The Department of Commerce

Annual Performance Plan

Fiscal Year 2000

William M. Daley

Secretary

Robert L. Mallett

Deputy Secretary
Secretary’s Foreword

As we prepare for a new century, Commerce Department programs are more vital than ever to our

Nation’s economy and the living standards of our people; to our leadership in key areas of science,

technology, and information; and to the management and stewardship of our resources. From promoting the export of U.S. products and services to predicting the weather, from protecting intellectual

property rights to managing the frequency spectrum to safeguarding our oceans and marine habitats

-- the Department of Commerce plays a pivotal role in helping American businesses, communities,

workers, and universities.

This Commerce Annual Performance Plan has been developed in close coordination with the

Department’s FY 2000 budget request. Both reflect the major priorities and initiatives of the Department. This plan highlights the priorities and initiatives in our FY 2000 budget. The Annual Performance Plan is organized according to our nine bureaus and the programs they administer.

Many individuals throughout the Department have worked diligently over the past several months to

improve upon last year’s Annual Performance Plan. We have responded to specific recommendations by OMB, GAO, and Congressional Staff on how to improve our Plan’s organization and presentation. This year’s plan is organized to provide a more complete picture of each bureau’s goals and

performance measures, and link directly to our budget request. We have more than doubled the

percentage of performance measures tied to specific outcomes, while reducing the total number of

both goals and measures in order to clarify their presentation. We have also strengthened our ability

to validate and verify the data used to measure performance and evaluate specific programs in order

to maximize our accountability to the American public. Overall, we believe that the Annual Performance Plan for FY 2000 represents a significant improvement over last year’s plan which will help our

employees to achieve good results.

This year’s Annual Performance Plan provides a strong foundation on which to build effective Department-wide planning and performance management for the first years of the new century. I am pleased

to present it as a demonstration of all that this Department does to foster economic growth, technological advancement, and sustainable development.

William M. Daley

 Secretary of Commerce

FY 2000 Annual Performance Plan
Photo Credits:

Joe Sohm/Chromosohm/Stock Connection/PNI

T.J. Florian/Rainbow/PNI

Tom Carroll/Phototake/PNI

Richard Hamilton Smith/AllStock/PNI

Richard During/AllStock/PNI

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Joel Rogers/AllStock/PNI

Ridge Studio/Stock Connection/PNI

Joseph Sohm/AllStock/PNI

Tom Tracy/Photo Network/PNI

Tom Tracy/Photo Network/PNI

FY 2000 Annual Performance Plan
Table of Contents

I. Executive Summary ............................................................................................................I - 1

II. Priorities and Initiatives ........................................................................................................II - 1

III. Bureau by bureau ................................................................................................................III - 1

Economic Development Administration................................................................................ III - 1

Create Jobs ............................................................................................................ III - 4

Build Communities ................................................................................................. III - 10

Economics and Statistics Administration ............................................................................ III - 14

Provide Quality Data ............................................................................................... III - 21

Provide Timely and Relevant Data ........................................................................... III - 27

International Trade Administration........................................................................................ III - 32

Enforce U.S. Trade Laws ........................................................................................ III - 34

Increase the Number of Small Business Exports .................................................... III - 36

Implement the President’s National Export Strategy ............................................... III - 38

Promote Trade Efforts ............................................................................................. III - 41

Bureau of Export Administration .......................................................................................... III - 43

Restructure Export Controls for 21st Century ........................................................... III - 46

Law Enforcement Program ..................................................................................... III - 50

Defense Industries .................................................................................................. III - 54

Minority Business Development Agency .............................................................................. III - 56

Increase Sales ....................................................................................................... III - 58

Increase Financing ................................................................................................. III - 60

National Oceanic and Atmospheric Administration .............................................................. III - 62

Advance Short-Term Warnings................................................................................ III - 68

Seasonal to Interannual Climate Forecasts............................................................. III - 76

Predict & Assess Decadal to Centennial Change ................................................... III - 79

Safe Navigation....................................................................................................... III - 83

Sustainable Fisheries ............................................................................................. III - 87

Protected Species .................................................................................................. III - 91

Healthy Coasts....................................................................................................... III - 95

Patent and Trademark Office ............................................................................................... III - 100

Promote Intellectual Property Rights ...................................................................... III - 104

Grant Exclusive Rights ........................................................................................... III - 106

Enhance Trademark Protection .............................................................................. III - 108

Patent and Trademark Information .......................................................................... III - 110

Technology Administration................................................................................................... III - 112

Assure and Improve Measurements and Standards ................................................ III - 116

Stimulate Advanced Technologies .......................................................................... III - 122

Assist Small Manufacturers.................................................................................... III - 126

Promote Performance and Quality Management ..................................................... III - 130

Analyze and Develop Technology Policies .............................................................. III - 132

Collect and Disseminate Information ....................................................................... III - 135

FY 2000 Annual Performance Plan
National Telecommunications and Information Administration...............................................III - 138

Open Markets ........................................................................................................ III - 141

Radio Spectrum Assignments ................................................................................III - 143

Public Interest Promotion .......................................................................................III - 145

Advanced Telecommunications ...............................................................................III - 147

IV. Management Challenges .....................................................................................................IV - 1

V. Appendices .........................................................................................................................V - 1

Appendix 1 – Minor Adjustments to the Strategic Plan ...........................................V - 1

Appendix 2 – Preparation of the Annual Performance Plan .....................................V - 9

Appendix 3 – Managing High Impact Agency Performance .....................................V - 10

Appendix 4 – Alphabetical List of Acronyms ...........................................................V - 11

Appendix 5 – Economic Development Administration .............................................V - 15

Appendix 6 - Crosscutting Activities (by Bureau) Between the

 Department of Commerce and Other Federal Agencies ....................................V - 19

Table of Contents (cont.)

FY 2000 Annual Performance Plan
Mission Statement and Themes of the

Department of Commerce

The Department of Commerce promotes job creation, economic

growth, sustainable development, and improved living standards

for all Americans, by working in partnership with businesses,

universities, communities, and workers:

To build for the future and promote U. S.

competitiveness in the global marketplace,

by strengthening and safeguarding the

Nation’s economic infrastructure;

To keep America competitive with cuttingedge science and technology and a worldclass information base; and

To provide effective management and stewardship of our Nation’s resources and assets

to ensure sustainable economic opportunity.

FY 2000 Annual Performance Plan
I - 8 FY 2000 Annual Performance Plan

Part I - Executive Summary

Executive Summary

Three key themes drive the Department of Commerce’s

Annual Performance Plan (APP) and support the

Department’s core mission of building a strong U.S.

economy to provide a higher standard of living for every

American. The alignment of Bureau program activities

under these themes represents a new approach to improve the integration, coordination, and management of

Commerce programs.

The three strategic themes—building our Nation’s economic infrastructure; leading in science, technology, and

information; and, providing stewardship of our Nation’s resources and assets—are intended to facilitate new working relationships and the development of crosscutting

policy efforts to strengthen the effectiveness of the Department as a whole, to serve all Americans better. The

three themes provide a means for identifying and strengthening relationships among Commerce bureaus and for

building partnerships with other agencies and external

parties.

The FY 2000 APP includes Secretary William M. Daley’s

priorities and initiatives. These priorities and initiatives

serve as guideposts to gauge the performance of

Commerce’s most critical programs. The priorities and

initiatives are important integrating mechanisms for the

Department of Commerce, much like the strategic themes.

A listing of the priorities and initiatives is presented in the

table on the following page. The Commerce Budget in

Brief provides a more detailed discussion of the priorities

and initiatives and their alignment.

Linking the key programs of individual Commerce Bureaus

to the priorities and initiatives reinforces the Department’s

core mission and creates new opportunities for increased

performance. This is especially important during periods

of increasingly rapid and frequent change in our society,

in our economy, and in science and technology—placing

greater demand on the vital resources the Department

manages. Each Commerce Bureau is well-positioned to

help improve the quality of life, whether that entails producing more timely and accurate weather forecasts or

weighing commercial and national security interests in

decisions about exporting new technologies.

Encompassing the Department’s many disparate functions, the three themes and the priorities and initiatives

represent significant actions by the Secretary and his leadership team to move the Department in the direction of a

more integrated organization. The FY 2000 APP, developed pursuant to the Government Performance and Results Act (GPRA) and integrated with the budget process,

is the product of efforts to establish a more effective strategic planning and performance management process

within the Department. The new strategic planning and

performance management approach, which recognizes

unique organizational cultures and the stakeholders of

each of the Commerce bureaus, will drive a Commercewide effort to continue to improve the integration of activities and enhance performance and accountability.

Theme One encompasses the work that Commerce does

to improve our capacity to maintain a competitive, vibrant

economy. This includes job creation, support for minority businesses and small firms, technological innovation,

production improvements, and the protection of ideas.

Theme One also includes promoting healthier communities, developing a solid information base, and improving

the environmental predictions that are essential for protecting life and property.

Within Theme Two, the Commerce Department directs

activities that promote world-class science, technology,

and information. The Department helps establish global

technology standards and examines all aspects of development and innovation. It conducts scientific studies and

data analyses leading to short and long-term environmental

predictions. Commerce also provides information-based

support to U.S. businesses and research communities.

These activities range from conducting the Decennial

Census to specific market analyses. Commerce also

focuses on the technical issues associated with the radio frequency spectra, including the technology used for

broadcasting.

Theme Three includes Commerce’s key responsibilities

for the management and stewardship of our critical resources from both national and global perspectives.

Commerce manages and promotes the efficient and wise

use of specific resources ranging from intellectual property rights and radio frequency spectra to fisheries and

other ocean and coastal resources. This effective management is integral to improving technological innovation

and communication, conserving coastal and marine resources, protecting the environment, and maintaining the

overall quality of life. Commerce also represents U.S.

interests and provides leadership in international negotiations related to the management of resources. This includes the protection of marine mammals and other species and the regulation of frequency spectra and intellectual property rights.
FY 2000 Annual Performance Plan I - 9

Part I - Executive Summary

Commerce Bureaus, the Three Themes, and the

Priorities and Initiatives

In support of the three Commerce themes, the Economic

Development Administration’s (EDA) strategic goals

are to create jobs and private enterprise in distressed

communities and to build local capacity to achieve and

sustain economic growth. Since its establishment under

the Public Works Act of 1965, EDA has confronted and

responded to many challenges to the industrial and commercial growth of distressed communities in the United

States.

Today, rapidly changing production, trade patterns, and

technology threaten certain communities. EDA’s highly

flexible programs for public infrastructure, planning, technical assistance, and research allow the Department of

Commerce to respond strategically to the specific conditions of disenfranchised areas in order to expand industrial and commercial growth. EDA works through a nationwide network now comprising 320 Economic Development Districts (EDDs), 64 Indian tribes, 69 University

Centers, and 12 Trade Adjustment Assistance Centers

(TAACs). EDA focuses on supporting local planning and

Executive Summary (cont.)

long-term partnerships with state and local organizations

that can assist distressed communities with strategic planning and investment activities.

For example, EDA helps mitigate the impact of natural

disasters on communities by helping them to move businesses from disaster-prone areas to safe locations. EDA

is able to go into communities struck by natural disaster

and begin assistance immediately rather than waiting until

emergency supplemental funds are approved.

By maintaining a reliable federal statistical system that

readily monitors and measures economic activity and social trends, the Economics and Statistics Administration (ESA) helps national, state, and local governments

and other institutions make smart decisions that can improve American lives. Our Nation’s ability to respond to

domestic and international developments that affect our

economic infrastructure depends on a world-class information base and the cutting-edge technology that makes

it accessible. In this capacity, ESA oversees the Census Bureau and the Bureau of Economic Analysis

(BEA). ESA also operates STAT-USA, a user-friendly

“one-stop shop” for the dissemination of business, economic, and trade statistics.

Priorities and Initiatives

Decennial Census and Other Statistical Programs

• Statistical Infrastructure

Oceans and Atmosphere

• Natural Resources

• Ocean 2000

• Climate in the 21st Century

• Natural Disaster Reduction

Broadening Trade

Technology for Economic Growth

• Technology Infrastructure

Assisting Distressed Communities

Critical Infrastructure Protection

Key Management Initiatives

• Clean Financial Audits

• Digital Department

• PTO as PBO
I - 10 FY 2000 Annual Performance Plan

Part I - Executive Summary

Executive Summary (cont.)

Vice President Gore’s National Partnership for Reinventing Government (NPR) designated the Census Bureau

as among the 32 High Impact Agencies (HIA) most visible to Americans. As the prime gatherer and purveyor of

data on our population and our economy through surveys,

censuses, and special studies, the Census Bureau is

committed to accuracy, timeliness, relevancy, and efficient service. The Bureau’s strategy to improve data quality and timeliness includes the use of state-of-the-art digital

capture technology, simplifying questionnaires, increasing the follow-up rate on nonrespondents, and working in

partnership with the U.S. Postal Service to improve address files. In FY 2000, electronic commerce will also

ease the reporting burden for businesses, contributing to

the statistics available for planning purposes.

The Secretary intends Census 2000 to be the most complete and accurate decennial census ever—executed at

the lowest possible cost to the taxpayer. Supporting a

successful Census 2000 is one of the elements of the

Secretary’s management strategy for the Department.

The Census Bureau’s detailed attention to logistics and

management has helped carry out an effective dress rehearsal. Pending the U.S. Supreme Court’s decision on

January 25, 1999 on whether to include sampling as part

of the methodology, the Census Bureau worked through

the additional challenge of implementing a dual-track strategy using both traditional and sampling methods to conduct the dress rehearsal.

This Annual Performance Plan was developed before the

recent Supreme Court ruling and assumes the use of

sampling in the 2000 Census. Under that assumption,

we are requesting a total Decennial budget of $2.8 billion,

a $1.78 billion increase above FY 1999, for census implementation and associated audits. The Census Bureau

will develop a plan in light of the Supreme Court ruling

and estimates of any associated costs. This plan will

include the use of statistical methods, as appropriate, to

provide the most accurate census data possible.

As the Nation’s accountant, BEA combines and transforms extensive data from government and private sources

to produce a consistent and comprehensive picture of

economic activity, featuring the key summary measure

known as gross domestic product. In addition, BEA’s

estimates of regional product and income are used in the

allocation of federal grants to states.

In an increasingly global economy, the role of exports in

sustaining a robust economic infrastructure continues to

grow. Exports support over eleven million American jobs,

and in the past two years alone, generated over two million new jobs. In recent years, export-related jobs grew

about six times faster than total employment, paying

wages fifteen percent higher than the average U.S. wage.

The competitive nature of the global marketplace raises

the bar of challenges for the International Trade Administration (ITA) in leveling the playing field for U.S.

businesses abroad and helping remove tariff and nontariff

barriers to trade. Toward this end, ITA will carry out the

Secretary’s Broadening Trade initiative by breaking into

new and underserved international markets, while expanding the export support of small- and medium-sized businesses. ITA’s goals are to enforce U.S. trade laws and

agreements to promote free and fair trade, increase the

number of small business exporters, and open key emerging markets, especially Africa, Latin America, and Asia.

Much of the success of the Broadening Trade initiative

rests on the expansion of the U.S. and Foreign Commercial Service’s (US&FCS) outreach efforts to small- and

medium-sized enterprises (SMEs) to help them unleash

their export capacity. The U.S. Export Assistance Centers (USEACs) perform the valuable service of educating

and assisting SMEs and helping export-ready firms in

need of technical assistance. Electronic commerce and

the Internet are other vehicles to increase export opportunities for SMEs.

Implementing an aggressive trade compliance program

to aid U.S. companies in achieving the full benefits of

trade agreements is another key component of ITA’s strategy. The Trade Compliance Center (TCC) monitors approximately 250 trade agreements and helps identify possible violations. By compiling data on access problems

and outcomes, ITA can measure the dollar value of opening world markets to U.S. exports as a result of reducing

or eliminating trade barriers. ITA also improves the competitiveness of domestic firms by enforcing U.S. trade

laws and agreements regarding subsidies, unfair pricing,

and other harmful foreign trade practices.

The Bureau of Export Administration (BXA) carries

out the export licensing, enforcement, and defense industry conversion in a manner that protects our national

security and our economic competitiveness. BXA performs the dual function of facilitating trade in an increasingly competitive global economy, while restricting the

export of goods that could threaten national security and

public safety.

FY 2000 Annual Performance Plan
FY 2000 Annual Performance Plan I - 11

Part I - Executive Summary

tinued viability of high-tech firms through the development

of innovative product lines and new commercial avenues

for former defense products.

Minorities account for 28 percent of the American population, but only 11 percent of business owners. Because

of this fact, the central aim of the Minority Business

Development Agency (MBDA) is to increase the participation of minorities in our Nation’s commerce.

MBDA also advances the establishment and expansion

of minority-owned businesses by identifying new domestic and foreign business opportunities. MBDA informs

minority-owned businesses of these opportunities and assists these firms in taking advantage of those opportunities. This includes programs to increase access to the

marketplace and capital through a number of vehicles.

For example, MBDA provides management and technical assistance to over 8,000 firms annually via an electronic matching system over the Internet, Business Development Centers, and other resources. It promotes minority business lending through arrangements with financial institutions and mobilization of both private and public sector resources. MBDA also works to secure a fair

share of representation for minority-owned businesses in

all government-sponsored initiatives that promote U.S.

business interests, including international trade missions.

The functions of the National Oceanic and Atmospheric

Administration (NOAA) encompass all three Commerce

themes. NOAA has the lead role in improving the means

for detecting oncoming natural events with greater precision in order to save lives and property and minimize business disruption. In skillfully managing and protecting our

Nation’s assets and resources, NOAA plays a key role

in the Natural Resources initiative by overseeing programs

that expand knowledge and understanding of our land,

water, and air. Protecting coastal habitats from loss and

degradation, researching the effects of climate changes

on the oceans and atmosphere, and promoting navigation are all objectives of the initiative.

Programs within NOAA’s National Marine Fisheries Service (NMFS) are designed to help build a sustainable fisheries environment. Improving current fish stocks and restoring the long-term employment and growth potential of

maritime industries are essential to our Nation’s wealth

and quality of life. The Natural Resources initiative also

includes recovering protected species, preventing extinction, and maintaining healthy species through conservation programs that involve monitoring and research of species and the factors that affect their mortality. The sucAs part of the Statistical Infrastructure initiative, BEA will

work to resolve measurement discrepancies due to

changes in the economy and incomplete or obsolete data

by expanding and updating the coverage of key areas,

including rapidly evolving industries.

In housing the Critical Infrastructure Assurance Office

(CIAO), established by Presidential Decision Directive 63,

BXA also helps safeguard the interconnected systems

that are necessary to the operations of our government

and economy.

BXA is working to bring U.S. export controls in line with

evolving U.S. national security and foreign policy objectives. Restructuring export controls for the 21st century

will result in a relatively shorter dual-use commodity control list. Streamlining the application system for controlled

items will help prevent illegal transactions and expedite

the license processing cycle for U.S. companies. In addition, by rendering prompt decisions, BXA will strengthen

the international competitive position of U.S. firms. BXA

is also developing means to strengthen its law enforcement program and its efficiency as a regulatory agency.

BXA takes a preventive approach to deter high-risk transactions. To reduce the number of potential license requests for unacceptable products, BXA will expand educational outreach to its stakeholders through visits, conferences, and seminars to heighten their understanding

of export controls and, as a result, strengthen industry

compliance. It will also conduct a greater number of onsite visits to end-users of selected goods to ensure that

products are being employed in the authorized manner.

BXA will also increase the number of nonproliferation and

export control technical, executive, and educational exchanges at both the bilateral and multilateral levels to

improve cooperation with foreign governments. It will develop a plan to address all five functional areas of effective

export control systems: legal and regulatory frameworks,

licensing procedures and control lists, enforcement

mechanisms, industry-government relations, and systems

administration and automation.

Finally, BXA’s role in facilitating the transition of defense

industries supports two of the Department’s core themes:

economic infrastructure and science and technology. A

strong economic infrastructure rests on the ability to transition our defense industries to productive peacetime activities without compromising our technological leadership.

At the same time, BXA can assist in promoting the conExecutive Summary (cont.)
I - 12 FY 2000 Annual Performance Plan

Part I - Executive Summary

cess of all of this effort will be more attainable by integrating activities across five of NOAA’s line and program offices.

NOAA also contributes to the crosscutting Natural Disaster Reduction initiative by providing weather warnings

and forecasts to the general public through the National

Weather Service (NWS), conducting climate and weather

research, and making historical and environmental data

available for the public and private sectors. NOAA’s products and services include short-term warning services and

forecasts to increase lead times; newer and better data

sets on seasonal-to-interannual time scales to produce

climate forecasts to predict El Niño events with more

accuracy; and improved decadal and centennial climate

change assessments, especially for greenhouse warning, ozone layer depletion, and air quality.

Finally, NOAA’s success in describing and predicting the

changes in the earth’s environment, and conserving our

resources to ensure sustainable economic opportunity

relies on cutting-edge research to develop new technologies, improve operations, and supply the scientific basis

for managing natural resources and solving environmental problems.

In administering laws that grant and protect patents and

trademarks, and in advising the Commerce Secretary,

the President, and the Administration on intellectual property rights, the Patent and Trademark Office (PTO)

plays a central role in America’s economic growth.

Through its stewardship of our Nation’s intellectual property, PTO influences investment, development and marketing strategies, and the financial viability of American

businesses. PTO plays a central role in increasing the

competitiveness of our technology-based economy by providing more effective service delivery as product life cycles

become shorter. Timely issuance of patents and trademark registrations make all the difference for firms operating in fast-paced markets. Toward this end, PTO is

committed to customer-oriented and results-driven performance through reduced average processing time of patents and trademarks, the automation of various patent

and trademark activities, and the establishment of a fee

schedule aligned with cost.

Through its provision of technical assistance and its expertise on trade-related property rights issues, PTO helps

support the Secretary’s Broadening Trade initiative. PTO

contributes to the protection and expansion of intellectual property rights systems worldwide, vital to the development of the commercial infrastructure of developing

economies and to promoting trade, through education and

training on laws, regulations, and enforcement. It conducts international outreach and partners with other nations to help support these objectives.

Finally, improving communications, as part of a customer

service focus, is integral to the goal of promoting awareness of and providing effective access to patent and trademark information. This relies on an advanced information

dissemination base able to respond to users in a timely

fashion, make information available, and transform the

majority of processes into electronic operations. It includes the increased use of the Internet to request the

status of applications and place orders, and to answer

customer inquiries via e-mail.

PTO’s program operations are revenue-generating and

PTO is a self-sustaining agency that relies on external

customer satisfaction. Similar to private sector business,

it conducts a number of transactions with the public directly and must become efficient enough to respond to

private sector needs and a potentially growing market for

its services. Freed of certain federal restrictions and with

a clear mission, accountability, and measurable goals,

the budget includes a proposal that PTO become a Performance Based Organization (PBO).

