has the 

unique jurisdiction to gather, analyze, and disseminate 

certain information concerning the nature of competition as 

it affects U.S. commerce. The FTC uses that authority to hold 

public hearings, convene conferences and workshops, conduct economic studies on competition issues of significant 

public importance, and issue reports of its findings. 

This authority advances the competition mission in numerous ways. The agency uses the information internally to 

refine the theoretical framework for analyzing competition 

issues and the empirical understanding of industry practices, 

which contributes substantially to an effective response to 

changing marketplace conditions. The information gained 

through this authority, combined with the agency’s professional expertise on competition issues, also contributes 

to a better understanding of business practices and their 

competitive and economic implications on various entities, 

including the business sector, the legal community, other 

enforcement authorities, the judiciary, and governmental 

decision makers and policymakers at the federal, state, and 

local levels.

In particular, the agency testifies before Congress on competition issues. The FTC uses its expertise to encourage governmental actors at all levels to evaluate both the costs and the 

benefits of their policies for consumers, and to ensure such 

policies promote consumer benefit. This advocacy includes 

formal and informal dialogue with state and federal policymakers and amicus curiae briefs filed with state and federal 

courts.

•	 Conduct public hearings, conferences, and workshops 

that bring together interested parties to enhance 

understanding of various practices and developments 

in the marketplace.
Maintain Competition 94 FY 2011 and 2012 Performance Plan

FY 2011 and FY 2012 Implementation Plan

•	 Conduct studies as requested by Congress and other 

studies as appropriate.

•	 Conduct economic studies of the effects of business 

actions on competition and consumers in accordance 

with agency data quality standards, as applicable, to 

ensure the quality of information that may be disseminated publicly.

•	 Target advocacy activities to encourage state and federal government policymakers to evaluate both the 

costs and the benefits of their policies for consumers, 

emphasizing the impact on consumers of policies that 

unnecessarily restrict competition.

•	 File amicus curiae briefs with state and federal courts 

deciding important competition policy issues urging 

them to adopt legal rules that benefit consumers by 

promoting competition.

•	 Conduct hearings, conferences, and workshops on 

significant competition issues. 

•	 Continue to support outreach efforts to international 

bodies and foreign agency officials and practitioners 

to explain U.S. antitrust perspectives on competition 

theories and approaches, participate in dialogue with 

competition authorities of other countries and international organizations on trans-national competition 

issues that affect American consumers and businesses, 

continue to aid young competition regimes with the 

development of antitrust laws and policies by designing and conducting technical assistance programs.

•	 File comments or otherwise engage in advocacy with 

state, federal, and foreign government policymakers 

to encourage them to adopt policies that maximize 

consumer welfare by evaluating both the costs and 

the benefits of their policies for consumers. 
Maintain Competition 95 FY 2011 and 2012 Performance Plan

Performance Measures

Evaluations

•	 Prepare amicus briefs addressing important competition policy issues under consideration in court 

proceedings.

•	 Workshops, seminars, conferences, and hearings 

convened or cosponsored that involve significant 

competition-related issues.

•	 Reports and studies issued on key competition-related topics.

•	 Advocacy comments and amicus briefs on competition issues filed with entities including federal and 

state legislatures, agencies, or courts.

•	 The percentage of respondents finding the FTC’s 

advocacy comments and amicus briefs useful. (Note 

that “usefulness” is assessed by the recipient; the 

target percentage recognizes that comments critiquing a recipient’s proposed action may not be assessed 

positively.)

•	 The volume of traffic on www.ftc.gov relating to 

competition research, reports, and advocacy.

These measures will help ensure that the agency is engaging 

in appropriate types and sufficient levels of research, reports, 

and advocacy to ensure that they are relevant to consumers, 

policymakers, business, and the legal community.

•	 Include evaluation forms with workshop and conference materials to help assess whether the workshops 

and conferences are an effective means of joining the 

debate relating to these issues.
Maintain Competition 96 FY 2011 and 2012 Performance Plan

Objective 2.4: Protect American consumers in the global 

marketplace by providing sound policy recommendations 

and technical advice to foreign governments and international 

organizations to promote sound competition policy

Strategies

•	 Seek input from consumer groups, business groups, 

bar groups, and others on the value of the agency’s 

research, reports, advocacy submissions, and international activities relating to the competition mission.

•	 Evaluate whether the FTC is filing comments or otherwise engaging in advocacy with state and federal 

policymakers on competition policies that will have a 

significant impact on consumers.

•	 Assess whether the recipients of these comments give 

weight to the views expressed in these comments in 

making policy decisions that affect consumers.