The primary mission of the Technology Administration is

to improve our Nation’s technological infrastructure and

to facilitate innovation by working with industry. TA is

essential to economic health, advancements in science

and technology, and our Nation’s survivability in the information age. TA includes the Office of Technology

Policy (US/OTP), which fosters a supportive technology

policy environment to promote innovation and industrial

competitiveness by advocating and coordinating efforts

at the state, national, and international levels. TA also

includes the National Institute of Standards and Technology (NIST), which administers the Malcolm Baldrige

National Quality Program to encourage performance and

quality management practices by U.S. businesses; and

the National Technical Information Service (NTIS),

which compiles and disseminates non-classified scientific, technical, and engineering information useful to U.S.

business and government.

TA contributes to the Secretary’s Broadening Trade initiative by stimulating innovation and developing measurements and standards to improve our Nation’s competitive

base. NIST enhances U.S. influence abroad and helps

to eliminate technical nontariff barriers to trade by workExecutive Summary (cont.)
FY 2000 Annual Performance Plan I - 13

Part I - Executive Summary

and development program to advance networking technologies. NTIA provides matching grants to non-profit

organizations to build quality technological and information systems in areas that benefit communities, such as

in health care, education, and public safety. It also assists public telecommunications facilities in converting

to digital broadcasting.

NTIA manages radio spectrum allocated for federal use.

It ensures that radio spectrum assignments provide the

greatest public benefit, by planning and implementing

policies that affect both private and public sectors; meeting the requirements of federal agencies; and advancing

the development of spectrally efficient technologies.

Finally, as part of the Administration’s Critical Infrastructure Protection program, NTIA has assumed the lead

agency role for the information and communications (I&C)

sector. It is focused on protecting critical infrastructure

by devising a plan that assesses the vulnerabilities of the

I&C sector and identifying protection strategies.

Commerce Strategic Plan Link to the Commerce

Annual Performance Plan

The Department of Commerce prepared its first Strategic

Plan as required by GPRA in September 1997 and its

first APP in February 1998. The three Commerce strategic themes expounded in the Commerce Strategic Plan

represented the first effort with GPRA to develop “integrating themes” intended to recognize and foster crosscutting efforts in the areas of economic infrastructure,

science and technology, and the management of Commerce resources and assets.

The Department of Commerce discussed whether the

strategic themes suited in content and number the

Department’s many disparate functions. Still, the strategic planning and performance management process set

in motion more active consideration and exploration of

potential crosscutting and partnership arrangements

among the bureaus of the Department. While this process is incremental, the FY 2000 priorities and initiatives

further advance the commitment to conduct effective Commerce crosscutting efforts in a more integrated fashion.

(See diagram on following page.)

ing to increase global recognition of U.S. measurements

and standards. On the international front, it is working

with ITA to place standards attaches in Russia, China,

and South Africa, and with PTO on the Commercial Law

Development Program to institutionalize trade in emerging economies via training programs. Through the linkages established between the Manufacturing Extension

Partnership (MEP) Centers and U.S. Export Assistance

Centers (USEACs), NIST helps identify small export-ready

manufacturing firms in need of the technical assistance it

provides. It helps small firms improve their technological

capability, productivity, and competitiveness.

Through rigorous peer reviews, NIST will measure how it

achieves its goal of ensuring and improving measurements

and standards infrastructure, ultimately providing the technical leadership for our Nation, in large part through its

reference data collection and storage capability. NIST’s

Advanced Technology Program (ATP) stimulates advanced

technologies by working with industry to identify and promote capital infusion in areas that have significant potential for broad-based economic and social benefits, but

where firms are usually reluctant to invest, such as highrisk and multi-use technologies. The program uses a

wide range of evaluation mechanisms to determine the

eventual impact of ATP-funded projects.

Finally, through its research activities, NIST supports the

reduction of damages from natural disasters and is part

of the Administration’s Critical Infrastructure Protection

program, the broad effort to secure the interconnected

infrastructures of our Nation. NIST is one of the lead

agencies in the research and development program designed to address technology shortfalls and vulnerabilities.

The National Telecommunications and Information

Administration (NTIA) maximizes the use of telecommunications and information resources in ways that create jobs, augment U.S. competitiveness, and raise the

standard of living. NTIA’s functions, increasingly complex in nature, extend into all three Commerce strategic

themes. NTIA also plays an important role in opening

new markets and broadening trade by helping to implement the World Trade Organization (WTO) Basic Agreement on Telecommunications.

To promote greater awareness, understanding, and access to technology, NTIA will accelerate the development

and diffusion of public sector and nonprofit applications of

Next Generation Internet (NGI) technologies and services.

NGI is the Administration’s multi-agency federal research

Executive Summary (cont.)
I - 14 FY 2000 Annual Performance Plan

Part I - Executive Summary Mission: The Department of Commerce works to build a strong U.S. economy to pr a higher standard of living for every American. Theme 1 - Economic Infrastructure - B uild for the futu re and prom o te U.S . co mpetitivene ss in the global

marketplace by strengthen ing an d

sa feguarding the N atio n’s e conom ic

Theme 3 - Stew ardship of Resources

and Assets -

Provide effective m anagem ent and

ste wards hip o f our Na tion’s resou rc es

and asse ts to ensure sustaina ble

ec onomic oppo rtu nity.

in fra structure.

Theme 2 - Scie nce, Technology a nd

Information -

K eep A m e rica c ompetitive w ith cuttin gedg e science and tec hnolo gy and a wo rldclass information base.

Bureau

S e

(Measu

• in fo

• fore

• in te

Regula

Policy

Bureaus Involved:

EDA PTO

NTIA NOAA

Bureaus Involved:

ITA TA/NIST

 ESA PTO EDA

NTIA NOAA

Bureaus Involved:

ITA TA/NIST

BXA ESA PTO

EDA NTIA

MBDA NOAA

U.S. Economic 

Stre ngth

D igital Departmen t

C lean

Fin ancial Audits

Statistical

In fra structu re

Broadening Trade

Technology

 Infrastructure

D ecennial Census

C ritica l In fra stru ctu re

Natural Resources

N at ura l D isa ste r R edu ction

PTO PBO

PTO PBO

N at ura l D isa ste r

R edu ction

P riorities a nd Initia tives

P riorities a nd Initiativ es
FY 2000 Annual Performance Plan I - 15

Part I - Executive Summary

Brief Description of Parts II and III

Parts II and III of the Commerce Annual Performance Plan

summarize the activities, performance, and resources for

(a) each of the priorities and initiatives; and (b) each of

the nine Commerce bureaus. They provide detailed information about the activities proposed for each of the crosscutting priorities and initiatives and for each of the bureaus. They also focus on the more “outcome-oriented”

goals that the bureaus are trying to achieve. Included are

brief descriptions of why these activities are important to

the American public, how each bureau is doing in terms

of performance trends, and the resources required to conduct these activities.

After the more detailed description of the Priorities and

Initiatives, the bureau-by-bureau approach is organized

in a similar manner and contains the following information (with some variation in order and emphasis) for each

bureau:

Executive Summary (cont.)

Enabling Legislation

Bureau Context

High Impact Agency (HIA) or priorities and initiatives Information (if applicable)

Goal and Performance Measure Information

Rationale

Performance Targets

Data Validation and Verification

Source

Frequency

Data Storage

Verification

Means and Strategies

Crosscutting Activities

External Factors

Resource Requirements

Funding

Skills Requirements/FTEs

IT Requirements

Finally, we have provided what we hope to be a useful aid

to navigation and guide to readers throughout the document. The Commerce strategic themes and the priorities

and initiatives being addressed are depicted by shaded

columns indicating the theme, and bullets indicating the

priorities and initiatives, in the upper right-hand corner of

the appropriate pages of the document. The reader should

be able to discern which theme(s) or priorities and

initiative(s) are being addressed at any point in the document.
FY 2000 Annual Performance Plan II - 1

Part II - Priorities and Initiatives

Department of Commerce

Enabling Legislation

The mission of the Department of Commerce is established

in its organic statute:

“It shall be the province and duty of said Department to

foster, promote, and develop the foreign and domestic commerce, the mining, manufacturing, and fishery industries of

the United States; and to this end it shall be vested with

jurisdiction and control of the departments, bureaus, offices,

and branches of the public service hereinafter specified,

and with such other powers and duties as may be prescribed by law.” (15 U.S.C. section 1512)

Context

The Department of Commerce touches Americans every

day. We make possible the weather reports that are heard

every morning; we facilitate the technology that is used in

the workplace and in the home; we develop statistics that

are used by both the public and private sectors in making

important policy and business decisions; and we support

the environmental and economic health of American communities.

The Department of Commerce provides leadership to the

Nation in civilian technology, trade promotion, economic

development, sustainable development, and economic

analysis. Our programs serve our country’s businesses,

communities, and families and we are dedicated to making

these programs and services as effective as possible.

U.S. Department of Commerce

Priorities and Initiatives

Bureau of Export Administration

Minority Business Development

Agency

Economic and Statistics

Administration

National Oceanic and

Atmospheric Administration

National Telecommunications &

Information Administration

Patent and Trademark Office

Economic Development

Administration

National Institute of

Standards and Technology

Technology Administration

Office of the Inspector General

Bureau of the Census

Economic and Statistical Analysis

International Trade Administration

National Technical

Information Service

Technology Policy

Office of the Secretary

(General Administration)

NOTE: Unless otherwise indicated, the dollar amounts in this

Priorities and Initiatives section reflect program increases.
II - 2 FY 2000 Annual Performance Plan

Part II - Priorities and Initiatives

Decennial Census

Rationale and Benefits

Conducting the 22nd Decennial Census will fulfill the

Constitutional mandate for this important activity and is

among the highest priorities for the Department in

FY 2000. This request incorporates the results of the

dress rehearsal to date.

Context

Census 2000 data will be used to apportion seats in the

U.S. House of Representatives, to determine the boundaries of State legislative districts and to allocate program

funds. Public, non-profit, and private sector organizations plan for facilities, services, business locations, and

products based on the population and housing characteristics data from the Decennial Census.

Components

Measures and Targets Summary

P s rogram Increase G e oal it Support M t easur Targe

Census - Conduct

Decennial Census

Improve the accuracy

of the 2000 Census

Net population

undercount

From 1.6% in 1990 to

0.1% for 2000

B e ureau P ) rogram Increas Request ($ millions

C s ensus C 7 onduct Decennial Censu $1,771.

O t IG D 5 ecennial Census Oversigh 0.

Total $1,772.2

Priorities and Initiatives

*

* See footnote in more detailed discussion of this performance target.
FY 2000 Annual Performance Plan II - 3

Part II - Priorities and Initiatives

Statistical Infrastructure

Rationale and Benefits

The Statistical Infrastructure initiative, totaling $5 million,

will improve the quality and timeliness of the information

crucial to decisions by businesses and policy makers.

Core institutions in this country -- ranging from the Federal Reserve System to major employers to small investors in financial markets -- are at risk in the absence of

relevant, accurate, and timely information.

Context

Years of stagnant real budgets for economic statistics

have led to key agencies not being able to account for

structural changes in the economy. The dynamic U.S.

economy has been creating new industries and expanding aspects of existing ones, yet we are straining to measure it accurately. For example, we must resolve the gap

between the strong economy reflected in the income

measures and the slower growth economy shown in the

production numbers.

Components

The Bureau of Economic Analysis (BEA) is primarily responsible for measuring our Nation’s total output, but depends on data from the Bureau of the Census, Bureau of

Labor Statistics, and other agencies to do so. This initiative will allow BEA to update and expand its coverage of

high-tech goods and services, improve its inflation measures, expand measures of labor compensation, and update its treatment of investments in capital stock, including

computer software.

ITA funding will be used to improve tourism trade statistics

and increase global competitiveness. The In-Flight Survey

of International Air Travelers will be enhanced, and a permanent set of accounts for the Nation’s Travel and Satellite

Accounts will be developed.

Measures and Targets Summary

Priorities and Initiatives

B e ureau P ) rogram Increas Request ($ millions

E c SA Maintaining and Improving BEA's Economi

Accounts

$4.5

I s TA I 5 mproving Tourism Trade Industry Statistic 0.

Total 5.0

P s rogram Increase G e oal it Support M t easur Targe

ESA-Maintaining and

Improving BEA's

Economic Accounts

P e rovide quality data Comprehensive accuracy scor

(as determined by evaluation

system) on scale of 100

>85

ITA-Improving Tourism

Trade Statistics

Strengthen and

Institutionalize ITA's Trade

Promotion and Trade

Advocacy efforts

Dollar value of gross exports

supported through advocacy

efforts

5% increase over

FY 1999
II - 4 FY 2000 Annual Performance Plan

Part II - Priorities and Initiatives

Priorities and Initiatives

Natural Resources

Rationale and Benefits

The Department of Commerce, through its Natural Resources initiative and the National Oceanic and Atmospheric Administration (NOAA), continues to play a key

role in managing America’s natural resources. From submersible excursions of the ocean floor to managing fisheries to combating pfiesteria, Commerce stands ready

to build on its range of successful, integrated programs

that expand our knowledge and understanding of

America’s lands, water, and air.

Ocean and coastal resources are the foundation of the

Nation’s coastal and regional communities. One-third of

the U.S. Gross Domestic Product is sustained in coastal

zones through such industries as fishing, tourism, and

marine transportation. With increasing national attention

on the value of the ocean and its resources, the Natural

Resources initiative provides the Department of Commerce

with the ability to capitalize on sustainable use of the

ocean’s resources.

Context

The Natural Resources initiative, totaling $336.9 million,

will improve the Nation’s ability to manage and protect its

ocean and coastal natural resources. This initiative, comprised of Oceans 2000 ($317.8 million) and Climate in

the 21st Century ($19.1 million), will enable Commerce to

encourage sustainable fisheries development as it works,

through NOAA, to reduce overfishing and overcapitalization of the Nation’s fishery resources; better manage the

crisis of salvaging protected resources; protect coastal

habitats from continued loss and degradation; conduct

more research into the effects of climate changes on the

oceans and atmosphere; and promote safe navigation.

The Oceans 2000 components include Lands Legacy, Year

of the Ocean, Resource Protection, the South Florida

Initiative and the Clean Water Initiative. NOAA’s components of the Lands Legacy Initiative ($105.0 million), announced by the President in his 1999 State of the Union

address, include funding to strengthen and expand protection of the Nation’s most significant ocean and coastal

areas; restore critical coastal habitat for our Nation’s extremely valuable and irreplaceable Pacific salmon resources and vibrant coral reef ecosystems; and provide

states and coastal communities with the tools and resources for environmentally and economically sustainable smart growth. The Year of the Ocean commitments

($78.1 million) include programs to promote new scientific insight into the oceans, sustain use of fisheries and

other marine resources, provide new opportunities for economic growth, and protect fragile coastal communities

and ecosystems such as coral reefs from damage and

environmental degradation.

NOAA is committed to preventing the extinction of at-risk

marine species, and restoring their habitat and ecosystems. The programs under Resource Protection ($131.3

million) will enable NOAA to protect and conserve our

natural resources by encouraging greater public involvement in conservation planning, creating incentives for landowners and states to protect species and their habitat to

prevent the need to list, and entering into long-term conservation plans with landowners. The South Florida Initiative ($1.6 million) will continue NOAA’s involvement in

the integrated effort among federal, state, tribal and nongovernment partners to halt the degradation and restore

the function of the South Florida ecosystem. NOAA participation includes restoring and protecting the fisheries habitats and coral reefs of the affected areas. The

final component of the Oceans 2000 program is NOAA’s

involvement in the Administration’s Clean Water Initiative

($1.8 million). The elements of this program will enable

NOAA to strengthen and enhance critical research, monitoring and coastal management capabilities of the National Ocean Service. These capabilities are required to

address the sources of nonpoint pollution and address

symptoms of degraded coastlines, including harmful algal blooms, hypoxia, and shellfish advisories.

Under its Climate in the 21st Century ($19.1 million) programs, the NWS components of the Natural Resources

initiative are designed to further our understanding of climate change, and its effect on the oceans. This research

includes assessing the oceans’ uptake of carbon, ozone

interaction and particulates research, and understanding

decadal changes.
FY 2000 Annual Performance Plan II - 5

Part II - Priorities and Initiatives

Priorities and Initiatives

P s rogram Increase G e oal it Support M t easur Targe

N n OAA-Navigation P c romote safe navigatio Number of Physical Oceanographi

Real-Time Telemetry Systems

(PORTS) in place to provide quality

assured data

7 PORTs and PORTS-lites in

place by FY 2000

NOAA-NMFS-Endangered Species Recovery

Act Plan

Build sustainable

fisheries / Recover

protected species

By 2004, protect or restore priority

biodiversity areas-regions where

threats are identified

Restoration of the following

regions: Atlantic, Gulf, E.

Pacific, W. Pacific

NOAA-NWS Climate

Research

Predict and assess

decadal to centennial

change

Document the "turnover" of CFC

source gases to verify the

effectiveness of global policy

actions

Reports are published every

3 to 5 years; next report may

be published in FY 2002

Natural Resources (cont.)

Components

Measures and Targets Summary

B e ureau Program Increas Request

($ millions)

NOS,

NMFS

Lands Legacy: Coastal Dredging, Coral Reef Restoration, Coastal

Zone Management Act Grants, National Marine

Sanctuaries and Reserves, Fisheries Habitat

Restoration

$105.0

NOS,

NMFS,

OAR

Year of the Ocean: Safe Navigation, Coral Reef Protection, Ocean

Bottom Observatories/ Exploring the Last Frontier,

Aquaculture, Fisheries Oceanography, Fisheries

Research Vessel

78.1

NMFS Resource Protection: Pacific Salmon Recovery, Protected Species

Management, Endangered Species Act Recovery

Planning, Enforcement & Surveillance

131.3

NOS,

NMFS

South Florida Initiative: South Florida Ecosystem, Resource Information,

Restoration, Research

1.6

NOS Clean Water Initiative: Harmful Algal Blooms Research, Coastal Nonpoint

Source Pollution Control Programs, Polluted Runoff

Grants, Coastal Resource Coordination Program

1.8

OAR,

NESDIS,

NWS

Climate in the 21st

Century:

El Nino-Southern Ocillation Events, Autonomous

Profiling Floats, Kyoto Conference Projects,

Cooperative Reference Network and Raingauge

Network, Computer for Climate and Weather

Research

19.1

Total $336.9
II - 6 FY 2000 Annual Performance Plan

Part II - Priorities and Initiatives

Priorities and Initiatives

Natural Disaster Reduction

Rationale and Benefits

Through its Natural Disaster Reduction initiative, Commerce

works with the public and private sectors to save lives, protect property and minimize business disruption in the face

of natural disasters. Commerce’s efforts, through programs

of NOAA and NIST support the goal of reducing the annual

costs of natural disasters by 10 percent, which translates

to over $5.0 billion a year in cost avoidance.

Natural disasters resulting from severe weather (hurricanes,

tornadoes, winter storms, droughts and floods) or geophysical activity (volcanoes, earthquakes and tsunamis) threaten

lives, property and the stability of local and regional economies throughout the United States. Commerce launched

the Natural Disaster Reduction initiative with its FY 1999

budget request to Congress. In FY 2000, the Department

of Commerce is requesting additional resources to implement the second year of its strategy to reduce and mitigate

the impacts of extreme natural events.

The FY 2000 strategy calls for an end-to-end approach to

natural disaster mitigation, from research to improve prediction and understanding of extreme events, to advances

in developing response and recovery plans, to assessment

of vulnerabilities of communities and infrastructure, and providing information, technology and training to reduce vulnerability before and after natural disasters. Funding will support the highest priority efforts necessary to complete this

end-to-end approach and significantly reduce the Nation’s

vulnerabilities to and costs of natural hazards.

Context

While the annual costs of natural disasters are highly variable, over the last few years, they have resulted in significant loss of life, property damage, and economic costs

averaging approximately $50 billion per year. Moreover, the

cost of damages from natural disasters (in constant dollars) has doubled or tripled each decade over the last 35

years.

These events are of great concern to government agencies,

the business sector, and the general public. Major disasters such as Hurricane Andrew, the East Coast winter storm

of 1995, and the flooding of the Red River of the North, have

challenged the ability of federal agencies, private and volunteer organizations, and the commercial insurance industry

to respond. Future disasters will continue to occur and

their severity, frequency, and costs are project to continue

to increase.

Commerce must improve the predictions and warnings that

allow people to move out of harm’s way in the face of impending disasters and to keep them out of harm’s way

through the design of resilient, sustainable communities.

Commerce is ideally positioned to lead a coordinated federal partnership with local officials to achieve these objectives.

Components

B e ureau P ) rogram Increas Request ($ millions

N s OAA Base Deficiencie $14.0

NWS Modernization and Satellites 6.9

Radiosonde Replacement Program 6.4

U.S. Weather Research Program 1.5

Space Weather / ACE Follow-on (GEOSTORM) 4.3

Advanced Hydrologic Prediction System 2.2

Ocean Assessment, Coastal Forecasting, and Outreach 2.8

Global Disaster Information Network (GDIN) 2.0

Climate Studies 0.4

Other 1.6

Total $42.1
FY 2000 Annual Performance Plan II - 7

Part II - Priorities and Initiatives

Priorities and Initiatives

Natural Disaster Reduction (cont.)

NOAA contributes to the Natural Disaster Reduction initiative by providing weather warnings and forecasts to the

general public via the National Weather Service (NWS),

by acquiring and processing hydrometeorological, ocean

and spaced-based observations, conducting weather and

climate research as well as maintaining historical environmental data and making it available to public and private concerns. All efforts are designed to reduce the

impacts of natural extremes on all time scales ranging

from the very short for tornadoes, flash floods, and hurricanes to the very long for climate variability in storm intensity and frequency, and droughts and floods). Thus,

NOAA’s suite of products and services is essential to

both preparing for the long-term risks of hazards as well

as the immediate threat to people and property.

NOAA’s FY 2000 budget request in support of this priority/initiative emphasizes the restoration of base funding

for NWS, and to a lesser extent, the National Environmental Satellite, Data & Information Service (NESDIS).

In addition, NOAA’s request reflects the reduction in activity associated with the NWS modernization, but also

the required expansion of the next series of geostationary and polar-orbiting satellites, weather and climate research efforts, and the promotion of avenues for the dissemination of timely information.

Measures and Targets Summary

P s rogram Increase G e oal it Support M t easur Targe

NOAA Base Restorations, Satellite

Acquisition, Radiosonde Replacement

Program, Advanced Hydrological

Prediction System (AHPS), U.S.

Weather Research Program,

Improving Surface & Upper Air

Observations, Space Weather, Ocean

Assessment, Coastal Forecasting,

Outreach, Global Disaster Information

Network (GDIN)

Advance short-term

warnings and forecast

services

Increase lead

times/Accuracy of

severe weather

warnings & forecasts

Examples of lead

times for FY 2000

include:

Tornado-12 min.

Flash Floods-42 min.

Severe Thunderstorm

Warnings- 20 min.

N - OAA Climate Studies Implement Seasonal

to-Interannual Climate

Forecasts; Predict

and Assess Decadalto-Centennial

Changes

Accuracy of El Nino

Events

0.85 correlation
II - 8 FY 2000 Annual Performance Plan

Part II - Priorities and Initiatives

Broadening Trade

Rationale and Benefits

In the future, America’s economic security will be more

closely tied to our ability to compete in the global

economy, making it critical that our commercial policies

be integrated into our foreign policy objectives. Almost

one-third of our economic growth since 1993 is attributable to exports. During that same period, exports were

responsible for the creation of over 11 million U.S. jobs

that pay fifteen percent more than the national average.

Yet there is much to do. We need to seek new opportunities without neglecting traditional markets and we need

to remove tariff and non-tariff trade barriers.

Context

The Broadening Trade initiative does just that. This comprehensive, cross-cutting initiative embodies a vision to

develop the domestic and international infrastructure necessary for American firms to conduct business fairly and

openly in the global marketplace. It is a comprehensive

strategy designed to enhance America’s global competitiveness by building a stronger consensus for U.S. trade

policies and export promotion; ensuring aggressive trade

compliance; focusing on developing business in traditionally under-served regions such as Latin America and Africa; and working to establish the commercial infrastructure (financial, legal, measurement and standards, and

intellectual property rights) in emerging economies to promote trade.

Components

Priorities and Initiatives

B e ureau P ) rogram Increas Request ($ millions

I a TA Key Emerging Markets in Africa and Latin Americ $6.2

Expansion of U.S. & Foreign Commercial Service 4.6

Aggressive Trade Compliance Programs:

-Market Access Strike Force

-Agreements Compliance and Market Access

-Subsidies Enforcement

-International Trade Dispute Settlement

2.7

1.7

1.1

0.6

Standards Attaché Program 1.0

-Commercial Infrastructure

-Manufacturing Export Promotion Partnership

2.0

2.0

B t XA National Defense Authorization Ac 1.0

CWC Implementation 1.5

N n IST Export Promotio 2.0

N n TIA WTO Telecommunications Agreements Implementatio 0.5

P e TO Africa Initiativ [0.1]

Total $26.9

* Bracketed amounts indicate either a fee-based account, in the case of PTO, or the Working Capital Fund account.

 *
FY 2000 Annual Performance Plan II - 9

Part II - Priorities and Initiatives

Broadening Trade (cont.)

Domestically, the potential for reaching small firms is

great, especially in manufacturing, as these firms are significantly under-represented in the global market. Although

there are nearly 400,000 small manufacturing firms in the

U.S., they account for only 13 percent of total exports by

manufacturing firms. We will unleash this potential by

establishing formal links between US&FCS’ Export Assistance Centers, and NIST’s MEP to identify “export

ready” manufacturing firms seeking export assistance.

We will also assist firms interested in exports which are

in need of technical assistance prior to entering the global market. For small businesses seeking to do business in Africa, we will work hard to educate them on the

use of the Internet in the global marketplace (ITA).

Internationally, we will capitalize on the long-term potential of under-served markets, without sacrificing traditional

trade relationships, by expanding into sub-Sahara Africa,

Latin America, and Asia-Pacific. Early entrance into these

markets will place us in a pivotal position to ensure that

the commercial infrastructure that ultimately develops will

be favorable to open trade. Working through PTO, ITA,

and the Office of General Counsel’s Commercial Law Development Program, with technical advice from NIST, the

Department will institute training programs in under-served

and emerging economies on intellectual property rights,

measurements and standards, financial services, and

commercial law. But expansion into emerging and under-served markets will amount to little without removing

barriers to trade. Therefore, we are including resources

to improve recognition of U.S. standards, strengthen trade

enforcement and compliance, and educate emerging

economies on fair and open trade.

To eliminate technical (non-tariff) barriers to trade, NIST

will increase global recognition of U.S. measurements

and standards, enhance U.S. influence in international

standards development, and work cooperatively with ITA

to place standards attachés in Russia, China, and South

Africa. ITA will address trade barrier issues by assembling a mobile force “strike team” to work cooperatively

with U.S. Embassies in the most egregious countries,

and assist U.S. business seeking remedies through the

World Trade Organization if foreign subsidies impede U.S.

exports in foreign markets. Issues of export and security

will be addressed by the Bureau of Export Administration

(BXA) which will screen pre-export notifications and post

shipment verifications of High Performance computers.

BXA will also administer Chemical Weapons Convention

(CWC) declarations and perform on-site inspections. The

Patent and Trademark Office will provide technical training and seminars to members of the African Intellectual

Property Organization and the African Regional Industrial

Property Organization.

Priorities and Initiatives
II - 10 FY 2000 Annual Performance Plan

Part II - Priorities and Initiatives

Measures and Targets Summary

Broadening Trade (cont.)

Priorities and Initiatives

Program Increase Goal it Supports Measure Target

ITA: Key Emerging Markets;

US&FCS Expansion

Strengthen and institutionalize

our trade promotion and trade

advocacy efforts

Dollar value of gross

exports supported

5% increase over FY 1999

I l TA: U.S. & FCS Expansion Increase the number of smal

business exporters

Number of new-to-export

firms

3% increase over FY 1999

ITA: Aggressive Trade

Compliance

Enforce U.S. trade laws and

agreements to promote free and

fair trade

Dollar value of market

openings

38% increase over FY 1999

NTIA: WTO

Telecommunications

Agreement Implementation

Promote policies that will lead to

open competitive markets

Percent of countries

compliant with WTO GBT

100% country compliance

by 2002

BXA: National Defense

Authorization Act and CWC

Implementation

Restructure export controls for

the 21st century

Average processing time

for license applications

(days)

33

BXA: National Defense

Authorization Act and CWC

Implementation

Maintain a fully effective law

enforcement program and

protect U.S. national security

foreign policy, nonproliferation of

dual use commodities and

chemical weapons, counterterrorism, and public policy.

Number of investigations

completed

Number of investigations

accepted for criminal or

administrative remedies

1,300

80

ITA: Export Promotion/Joint

Program for Standards

Attaches

Strengthen and institutionalize

ITA's trade promotion and trade

advocacy effects.

Dollar value of gross

exports supported

5% increase over FY 1999

NIST: Export Promotion /

Intercomparisons

Assure and improve

measurements and standards

Number of

intercomparisons with

national measurement

institutes

8
FY 2000 Annual Performance Plan II - 11

Part II - Priorities and Initiatives

Priorities and Initiatives

Technology Infrastructure

Rationale and Benefits

Technological progress is the single most important factor

in generating sustained economic growth, estimated to account for as much as half the Nation’s long-term growth

over the past 50 years. Technology underpins our fastest

growing industries and high-wage jobs, provides the tools

needed to compete in every business, and drives growth in

every major industrialized nation.

While much of America is enjoying unprecedented growth

and prosperity, there are still regions of the country that

have fallen behind, and are not prepared for the new

economy. The Technology Infrastructure initiative offers the

Department the opportunity to grow our competitive technology-based industries, thus keeping capital, technology,

jobs and income in the U.S. This initiative provides the

tools to help America build the supporting infrastructure,

the technological base, and the skilled workforce needed

to keep our economy vibrant and strong.

Context

We are in the midst of a revolutionary transformation from

an industrial to a knowledge-based economy. This transformation is having a profound impact on the ways we

live, learn, work, and play. To compete successfully in

this dynamic global environment, our Nation needs an

awareness and understanding of the role technology can

play in supporting economic activities. The Technology

Infrastructure initiative addresses these needs.

The Technology Infrastructure initiative will promote the efficient and effective use of telecommunications and information resources in a manner that creates job opportunities,

enhances U.S. competitiveness, and raises the standard

of living.

One of NTIA’s roles in this initiative is as manager of all

federal spectrum. NTIA will increase the efficiency of the

frequency assignment process by continuing to implement

the advanced, automated spectrum management system

to replace the time consuming process currently in use.

Federal agencies will not only be able to obtain assignBuilding a Workforce With Adaptable Skills

Teacher Science and Technology Enhancement (NIST) -

NIST will begin development of a program for professional

development of mathematics and science teachers in elementary, middle, and secondary schools.

Support Development of Necessary

Infrastructure

Public Telecommunications Facilities Planning & Construction (PTFP) (NTIA) - NTIA will assist public broadcast stations make an orderly transition to digital broadcasting through the awarding of competitive grants allowing them to convert from analog to digital formats, which

will provide incentives for more efficient operations and

allow broadcasting stations to meet the requirements and

deadlines for digital conversion as specified by the FCC.

As necessary, PTFP will continue to fund grants to replace basic equipment and provide assistance to rural

and other areas where financial assistance is lacking. It

is part of the President’s program to ensure that the benefits of public broadcasting continue for all our citizens.

Telecommunication Information Infrastructure Assistance

Program (TIIAP) (NTIA) - Provides grants to non-profit

and public organizations to demonstrate and promote the

practical application of new telecommunication and information technology that improve the quality of life and the

public’s access to education, health care, public safety,

and other community-based services. The new TIIAP funding ($2 million) is for applicants to explore Next Generation Internet (NGI) capabilities in the public and private

sector.

ments more rapidly, but will also have a means of obtaining

technical information on radio communication equipment

and approvals that can be used for future purposes.
II - 12 FY 2000 Annual Performance Plan

Part II - Priorities and Initiatives

Priorities and Initiatives

Components

B e ureau P ) rogram Increas Request ($ millions

N t IST Teacher Science and Technology Enhancemen $0.5

NTIA Public Telecommunications Facilities Planning and Construction 14.0

Telecommunications Information Infrastructure Assistance Program 2.0

Federal Spectrum Management Infrastructure 0.2

Total $16.7

Technology Infrastructure (cont.)
FY 2000 Annual Performance Plan II - 13

Part II - Priorities and Initiatives

Priorities and Initiatives

Assisting Distressed Communities

Rationale and Benefits

The Economic Development Administration (EDA) helps

distressed communities overcome barriers that inhibit the

growth of their local economies and limit their ability to

compete regionally, nationally, and globally. Our foremost objective is to create a climate conducive to the

development of private enterprise in America’s distressed

communities. Using EDA’s highly flexible programs for

public infrastructure, revolving loan funds, planning, technical assistance, and research, distressed communities

create jobs and stimulate growth. These program tools,

used together, can help prepare communities for rapidly

changing technologies and global competition.

As part of its Economic Adjustment Assistance Program,

the Department of Commerce will assist distressed communities recovering from sudden and/or severe economic

downturns such as, those caused by increased foreign

imports, industry downsizings, plant closings, environmental regulation, and natural disasters. Among other

activities, this program will assist communities in the

Northeast region with economic diversification and financial restructuring necessitated by federal restrictions imposed on the New England fishing industry. Commerce

proposes a total increase of $20 million for this program

in FY 2000.

Components

B e ureau P ) rogram Increas Request ($ millions

E s DA New England Groundfish Conservation Impact $5.0

Trade Related Impacts on Distressed Communities 15.0

Total $20.0
II - 14 FY 2000 Annual Performance Plan

Part II - Priorities and Initiatives

Priorities and Initiatives

Critical Infrastructure Protection

Rationale and Benefits

President Clinton signed Presidential Decision Directive

(PDD) 63 establishing the interagency Critical Infrastructure Protection program (CIP) to protect the Nation’s critical

infrastructures. The PDD calls for the creation of a National Infrastructure Assurance Plan over the next three

years to raise defenses primarily against cyber, but also

physical attack. In order to craft a comprehensive plan,

federal agencies need to form strong partnerships with

the private sector, which owns and maintains an estimated

90% of those critical entities vulnerable to attack.

The Commerce Department is proud to be assigned two

components of the CIP: the Critical Infrastructure Assurance Office (CIAO) and the lead agency role for the information and communications (I&C) sector. Housed in BXA,

the CIAO serves as the coordination mechanism for the

development of the public-private National Infrastructure

Assurance Plan. The Secretary designated NTIA to fulfill

the lead agency role for the I&C sector. NIST and NTIA

will carry out the research needed for I&C. Through its

leadership in the I&C sector, the Department will have

significant influence over how one of the largest sectors

of the U.S. economy will be protected from cyber terrorism.

Context

Critical infrastructures are those physical entities and

cyber-based systems essential to the minimum operations of the economy and government. They include, but

are not limited to, telecommunications, energy, banking

and finance, transportation, water systems and emergency services, both governmental and private. Advances

in technology and the necessity of improved efficiency

have allowed these infrastructures to become more automated and interlinked. Consequently, these same advances have created new vulnerabilities to equipment failures, human error, weather and natural disasters, and

physical and cyber threats.

By 2000, the U.S. shall have an initial operating capability to protect critical infrastructure. By 2003, the U.S.

should have achieved and shall maintain the ability to

protect the Nation’s critical infrastructure from intentional

acts that would diminish the ability of:

• the Federal Government to perform essential

national security missions and ensure the public

health and safety; and

• state and local governments to maintain order

and to deliver minimum essential public services;

and the private sector to ensure the orderly functioning of the economy and the delivery of essential telecommunications, energy, financial and

transportation services.

Components

B e ureau Program Increas Request ($ millions)

N y TIA Lead Agenc $2.5

CIP Research 0.8

Information Sharing Analysis Center 1.0

N h IST CIP Researc 3.0

Total $7.3
FY 2000 Annual Performance Plan II - 15

Part II - Priorities and Initiatives

Priorities and Initiatives

Critical Infrastructure Protection (cont.)

The CIAO, an interagency office housed in BXA, will provide support to the NSC National Coordinator’s work with

government agencies and the private sector in developing

a national plan for protecting critical infrastructure. The

CIAO is specifically charged by PDD-63 with integrating

the eight or more sector plans (including the information

and communications sector) into the National Infrastructure Assurance Plan; coordinating analysis of the U.S.

government’s own dependencies on critical infrastructures; and coordinating a National education and awareness program and legislative and public affairs.

In its role as lead agency for information and communications, NTIA will serve as the primary liaison to all entities

within the I&C sector. The agency will conduct in-depth

discussions and workshops with a broad cross section

of the I&C for the purpose of facilitating the identification

of a sector coordinator or several coordinators. Sector

coordinator’s activities are strictly voluntary. NTIA will

work with this person[s] to develop a sector plan that will

assess the vulnerabilities of the sector.

The lead agency requirement of coordinating a research

and development program involves both NTIA and NIST.

The two bureaus have put together a joint research plan

for CIP for the information and communications sector by

which they will conduct a coordinated program. The program is intended to address the perceived technology

shortfalls or gaps between existing I&C infrastructure technologies or those being addressed by current R&D programs, and the technologies needed to address all of the

identified vulnerabilities. NTIA will address threats to the

telecommunications infrastructure and NIST will address

the issues of making “security” a more measurable quality. Research will be conducted in the areas of modeling

and simulation tools for the I&C sector, reliability and

survivability, robustness, risk management, performance

tools, security testing and metrics, core research capabilities and best practices. This plan will provide a strategic overview based on the Administration’s priorities for

CIP as well as define research projects for FY 2000. It

will also ensure against a catastrophic infrastructure failure, reduce the level of ongoing loss from attacks and

failures, enhance the overall national economic security,

and reduce the direct and indirect costs associated with

infrastructure failures. NIST and NTIA will coordinate all

research with the Office of Science and Technology Policy

and CIAO.

P s rogram Increase G e oal it Support M t easur Targe

N n TIA-Lead Agency Advance the public interest i

telecommunications, mass

media and infrastructure

development

Remedial plan that addresses the

vulnerabilities to attacks in the I & C

sector

Eliminate

potential

vulnerabilities

N e TIA-Research S g ame as abov Establish a process for assessin

government telecom infrastructure;

identify protection strategies

Enhanced

government

and private

sector I&C

infrastructures

B w XA-CIAO Maintain a fully effective la

enforcement program and

protect U.S. national security,

foreign policy and public

safety

Investigations completed (#)

Enforcement outreach visits (#)

Investigations accepted for criminal

or administrative remedies (#)

End-use visits conducted (#)

1,300

900

80

680

N e IST-Research Assure and improv

measurements and standards

Rigorous annual peer review of the

technical quality and merit of the

NIST MSL conducted by the NRC

N/A

Measures and Targets Summary
II - 16 FY 2000 Annual Performance Plan

Part II - Priorities and Initiatives

Priorities and Initiatives

Digital Department

Rationale and Benefits

One of Secretary Daley’s top management priorities is to

transform the Department of Commerce into a national

leader in using technology to improve service to our customers. Modernizing the Department’s information technology infrastructure will expand the range of electronic options available to each bureau, establish Department-wide

systems, and enable Commerce to process and provide

information in the most convenient media for its customers.

Context

Commerce has hired a new Chief Information Officer (CIO)

to take on the responsibility of implementing the Digital

Department initiative. He will assist each bureau in efficiently using information technology to effectively manage and deliver its programs.

Components

Creating a Digital Department, a jointly funded effort through

the Working Capital Fund, will consist of:

• Creating a fiber optic backbone and unified network architecture for Herbert C. Hoover Building

and all other appropriate bureau buildings;

• Consolidating telecommunications infrastructure

across bureaus;

• Creating a central operations office run by one

bureau providing service to all DOC;

• Creating a smart-card based physical and information security access program; and

• Leveraging the knowledge base infrastructure to

ensure that all internal department documents are

electronically published, categorized, and easily

available.

Bureau-specific activities for this initiative consist of the following:

• PTO will reduce the cost and time required for submitting patent and trademark applications and accelerate decision-making on these applications,

making the whole process customer friendly and

easy to interface with electronically.

B e ureau P ) rogram Increas Request ($ millions

P s TO Trademark Processing Automation Internet Service [$5.3]

M e BDA Electronic Commerce - Phoenix Databas 0.3

I n TA Automated Tariff Informatio 0.5

B t XA Export Control Automated Support System Replacemen 2.0

N s TIA Radio Spectrum Measurement System 1.2

G s A - WCF Department-wide infrastructure and service [12.0]

Total $4.0
FY 2000 Annual Performance Plan II - 17

Part II - Priorities and Initiatives

Priorities and Initiatives

Digital Department (cont.)

• MBDA will expand the Phoenix Database which

matches minority-owned firms with opportunities

to participate in contracts and procurements. As

the database expands, so do the contract opportunities to be matched with businesses. MBDA

will also implement a Business Geographic Information System which will be used to deliver market information to minority firms via the Internet.

Any business having Internet access will be able

to search for business development resources by

selecting the type of resource needed and clicking

on a map or typing in the zip code.

• ITA will automate the U.S. Government's tariff

information services for exporters making the information up-to-date and comparable to information offered by the European Commission to European exporters. This enhancement will allow access to tariff/taxes and customs information for

over 60 countries, reducing response time to the

nearly 18,000 tariff inquiries received annually by

the Department.

• BXA will replace the existing Export Control Automated Support System (ECASS) which is costly

to maintain and was originally designed to run on

a mainframe computer using an obsolete database

management system. Since its design in 1984,

there have been countless advances in hardware,

database software, client server technology, networking, and communications which BXA will be

able to capitalize on with ECASS' replacement.

• NTIA will upgrade radio spectrum measurement

systems and equipment to allow better measurement tests on land and marine mobile radar bands

for more efficient allocation of federal spectra. It

will also improve research into wireless technology.

Measures and Targets Summary

The Digital Department initiative, if successfully implemented, will provide the necessary information technology support to ensure the success of the goals and performance measures discussed in the Annual Performance

Plan.
II - 18 FY 2000 Annual Performance Plan

Part II - Priorities and Initiatives

Priorities and Initiatives

Rationale and Benefits

The Chief Financial Officers Act of 1990 (CFO Act) and

the Government Management Reform Act of 1994 (GMRA)

were designed to improve overall financial management

practices of federal agencies. The Department’s ability

to produce reliable information on the costs of federal programs and activities has become extremely important for

reporting financial information.

The Department’s management is responsible for establishing and maintaining an internal control structure. The

objective of the internal control structure is to provide management with assurance that transactions are executed

in compliance with the laws, regulations, and any other

pronouncements that effect the financial statements. In

fulfilling this responsibility, management is required to

make estimates and judgments in order to assess the

expected benefits and related costs of internal control

structure policies and procedures.

A $2.1 million increase will target specific problems and

work to ensure the integrity of the Department’s financial

statements, thereby resulting in the attainment of 100%

unqualified financial audit opinions. The increase will also

help to provide an integrated financial management system to comply with federal accounting practices.

Clean Financial Audits

Context

Financial statement audits are rated on the following basis:

• Unqualified Opinion - The financial statement presents fairly, in all material aspects, the entity’s

financial position and results of operations.

• Qualified Opinion - Except for the effects of the

matter(s) to which the qualification relates, the

financial statements present fairly, in all material

respects, the entity’s financial position and results of operations.

• Adverse Opinion - The financial statements do

not present fairly the entity’s financial position or

results of operations.

• Disclaimer of Opinion - The auditor does not express an opinion on the financial statements.

To reach the Department’s goal of having a 100% unqualified opinion by FY 1999, the financial statement must

be free of any material misstatements and present fairly,

in all material aspects the Department’s financial position and results of operation.

Components

B e ureau P ) rogram Increas Request ($ millions

O s IG Perform Audit $1.1

I m TA Personal Property Inventory & Accountability Syste 1.0

P g TO Financial Management Systems and Reportin [2.6]

G S A - CAMS CAM [10.0]

Total $2.1
FY 2000 Annual Performance Plan II - 19

Part II - Priorities and Initiatives

Priorities and Initiatives

Clean Financial Audits (cont.)

The Inspector General will conduct audits of Departmental financial statements. PTO will develop and modify

financial management and reporting systems, adapt current operating procedures, and revise and develop new

reporting methodologies to capture and report on the additional budgetary and program cost information in an effective and cost efficient manner. All bureaus will contribute to the implementation of the Commerce Administrative Management System (CAMS).

T ) ype of Opinion F ) Y 1996 (actual F ) Y 1997 (actual FY 2000 (estimate

U 71 nqualified 1 51

Q 32 0 ualified

D 42 0 isclaimer

Measures and Targets Summary

Three of the unqualified opinions for FY 1997 were for the

balance sheet only and two of the qualified opinions were

for the balance sheets only.

ITA will adopt, and be “cross-serviced” by the Department

of the Interior’s Federal Financial System and ensure that

ITA financial data is recorded in accordance with financial

management requirements of the CFO Act. ITA will also

assure that personal property is inventoried and recorded

in accordance with the CFO Act.
II - 20 FY 2000 Annual Performance Plan

Part II - Priorities and Initiatives

Priorities and Initiatives

PTO as a Performance Based Organization

Rationale and Benefits

As part of the Administration’s efforts to make government work better and cost less, this initiative will enable

PTO to become a PBO, improving its ability to deliver

services to its customers on a level comparable with the

private sector. A PBO structure removes current federally imposed administrative burdens that prevent it from

operating like a business.