The FTC continues to build cooperative relationships with 

foreign antitrust agencies to ensure close collaboration on 

cross-border cases and convergence toward sound competition policies and practices. The FTC seeks more effective, 

coordinated reviews of multijurisdictional mergers, and is 

working towards achieving consistent outcomes in cases of 

potential unilateral anticompetitive conduct. Participation 

in multilateral competition organizations provides valuable 

opportunities to promote international cooperation and 

convergence and for competition officials to share insights 

on law enforcement and policy initiatives.

•	 Pursue the development of an international marketbased competition model that focuses on the maximization of consumer benefit.
Maintain Competition 97 FY 2011 and 2012 Performance Plan

FY 2011 and FY 2012 Implementation Plan

•	 Influence policy development and implementation through multilateral organizations and bilateral 

relations.

•	 Provide technical assistance to newer competition agencies to enhance their ability to apply sound competition 

policies.

•	 Maintain the FTC leadership role in the International 

Competition Network, including through participating 

in substantive groups on unilateral conduct and merger 

procedures and the Steering Group.

•	 Enhance our participation in other key multilateral and 

regional fora, including OECD, UNCTAD, and APEC.

•	 Advance cooperation and convergence with the 

European Commission by ensuring effective relations 

with the Competition Directorate, improving cooperation on single firm conduct policy and enforcement, 

completing the merger retrospective project, and institutionalizing bilateral staff exchanges.

•	 Design and implement a timely system to inform foreign 

counterparts of important FTC developments.

•	 Strengthen relations with the Chinese and Indian competition agencies through dialogue on legislative initiatives and case cooperation as appropriate, and the provision of technical assistance.

•	 Work with other US agencies in intergovernmental fora 

that address competition issues.

•	 Expand the FTC technical assistance program.

•	 Expand International Fellows and exchange programs.
Maintain Competition 98 FY 2011 and 2012 Performance Plan

Performance Measures

Evaluations

•	 Policy advice provided to foreign competition agencies, directly and through international organizations, 

through substantive consultations, written submissions, 

or comments.

•	 Technical assistance provided to foreign competition 

authorities.

These measures address the scope of our contact with international counterparts and help determine if our efforts are 

sufficiently broad-based.

•	 Where feasible, evaluate whether the advice and comments that the FTC provides to foreign government 

agencies and international organizations have been 

considered by the recipients in their policy development.

•	 Evaluate completed technical assistance missions to 

determine, from the perspective of participants and their 

managers, whether the assistance was deemed valuable.
Strategic Goal 3:

Advance Performance

Advance Performance 101 FY 2011 and 2012 Performance Plan

Strategic Goal 3: Advance Performance

Advance the FTC’s performance through organizational, 

individual, and management excellence

Objective 3.1: Provide effective human resources management

The FTC recognizes that a strong foundation of organizational, individual, and management excellence is a driver 

of mission success. Goal 3 embodies cross-cutting, ongoing 

efforts to advance mission performance and enable Goal 1 

and Goal 2 to focus on protecting consumers and maintaining competition. Collaborative in nature, this goal captures 

shared responsibility for agency excellence on behalf of all 

who rely on the FTC to be an effective guardian of informed 

consumer choice and free and open markets.

The four objectives supporting this goal align with four 

key functional areas: human resources, infrastructure and 

security, information resources, and finance and acquisition. 

In carrying out our strategies, we will undertake a range of 

efforts—from managing employees effectively to exercising responsible stewardship of taxpayer dollars. Work in 

these areas is intended to foster a culture of leadership and 

accountability and to create conditions that enable decision 

making while establishing a framework of planning, administration, and management. At the individual level, all 

employees are expected to assume leadership roles in their 

areas of responsibility by exhibiting a willingness to develop 

and coach others, a commitment to teamwork and collaboration, and a drive to meet challenges with innovation 

and urgency. Collectively, these efforts lay the groundwork 

for achieving organizational, individual, and management 

excellence.

This objective is aligned with our Human Capital Plan, 

which encompasses leadership and knowledge management, a results-oriented performance culture, talent management, and job satisfaction. We use an integrated approach 

that ensures human capital programs and policies are linked 
Advance Performance 102 FY 2011 and 2012 Performance Plan

Strategies

FY 2011 and FY 2012 Implementation Plan

to the mission, goals, and strategies, while providing for continuous improvement in efficiency and effectiveness. This 

objective captures our work ensuring that we have the right 

talent in the right positions at the right time to meet the challenges of the 21st century by attracting, developing, motivating, and retaining a highly skilled and diverse workforce.

•	 Implement programs and processes that will enable the 

agency to quickly recruit, develop, and retain a qualified, diverse workforce through an integrated workforce 

plan.

•	 Use the integrated workforce plan to identify and fulfill 

current and future human resources needs to carry out 

the mission.

•	 Create an agency-wide performance culture focused on 

individual and organizational accountability toward 

the achievement of the FTC’s programmatic goals and 

priorities.