Context

PTO is a key component of Department of Commerce

efforts to help American businesses compete successfully in the increasingly technology-based global economy.

PTO plays a pivotal role in recognizing, protecting and

promoting the use of intellectual property rights through

patents and trademarks. PTO must become more efficient and effective in providing its services as product lifecycles become shorter.

PTO meets the threshold requirements for becoming a

PBO. It is revenue-producing and self-sustaining; involved

in a large number of business-type transactions with the

public and must have the capability of responding to the

needs of a growing market for its services which it cannot

control. The Administration will be submitting proposed

legislation to Congress, which would implement this priority and initiative -- thus transforming PTO into a PBO.

Components

The PBO would build upon PTO’s on-going efforts to: reduce processing time for patents, trademarks and information dissemination requests by enhancing production;

increase customer satisfaction through service quality improvement; increase organizational efficiency and effectiveness through consolidation of PTO office space; and

enhance executive direction and policy support functions.

Measures and Targets Summary

G e oal M t easur Targe

Grant exclusive rights, for limited times,

to inventors for their discoveries

Average cycle time of original

inventions processed (months)

10.2 ( FY 2000)

E n nhance trademark protection Pendency time to registratio

(months)

3.0 to first action, 13.8 to

disposal/registration (FY 2000)
FY 2000 Annual Performance Plan III - 1

Part III - Economic Development Administration

Enabling Legislation

The Economic Development Administration (EDA) was

established under the Public Works and Economic Development Act of 1965 (42 U.S.C. 3121) and reauthorized

for five years by the Economic Development Administration Reform Act (P.L. 105-393), to generate new jobs,

help retain existing jobs, and stimulate industrial and commercial growth in economically-distressed areas of the

United States.

Bureau Context

EDA helps distressed communities overcome barriers that

inhibit the growth of their local economies and limit their

ability to compete effectively regionally, nationally and globally. Our foremost objective is to create a climate

conducive to the development of private enterprise

in America’s distressed communities.

Rapidly changing technology, production, and trade patterns constantly create new challenges for diverse local

and regional economies. While some communities benefit, others are left behind. Economic prosperity at the

national level is not evenly distributed. Many communities lack the resources to keep pace with change or to

prepare for the technologies driving world commerce.

EDA targets assistance to communities in transition to

solve problems of substantial and persistent economic

deterioration, as well as significant near-term economic

dislocations brought about by sudden and severe

changes in local economic conditions. EDA does not

predetermine the types of projects funded each year,

but responds to local and state priorities based on locally developed strategies. Its investments in some instances produce immediate results, such as construction jobs or averting the loss of a major employer. In

other cases, permanent jobs, private sector investment,

and increased tax base are realized over a period of years.

EDA supports three Commerce themes: economic infrastructure, science and technology, and resource management and stewardship. EDA’s strategic goals are

to:

• Create jobs and private enterprise in

distressed communities

• Build local capacity to achieve and

sustain economic growth

EDA has the necessary tools and experience to meet

the changing needs and challenges of America’s communities. Using EDA’s highly flexible programs for public infrastructure, revolving loan funds, planning, technical assistance, and research, distressed communities

create jobs and stimulate growth. These program tools,

used together, can help prepare communities for rapidly

changing technologies and global competition. In FY

2000, EDA will invest:

• $347 million to enhance partnerships for

community and regional economic

development

• $12 million for community economic

adjustment to help communities and firms

adjust to changing trade patterns

• $3.4 million for disaster mitigation and recovery

as part of the Natural Disaster Reduction

Initiative

• $1.6 million for National Program Analysis and

Information Consolidation (or clearinghouse)

Priorities and Initiatives

Assisting Distressed Communities - EDA continues to

help distressed communities recover from sudden and/or

severe economic downturns such as those caused by

increased foreign imports, international trade agreements,

industry downsizings, plant closings, environmental regulations, and natural disasters.

Economic Development Administration

· Assisting

Distressed

Communities
III - 2 FY 2000 Annual Performance Plan

Part III - Economic Development Administration

Organizational Structure

Office of the Assistant

Secretary

Office of the

Chief Counsel

Office of Finance

and Administration

Office of Program

Operations

Office of

Congressional Liaison

& Program Research

& Evaluation

Accounting

Information Systems

and Administration

Liquidation

Budget

Compliance Review

Planning & Development

Assistance

Public Works

Research & National

Technical Assitance

Operations Review and

Analysis

Communications &

Congressional Liaison

Regional Offices

U.S. Department of Commerce

Economic Development Administration

Economic Adjustment

Economic Development Administration

· Assisting

Distressed

Communities
FY 2000 Annual Performance Plan III - 3

Part III - Economic Development Administration

Resource Requirements Summary

$393 million ($364 million for Economic Development Assistance

Programs, $29 million

for S & E)

Goal: Create jobs and private enterprise in economically distressed communities

Permanent jobs created or retained 6,675 by FY 2003

33,376 by FY 2006

66,753 by FY 2009

Private dollars invested $0.19 billion by FY 2003

$0.95 billion by FY 2006

$1.98 billion by FY 2009

State and local matching funds committed for EDA projects $114 million by FY 2000

Percent of public works and economic adjustment construction 20% for FY 2000

and revolving loan fund grants in areas of highest distress

Goal: Build community capacity to achieve and sustain economic growth

Percent of sub-state jurisdiction members actively participating 75% by FY 2000

in the Economic Development District Program

Percent of Economic Development Districts and Indian tribes grantees 75% by FY 2000

organizations whose Comprehensive Economic Development Strategy

(CEDS) is on time and acceptable

Percent of clients rating technical assistance received as a 7 75% by FY 2000

on a 1 to 10 scale

Percent of clients rating trade adjustment assistance 75% by FY 2000

received as a 7 on a 1 to 10 scale

Number of research and technical assistance results 5 annually

published or presented nationally each year

Percent of local technical assistance and economic adjustment 20% for FY 2000

strategy grants in areas of highest distress

Certification processing time for trade impacted firms 90% for FY 2000

Measures and Targets Summary

Measure Target

IT Requirements: Upgrade database management systems,

develop new grantee

performance management system

272 FTEs

Skills: Economic development, planning, legal, engineering, technology, environmental (includes all

EDA FTE – 265 direct, 7

reimbursables)

Economic Development Administration

· Assisting

Distressed

Communities
III - 4 FY 2000 Annual Performance Plan

Part III - Economic Development Administration

Create jobs and private enterprise in economically

distressed communities

Rationale for/Comments on Performance Goal

National economic prosperity is not evenly distributed.

Areas experiencing high unemployment, low income levels, long-term economic decline or other severe economic problems often lack resources to create jobs or

respond well to rapidly changing technology, production,

and trade patterns.

Currently available economic statistics show that approximately 13.7 percent of the population, or 36.5 million

people, live in poverty (U.S. Bureau of the Census, 1996).

EDA targets assistance to communities with unemployment rates one percent or more above the national average, and per capita incomes less than or equal to 80

percent of national per capita income.

EDA also helps communities respond to severe changes

in local economic conditions resulting from a wide range

of factors, including the loss of major employers, defense

downsizing and base closures, trade impacts, and natural disasters. Strategic investments in public infrastructure and local capital markets can help distressed communities create and retain jobs, stabilize and diversify

local economies, and generate future growth.

Jobs Created

Jobs

Year

 Target

Data Validation and Verification

Target: 66,753 by FY 2009

Data source: Grantee performance reports

Frequency: 3, 6 and 9 years after grant award

Baseline: Program evaluation conducted by

Rutgers, et al. (1997) (See Appendix 5)

Data storage: EDA database (OPCS) under development.

Verification: EDA will conduct periodic performance reviews and site visits to

verify data. During FY 1999, EDA will

conduct a pilot review of 58 construction projects completed in FY 1993

and 44 revolving loan fund projects

approved in FY 1993. EDA will work

with Rutgers to provide training for

EDA grantees and staff on valid methods for reporting and verifying data.

Comment: The Rutgers’ evaluation documented

long-term outcomes for EDA public

works and revolving loan fund projects.

EDA will report on outcomes for FY 2000

grants in FY 2003, FY 2006 and FY

2009 (See Appendix 5).

6,675

66,753

33,376

0

10,000

20,000

30,000

40,000

50,000

60,000

70,000

80,000

2003 2006 2009

Economic Development Administration

Outcome Measure: Number of permanent

jobs created or retained in distressed

communities as a result of EDA grants

· Assisting

Distressed

Communities
FY 2000 Annual Performance Plan III - 5

Part III - Economic Development Administration

Create jobs and private enterprise in economically

distressed communities (cont.)

Outcome Measure: Private sector dollars

invested in EDA projects

— Private Sector Dollars Invested —

 Target

$ Billions

Year

Outcome Measure: State and local dollars

committed to EDA-funded projects

Data Validation and Verification

Target: $1.9 billion by FY 2009

Data source: Grantee performance reports

Frequency: 3, 6 and 9 years after grant award

Baseline: Program evaluation conducted by

Rutgers, et al. (See Appendix 5)

Data storage: EDA database (OPCS) under development

Verification: EDA conducts periodic performance reviews and site visits to verify data. During FY 1999, EDA will conduct a pilot

review of 58 construction projects completed in FY 1993 and 44 revolving loan

fund projects approved in FY 1993.

EDA will continue to work within the con

text of the ongoing Rutgers pilot review

and evaluation to provide training for EDA

grantees and staff on valid methods for

reporting and verifying data.

Comment: The Rutgers’ evaluations documented

long-term outcomes for EDA public

works and revolving loan fund projects

(See Appendix 5). EDA will report on

outcomes for FY 2000 grants in FY 2003,

FY 2006, FY 2009.

Data Validation and Verification

Target: $114 million by FY 2000

Data source: Grantee applications and progress reports.

Frequency: At time of grant award and project

completion

Baseline: Program evaluation conducted by

Rutgers, et al. (See Appendix 5)

Data storage: EDA database (OPCS)

Verification: EDA verifies non-federal funds committed to projects prior to disbursement of

grant funds.

Comment: EDA will report FY 1999 commitments

in FY 2000.

1.9

0.19

0.95

0

0.2

0.4

0.6

0.8

1

1.2

1.4

1.6

1.8

2

2003 2006 2009

Economic Development Administration

· Assisting

Distressed

Communities
III - 6 FY 2000 Annual Performance Plan

Part III - Economic Development Administration

Interim Measure: Percent of public works and

economic adjustment construction, and

revolving loan fund grants awarded in areas of

highest distress

Create jobs and private enterprise in economically

distressed communities (cont.)

Data Validation and Verification

Target: 20% of FY 2000 grants

Data Source: Bureau Labor Statistics and 1990

Census

Frequency: Quarterly

Baseline: FY 98 Projects

Data Storage: EDA OPCS Database

Verification: Statistical data is based on the

Bureau of Labor Statistics

employment data and 1990 Census

income data. EDA will sample

projects quarterly to ensure

accurate reporting.

Comment: Some EDA public works and

economic adjustment special impact

areas, multi-county grants, and Indian

tribes will not have data. Consistent

with draft regulations, “highest

distress” is defined in this reporting

period as two-year unemployment

rates above 9% , or per capita income

at 60% and below the national per

capita income, or special need.

Process Measure: Application processing time

for public works and economic adjustment

construction, and revolving loan fund grants

Data Validation and Verification

Target: Reduce the application process by 6%

annually for public works and

economic adjustment construction,

and revolving fund grants.

Data Source: Regional inputs of completed

applications that are numbered and

accepted, and finalized.

Frequency: Quarterly

Baseline: FY 98 Projects

Data Storage: EDA OPCS Database

Verification: EDA will sample projects quarterly to

ensure accurate reporting.

Comment: Process time varies by EDA program.

EDA is committed to continue

streamlining the application process.

Percent in Highest Distress Areas

16.5%

17.0%

17.5%

18.0%

18.5%

19.0%

19.5%

20.0%

20.5%

FY

1998

FY

1999

FY

2000

FY

2001

FY

2002

FY

2003

Year

Percent

Target

Economic Development Administration

30% Percent Reduction of

 Application Processing Time Over 5 Years

0%

20%

40%

60%

80%

100%

FY 1998 FY 1999 FY 2000 FY 2001 FY 2002 FY 2003

Year

Percent

Target

For the process measure Application processing time

for public works and economic adjustment construction,

and revolving loan fund grants, the baseline is 97.5 median days. This is based on preliminary analysis of FY

1998 data. EDA will review the processes for data entry

and do further analysis to refine the baseline and target.

· Assisting

Distressed

Communities
FY 2000 Annual Performance Plan III - 7

Part III - Economic Development Administration

Create jobs and private enterprise in economically

distressed communities (cont.)

Activity Strategies

Means and Strategies:

Strategic investments in public infrastructure and local

capital markets help distressed communities overcome

barriers to economic growth. EDA public works and revolving loan fund grants provide flexible financing to implement locally-developed strategies addressing the unique

set of economic conditions, needs, opportunities, and

constraints within each community.

Public Works

Provide construction grants for economic development projects in distressed communities.

Build or rebuild public infrastructure (roads, water,

sewer, and other infrastructure) to support the establishment or expansion of commercial and industrial facilities in distressed communities.

Help communities upgrade technology infrastructure and training facilities to prepare for a technology-based economy.

Redevelop abandoned or under-utilized industrial

sites and facilities, including “brownfields” to restore employment and private investment in distressed areas.

Support resource recovery and sustainable development initiatives.

Economic Adjustment

Provide construction and revolving

loan fund grants to implement economic adjustment strategies in response to sudden job loss and severe economic distress.

Help communities avert the loss of major employers through flexible financing to modernize aging

plant and equipment, introduce new technologies,

products and markets, and increase productivity.

Help communities recover from the loss of a major

employer(s) through investments to stabilize and

diversify the local economy.

Target flexible financing and modern infrastructure

of growth industries and new enterprise in distressed communities.

Defense adjustment and disaster recovery.

EDA programs strengthen the economic infrastructure

of the Nation’s most distressed communities. In addition, they encourage communities to explore different

approaches and strategies to develop employment and

private enterprise, depending on local needs and priorities. Strategic investments through EDA’s flexible program tools include, but are not limited to:

Economic Development Administration

· Assisting

Distressed

Communities
III - 8 FY 2000 Annual Performance Plan

Part III - Economic Development Administration

Create jobs and private enterprise in economically

distressed communities (cont.)

Housing and Urban Development and Department

of Agriculture in EZ/EC implementation programs

• Brownfields – EDA was the first agency to partner

with EPA on brownfields redevelopment

• President’s Council on Sustainable Development

- EDA participates in conferences, program

prioritization, and policy discussions

• Indian and Alaskan Native Village Economic Development, White House Conference on Building

Economic Self-Determination in Indian Communities – EDA will work with other departments to

study the technology infrastructure needs of Indian communities and to develop a strategic plan

for coordinating economic development activities

for Native American and Alaska Native communities

• Regional Planning - EDA is an active participant

in the Council on Environmental Quality in developing federal policy on urban sprawl, smart growth

and regionalization

EDA has established interagency agreements with most

of these and other agencies to define roles in funding

related project activities or initiatives. EDA will begin a

systematic review of interagency agreements and performance measures for crosscutting programs/initiatives

in FY 1999.

Crosscutting Activities – Department-Wide

EDA’s FY 2000 budget calls for increased collaboration

with other Commerce programs. To bring complementary strengths and skills to prepare distressed communities for technology-based economy, EDA colloborates with

the Technology Administration (TA), National Institute of

Standards adn Technology (NIST), National Telecommunications Information Administration (NTIA) and Minority

Business Development Agency (MBDA). Other examples

of Commerce coordination and colloboration include:

• TA/Nist on Manufacturing Extension Partnership

(MEP)

• NTIA on telecommunications and information infrastructure grants

• MBDA on business assistance services

• Economics and Statistics Administration (ESA)

on economic conversion information

• National Oceanic and Atmosphere Administration

(NOAA) on a natural disaster reduction initiative,

and a sustainable development initiative

Crosscutting Activities – Other Federal Agencies

• Environmental Protection Agency (EPA) –

brownfields redevelopment and air quality

• Department of Defense Office of Economic Adjustment (OEA) – defense adjustment

• Department of Energy (DOE) – community adjustment to energy lab closures

• Department of Labor (DOL) – community defense

and trade adjustment

• Federal Emergency Management Agency

(FEMA) - disaster mitigation, recovery, and training

• U.S. Army Corp of Engineers (USACE) – postdisaster economic recovery projects

• Appalachian Regional Commission (ARC) – community economic development in the 13 state ARC

service area

• Empowerment Zone/Enterprise Community (EZ/

EC) – EDA is an active partner and investor with

Economic Development Administration

· Assisting

Distressed

Communities
FY 2000 Annual Performance Plan III - 9

Part III - Economic Development Administration

Create jobs and private enterprise in economically

distressed communities (cont.)

Resource Requirements Summary

$285 million for public works and economic construction, and revolving loan funds (subtotal

of $364 million for EDA programs)

Skills: Economic development policy, project management, legal, engineering, environmental

IT Requirements: Upgrade database for project management and performance measures

• Changes in national or regional economic conditions that impact business growth and investment

decisions in communities receiving EDA assistance affect program outcomes. Natural disasters, national priorities, and other major events can

create a special need or unanticipated demand

for EDA assistance. These special needs or unanticipated demands can alter the mix of projects

funded each year. EDA does not predetermine

the types of projects funded, but responds to local and state priorities based on locally developed

strategic plans. This limits EDA’s ability to anticipate the exact mix of project types that will be

funded in any given year. The Rutgers studies

found that performance varies by type of project

(see Appendix 5).

External Factors

Economic Development Administration

· Assisting

Distressed

Communities
III - 10 FY 2000 Annual Performance Plan

Part III - Economic Development Administration

Build local capacity to achieve and sustain economic

growth

Rationale for/Comments on Performance

Goal

Economic development is a local process. The federal

role is to help distressed communities build capacity to

identify and overcome barriers that inhibit economic

growth. EDA’s approach is to support local planning and

long-term partnerships with state and regional organizations that can assist distressed communities with strategic planning and investment activities. This process

helps local communities set priorities, determine the viability of projects, and leverage outside resources to

improve the local economy and sustain long-term growth.

EDA funds projects based on sound local planning, and

requires communities to provide local or state matching

funds for EDA projects.

Recent evaluations of EDA’s public works and defense

adjustment programs (See Appendix 5) show that EDA

planning and technical assistance play a significant role

in the successful completion and outcomes of its infrastructure and revolving loan fund projects.

Data Validation and Verification

Target: 75% of FY 2000 clients assisted by

University Centers rate technical assistance as 7 or higher on a scale of 1 to

10

Data source: Grantee client surveys/reports

Frequency: Annual

Baseline: FY 1999

Data storage: EDA database (OPCS) under development

Verification: EDA will conduct periodic performance

reviews and site visits including interviews

with clients.

Comment: Evaluation process to be developed in

FY 1999.

Outcome Measure: Percent of clients satisfied

with technical assistance provided for local

economic and business development

Economic Development Administration

Outcome Measure: Percent of sub-state

political jurisdiction members actively

participating in the Economic Development

District program

Data Validation and Verification

Target: 75% by FY 2000

Data source: Regional Office Staff Inputs

Frequency: Annual

Baseline: FY 1999

Data storage: EDA database (OPCS) under

development

Verification: EDA will conduct periodic performance

reviews and site visits including

interviews with clients.

Comment: Evaluation process to be developed in

FY 1999

Outcome Measure: Percent of Economic

Development Districts and Indian tribes’

grantee organizations whose Comprehensive

Economic Development Strategy (CEDS) is on

time and acceptable

Data Validation and Verification

Target: 75% by FY 2000

Data source: Regional Office Staff Inputs

Frequency: Annual

Baseline: FY 1999

Data storage: EDA database (OPCS) under

development

Verification: EDA will conduct periodic performance

reviews and site visits including

interviews with clients.

Comment: Evaluation process to be developed in

FY 1999

· Assisting

Distressed

Communities
FY 2000 Annual Performance Plan III - 11

Part III - Economic Development Administration

Build local capacity to achieve and sustain economic

growth (cont.)

Outcome Measure: Number of research and

national technical assistance results published

or presented nationally each year

— Publications and Presentations —

# 5555

1998 1999 2000 2001

5

Year 2002

Data Validation and Verification

Target: 5 annually

Data source: Grantee Reports

Frequency: Annual

Baseline: 5, based on FY 1997 reports published

and presented

Data storage: EDA’s Research & National TA Program

office

Verification: EDA will verify by obtaining publications

and monitoring national presentations.

Comment: Program evaluations and performance

measurement are priorities for EDA’s

research and national technical assistance program (See Appendix 5).

Outcome Measure: Percent of clients satisfied

with assistance provided for trade adjustment

assistance to firms

Data Validation and Verification

Target: 75% of FY 2000 clients assisted by

Trade Adjustment Assistance Centers

rate trade adjustment assistance as 7

or higher on a scale of 1 to 10.

Data source: Grantee client surveys/reports.

Frequency: Annual

Baseline: FY 1999

Data storage: EDA database (OPCS) under development

Verification: EDA will conduct periodic performance

reviews and site visits including inter

views with clients.

Comment: Evaluation process to be developed in

FY 1999.

Percent in Areas of Highest Distress

16%

17%

18%

19%

20%

21%

FY 1998 FY 1999 FY 2000 FY 2001 FY 2002 FY 2003

Year

Percent

Target

Interim Measure: Percent of local technical

assistance and economic adjustment strategy

grants awarded in areas of highest distress

Data Validation and Verification

Target: 20% of FY 2000 grants

Data Source: Bureau Labor Statistics and 1990

Census

Frequency: Quarterly

Baseline: FY 98 Projects

Data Storage: EDA OPCS Database

Verification: Statistical data is based on the

Bureau of Labor Statistics

employment data and 1990 Census

income data. EDA will sample

projects quarterly to ensure accurate

reporting.

Comment: Highest distress is defined in this

reporting period as two-year

unemployment rates above 9% , or per

capita income at 60% and below the

National per capita income, or special

need.

Economic Development Administration

· Assisting

Distressed

Communities
III - 12 FY 2000 Annual Performance Plan

Part III - Economic Development Administration

Economic Development Administration

Build local capacity to achieve and sustain economic

growth (cont.)

Means and Strategies

EDA builds capacity for strategic

planning and investment activities

through a national network of 320

Economic Development Districts

(EDDs), 64 Indian tribes, 69 University Centers, and 12 Trade Adjustment Assistance Centers (TAACs).

These programs work in unison to:

1) enhance local capacity, and 2)

remove barriers to economic growth.

Distressed communities often lack

the professional staff and technical

expertise required to support the effective planning of economic development programs. Through a network of regional planning organizations and technical assistance centers, EDA’s planning and technical

assistance programs are providing

distressed communities and firms

with the technical assistance and the

professional staff needed to spur

economic development growth.

Grants to support strategic planning

and technical assistance providers.

Percentage of strategic plans incorporating trade or technology initiatives.

Percent of firms with increased sales

or employment following completion

of TAAC program.

Percent of grantees doing business

on the World Wide Web.

Development of an EDA web page

to disseminate national research and

other pertinent materials dealing with

economic development.

EDA provides research and national

technical assistance grants for cutting edge research; evaluations that

provide practical, up-to-date information on the effectiveness of tools

for economic competitiveness; and

for the dissemination of information

to institutions, communities and entities engaged in enhancing

America’s economic competitiveness.

It is often difficult to obtain access

to research, best practices and new

knowledge about economic development issues and problems affecting distressed communities and diverse local economies. This program sponsors new research and

encourages state and local practitioners to share information

Number of national and regional conferences supported by EDA.

Improved use of EDA’s website to

share information and research findings.

Means or Activity Strategy or Rationale Output Indicators

Planning and Technical Assistance:

National Program Analysis and Information Collection:

Process Measure: Certification processing

time for trade impacted firms.

20% Percent Reduction of Processing Time 

Over 5 Years

0%

50%

100%

FY 1998 FY 1999 FY 2000 FY 2001 FY 2002 FY 2003

Year

Percent

Target

Data Validation and Verification

Target: Reduce the certification processing

time by 5% annually.

Data Source: OPCS

Frequency: Quarterly

Baseline: FY 98 Projects

Data Storage: EDA OPCS Database

Verification: EDA will sample projects quarterly to

ensure accurate reporting.

Comment: EDA is committed to continue

streamlining the certification process

for trade impacted firms.

· Assisting

Distressed

Communities
FY 2000 Annual Performance Plan III - 13

Part III - Economic Development Administration

 Crosscutting Activities – Department-wide

See Crosscutting Activities under the goal “Create jobs

and private enterprise in economically distressed communities” on page III-8.

 Crosscutting Activities – Other Federal Agencies

See Crosscutting Activities under the goal “Create jobs

and private enterprise in economically distressed communities” on page III-8.

Resource Requirements Summary

$79 million for EDA Capacity Building programs (subtotal of $364 million for EDA programs)

Skills: economic development policy,

planning, and program analysis

IT Requirements: New Web system,

new grantee database

 External Factors

Changes in national or regional economic conditions,

natural disasters, or other major events can affect resources available for planning and technical assistance activities. Research outcomes cannot be predicted.

Build local capacity to achieve and sustain economic

growth (cont.)

Economic Development Administration

· Assisting

Distressed

Communities
III - 14 FY 2000 Annual Performance Plan

Part III - Economics and Statistics Administration

Economics and Statistics Administration

· Decennial

Census

· Statistical

Infrastructure

Bureau Context

The Economics and Statistics Administration (ESA) is

the agency where economic and societal change is

chronicled, understood and explained. Many of the

Nation’s decisions are based upon the economic and

demographic information that the agency produces. ESA’s

mission is to:

• Help maintain a sound federal statistical system

that monitors and measures America’s rapidly

changing economic and social arrangements

• Improve understanding of the key forces at work in

the economy and the opportunities they create for

improving the well-being of Americans

• Develop new ways to disseminate information using the most advanced technologies

• Support the information and analytic needs of the

Commerce Department, the Executive Branch, and

the Congress.

ESA’s headquarters has two main roles: economic policy

analysis and data dissemination. ESA’s staff and programs provide vital information, analysis, and advice to

Commerce and other Executive Branch departments,

agencies, and officials. ESA’s staff economists conduct

research on the factors contributing to U.S. industrial

strength and the relationship between industry performance and economic growth, including studies on the

economic importance of manufacturing and service industries, and on the scope and economic impacts of electronic commerce.

ESA has developed STAT-USA, an easy to use, “onestop shop” for data dissemination that provides a focal

point for business, economic, and trade statistics. STATUSA uses advanced information technologies to meet

private sector demands for information products, including STAT-USA/Internet. Through STAT-USA, ESA also

provides specialized information services to Government

agencies.

Organizational Structure

ESA comprises the Office of the Under Secretary, the

Bureau of Economic Analysis (BEA) and the Bureau of

the Census. While BEA and the Bureau of the Census

both report to the Under Secretary, they are funded through

separate appropriations. In the development of the AnUNDER SECRETARY

Deputy Under

Secretary

Bureau of

Economic

Analysis

Policy

Support

STAT-USA

Bureau of

the Census

ESA Headquarters includes the Office of the Under Secretary and policy

support staffs, and STAT-USA, which is funded through ESA’s revolving

fund.

nual Performance Plan (APP), ESA has separated the

bureau-level discussions of BEA and the Bureau of the

Census to maintain the distinction of their bureaus and

the delineation of their budget appropriations. However,

because of the consistency of the goals and performance

measures of the Bureau of the Census economic group

and BEA, the subsequent goal-level discussion is integrated.
FY 2000 Annual Performance Plan III - 15

Part III - Economics and Statistics Administration

The Bureau of the Census

· Decennial

Census

· Statistical

Infrastructure

Enabling Legislation

Title 13 of the United States Code establishes a Bureau

of the Census and provides for various surveys and

censuses and the confidentiality thereof.

Section 401 of Executive Order 12656 directs the

Secretary of Commerce to provide for the collection and

reporting of census information on human and economic

resources, and to maintain a capability to conduct

emergency surveys to provide information on the status

of these resources as required for national security.

Parts 30-100 of Title 15 of the Code of Federal Regulations

contain regulations for foreign trade statistics, training of

foreign participants in census procedures and general

statistics, special services and studies, cutoff dates for

recognition of boundary changes for the Decennial Census,

furnishing personal census data from census of population

schedules, procedures for challenging certain population

and income estimates, and the official Bureau seal.

Bureau Context

The Bureau of the Census’ mission is to be the

preeminent collector and provider of data about

the people and economy of the United States. The

goal is to provide the best mix of timeliness, relevancy,

quality, and cost for the data collected and services

provided. The data provided by the Bureau of the

Census shape important policy decisions that help

improve our Nation’s social and economic conditions:

• Bureau of the Census data provide the basis for

estimating gross domestic product and leading economic indicators.

• They determine the apportionment of Congressional

seats, as mandated in the Constitution.

• They inform us about education, income, and health

care coverage.

• They are used by national, state, and local governments to formulate policy.

• They are used by large corporations and local businesses to devise their domestic and global strategies.

The credibility, expertise, and high statistical standards

of the Bureau of the Census routinely elicit response

rates of 90-95 percent for household surveys and 80

percent for business surveys. This allows the Bureau

of the Census to provide the most accurate and reliable

information available.

The Bureau of the Census has developed four bureauwide strategies to achieve its mission. All goal-level

strategies fall within one, or a combination, of these

bureau-wide strategies:

• Valuing our employees

• Innovating in our work

• Responding to our customers

• Improving public cooperation

The Bureau of the Census has identified key challenges

for 2000:

• Launch Census 2000 on April 1, 2000, capture data

from 130 million questionnaires and release state

population totals for apportionment by 12/31/00 as

required by law.

• Collect sufficient year 2000 American Community

Survey (ACS) data to provide a nationwide comparison of the ACS and Census 2000 data. The

ensuing analysis will enable Census to eliminate

the long form questionnaire from the 2010 Census.

Priorities and Initiativess

Decennial Census - To enable Congressional

apportionment and distribute $180 billion in federal grants,

the Bureau of the Census will plan for and conduct the

Decennial Census in the year 2000.

Statistical Infrastructure - With ESA and BEA, the Bureau

of the Census is leading the initiative to enhance the

Nation’s statistical infrastructure.
III - 16 FY 2000 Annual Performance Plan

Part III - Economics and Statistics Administration

The Bureau of the Census

National Performance Review

Vice President Gore’s National Partnership for Reinventing

Government (NPR), seeking to make government

improvement more visible to the American public,

designated 32 agencies as High Impact Agencies. As

one of these High Impact Agencies, the Bureau of the

Census has committed to quality, timeliness, relevancy,

and cost goals that will deliver superior service to the

public. This performance plan demonstrates the means

and strategies to achieve that objective.

Organizational Structure and Business

Processes

The Bureau of the Census’ core business is conducting

large-scale censuses and surveys. Consequently, the

Bureau is organized according to the subjects covered

by these censuses and surveys, primarily: Economic programs, Demographic programs, and the Decennial Census program.

· Decennial

Census

· Statistical

Infrastructure

Director

Deputy Director and Chief Operating Officer

Associate Director

Communications

Principal Associate Director

And Chief Financial Officer

Principal Associate Director

for Programs

Associate Director for Economic

Programs

Associate Director for Decennial

Census

Associate Director for

Demographic Programs

Associate Director for

Methodology and Standards

Associate Director for

Finance and Administration

Associate Director for Information

Technology

Associate Director for Field

Operations
FY 2000 Annual Performance Plan III - 17

Part III - Economics and Statistics Administration

How big is the Census?

• 275 million residents, 118 million housing units in the

United States alone, 1.5 million housing units in Puerto

Rico and the U. S. Island Areas

• 2.7 million applicants recruited, 300,000 jobs at peak,

475 Local Census Offices, 12 Regional Census Centers and 4 Data Processing Centers, 500 local area

networks, 6,000 personal computers and 1,500 printers

• 8 million maps needed for field work, 79 million questionnaires returned within a two week period, 8 to 9

million blocks covered

Major Milestones of the Census

• Beginning mid-March 2000 : Census questionnaires

delivered

• April 1, 2000: CENSUS DAY

• March-May 2000: Census takers visit housing units in

rural and remote areas to drop off and/or pick up forms

• April-June 2000: Census takers visit housing units

that did not return census forms. This is referred to as

“non-response follow-up.”

• October-November 2000: All field work completed

• December 31, 2000: Apportionment counts delivered

to the President

• April 1, 2001: All states receive redistricting counts

The Bureau of the Census

· Decennial

Census

· Statistical

Infrastructure

CUSTOMERS

- CENSUS BUREAU

PROGRAMS

- OTHER FEDERAL

AGENCY PROGRAMS

- STATE, LOCAL,PUBLIC,

CUSTOMERS

1. SURVEY/CENSUS

 DESIGN &

SPECIFICATIONS

2. SAMPLE

SELECTION

3. PREPARE FOR

DATA COLLECTION

4. DATA COLLECTION/

 ENTRY

 5. DATA PROCESSING

PUBLICITY

 &

FEEDBACK

HOUSEHOLDS & BUSINESSES

QUESTIONNAIRES

 &

 RESPONSE

6. DATA DISSEMINATION -

DATA ANALYSIS,

REPORT PREPARATION,

DATA PRODUCTS

CENSUS AND SURVEY OPERATIONS
III - 18 FY 2000 Annual Performance Plan

Part III - Economics and Statistics Administration

The Bureau of the Census

Measures and Targets Summary

Performance measures reflect the Bureau of the Census’ delineation along three data types: Economic, Demographic, and

Decennial. Each of these three data types is evaluated along three performance criteria: accuracy, timeliness, and relevancy (customer satisfaction). Cost parameters govern the best mix of these three criteria. BEA and the Bureau of the

Census’s economic census data group, who have a high degree of collaboration, share goals and performance measures.

Goal: Provide quality data

Measure

Decennial: Net population undercount

Economic: Accuracy score

Demographic: Percent of household surveys attaining 100 percent of reliability

specifications**

Demographic: Percent of household surveys with initial response rates greater than

90 percent***

Target

0.1%*

TBD

100%

100%

Goal: Provide timely and relevant data

Measure

Decennial: Meet all Census 2000 published data release milestones on time

Decennial: Qualitative independent evaluations

Economic: Meet all principal economic indicator published release dates on time

Economic: Customer satisfaction ranking****

Demographic: Reduce time between data collection and data release for selected household surveys

Qualitative customer evaluation

Target

100% on time

NA

100% on time

>4 (5 point scale)

5 % annual decrease

NA

* Assumes sampling for non-response and the integrated coverage measurement survey (ICM). This APP was developed before

the recent Supreme Court ruling and assumes the use of sampling in the 2000 Census. Under that assumption, we are

requesting a total Decennial budget of $2.8 billion, a $1.78 billion increase above FY 1999, for census implementation and

associated audits. The Census Bureau will develop a plan in light of the Supreme Court ruling and estimates of any associated

costs. This plan will include the use of statistical methods, as appropriate, to provide the most accurate census data

possible.

** Reliability: A series of statistical measurements that define the precision of a survey; e.g., standard error, coefficient of variation,

and sample design effect.

*** Excludes household expenditure surveys.

**** This is a Bureau of Economic Analysis measure that is affected by the performance of Census economic programs.

Resource Requirements Summary

$3.3 billion ($3.1 billion

discretionary; $10 million

mandatory; $185 million

working capital fund)

64,208 FTEs

Skills: Statistics, Computers,

HR/Financial/Facilities/Clerical, Data Processing

IT Requirements:

$362 million for mission-critical infrastructure and architecture

· Decennial

Census

· Statistical

Infrastructure
FY 2000 Annual Performance Plan III - 19

Part III - Economics and Statistics Administration

Bureau of Economic Analysis

· Statistical

Infrastructure

Enabling Legislation

The predecessor of the Bureau of Economic Analysis

(BEA) — the Bureau of Foreign and Domestic Commerce

— was established under 15 U.S.C. 171 et seq., which

provides the authority and responsibility for the functions

of BEA. The following U.S. Code citations also apply:

• 15 U.S.C. 1516 provides the Secretary of Commerce

with authority to gather and distribute statistical information.

• 22 U.S.C. 286f provides that the President shall

make available balance of payments information as

required by the Bretton Woods Agreement Act. BEA

was assigned responsibility by Executive Order No.

10033, as amended, and subsequent Departmental delegation for the collection of certain balance of

payments data and the publication of the U.S. balance of payments accounts.

• 22 U.S.C. 3101 et seq. provides that the President

shall undertake mandatory surveys of U.S. direct

investment abroad and foreign direct investment in

the United States. BEA was assigned responsibility for the direct investment surveys under this act

by Executive Order No. 11961 and subsequent Departmental delegation.

Bureau Context

Reliable and consistent measures of economic activity

are essential to the decision-making of business people

and policymakers, and to the efficient operation of financial

markets. The mission of BEA is to produce and

disseminate accurate, timely, relevant, and cost-effective

economic accounts statistics that provide government,

businesses, households, and individuals with a

comprehensive, up-to-date picture of economic activity.

As the Nation’s accountant, BEA develops measures and

systems for collecting and interpreting vast amounts of

diverse data from government and private sources. BEA

combines and transforms those data into a consistent

and comprehensive picture of economic activity, which is

summarized by the estimates of gross domestic product

(GDP). BEA’s national, regional, and international

economic accounts form much of the core of the federal

statistical system, which in turn is critical to sound

economic decisions by businesses, individuals, state and

local governments, and federal institutions, such as the

Treasury Department and the Federal Reserve. These

data provide many of the yardsticks by which the health

and potential of the economy are judged. They affect

every American who runs a business, saves for retirement,

or takes out a mortgage. BEA data are also essential to

the Federal government, providing information for policy

development.

The major issue confronting BEA is the need to improve

the accuracy and reliability of its economic accounts

estimates. For example, there has been growing concern

in the economic community over the “statistical

discrepancy,” i.e., the difference between GDP, as

measured by final expenditures for the goods and services

produced by the U.S. economy, and gross domestic

income (GDI), an alternative output measure that is derived

by totaling the costs incurred and the incomes earned in

the production of those goods and services. The

discrepancy between these measures, which in theory

should be equal, calls into question the accuracy of BEA’s

estimates. BEA is pursuing many initiatives to improve

the accuracy and reliability of its estimates, including

working with the Bureau of the Census, the Bureau of

Labor Statistics, and other source data agencies to provide

comprehensive coverage of services and other new and

rapidly expanding sectors of the U.S. economy.

Priorities and Initiativess

Statistical Infrastructure — BEA supports the Statistical

Infrastructure initiative. Changes in the economy, loss of

key source data, the need to update existing source data,

and other economic measurement problems are major

factors that affect the accuracy and coverage of BEA’s

economic accounts. BEA proposes to address these

issues by undertaking source data improvement initiatives

that will provide better measures of (1) services and other

key product-side components and (2) compensation and

other key income-side components.
III - 20 FY 2000 Annual Performance Plan

Part III - Economics and Statistics Administration

· Statistical

Infrastructure

Bureau of Economic Analysis

Organizational Structure

Measures and Targets Summary

BEA and the Bureau of the Census’s economic census data group, who have a high degree of collaboration, share

goals and performance measures.

Goal: Provide quality data

Measure

Accuracy score (as determined by evaluation

system - on a scale of 100)

Goal: Provide timely and relevant data

Measure

Mean Customer Satisfaction Rating

 (on a scale of 1 to 5)

Percent of scheduled releases on time

Target

>85

>4

100%

Resource Requirements

$49 million

475 FTEs

Skills: Economists, Accountants, Statisticians,

Computer Specialists

IT Requirements:

Optimum performance of LAN system requires:

• Re-engineering of critical applications

• Construction of comprehensive database architectures

• Implementation of secure electronic bridges to data suppliers & customers

• Development of effective analytical tools

International

Investment Division

Regional Economic

Measurement

Division

Associate Director

for Industry

Accounts

Inter-industry

Economics Division

Director

Associate Director

for International

Economics

Balance of

Payments Division

Associate Director

for R egional

Economics

Regional Economic

Analysis Division

Associate Director

for National

Income,

Expenditure, and

W ealth Accounts

National Income

and W ealth

Division

Government

Division

Deputy Director

Chief

Statistician

Chief

Economist
FY 2000 Annual Performance Plan III - 21

Part III - Economics and Statistics Administration

ESA: Census and BEA

Provide quality data

Rationale for/Comments on Performance

Goal:

Accurate measures of our Nation’s economic activity and

demographic composition are critical to the efficient allocation of resources through political appropriation and private

markets. Their impact can be seen in federal budget projections, where a downward revision of 0.5 percentage points

in real GDP growth — roughly the size of the difference

between income- and product-side GDP estimates in recent years — can cause projected budget deficits to increase by $200 billion over 5 years. Over $110 billion in

federal grants to states are directly linked to BEA’s estimates of regional income and product. The Bureau of the

Census’ Census 2000 determines voting districts and Congressional representation.

In large part, the success of BEA and Census is measured

by public trust in the quality of their data. The scope of

Census’ information collection activities is unmatched and

not easily replicated. Although there is no lack of quick

polling and national studies by firms with strong reputations, the foundation for most of these studies is Bureau of

the Census data. The accuracy and scope of the Bureau

of the Census data provide benchmarks against which to

judge the accuracy of other surveys.

Improving data quality is fundamental to the Secretarial objective of enhancing our Nation’s statistical infrastructure.

Census has been designated a High-Impact Agency by

the National Partnership for Reinvention of Government

(NPR). The Bureau of the Census’ NPR quality goal for

Census 2000 will be achieved by executing the most complete and accurate census ever at the lowest possible cost

to taxpayers.

5.4

4.1

3.1

2.7

1.2

1.8

0.1

0

1

2

3

4

5

6

1940 1950 1960 1970 1980 1990 2000

Percent Net Undercount 1940-2000

*

* Corresponding measure from 1990 Post Enumeration Survey is 1.6

Data Validation and Verification

Data collection: During the Integrated Coverage Measurement (ICM) quality check, people

counted in the ICM will be compared

with those enumerated in the census.

After the matching is completed, a field

interview will reconcile selected cases.

Following that, the Bureau will use statistical procedures to produce a “onenumber” census and meet the net

undercount performance target.

Frequency: The measure will be obtained at the

conclusion of the ICM.

Data storage: Internal Census databases

Verification: The Bureau will adhere to a documented

statistical methodology that is documented and reported publicly.

Comments: The success of the ICM will mean the

performance measure has been attained.

Census 2000 Data Quality

Measure: Net population undercount

· Decennial

Census

· Statistical

Infrastructure

This APP was developed before the recent Supreme Court

ruling and assumes the use of sampling in the 2000 Census. Under that assumption, we are requesting a total

Decennial budget of $2.8 billion, a $1.78 billion increase

above FY 1999, for census implementation and associated audits. The Census Bureau will develop a plan in

light of the Supreme Court ruling and estimates of any

associated costs. This plan will include the use of statistical methods, as appropriate, to provide the most accurate census data possible.
III - 22 FY 2000 Annual Performance Plan

Part III - Economics and Statistics Administration

ESA: Census and BEA

Provide quality data (cont.)

Demographic Data Quality

Measure: Percentage of household surveys

attaining 100% of specified reliability

measures

Year 1997 1998 1999 2000 2001

Target 100% 100% 100% 100% 100%

Actual 100% TBD TBD TBD TBD

Data Validation and Verification

Data collection: Performance measure data on reliability

is collected, calculated and assessed as

the surveys are tabulated.

Frequency: Performance measures are available at

the time of a survey’s public data

release.

Data storage: Survey performance data are in Census

Bureau data bases and are published in

public press releases and data reports

(Source and Reliability Statements in

every release)

Verification: The Bureau maintains and adheres to

methodological standards that are

documented and reported publicly.

Comment: Reliability measurements are a series of

statistical measurements that define the

precision of a survey; e.g., standard error,

coefficient of variation, and sample

design effect. The customer and the

Census Bureau jointly determine

reliability specifications before the survey

is commissioned.

Economic Census/BEA Data Quality

Measure: Accuracy score (as determined by

comprehensive evaluation system) on a scale

of 100

Data Validation and Verification

Target: >85 - Evaluation system is under

development; thus, performance targets

are preliminary.

Data collection: Data to be evaluated are major

aggregate estimates regularly produced

and publicly released by BEA.

Frequency: Measure will be compiled annually.

Data storage: Estimates to be evaluated are publicly

released by BEA and are available in

news releases, in the Survey of Current

Business, and on BEA’s Internet site.

Verification: BEA’s estimates are a matter of public

record, and its methodology for

evaluating the data will be made

available.

Comment: Although the measure will be evaluated

by BEA, it will also serve as a

performance measure / target for the

economic Census data group as their

data collection procedures contribute to

the ultimate success in attaining quality

statistical measures. Predetermined

(and documented) evaluation scheme

will be applied to estimates of major

aggregates in BEA’s economic accounts

to produce a numerical score

(maximum=100). The evaluation will

take into account the coverage and

timeliness of the source data; the

reliability of the estimate in measuring

the level, changes, and composition of

economic activity; and the compliance of

the source data and methods with

current statistical standards.

· Decennial

Census

· Statistical

Infrastructure

Year 1997 1998 1999 2000 2001

Target NA NA 85 (est.) >85 >85
FY 2000 Annual Performance Plan III - 23

Part III - Economics and Statistics Administration

Measure: Percentage of household surveys

with initial response rates >90%

Year 1997 1998 1999 2000 2001

Target 100% 100% 100% 100% 100%

Actual 100% TBD TBD TBD TBD

Data Validation and Verification

Data collection: Response rates are monitored as the

responses are collected in the field.