•	 Implement an employee survey to measure employees’ 

perceptions about conditions that characterize successful 

organizations, such as leadership quality, performance 

culture, and talent capacity at the FTC.

•	 Provide human resources management training and 

outreach to staff.

•	 Support employees’ efforts to improve their knowledge 

base and skills in a variety of ways, e.g., by participating 

in professional activities related to the FTC’s mission.

•	 Promote and expand the use of human resources flexibilities throughout the FTC.

•	 Use innovative ways to reach out to managers, supervisors, and employees on human resources issues.
Advance Performance 103 FY 2011 and 2012 Performance Plan

Performance Measures

Evaluations

•	 Identify and implement business process improvements 

through effective use of technology to facilitate FTC’s 

human resources.

•	 The extent employees believe their organizational culture promotes improvement in processes, products and 

services, and organizational outcomes.

•	 The extent employees think the organization has the talent necessary to achieve organizational goals.

These performance measures address central aspects of 

this objective. The FTC recognizes that its employees are its 

greatest asset and places great emphasis on the importance 

of human resources management to the successful accomplishment of its mission. The FTC seeks employee feedback 

on the extent they believe the organization culture promotes 

improvement in processes, products and services, and outcomes and the extent the FTC has the right talent in the right 

positions at the right time to carryout the mission.

•	 Assess whether the FTC’s human capital policies, programs, and processes are addressing the areas identified 

by employees gathered by the agency annually through 

the employee survey.

•	 Review current programs and processes, identify 

what changes would be helpful, and implement those 

changes.
Advance Performance 104 FY 2011 and 2012 Performance Plan

Objective 3.2: Provide effective infrastructure and

security management

Strategies

This objective encompasses building, modernizing, and 

maintaining physical and information technology infrastructure to ensure a safe and secure workplace, to achieve mission goals, and to respond to and anticipate both routine and 

emergency agency requirements. The agency’s Continuity 

of Operations Plan (COOP) represents a principal initiative 

under this objective. The Federal Emergency Management 

Agency (FEMA) conducts annual testing of all federal agency COOP programs. Each federal agency is graded on its 

responses to the questions and their communication methods by FEMA staff. A second important initiative involves 

facilities management and space usage. The FTC works with 

General Services Administration (GSA) to lease space and 

assesses staff requirements to anticipate needs for outfitting 

the buildings with adequate work space, conference space 

and storage space. Finally, managing technical infrastructure 

and ensuring the availability and reliability of the agency 

computer and communication facilities represents another 

important dimension of our work under this initiative.

•	 Promote staff awareness by regularly participating in 

COOP testing.

•	 Continue incorporating best practices and gleaning 

knowledge from FEMA staff.

•	 Determine, in cooperation with GSA, best space usage 

alternatives, including identifying a new site for staff 

currently housed at the New Jersey Avenue and 1800 M 

Street buildings in Washington, DC.

•	 Continuously take advantage of advances in 

technologies.

•	 Perform internal network auditing and monitoring.
Advance Performance 105 FY 2011 and 2012 Performance Plan

FY 2011 and FY 2012 Implementation Plan

Performance Measures

Evaluations

•	 Work with customers within the agency to address network vulnerabilities and unusual network activity.

•	 Provide security training and outreach to staff.

•	 Ensure that staff have adequate access to current, authoritative resource materials in FTC mission areas.

•	 Evaluate COOP rating and determine support 

requirements.

•	 Continue partnership with GSA leasing specialists.

•	 Research alternatives such as telework participation, job 

sharing, and housing staff off-site.

•	 A favorable Continuity of Operations (COOP) rating.

•	 Availability of information technology systems.

These measures gauge important dimensions of maintaining physical and information technology infrastructure and 

security. A COOP rating offers insight to agency preparedness across a wide spectrum of issues related to facility and 

operations management. Network availability addresses 

the reliability of the FTC computer and communications 

systems.

•	 Assess COOP funding against results, determine further 

staffing requirements, and determine cost to further 

maintain the program.
Advance Performance 106 FY 2011 and 2012 Performance Plan

Objective 3.3: Provide effective information resources management

Strategies

•	 Collect feedback from GSA Tenant Surveys and from 

FTC staff.

•	 Perform periodic reviews of the percentage of utilized 

space.

The FTC recognizes that sound management of information resources is essential to meeting its strategic goals. The 

agency manages information in order to enable staff to make 

thoughtful decisions and perform their work, to facilitate 

appropriate public access, and to protect sensitive information from inappropriate access and release. The agency is 

undergoing a multiyear transition to managing information 

resources in an electronic format as one of the best means of 

meeting this objective.