Frequency: Performance measures are available at

the time of a survey’s public data

release.

Data storage: Survey performance data are in Census

Bureau data bases and are published in

public press releases and data reports

(Source and Reliability Statements in

every release)

Verification: The Bureau maintains and adheres to

methodological standards that are

documented and reported publicly.

Comment: Some household surveys are designed

to follow respondents when they move to

new locations. These “longitudinal

design” surveys typically have response

rates that decline below the 90% initial

rate over time. These lower rates are

reported when data are released. This

measure excludes household

expenditure surveys.

Provide quality data (cont.) • Decennial

Census

• Statistical

Infrastructure

ESA: Census and BEA

©Joe Sohm/Chromosohm/Stock Connection/PNI
III - 24 FY 2000 Annual Performance Plan

Part III - Economics and Statistics Administration

Provide quality data (cont.) • Decennial

Census

• Statistical

Infrastructure

Means and Strategies

ESA: Census and BEA

Strategy or Rationale Means or Activity Output Indicators

Census 2000 Data Quality

U r se Technology Intelligently •Digital “capture” of forms fo

reading handwriting and faster

processing

•Sophisticated “matching” software

for quality control

Successful implementation of these

strategies will be evident by adherence to

the following calendar year 2000 key

milestones for Census 2000:

• Reach budgeted mail response rate

(67%) by 4/27/00

• Reach non-response follow-up of 90%

for all census tracts by 6/8/00

• Complete ICM procedures by 11/22/00

Deliver State population counts by

12/31/00

Use Statistical Methods (This APP was

developed before the recent Supreme

Court ruling and assumes the use of

sampling in the 2000 Census. The

Census Bureau will develop a plan in

light of the Supreme Court ruling and

estimates of any associated costs. This

plan will include the use of statistical

methods, as appropriate, to provide the

most accurate census data possible.)

• Using sampling to gather

information from nonrespondents

• Use a large-scale quality check

survey – the Integrated Coverage

Measurement Survey – to produce a

“one- number” census.

Build Partnerships at every stage of the

process - Enhance address file

• Build partnerships with the U.S.

Postal service to increase access to

addresses

Build Partnerships at every stage of the

process – Contract out

• Contract with world class

companies for advertising and

promotion, data capture and facilities

management

• Use private sector partnerships for

major census processes

Economic Census / BEA Data Quality

Economic Census: Data Collection

Increase coverage of services sector

industries

• Conduct new Information and

Financial industry surveys

• Collect and provide more detailed

measures and financial data for

selected industries

• Collect and provide annual

estimates for construction industries

and improved coverage of

nonresidential reconstruction

• Collect and provide expenditure and

investment information from state and

local governments.

• % coverage rate increase

BEA: Statistical Measures

Develop new and improved measures of

output (real GDP) and prices

• Extend quality adjustments to more

products

• Develop new concepts and

methods for measuring difficult-tomeasure and rapidly-growing goods

and services

• Develop new and updated source

data for key components

• Improve chain-weighted analytical

devices

• Improve real GDP-by-industry and

real gross state product estimates

• Incorporate improved CPI data

• Further implementation of NAICS

classification system

• Develop independent estimates for

not-for-profit sector

• # of new quality adjustments

implemented

• # of improvements implemented

• # of key components addressed

• # of improvements implemented

• # of improvements implemented

• # of improved CPI indexes used

• Volume of data on NAICS basis

• % of nonprofit sector accounted for
FY 2000 Annual Performance Plan III - 25

Part III - Economics and Statistics Administration

Provide quality data (cont.) · Decennial

Census

· Statistical

Infrastructure

Means and Strategies (cont.)

Strategy or Rationale Means or Activity Output Indicators

Economic Census / BEA Data Quality

BEA: Statistical Measures

Provide updated measures

of the Nation’s investment,

saving, and wealth

• Expand empirical work on used asset prices

• Improve treatment of computer software in

economic accounts

• Change in value of capital stock

• Change in value of software

Provide improved measures

of U.S. international trade

and finance

• Publish more detailed data on trade in services

between U.S. companies and their foreign

affiliates

• Incorporate NAICS in benchmark survey results

• Extend annual selected services surveys to

collect key data quarterly

• Eliminate gaps and overlaps between direct and

portfolio investment

• Develop means for collecting data on

derivatives and new financial instruments

• Develop estimates of understated exports and

imports of goods

• Change in number of service

categories covered

• Volume of data on NAICS basis

• Increase in frequency of data updates

• Change in value of international

investments

• Volume of data collected

• Increase in estimated exports and

imports of selected goods

Demographic Data Quality

Develop innovative

measures to reduce nonresponse

• Investigate the use of incentives to respond • Report on incentives to respond

Test alternative questionnaire

designs to improve response

rate

• Sample households nationwide to develop

improved methods

• Report on success of alternative

questionnaire

Improve employee /

respondent contact to

increase response

• Participate in new employee “goal sharing” to

determine better performance incentives for field

interviewer staff

• Report on better performance

incentives

ESA: Census and BEA
III - 26 FY 2000 Annual Performance Plan

Part III - Economics and Statistics Administration

Provide quality data (cont.)

Crosscutting Activities

• BEA, the Bureau of the Census, the Bureau of Labor Statistics (BLS), and the Internal Revenue Service (IRS): BEA works closely with source data

agencies, including Census, BLS, and the IRS, to

make them aware of BEA’s data needs and to encourage their cooperation in meeting those needs.

• Interagency Council on Statistical Policy: Under the

auspices of the Office of Management and Budget,

both BEA and the Bureau of the Census are major

participants in the Interagency Council on Statistical Policy, which works to improve collaborative activities of federal statistical agencies. Activities of

the council have led to standardization of data and

concepts, transfers of technology, methodology exchange, collaborative research, process improvement, improved customer service, reduced respondent burden, and infrastructure sharing.

• Additionally, the Bureau of the Census participates

in numerous non-statistical federal agency activities, such as being a data supplier, a survey collection resource, and an advisory and research resource.

External Factors

• The Congress has required the Bureau of the Census to develop an alternative to the sampling methodology. The alternative – if mandated by Congress

– will not achieve the net undercount performance

measure.

• While improvements in BEA’s estimation methods

can offset some of the deficiencies in the source

data, BEA’s ability to move forward with improvements in its economic accounts is constrained by

the quality and availability of the source data produced by other government agencies and private

organizations.

• Survey non-response rates continue to rise, perhaps affected by public perception. The Bureau of

the Census’ strategies address segments of this

problem. Many aspects of public non-response are

beyond the Bureau of the Census’ control.

Resource Requirements

· Decennial

Census

· Statistical

Infrastructure

$3.3 billion ($3.1 billion

discretionary; $10 million

mandatory; $185 million

working capital fund)

64,208 FTEs

Skills: Statistics, Computers,

HR/Financial/Facilities/Clerical, Data Processing

IT Requirements:

$362 million for mission-critical infrastructure and architecture

ESA: Census and BEA
FY 2000 Annual Performance Plan III - 27

Part III - Economics and Statistics Administration

Provide timely and relevant data

Rationale for/Comments on Performance

Goal:

To meet the needs of their users, BEA and the Bureau of

the Census must produce and disseminate timely and

relevant data. No matter how high the quality of the estimate is, the data are of no use until they are available to

the data users. Thus, BEA and Census strive to release

their estimates as soon as reasonably possible, to publish a schedule of future release dates, and to consistently meet that schedule. In addition, the usefulness of

BEA’s estimates depends on how well they meet the

needs of the broad range of data users. Therefore, achieving a high level of customer satisfaction is an important

measure of the success of BEA’s programs.

Providing relevant economic data in a timely manner supports the Secretary’s initiative to enhance the Nation’s

statistical infrastructure. It is vital that the most meaningful economic measures be promptly available to the

business people, policymakers, and ordinary citizens who

rely on them to make intelligent decisions. As a High

Impact Agency, the Bureau of the Census will improve

the timeliness and relevancy of its data by fostering partnerships and implementing internal reinvention.

Census 2000 Data Timeliness and Relevancy

Timeliness Measure: 100% of legally

mandated data releases made on schedule

Milestone

Release state population totals

for apportionment

Release tabulations for redistricting (P.L. 94-171)

Date

12/31/01

3/31/00

Data Validation and Verification

Data collection: Data/evaluation release dates will be

published in advance

Frequency: As scheduled

Data storage: Public data releases and through public

(Internet) access to the Bureau’s Data

Access and Dissemination System

Verification: By comparison with published

schedule(s)

Relevancy Measure (Customer Satisfaction):

Independent evaluations

Data Validation and Verification

Target: Not applicable

Data collection: Data/evaluation release dates will be

published in advance

Frequency: As scheduled

Data storage: Public data releases and through public

(Internet) access to the Bureau’s Data

Access and Dissemination System

Verification: By comparison with published

schedule(s)

Comment: Independent evaluations will provide

qualitative input into determining

customer satisfaction and relevancy.

Evaluations will be carried out by Bureau

Directorates independent of the

Decennial Census Directorate.

Statistical quantitative measures are a

key feature of these evaluations.

Primarily, these evaluations are used for

demographic analysis and form the

basis for designing the next Decennial

Census. Progress toward incorporating

these evaluations can be observed in

adherence to the Bureau’s evaluation

schedule.

· Decennial

Census

· Statistical

Infrastructure

ESA: Census and BEA
III - 28 FY 2000 Annual Performance Plan

Part III - Economics and Statistics Administration

Provide timely and relevant data (cont.)

Data Validation and Verification

Data collection: Annual schedule of BEA release dates

as published each December in the

Survey of Current Business and BEA

records of actual release dates.

Frequency: Measure will be compiled annually;

however, because releases are issued

throughout the year, the measure can be

evaluated at any time.

Data storage: BEA’s Current Business Analysis

Division maintains a schedule of next

year’s release dates and records of

actual release dates. Both sets of

information are publicly available on

BEA’s Internet site.

Verification: Records of scheduled and actual

release dates are a matter of public

record.

Comment: BEA’s release schedule, covering about

50 releases in the coming calendar year,

is made public each December. It is

available in the Survey of Current

Business, in BEA releases, on the BEA

web site, and by request. In those rare

cases where a scheduled release date

must be changed, the change is publicly

announced as far in advance as

possible. For purposes of computing

this measure, a release whose date has

been changed is considered on time if

(1) the new date was publicly announced

one month or more in advance of the

originally scheduled date, and (2) the

actual release meets the new date.

While BEA maintains this measure, the

Census economic program affects the

performance.

Relevancy Measure (Customer Satisfaction):

Mean customer satisfaction rating (on scale

of 1 to 5)

Year 1997 1998 1999 2000 2001

Target NA NA >4.0 >4.0 >4.0

Data Validation and Verification

Data collection: BEA customer satisfaction survey

(under development).

Frequency: TBD

Data storage: Survey will be conducted and results

analyzed by BEA. Raw data and all

computations leading to final results

will be retained by BEA.

Verification: Survey results will be reported by BEA in

its annual Customer Satisfaction

Report, published in each September

issue of the Survey of Current

Business.

Comment: BEA is developing a new customer

satisfaction survey that it will use in FY

1999. This new survey will use a rating

scale of 1 to 5. This survey will ask

customers to evaluate such factors as

the accessibility, timeliness, quality,

usefulness, and pricing of BEA’s

products and services. BEA is also

exploring other means of gathering

information on customer satisfaction,

such as customer comment cards.

Although this is a BEA measure, it is

affected by the performance of Census

economic programs.

Timeliness Measure: % of scheduled

releases issued on time

Year 1997 1998 1999 2000 2001

Target 100% 100% 100% 100% 100%

Actual 100% 100% TBD TBD TBD

· Decennial

Census

· Statistical

Infrastructure

Economic Census / BEA Data Timeliness and

Relevancy

ESA: Census and BEA
FY 2000 Annual Performance Plan III - 29

Part III - Economics and Statistics Administration

Data Validation and Verification

Target: Expect 5% minimum annual

improvement; up to 33% per above chart

in recent years

Data collection: Data collection dates are published in

advance. These set the baseline for

release dates

Frequency: As scheduled

Data storage: Census Bureau databases and public

data releases

Verification: By comparison with past release dates.

Official responses to customers will

verify customer satisfaction.

Comment: Many long-standing household surveys

have reached optimal release times,

e.g., the monthly Current Population and

Housing Vacancy Surveys. This

measure addresses newer surveys and

survey supplements, such as the Survey

Income and Program Participation and

the Survey of Program Dynamics.

Provide timely and relevant data (cont.)

General, Non-Quantitative Relevancy

Measure (Customer Satisfaction): Qualitative

feedback and evaluation

Data Validation and Verification

Data collection: Data collection dates are published in

advance. These set the baseline for

release dates.

Frequency: As scheduled

Data storage: Census Bureau databases and public

data releases

Verification: By comparison with past release dates.

Comment: Regular interactions with customers are

the primary source for information on

relevancy and customer satisfaction.

Feedback and evaluation comes from

Congress, and other federal agencies

who legislate or plan and implement

programs. Our customers in most

cases are also our cooperative partners

in the statistical, and demographic

analysis professions. The measure of

our customer success lies in the open,

regular, professional and often daily

interactions - a circumstance not

quantifiable in a meaningful way.

However, this constant interaction leads

to a continuous evaluation process built

into our operations.

· Decennial

Census

· Statistical

Infrastructure

Demographic Data Timeliness and

Relevancy

Timeliness Measure: Annual reduction from

time of data collection to data release for

selected household surveys

Survey Income and Program Participation - Core Data

Target (months) 18 12 8 NA

Survey of Program Dynamics

Target (months) 18 15 12 NA

Year 1998 1999 2000 2001

ESA: Census and BEA
III - 30 FY 2000 Annual Performance Plan

Part III - Economics and Statistics Administration

• Decennial

Census

• Statistical

Infrastructure

Provide timely and relevant data (cont.)

Means and Strategies (Address both timeliness and relevancy)

ESA: Census and BEA

Strategy or Rationale Means or Activity Output Indicator

Census 2000 Data Timeliness and Relevancy

Build partnerships at

every stage of the

process

• Develop partnerships with:

- state, local, and tribal governments to correct address

lists, publicize the census, alert us to problems

- Community groups to communicate with their

constituents

• Use private sector partnerships for major census

processes

Successful implementation of these

strategies will be evident by

adherence to the following calendar

year 2000 key milestones for Census

2000:

• Reach budgeted mail response rate

(67%) by 4/27/00

• Reach non-response follow-up of

90% for all census tracts by 6/8/00

• Complete ICM procedures by

11/22/00

Simplify the means to

respond to the census

and use technology

intelligently to ensure high

initial response rate

• Develop user friendly, simplified questionnaires

• Develop multiple ways to respond and to get

assistance

• Digital “capture” of forms for reading handwriting and

faster processing

• Sophisticated “matching” software for quality control

• Contract to world class companies for advertising and

promotion, data capture and facilities management

• Use private sector partnerships for major census

processes

Economic Census/BEA Data Timeliness and Relevancy (Customer satisfaction and cooperation)

Economic Census: Data

Collection

•Implement a small company Ombudsman as a single

point of contact for small companies

# of small companies served by

ombudsman

Focus on assisting small

business

•Establish partnerships with business groups # of new partnerships with business

groups

Reduce respondent

burden

• Establish a Large Company Reporting unit and

establish electronic links with companies

# of company visits to gather and

share information

Increase “digital” data

collection

• Expand electronic reporting; e.g. data collection on

diskette, internet formats, new software tools

# of companies filing electronically

BEA: Statistical Measures

Reduce respondent

burden

• Develop electronic filing of BEA’s surveys of direct

investment and international services

# of survey responses received

electronically

Increase efficiency of

data transfers

• Develop standardized data transfer and on-line

interactive editing and processing systems for source

data across national, regional, and international

programs

# of critical processing systems reengineered

ESA: Data Dissemination

Increase customer

accessibility (with BEA)

• Deliver data products to a wide range of customers

through Internet and other electronic gateways, such as

STAT-USA

• # of downloads

• # of customer subscriptions

Provide information on

economic events and the

workings of the economy

• Provide information, analyses, and guidance on

pending economic policy decisions

• Use STAT-USA as a focal point for business,

economic, and trade data dissemination

• # of studies and analyses

• # of subscriptions to STATUSA/Internet -- 1998 Actual = 4161,

1999 Estimate = 5161, 2000

Estimate = 6161

• 15% reduction in posting delay of

time-sensitive economic news

• improvement in customer

satisfaction

Demographic Data Timeliness and Relevancy

Improve data accessibility Provide data in easily accessible forms, focusing on the

internet for immediate user access

• # of internet hits

• Increased amount of data available

on-line

Increase value to

respondents

Distribute “give-back” information brochures about local

communities

# of surveys which use informational

and promotional materials to enhance

respondent understanding and

cooperation
FY 2000 Annual Performance Plan III - 31

Part III - Economics and Statistics Administration

Provide timely and relevant data (cont.)

 Crosscutting Activities

• Economic and Export Agencies: STAT-USA originates few of the many thousands of files in its information base. Rather, it obtains files from major

economic agencies in the government (BEA, Census, BLS, and the Federal Reserve) and agencies

providing export information (Census, ITA, State

Department, and others). STAT-USA also provides

information technology (IT) solutions to other Commerce agencies to help them meet their IT needs

• The Bureau of the Census and the Bureau of Labor

Statistics (BLS): Scheduling of BEA’s releases is

based on the availability of source data provided by

other agencies, including the Bureau of the Census

and BLS.

• The Bureau of the Census participates in numerous non-statistical federal agency activities such

as being a data supplier, a survey collection resource, and an advisory and research resource.

 External Factors

• The Congress has required the Bureau of the Census to develop an alternative to the sampling methodology for Census 2000. Implementation of the

non-sampling alternative, or additional Congressional

content and procedural directives, including funding or timing restrictions, may adversely affect the

operation schedule of the Census and the Bureau’s

ability to meet timeliness targets.

• This APP was developed before the recent Supreme

Court ruling and assumes the use of sampling in

the 2000 Census. Under that assumption, we are

requesting a total Decennial budget of $2.8 billion,

a $1.78 billion increase above FY 1999, for census

implementation and associated audits. The Census Bureau will develop a plan in light of the Supreme Court ruling and estimates of any associated costs. This plan will include the use of statistical methods, as appropriate, to provide the most

accurate census data possible.

• Getting businesses to respond electronically to improve timeliness depends on their voluntary cooperation and technological capabilities.

Resource Requirements

· Decennial

Census

· Statistical

Infrastructure

$3.3 billion ($3.1 billion discretionary; $10 million mandatory; $185

million working capital fund)

64,208 FTEs

Skills: Statistics, Computers, HR/

Financial/Facilities/Clerical, Data

Processing

IT Requirements: $362 million for

mission-critical infrastructure and

architecture

ESA: Census and BEA

• The ability of BEA to meet its news release schedule could be affected by events beyond its control.

Any releases delayed because of such extreme conditions would be excluded from the performance

measure.

• The ability of BEA to conduct a customer satisfaction survey depends on funding availability, OMB

approval of the survey, and customer cooperation in

voluntarily responding. Failure to conduct the survey would greatly limit BEA’s means of documenting its success in serving its customers.
III - 32 FY 2000 Annual Performance Plan

Part III - International Trade Administration

International Trade Administration

Enabling Legislation

The International Trade Administration’s (ITA’s) export promotion authority has six principal bases: “Organic” authority enacted in 1903, Reorganization Plan No. 3 of 1979,

the Export Administration Amendments Act of 1985, the

Omnibus Trade and Competitiveness Act of 1988, the

Export Enhancement Act of 1992, and the Jobs Through

Trade Expansion Act of 1994.

ITA’s trade law enforcement authority has the following

principal bases. The Anti-Dumping and Countervailing

Duty (AD/CVD) program is authorized by the Tariff Act of

1930, as amended. The Foreign Trade Zones (FTZ) program is authorized by the Foreign Trade Zones Act of

1934. The Insular Watch Assembly program is authorized by P.L. 97-446, as amended. The Florence Agreement program is authorized by the Educational, Scientific, and Cultural Materials Importation Act.

Bureau Context

ITA’s mission is to help U.S. companies sell products and services abroad in support of U.S. jobs at

home.

During this decade, exports have accounted for almost

one-third of real U.S. economic growth. They are expected to continue to grow faster than overall economic

activity for the remainder of the decade. A prosperous

economic future will be even more dependent on the ability of American firms to compete in world markets.

Exports support over 11 million U.S. jobs, including one

in five manufacturing jobs, and have been responsible for

nearly two million new jobs in the past four years alone.

In recent years, export-related jobs have grown approximately six times faster than total employment, and are

paying wages that are on average 15 percent higher than

the average U.S. wage.

On a cautionary note, American’s demand for imports is

strong as U.S. firms globalize their production, and in

addition, foreign producers find the U.S. market very attractive. Thus, progress in lowering the trade deficit will

require an export growth rate above historical levels.

High-Impact Agency: In his August 7, 1998 memorandum, “Taking Stock of Progress Toward Year 2000 HighImpact Agency (HIA) Goals,” Vice President Gore designated an ITA program unit, the U.S. and Foreign Commercial Service (US&FCS), a High Impact Agency. The

priorities and initiatives and ITA’s GPRA Annual Performance Plan goals are compatible with the HIA Goals

assigned to US&FCS.

Priorities and Initiatives

Broadening Trade – Increase emphasis on key emerging

markets in Africa and Latin America. Expand US&FCS

in the Asia-Pacific Region, conduct a new commercial

initiative in the Caspian Region, and enhance the USEAC

Network. Implement aggressive trade compliance programs in Market Access and Compliance (MAC) and

Import Administration (IA). Implement a Standards Attaches program.

Statistical Infrastructure - Together with Census, ITA will

develop additional detailed trade data at the state and

local level and for the Services sector.

Digital Department - Introduce an ITA-wide electronic commerce initiative. Establish an automated tariff quick-service program.

Clean Financial Audits - Develop personal property inventory and accountability systems.

• Statistical

Infrastructure

• Broadening

Trade
FY 2000 Annual Performance Plan III - 33

Part III - International Trade Administration

Organizational Structure

International Trade Administration

• Statistical

Infrastructure

• Broadening

Trade

COUNSELOR TO THE

DEPARTMENT

TRADE PROMOTION

COORDINATING

COMMITTEE

SECRETARIAT

OFFICE OF LEGISLATIVE

AND INTERGOVERNMENTAL

AFFAIRS

OFFICE OF PUBLIC

AFFAIRS

CHIEF FINANCIAL OFFICER

AND DIRECTOR OF

ADMINISTRATION

CHIEF COUNSEL FOR

INTERNATIONAL

COMMERCE

UNDER SECRETARY FOR

INTERNATIONAL TRADE

DEPUTY UNDER SECRETARY

FOR INTERNATIONAL TRADE

ASSISTANT SECRETARY

AND DIRECTOR GENERAL

OF THE U.S. AND FOREIGN

COMMERCIAL SERVICE

DEPUTY ASSISTANT

SECRETARY

ASSISTANT SECRETARY

FOR MARKET ACCESS

AND COMPLIANCE

DEPUTY ASSISTANT

SECRETARY

ASSISTANT SECRETARY FOR

TRADE DEVELOPMENT

DEPUTY ASSISTANT

SECRETARY

ASSISTANT

SECRETARY FOR

IMPORT

ADMINISTRATION

CHIEF COUNSEL FOR

IMPORT

ADMINISTRATION

Measures and Targets Summary

Dollar Value of Market Openings 38% increase over FY 1999

New-to-Export Firms 3% increase over FY 1999

New-to-Market Firms

Counseling Sessions

3% increase over FY 1999

1% increase over FY 1999

Dollar Value of Gross Exports Supported 5% increase over FY 1999

 Goal: Enforce U.S. trade laws and agreements to promote free and fair trade

Goal: Increase the number of small business exporters

Goal: Implement the President’s National Export Strategy in conjunction with the Trade Promotion Coordinating Committee (TPCC)

Measure Target

Goal: Strengthen and institutionalize ITA’s trade promotion and trade advocacy efforts

$305.4 Million

Resource Requirements Summary

2,383 FTEs

Skills: In-depth knowledge of international and domestic trade laws and regulations, in addition to country/industrysector expertise; specialized knowledge

of and experience in export marketing

and promotion, foreign trade practices,

and foreign government trade programs

and policies.

IT Requirements:

$19.1 Million for IT

Infrastructure and

related mission

systems
III - 34 FY 2000 Annual Performance Plan

Part III - International Trade Administration

International Trade Administration

• Statistical

Infrastructure

• Broadening

Trade

Enforce U.S. trade laws and agreements to promote free

and fair trade

Rationale for/Comments on Performance

Goal:

This goal supports the Broadening Trade initiative as follows:

• ITA’s Import Administration (IA) unit impartially enforces U.S. antidumping and countervailing duty

(AD/CVD) laws to ensure that American businesses

and workers face a level playing field in the domestic market versus foreign competitors.

• IA’s Subsidy Enforcement Office coordinates the

Administration’s subsidies enforcement efforts to

ensure that U.S. exporters are not harmed by subsidized foreign competition.

• ITA’s Market Access and Compliance (MAC) unit

identifies existing and potential market access problems. MAC also initiates U.S. government action

to overcome market access obstacles within different countries and regions.

• A key element in these efforts is ITA’s Trade Compliance Center (TCC) , which monitors foreign compliance with over 250 trade agreements the U.S.

has in force.

Measure: Value of market openings

This measure reflects the dollar value of opening world

markets to U.S. exports by reducing and eliminating barriers to trade. Companies experiencing difficulty in accessing a foreign market engage MAC’s help to gain entry. The Trade Compliance Center (TCC) works in conjunction with MAC’s regional units in solving compliance

problems.

Data Validation and Verification

Target: $1.1 Billion (FY 2000)

Source: Companies benefiting from market

access sessions

Frequency: Annually, by fiscal year

Data storage: TCC will store and publish data

Verification: Market access officers working on each

case provide information from the

company on the nature of the access

problem, estimated project value, status

reports on the case and outcome. The

data is then compiled and added to a

MAC-wide compliance database

maintained by the TCC. ITA plans to

improve its data verification processes

through the use of a private sector

consultant.

Means and Strategies

• MAC’s region and country specialists aid companies in getting the fully benefit of agreements that

other countries have signed with the United States.

The Trade Compliance Center (TCC) works in conjunction with MAC’s regional units, other parts of

Commerce, and U.S. embassies overseas in solving compliance problems and actively searching

for violations covered by international trade agreements that the U.S. has signed.

0

500

1,000

1,500

2,000

2,500

1997 1998 1999 2000 2001

Millions of Dollars

Baseline

Actual Target

©Richard Hamilton Smith/AllStock/PNI
FY 2000 Annual Performance Plan III - 35

Part III - International Trade Administration

Enforce U.S. trade laws and agreements to promote free

and fair trade (cont.)

Crosscutting Activities

• U.S. Trade Representative (USTR): ITA works with

the USTR to develop strategies for solving market

access disputes. IA works closely with U.S. industry to analyze potential subsidy practices that might

violate the subsidies agreement of the Uruguay

Round Agreement Act of 1994 (URAA) and cause

harm to U.S. industry. Based upon this analysis,

IA will prepare a recommendation that USTR take

action before the World Trade Organization (WTO).

IA and the USTR issue a joint annual report to Congress on both agencies’ subsidies enforcement activities.

• International Trade Commission: In an antidumping (AD) or countervailing duty (CVD) case, IA conducts the investigation and ITC concurrently conducts the industry injury investigation. If both IA’s

and ITC’s investigations result in affirmative determinations, then IA issues an AD/CVD order to the

U.S. Customs Service which results in a tariff rate

adjustment.

• U.S. Customs Service: Because the AD/CVD law

requires collection of offsetting duties at the time

merchandise enters the country, IA communicates

regularly with Customs to ensure the prompt and

accurate implementation of IA’s decisions. Customs then collects cash deposits and final duty

assessments. IA responds to inquires from CusExternal Factors

• Macroeconomic factors such as the Asian financial crisis influence yearly quantitative targets. ITA

increases its trade promotion activities in an effort

to counter the effects of global macroeconomic

trends that may lower U.S. exports.

• Statistical

Infrastructure

• Broadening

Trade

$59.6 Million

567 FTEs

Skills: In-depth knowledge of international and domestic trade laws/regulations in addition to country/industrysector expertise

IT Requirements: $4.2 Million for IT infrastructure and related mission systems

Resource Requirements

toms’ headquarters and port offices regarding the

scope and potential evasion of AD/CVD orders, as

well as other enforcement concerns.

• Department of Treasury: IA works closely with Treasury to monitor subsidy-related commitments contained in the IMF stabilization packages.

• Department of State: In AD/CVD proceedings, IA

verifies information provided by foreign governments

and companies in those countries. IA works closely

with the Department of State to obtain country clearances, arrange meetings, and make necessary trip

arrangements. In addition, IA works with State to

obtain pertinent information on subsidy enforcement

issues.

• Department of Justice: IA, in conjunction with the

Office of the General Counsel, works with Justice’s

attorneys on pending AD/CVD litigation before the

Court of International Trade and the Court of Appeals for the Federal Circuit.

• IA improves American competitiveness through effective administrative of U.S. trade laws and agreements negotiated to address sector-specific trade

distorting practices. IA’s objective is to conduct

antidumping and countervailing duty investigations,

administrative reviews, and sunset reviews within

statutory time limits; negotiate and administer suspension agreements; and manage and support the

Foreign Trade Zones Program and certain other

special import programs. In addition, IA is responsible for subsidies enforcement activities such as

International Monetary Fund (IMF) criteria monitoring, World Trade Organization (WTO) cases, and

monitoring foreign countries’ subsidy activities.

International Trade Administration
III - 36 FY 2000 Annual Performance Plan

Part III - International Trade Administration

• Statistical

Infrastructure

• Broadening

Trade

Increase the number of Small Business Exporters

Rationale for/Comments on Performance

Goal:

The U.S. and Foreign Commercial Service (US&FCS),

which contributes to the achievement of this goal, has

been designated a “High-Impact Agency” (HIA) by Vice

President Gore. The HIA goals developed for US&FCS

directly support this Annual Performance Plan (APP) goal.

This goal supports the Broadening Trade initiative as follows:

• During FY 1997, the Trade Information Center (TIC)

handled nearly 241,000 inquiries, 90 percent of

which were from Small and Medium Sized Enterprises (SMEs)

• ITA will implement the recommendations of it review of the U.S. Export Assistance Center Network,

and develop a comprehensive strategy to increase

counseling sessions and trade events

This goal also supports the Digital Department initiative

through its efforts to expand access by small businesses

to trade opportunities, via the Internet.

US&FCS’ collection of data to measure its programs is

wholly dependent on a client’s willingness to provide such

information. Also, because actual exports occur subsequent to the delivery of US&FCS services (frequently 12 to

18 months later), it is usually impossible to report on export actions supported by US&FCS counseling services

during the same period in which the services were delivBecause of this difficulty in reliably measuring outcome performance, US&FCS instead tracks numbers of firms new

to the export market as circumstantial evidence of overall

export growth and export-fueled job creation. In FY 1998,

NTEs comprised 17 percent of our clients, but less than

five percent of our success stories/export actions.

Data Validation and Verification

Target: 26,089 (FY 2000)

Source: US&FCS’ Client Management System

(CMS) and the Office of Trade Event

Management (OTEM)

Frequency: Statistics harvested and reported

quarterly and annually

Data storage: US&FCS’ custom-designed Client

Management System software operating

on a Lotus Notes platform and OTEM.

Consolidated figures collected and

stored by US&FCS Office of Planning.

Verification: Client contacts and office activity are

recorded and entered into CMS and

OTEM upon occurrence. Each office

compiles a quarterly Export Action

Report, which details numbers of NTE

and NTM export actions, client

counseling sessions (both in-office visits

and out of office visits), and other

activities. Each office manager reviews,

verifies, and signs the reports. ITA plans

to improve its data verification processes

through the use of a private sector

consultant.

Measure: Number of New-to-Export Firms

(NTEs)

ered. Additionally, it is extremely difficult to track the actual dollar value of exports supported by US&FCS services

because businesses are reluctant to reveal their business

proprietary information to the federal government or to have

their success stories published for competitors to read.

25,000

26,000

27,000

1997 1998 1999 2000 2001

New-to-Export-Firms

Baseline

Actual Target

International Trade Administration

©Tom Carroll/Phototake/PNI
FY 2000 Annual Performance Plan III - 37

Part III - International Trade Administration

• Statistical

Infrastructure

• Broadening

Trade

Increase the number of Small Business Exporters (cont.)

Crosscutting Activities

• National Institute of Standards and Technology

(NIST): Coordinate our efforts to help Small Business Exporters (SBEs) export new technology; execute a cooperative agreement to provide Standards attaches.

• Small Business Administration (SBA): Share clients to provide complementary counseling services

• Ex-Im Bank: Share clients and provide complementary counseling services

• State/Local Government Agencies: Share clients

and proved complementary counseling services

• Local Chambers of Commerce: Share clients and

provide complementary counseling services

• Department of Energy : DOE provides industry

expertise for US&FCS trade events

• Department of Defense/USAF: The Air Force Provides industry expertise for US&FCS trade events

involving aircraft sales (e.g., the Paris Air Show)

• Department of Transportation: DOT provides industry expertise for US&FCS trade events

• Department of Education: Education provides industry expertise for US&FCS trade events

• Department of State: State’s Economic Officers

assist with market research projects in countries

where US&FCS does not maintain staff

• Department of Agriculture (USDA): USDA provides

grant assistance for US&FCS export counseling

in rural areas

• USAID: Provides grant assistance for various overseas projects (e.g., American Business Centers

in Russia)

Resource Requirements

$133.2 Million

968 FTEs

Skills: In-depth knowledge of

export marketing and promotion, foreign trade practices,

and foreign government trade

programs and polices

IT Requirements: $8.0 Million

for IT infrastructure and related

mission systems

External Factors

• ITA’s success in achieving this goal is dependent

upon domestic and international economic conditions. A weak domestic economy or a weak dollar

abroad tends to make overseas markets more financially attractive to U.S. firms. Conversely, a

strong dollar or a weak overseas economy can

cause export-ready firms to delay their exporting

efforts. US&FCS trade specialists use their expertise to help SMEs develop trade strategies that

take into account adverse economic conditions.

• Tracking numbers of new small business exporters is dependent on clients’ provision of this information. Trade specialists communicate to their clients the relationship between US&FCS’ ability to

provide services to clients (especially business facilitation services with no charge) and US&FCS’

ability to demonstrate measurable results. While

trade specialists in the field urge firms to provide

this data, there is no obligation on the part of the

firm to do so.

Means and Strategies

• ITA will seek to use the technology of electronic

commerce to help small businesses use the

Internet both to receive our services and to promote their own products abroad. We will also work

in coordination with other TPCC agencies to define

more efficient means of providing export assistance

and financing to small businesses.

International Trade Administration
III - 38 FY 2000 Annual Performance Plan

Part III - International Trade Administration

Implement the President’s National Export Strategy in

conjunction with the Trade Promotion Coordinating

Committee

Rationale for/Comments on Performance

Goal:

High-Impact Agency (HIA): The U.S. and Foreign Commercial Service (US&FCS), which contributes to the

achievement of this goal, and has been designated a “HighImpact Agency” by Vice President Gore. The HIA goals

developed for US&FCS directly support this APP goal.

This goal supports the Broadening Trade initiative by having ITA as the lead agency in the Trade Promotion Coordinating Committee (TPCC). The TPCC is comprised of

20 federal agencies, working together to implement the

President’s mandate to “Streamline, simplify, and better

focus U.S. trade and export promotion programs.”

Data Validation and Verification

Target: 47,437 (FY 2000)

Source: US&FCS’ Client Management System

(CMS) and the Office of Trade Event

Management (OTEM)

Frequency: Statistics harvested and reported

quarterly and annually

Data storage: US&FCS’ custom-designed Client

Management System software operating

on a Lotus Notes platform and OTEM.

Consolidated figures collected and

stored by US&FCS’ Office of Planning.

Verification: Client contacts and office activity are

recorded and entered into CMS and

OTEM upon occurrence. Each office

compiles a quarterly Export Action

Report, which details numbers of NTE

and NTM export actions, client

counseling sessions (both in-office visits

and out-of-office visits), and other

activities. Each office manager reviews,

verifies, and signs the reports.

Measure: Number of New-to-Market Firms

(NTMs)

• Statistical

Infrastructure

• Broadening

Trade

20,000

30,000

40,000

50,000

60,000

1997 1998 1999 2000 2001

Baseline

New-to-Market-Firms

Actual Target

delivered. Additionally, it is extremely difficult to track

the actual dollar value of exports supported by US&FCS

services because businesses are reluctant to reveal their

proprietary information to the federal government as well

as to have their success stories published for competitors to read.

Because of these difficulties in reliably measuring outcome performance, US&FCS instead tracks numbers of

NTMs as circumstantial evidence of overall export growth

and job creation. In FY 1998, although NTMs firms comprise only 40 percent of our U.S. clients, these firms account for approximately 50 percent of our subsequently

reported success stories/export actions.

US&FCS’ collection of data to measure its programs is

wholly dependent on a client’s willingness to provide such

information. Also, because actual exports occur subsequent to the delivery of US&FCS services (frequently 12

to 18 months later), it is usually impossible to report on

export actions supported by US&FCS counseling services during the same period in which the services were

International Trade Administration
FY 2000 Annual Performance Plan III - 39

Part III - International Trade Administration

Implement the President’s National Export Strategy in

conjunction with the Trade Promotion Coordinating

Committee (cont.)

Measure: Number of counseling sessions

Of the five ITA performance measures in the FY 2000

Annual Performance Plan, four are outcome measures,

and one is an output measure, i.e., “number of counseling sessions.” ITA selected this output measure because

of the substantial number of staff years it devotes to this

activity; specifically, in FY 1997, ITA conducted 295,164

counseling sessions.

• Statistical

Infrastructure

• Broadening

Trade

200,000

300,000

400,000

500,000

1997 1998 1999 2000 2001

Baseline

Counseling Sessions

Actual Target

Data Validation and Verification

Target: 309,922 (FY 2000)

Source: US&FCS’ Client Management System

(CMS)

Frequency: Statistics harvested and reported

quarterly and annually

Data storage: US&FCS’ custom-designed Client

Management System software operating

on a Lotus Notes platform and OTEM.

Consolidated figures collected and

stored by US&FCS’ Office of Planning.

Verification: Client contacts and office activity are

recorded and entered into CMS and

OTEM upon occurrence. Each office

compiles a quarterly Export Action

Report, which details numbers of NTE

and NTM export actions, client

counseling sessions (both in-office visits

and out of office visits), and other

activities. Each office manager reviews,

verifies, and signs the reports. ITA plans

to improve its data verification processes

through the use of a private-sector

consultant.

International Trade Administration

©Richard During/AllStock/PNI
III - 40 FY 2000 Annual Performance Plan

Part III - International Trade Administration

• Growth in the number of U.S. firms that export is

closely tied to domestic and international economic

conditions. A strong dollar or a weak overseas

economy can cause export-ready firms to delay

their exporting efforts. US&FCS trade specialists

use their expertise to help firms develop trade strategies that take into account adverse economic

conditions.

Resource Requirements

$55.7 Million

419 FTEs

Skills: In-depth knowledge of

export marketing and promotion, foreign trade practices,

and foreign government trade

programs and policies

IT Requirements: $3.4 Million

for IT infrastructure and related

mission systems

Means and Strategies

• ITA plans to strengthen the role of the Trade Promotion Coordinating Committee (TPCC). Our goal

is to provide a “seamless web” of government services: from technical assistance, to advocacy, to

trade finance, to help for small business. This web

will support our exporters at every phase of the

contract and transaction process. We will develop

a government-wide commercial strategy to address

the Asian financial crisis, and also launch, within

the TPCC, a comprehensive promotional strategy

for dealing with the growing trade deficit with China.

• National Institute of Standards and Technology

(NIST): Coordinate our efforts to help SMEs export new technology; execute a cooperative agreement to provide Standards attaches.

• Small Business Administration (SBA): Share clients to provide complementary counseling services

• Ex-Im Bank: Share clients and provide complementary counseling services

• State/Local Government Agencies: Share clients

and proved complementary counseling services

• Local Chambers of Commerce: Share clients and

provide complementary counseling services

• Department of Energy : DOE provides industry expertise for US&FCS trade events

• Department of Defense/USAF: The Air Force Provides industry expertise for US&FCS trade events

involving aircraft sales (e.g., the Paris Air Show)

• Department of Transportation: DOT Provides industry expertise for US&FCS trade events

• Department of Education: Education provides industry expertise for US&FCS trade events

• Department of State: State’s Economic Officers

assist with market research projects in countries

where US&FCS does not maintain staff

• Department of Agriculture (USDA): USDA provides

grant assistance for US&FCS export counseling in

rural areas

• USAID: Provides grant assistance for various overseas projects (e.g., American Business Centers

in Russia)

External Factors

Implement the President’s National Export Strategy in

conjunction with the Trade Promotion Coordinating

Committee (cont.)

• Statistical

Infrastructure

• Broadening

Trade

Crosscutting Activities

International Trade Administration
FY 2000 Annual Performance Plan III - 41

Part III - International Trade Administration

Data Validation and Verification

Target: $10.5 Billion (FY 2000)

Source: Companies that benefited from USG

advocacy

Frequency: Annually (fiscal year)

Data storage: Advocacy Center will store and publish

data.

Verification: Advocacy Center conducts

yearly surveys of companies on claimed

successes in separate competitions in

which the USG provided advocacy.

Questionnaire requests information on

the current status of each project, material changes with respect to total

project value, U.S. export content, and

satisfaction with the Advocacy Center

and/or U.S. Embassy/ Consulate services provided. ITA plans to improve its

data verification processes through the

use of a private-sector consultant.

Strengthen and institutionalize our trade promotion and

advocacy efforts

Rationale for/Comments on Performance

Goal:

High-Impact Agency (HIA): The U.S. and Foreign Commercial Service (US&FCS), which contributes to the

achievement of this goal, has been designated a “HighImpact Agency” by Vice President Gore.

This goal supports the Broadening Trade initiative. In less

than four years, ITA’s Advocacy Center has helped over

2,000 U.S. companies win contracts worth potentially over

$50 billion in U.S. exports over the life of the contracts.

This goal also supports the Digital Department initiative

through its efforts to use the technology of electronic commerce to help firms use the Internet both to receive ITA’s

services and to promote their own products abroad.

Measure: Dollar value of gross exports

supported through advocacy efforts

In continuing efforts to improve the quality of the services

provided by the Advocacy Center, Advocacy Center staff

contacted 18 companies in late January 1998, with a request for feedback on claimed FY 97 successes in 23

separate competitions in which the USG provided advocacy. The Advocacy Center asked a series of questions

regarding the current status of each project, material

changes with respect to total project value, U.S. export

content, and satisfaction with Advocacy Center or U.S.

Means and Strategies

• Through the Advocacy Center, ITA leads the government-wide effort to develop and implement interagency strategies to help U.S. firms win bids for

projects and commercial transactions in foreign markets. In terms of trade promotion efforts ITA will

work to help firms export by enhancing our field

resources, electronic links, and through new product lines. ITA will also work to enhance the quality,

utility, and availability of annual trade statistics broken down by state and metropolitan area.

Embassy/Consulate services. This annual process is

labor intensive for the Advocacy Center. By comparison,

the Trade and Development Agency (TDA) follows up on

similar issues using outside contractors.

• Statistical

Infrastructure

• Broadening

Trade

$7

$8

$9

$10

$11

1997 1998 1999 2000 2001

Baseline

$ Gross Exports Supported

(Billions)

Actual Target

International Trade Administration
III - 42 FY 2000 Annual Performance Plan

Part III - International Trade Administration

Strengthen and institutionalize our trade promotion and

advocacy efforts (cont.)

Crosscutting Activities

• Trade Promotion Coordinating Committee (TPCC)

Agencies: Coordinate advocacy strategies and responses

• Offices of the President and Vice President: Work

with these executive offices to coordinate advocacy strategies and responses

External Factors

• The overall strength of the global economy (i.e.,

the Asia financial crisis) influences the Advocacy

Center’s fiscal year numbers. To counter the effects of global macroeconomic trends that may

lower U.S. exports, the Advocacy Center will increase efforts to promote U.S. companies’ bids in

regions with higher export potential.

Resource Requirements

$56.9 Million

429 FTEs

Skills: Ability to interact with

high-level business, USG,

and foreign government officials as an official representative of the U.S. Government

IT Requirements: $3.5 Million

for IT infrastructure and related

mission systems

• Statistical

Infrastructure

• Broadening

Trade

International Trade Administration

©T.J. Florian/Rainbow/PNI
FY 2000 Annual Performance Plan III - 43

Part III - Bureau of Export Administration

Bureau of Export Administration

Enabling Legislation

The Bureau of Export Administration (BXA) was established as a separate agency within the Department of

Commerce on October 1, 1987, and draws its authority

from the Export Administration Act of 1979, as amended,

and related statutes. BXA licenses commodities and

enforces export control laws and regulations mandated

by Congress or through Executive Orders.

Bureau Context

BXA is a regulatory agency that promotes U.S. national

and economic security, public safety, and foreign policy

interests by managing and enforcing the Department’s

security-related trade and competitiveness programs.

BXA plays a key role in meeting challenges that involve national security and nonproliferation of export control issues. The bureau’s continuing major challenge is combating the proliferation of weapons of mass

destruction while furthering the growth of U.S. exports,

which is critical to maintaining our leadership in an increasingly competitive global economy.