•	 Implement a comprehensive retention schedule authorizing maintenance and disposition of agency records 

in electronic format that has been approved by the 

National Archives and Records Administration (NARA).

•	 Utilize an electronic document management system 

(EDMS) to house work product and official records. 

•	 Identify and implement business process improvements 

through effective use of technology.

•	 Develop and implement additional information management policies and procedures.

•	 Provide information and records management training 

and outreach to staff.
Advance Performance 107 FY 2011 and 2012 Performance Plan

FY 2011 and FY 2012 Implementation Plan

Performance Measure

•	 Promote and expand the use of the EDMS to house work 

product and official records. 

•	 Identify and implement business process improvements 

through effective use of technology to facilitate the 

Commission’s decision making processes and its management of cases.

•	 Promote the use of web-based e-filing of public comments in FTC rulemakings and other proceedings which 

seek public comments, to facilitate public participation 

and web posting of comments.

•	 Develop and promote the use of web-based e-filing in 

FTC adjudicative proceedings under Part 3 of the Rules 

of Practice, to facilitate filing by participants in those 

proceedings and web posting of public filings. 

•	 Provide information and records management training 

and outreach to staff, with special emphasis on managing information electronically throughout its lifecycle.

•	 The percentage of Commission approved documents in 

ongoing and newly initiated FTC proceedings available 

via the Internet within 15 days of becoming part of the 

public record.

This performance measure facilitates public awareness of 

and participation in Commission activities. Timely availability of public documents gauges the depth and scope of our 

transparency in this area.
Advance Performance 108 FY 2011 and 2012 Performance Plan

Evaluations

Objective 3.4: Provide effective financial and acquisition management

Strategies

•	 Assess whether particular e-file structures are appropriate for organizing various types of information.

•	 Review the means by which FTC maintains and monitors access restrictions to sensitive electronic files.

•	 Assess training needs.

Resource stewardship and financial oversight are fundamental to establishing the accountability and transparency 

through which organization, individual, and management 

excellence are fostered. Effective financial and acquisition 

management means that the FTC protects American consumers and maintains competition in a fiscally responsible 

manner. Doing so remains one of our top priorities.

Our work in this area covers a wide range of administrative 

and operational efforts such as formulating and executing 

the agency budget, managing acquisition activities, overseeing the internal control program, managing accounting 

operations, spearheading audit resolution, and ensuring compliance with various financial management laws 

and regulations. By promoting consistency and integrity 

throughout the organization, these initiatives and others like 

them contribute not only to efficient program delivery, but 

also to effective and efficient agency administration overall. 

These efforts are critical to maintaining the management 

infrastructure needed to carry out our mission.

•	 Integrate disparate legacy systems with the agency’s 

core financial system. 
Advance Performance 109 FY 2011 and 2012 Performance Plan

FY 2011 and FY 2012 Implementation Plan

Performance Measures

•	 Align resources to strategic priorities and outcomes so 

we will be focused on our most important tasks and 

programs.

•	 Enhance the internal control environment through 

developing and maintaining appropriate guidance and 

training for all staff.

•	 Implement the best business solutions to accomplish 

our goals through world-class acquisition and business 

processes.

•	 Cooperate with the Office of Inspector General on audits 

and investigations of FTC programs and operations.

•	 Enhance the reporting capabilities within the integrated 

financial system to provide timelier, more accurate, and 

more reliable financial information to agency decision 

makers.

•	 Develop a training program for contracting officer’s 

technical representatives (COTRs).

•	 Document improved processes and policies for financial 

and acquisition management that promote integrity, 

transparency, efficiency, and effectiveness.

•	 Modernize the contract writing (acquisition) system so 

that it will be fully integrated with the core financial 

system.

•	 Independent auditor’s financial statement audit results.

•	 The percentage of Bureaus/Offices that establish 

and maintain an effective, risk-based internal control 

environment.
Advance Performance 110 FY 2011 and 2012 Performance Plan

Evaluations

•	 Performance against the Small Business 

Administration’s government-wide small business procurement goals.

Together, these measures address the most important 

aspects of this objective. The financial statement audit determines whether our financial statements are presented 

fairly, in all material respects, in conformity with generally 

accepted accounting principles. The audit also addresses 

internal controls over financial reporting, and compliance 

with applicable laws and regulations. The internal control 

measure demonstrates our commitment throughout the 

agency to promote integrity, efficiency, effectiveness, and 

economy. Achieving our small business procurement goal 

demonstrates that our procurements meet or exceed a major 

federal acquisition standard.

•	 Assess internal administrative and programmatic operations to address areas that need improvement.

•	 Assess our acquisition procedures to see if federal regulations and standards are met and that COTRs meet 

mandatory training requirements.

•	 Review financial and feeder system implementation 

goals to ensure that user needs and federal standards 

and requirements are met.