The bureau is particularly vigilant in evaluating transactions involving advanced technologies as well as products subject to diversion to chemical, biological, nuclear

and missile weapons programs. Recent mandates include: controlling exports of encryption products, overseeing Chemical Weapons Conversion (CWC) compliance, enforcing industrial fastener quality legislation, and

protecting critical infrastructures in the United States.

With increased concern about the proliferation of weapons of mass destruction, BXA has brought U.S. export

controls in line with the new international political environment by reforming the dual-use export control system. At the same time, BXA seeks to enhance its export

regulatory effectiveness by educating stakeholders in the

export licensing process, thereby strengthening compliance by industry and furthering international export control efforts. Combined, these two efforts will result in a

streamlined dual-use commodity control list, and an improved license application cycle for controlled items without compromising our national security and public safety

interests. These efficiencies will allow U.S. exporters to

be more competitive in world markets, benefiting both the

exporters and the U.S. economy.

BXA serves U.S. businesses engaged in international

trade by processing applications to export controlled commodities in accordance with the Export Administration

Regulations (EAR). Within this framework, BXA also

seeks to control the spread of weapons of mass destruction, maintain a strong U.S. defense industrial base and

ensure higher quality manufacturing processes in the U.S.

Priorities and Initiatives

Broadening Trade - BXA continues to support important

government-wide actions to remove unnecessary obstacles to exporting, and to strengthen multilateral regimes. BXA also assists small and medium sized businesses to increase their involvement in export markets

by helping them understand export control requirements

through outreach visits, conferences, and seminars.

Critical Infrastructure Program - Presidential Directive 63

(PDD-63) calls for a national effort to assure the national

security of the increasingly vulnerable and interconnected

infrastructures of the United States. It stresses the critical importance of cooperation between the government

and the private sector by linking designated agencies with

private sector representatives. PDD-63 instructs the Department of Commerce to establish the Critical Infrastructure Assurance Office (CIAO).

• Broadening

Trade

• Critical

Infrastructure
III - 44 FY 2000 Annual Performance Plan

Part III - Bureau of Export Administration

Organizational Structure

Bureau of Export Administration

BXA serves the U.S. exporting community from its Washington, D.C. headquarters, and 10 field offices in Boston, New

York, Chicago, Herndon, Miami, Dallas, San Jose, Santa Clara, Irvine, and Newport Beach.

• Broadening

Trade

• Critical

Infrastructure

Enforcement

Secretary for Export

Under Secretary

Deputy Under

Secretary

Congressional and

Public Affairs

Director of

Administration

Assistant Secretary for

Export Administration

Deputy Assistant

Secretary for Export

Administration

Office of Strategic

Industries

& Economic Security

Office of Exporter

Services

Office of Nuclear &

Missle Tech.

Controls

Office of Chemical &

Biological Controls &

Treaty Compliance

Office of Strategic

Trade & Foreign Policy

Controls

Office of Export

Enforcement

Office of Antiboycott

Compliance

Office of

Enforcement Analysis

Chief Counsel

Deputy Assistant

Assistant Secretary for

Export Enforcement

Critical

Infrastructure

Assurance Office
FY 2000 Annual Performance Plan III - 45

Part III - Bureau of Export Administration

Measures and Targets Summary

 Goal: Restructure export controls for the 21st century

Measure

• High risk transactions deterred (#)

• Licensing decisions (#)

• Average processing time for license applications

(days)

• Export assistance seminars/conferences (#)

• Nonproliferation and export control international cooperative exchanges (#)

Target

508

12,000

33

204

30

 Goal: Maintain a fully effective law enforcement program and protect U.S. national security, foreign policy,

nonproliferation of dual-use commodities and chemical weapons, counter-terrorism, and public policy

Measure

• Enforcement outreach visits (#)

• Investigations completed (#)

• Investigations accepted for criminal or administrative remedies (#)

• End-use visits conducted (#)

Target

900

1,300

80

680

 Goal: Facilitate transition of defense industries

Measure

• Strategic industry analyses completed (#)

Target

295

Resource Requirements Summary*

$60.5 Million

477 FTEs

Skills: In-depth knowledge of the Export

Administration regulations, related policies,

and commodity controlled items, as well as

analytical skills

IT Requirements: $6.8 Million/Operations,

maintenance and reengineering

*Note: Only the budget and FTE numbers reflect the Critical

Infrastructure Assurance Office (CIAO).

• Broadening

Trade

• Critical

Infrastructure

Bureau of Export Administration
III - 46 FY 2000 Annual Performance Plan

Part III - Bureau of Export Administration

Restructure export controls for the 21st century

Rationale for/Comments on Performance

Goal:

Streamlining the application processing system and educating the U.S. exporting community about the Export

Administration Act (EAA) and the Export Administration

Regulations (EAR):

• Results in a more effective control system and

helps prevent illegal transactions

• Makes the U.S. exporting community more competitive in the global marketplace, by helping the

community meet shipping deadlines and reducing transaction costs

Strengthening foreign national export control systems reduces proliferation of controlled commodities produced

locally or being transshipped.

This goal supports the Department’s Strategic Theme,

“To build for the future and promote U.S. competitiveness

in the global marketplace, by strengthening and safeguarding the Nation’s economic infrastructure” by:

• Improving the competitiveness of U.S. companies through prompt export licensing decisions

• Ensuring that sensitive technologies are not inappropriately transferred outside the U.S.

• Providing a level playing field internationally

through the development of comparable export

control systems by other countries

Measure: Number of high risk transactions

deterred

The number of license applications received, analyzed,

and subsequently denied by BXA indicates the number

of high-risk transactions which BXA reviewed and subsequently denied based upon a careful risk assessment.

Beginning in FY 1999, BXA will include in this category

those transactions returned without action (RWA) because

the applicant was not able to provide sufficient background

or technical information to support approval of the license

application. U.S. security is enhanced through the judicious implementation of controls on transfers of materials, equipment, technology and software that could be

used for weapons applications.

Data Validation and Verification

Target: 508 (FY 2000)

Source: ECASS (Export Control Automated

Support Systems)

Frequency: Annual

Data storage: ECASS

Verification: ECASS contains appropriate systems

edits, and measures are audited under

the CFO’s Act.

Measure: Number of licensing decisions

This measure counts the total number of applications that

were either approved, denied, or returned without action

(RWA) during the fiscal year. Upon receipt, license applications are reviewed for completeness (front-end review) and entered into the Export Control Automated Support Systems (ECASS), BXA’s electronic processing

system. If incomplete, additional information is requested

from the exporter before proceeding. If complete, the

application is screened against an automated list of endusers of concern, forwarded to the appropriate licensing

and enforcement specialists for a complete analysis of

the application, (i.e., reviewed against available intelligence

information, required referrals to other export control agen9,000

10,000

11,000

12,000

1997 1998 1999 2000 2001 2002

Licensing Decisions

Actual Target

• Critical

Infrastructure

250

300

350

400

450

500

550

1997 1998 1999 2000 2001 2002

Transactions Deterred

Actual Target

Bureau of Export Administration
FY 2000 Annual Performance Plan III - 47

Part III - Bureau of Export Administration

Restructure export controls for the 21st century (cont.)

Measure: Number of export assistance

seminars/conferences

The number of training events in which BXA either is a

sponsor or participant measures the transfer of knowledge from the government to the private sector about the

requirements of export controls. BXA’s outreach program

to the domestic and international business communities

encourages compliance with the Export Administration

Regulations (EAR). These seminars heighten businesses’ awareness of the Administration’s objectives and

improve their compliance with the regulatory requirements.

In support of another BXA goal (Facilitate Transition of

Defense Industries), these seminars also help identify

market opportunities for firms in the U.S. defense industrial base, and identify those firms who could benefit from

BXA’s advocacy and defense industrial base programs.

cies, and subsequent policy reconsideration/determination.) The number of export licensing decisions is the

best measurement for the scope of the dual-use export

control system as it relates to trade advanced goods and

technology.

This measure reflects the average number of calendar

days that elapsed between receipt and final action for all

applications processed during the fiscal year regardless

of the date received.

Measure: Average processing time for license

applications

• Critical

Infrastructure

Data Validation and Verification

Target: 12,000 (FY 2000)

Source: ECASS

Frequency: Annual

Data storage: All license processing data are

stored in the Export Control Automated

Support System.

Verification: ECASS contains appropriate systems

edits, and measures are audited under

the CFO Act.

25

30

35

40

1997 1998 1999 2000 2001 2002

Average Processing Time in Days

Actual Target

Data Validation and Verification

Target: 33 (FY 2000)

Source: ECASS (Export Control Automated Support Systems)

Frequency: Annual

Data storage: ECASS

Verification: ECASS contains appropriate systems

edits, and measures are audited under

the CFO Act.

Data Validation and Verification

Target: 204 (FY 2000)

Source: Counts of seminars and conferences

from the seminar schedule published

each year.

Frequency: Annual

Data storage: The Office of Exporter Services collects

and stores the data.

Verification: Under the CFO Act, a private sector audit firm performs an independent verification and validation of the data source

and data.

120

140

160

180

200

220

1997 1998 1999 2000 2001 2002

Seminars/Conferences

Actual Target

Bureau of Export Administration
III - 48 FY 2000 Annual Performance Plan

Part III - Bureau of Export Administration

Restructure export controls for the 21st century (cont.)

Measure: Number of nonproliferation and

export control international cooperative

exchanges

This measure includes technical exchanges, executive

exchanges, symposia, fora, workshops, and training

courses delivered through Nonproliferation Export Control (NEC) activity, other training courses, assessments,

and multilateral and bilateral activities in which NEC has the lead or a

primary role. These exchanges are

the primary means by which NEC

implements its nonproliferation and

export control cooperation programs with foreign governments.

This measure records the number

of exchanges and not the number

of countries participating. If one

exchange involves multiple countries (e.g., the annual update event)

the exchange is still counted as one

item.

An output rather than an outcome measure is used because NEC activity has a greater ability to affect the output (i.e., the number of technical exchanges) than it has

to affect the outcome (i.e., improvements in the export

control systems in the foreign countries). The latter is

substantially determined by the actions of foreign sovereign governments, which is a factor clearly out of NEC’s

control.

• Critical

Infrastructure

25

30

35

40

45

1997 1998 1999 2000 2001 2002

Exchanges

Actual Target

Data Validation and Verification

Target: 30 (FY 2000)

Source: NEC activity files, reporting cables, and

other files

Frequency: Annual

Data storage: NEC collects and stores the data.

Verification: Under the CFO Act, a private sector

audit firm performs an independent

verification and validation of the data

source and data.

Means and Strategies

• Receipts, reviews, interagency consultations, and

decisions on export license applications that are

accurate, consistent, and timely, using state-ofthe-art information technology.

• Provision of full range of information to the exporting community through publications, seminars, web sites, and individual consultations.

• Development of uniform control lists and licensing practices with like-minded supplier nations.

• Development (through NEC activity) of a model country plan that

addresses all five functional areas

of effective export control systems

(legal and regulatory framework, licensing procedures and control

lists, enforcement mechanisms, industry-government relations, and

systems administration and automation). This plan has been tailored

to the specific needs of each of the

23 participating countries. BXA/NEC carries out

these plans by means of :

1) technical exchanges (bilateral or multilateral) for senior- and mid-level export

control officials that take place at headquarters or in the field

2) modular training materials prepared and

used by specialists in their functional areas and made available in two or more

languages

3) automated job tools that foreign officials

can use in the execution of their work

(e.g., classifying commodities, developing licensing officer principles)

Bureau of Export Administration

©Michael Newman/PhotoEdit/PNI
FY 2000 Annual Performance Plan III - 49

Part III - Bureau of Export Administration

Restructure export controls for the 21st century (cont.)

Crosscutting Activities

• Departments of State, Defense, Energy, Treasury, Justice and ACDA: BXA works with these

agencies and departments to develop and implement U.S. export control policy and programs,

including developing encryption policy, implementing sanctions, and participating in multilateral regimes such as the Missile Technology

Control Regime and the Wassenaar Arrangement. BXA also coordinates intelligence and

enforcement operations with these agencies.

• U.S. Customs Service and the Nonproliferation

Center: BXA coordinates export control cooperation technical exchanges and activities with these

agencies, in addition to the ones already mentioned.

External Factors

• Changes in world events (e.g., nuclear tests, terrorist activity) requiring new export restrictions

• Developments in technology requiring adjustments to control lists

• New legislative requirements for additional controls or license application review

All of the above factors can be mitigated through

the design of well targeted, appropriate regulations and through the timely education of the

public.

• BXA continues to rely on other agencies, most

recently the Department of State, to fund the technical exchanges and activities relating to export

control cooperation. As implemented, the process is extremely cumbersome and fraught with

uncertainty and delay.

Direct funding for BXA’s export control cooperation effort would ameliorate these problems.

• Scheduling of technical exchanges and activities is contingent on the interagency coordination process and the other countries involved.

Close and frequent contact with other U.S. agencies and patient consultation with foreign control

officials minimizes these problems.

• Shifts in U.S. policy (e.g., suspension of activity

with Belarus) occasionally prevent performance

of scheduled, funded technical exchanges or preclude participation of some invited participants.

Resource Requirements

$26 Million

205 FTEs

Skills: Analytic skills, technical

expertise, knowledge of commodity controlled items

IT Requirements: $2.8 Million

• Critical

Infrastructure

Bureau of Export Administration
III - 50 FY 2000 Annual Performance Plan

Part III - Bureau of Export Administration

• Broadening

Trade

• Critical

Infrastructure

Maintain a fully effective law enforcement program

Maintain a fully effective law enforcement program

to protect US national security and public safety,

uphold US foreign policy, and ensure the nonproliferation of dual-use commodities and chemical

weapons

Rationale for/Comments on Performance

Goal:

A number of aggressive investigation and verification activities are aimed at deterring export control violations,

and imposing criminal or administrative sanctions on violators.

BXA conducts outreach visits and conferences sponsored by trade and business associations and continuing legal education institutions. These outreach efforts

support the Broadening Trade initiative while protecting

important national security and foreign policy interests

by helping exporters understand export control regulations.

Measure: Number of enforcement outreach

visits

As part of their preventive enforcement mission, BXA special agents visit U.S. firms under “Project Outreach.” During each outreach visit, the agents educate the firm about

BXA’s enforcement program and seek the firm’s voluntary cooperation in detecting potential illegal transactions.

Antiboycott outreach occurs in the form of presentations

to organizations concerning compliance with the antiboycott provisions of the EAA. These outreach efforts focus

on conferences sponsored by trade and business associations and continuing legal education institutions.

As a result of new Special Agent hires, EE was able to

conduct more than the normal amount of outreach visits

during FY 1998.

700

800

900

1,000

1,100

1,200

1997 1998 1999 2000 2001 2002

Visits

Actual Target

Data Validation and Verification

Target: 900 (FY 2000)

Source: Enforce subsystem of ECASS and

paper files; agent monthly activity

reports.

Frequency: Annual

Data storage: The Office of Export Enforcement

collects and stores the data.

Verification: Under the CFO Act, a private sector

audit firm performs an independent

verification and validation of the data

source and data.

Bureau of Export Administration
FY 2000 Annual Performance Plan III - 51

Part III - Bureau of Export Administration

• Broadening

Trade

• Critical

Infrastructure

Maintain a fully effective law enforcement program (cont.)

When there is reason to believe that the Export Administration Act (EAA) and the Export Administration Regulations (EAR) have been violated, Office of Export Enforcement (OEE) criminal investigators and Office of Antiboycott Compliance (OAC) compliance officers initiate a formal investigation and open a case file. Investigations

result in a criminal or administrative penalty, a warning

letter for minor infractions, or closing of the case if no

violation is found.

This output measure covers one of the most important

features of our law enforcement program, namely, the

pursuit of an investigation to a proper conclusion based

on the facts and law.

Measure: Number of investigations accepted

for criminal or administrative remedies

This measure refers to investigations accepted by U.S.

Attorney’s offices for criminal prosecution and/or

Commerce’s Office of Chief Counsel for administrative

sanctions.

Measure: Number of investigations

completed

1200

1300

1400

1500

1600

1997 1998 1999 2000 2001 2002

Investigations Completed

Actual Target

Data Validation and Verification

Target: 80 (FY 2000)

Source: Enforce subsystem of ECASS and case

management database

Frequency: Annual

Data storage: The Office of Export Enforcement and

the Office of Chief Counsel collect and

store the data. Case status information is reconciled quarterly.

Verification: Under the CFO Act, a private sector

audit firm performs an independent

verification and validation of the data

source and data.

60

70

80

90

100

1997 1998 1999 2000 2001 2002

Investigations Accepted

Actual Target

Data Validation and Verification

Target: 1,300 (FY 2000)

Source: Enforce subsystem of ECASS and case

management database

Frequency: Annual

Data storage: The Office of Export Enforcement collects and stores the data. Case are also

tracked in ECASS.

Verification: Under the CFO Act, a private sector

audit firm performs an independent

verification and validation of the data

source and data.

Bureau of Export Administration
III - 52 FY 2000 Annual Performance Plan

Part III - Bureau of Export Administration

Measure: Number of end-use visits

conducted

A key element of EE’s mission is conducting on-site visits to foreign end-users of selected goods and technologies exported under the EAR. End-use visits consist of

pre-license checks and post-shipment verifications. Prelicense checks are performed prior to issuance of licenses

by BXA and are generally done by US&FCS. Post-shipment verifications are done by US&FCS officials, as well

as OEE special agents, to ensure that the products are

being used by the authorized end-users for the authorized end-uses.

This output measure supports the intermediate goals of:

(1) maintaining an effective law enforcement program,

by determining the legitimacy of controlled export transactions

(2) improving public knowledge of and compliance

with export regulations, by educating foreign consignees of U.S.-origin items

(3) increasing cooperation with domestic and international law enforcement, export control and

policy organizations, by sharing information with

EE’s law enforcement counterparts located in

countries where the visits are conducted

• Broadening

Trade

• Critical

Infrastructure

Maintain a fully effective law enforcement program (cont.)

700

800

900

600

1997 1998 1999 2000 2001 2002

End-Use Visits

Actual Target

Data Validation and Verification

Target: 680 (FY 2000)

Source: End use visit reports, Enforcement subsystem of ECASS

Frequency: Annual

Data storage: The Office of Export Enforcement and

the Office of Enforcement Analysis collect and store the data. OEE and US&

FCS make and document visits. OEA

does data entry into ECASS.

Verification: Under the CFO Act, a private sector

audit firm performs an independent

verification and validation of the data

source and data.

Bureau of Export Administration
FY 2000 Annual Performance Plan III - 53

Part III - Bureau of Export Administration

• Broadening

Trade

• Critical

Infrastructure

Maintain a fully effective law enforcement program (cont.)

Means and Strategies

• Outreach visits to industry enable investigators

to obtain tips and leads concerning possible violations, while educating exporters about how to

comply with the export control laws and regulations

• Investigations are conducted in a timely and efficient manner to determine whether violations

of the law have occurred

• EE presents cases to prosecutors for possible

initiation of criminal or administrative enforcement proceedings in order to punish past and

deter future violators, thereby insuring that the

export control system works effectively

• EE conducts visits overseas to determine the

legitimacy of controlled export transactions,

educate foreign consignees about U.S. export

laws, and share information with foreign export

control officials

Crosscutting Activities

• U.S. Customs Service, FBI, Department of Justice, Department of State, and the Intelligence

Community: BXA works with these agencies on

matters involving law enforcement cooperation,

development of leads, intelligence coordination,

implementation of export control policy, and coordination on issues such as export license investigations and fastener quality

External Factors

• None identified for the measures “Number of outreach visits” or “Number of investigations completed.”

• The priorities and resources of the Department

of Justice and Commerce’s Office of Chief Counsel directly influence the measure “Number of investigations accepted for criminal or administrative remedies.”

Targeting investigations effectively, conducting investigative activities professionally, and presenting cases to prosecutors persuasively will help

mitigate this factor.

• For the measure “Number of End-Use Visits Conducted,” the number of pre-license checks will

vary with the annual volume of license applicaResource Requirements

$26.4 Million

212 FTEs

Skills: Investigate and analyze

export controls, analyze intelligence information

IT Requirements: $3.0 Million

tions. The number of post-shipment verifications

will vary with the volume of High Performance

computers exported to certain countries, where

NDAA mandates end-use checks.

Neither factor can be mitigated by EE,

because these factors derive from higher-level

export control policy decisions.

Bureau of Export Administration
III - 54 FY 2000 Annual Performance Plan

Part III - Bureau of Export Administration

Facilitate transition of defense industries

Rationale for/Comments on Performance

Goal:

A strong economic/industrial infrastructure is partly dependent upon the ability to transition our defense industries to peace time activities and products, while at the

same time maintaining technological superiority to support the next generation of defense systems.

This goal supports two Department Strategic Themes,

Economic Infrastructure and Science & Technology, by:

• Ensuring the continued viability of U.S. firms

through the development of new commercial avenues for former defense products

• Maintaining the economic viability of high tech

industries by providing the research base from

which new innovations will appear

• Keeping U.S. defense firms competitive domestically and internationally through the development of new and innovative product lines

Measure: Number of strategic industry

analyses completed

Strategic Industry Analyses communicate economic and

commercial information to businesses, influencing their

marketing or policy decisions. Analyses provided to government decision-makers present data to develop appropriate economic and defense industry policies. These

analyses, undertaken by BXA as part of its broad responsibility to support the U.S. defense industrial and

technology base, include assessments of the impact of

global and domestic economic, trade, regulatory, and

budgetary factors on the U.S. economic/industrial base.

The analyses also assess the international competitiveness and production capabilities of strategic industries

and technologies. Specific categories of analyses are:

Defense Memoranda of Understanding impact reviews;

Impact of Excess Defense Article assessments; Stockpile Disposal market impact analyses; Industrial Capabilities studies; Impact of Offsets in Defense Trade analyses; and analyses of the Impact of Export Controls/Sanctions.

Data Validation and Verification

Target: 295 (FY 2000)

Source: The analytical products are written reports which are forwarded to the requester and are available for review and

assessment.

Frequency: Annual

Data storage: The Office of Strategic Industry and

Economic Security collects and stores

the data.

Verification: Under the CFO Act, a private sector

audit firm performs an independent

verification and validation of the data

source and data.

200

250

300

350

400

1997 1998 1999 2000 2001 2002

Analyses

Actual Target

Bureau of Export Administration
FY 2000 Annual Performance Plan III - 55

Part III - Bureau of Export Administration

Facilitate transition of defense industries (cont.)

Means and Strategies

• Affected industries are surveyed and resulting

information is provided to the public at large.

Proposed government actions affecting the well

being of firms are assessed and the consequences for the companies and economy at

large are measured and provided to decisionmakers. Macro- and micro-economic research

is used to support critical industry analyses and

export control assessments. Resource Requirements

$1.0 Million

7 FTEs

Skills: Program-related analytic

skills

IT Requirements: $0.2 Million

nations subject to export controls, thereby requiring new industry analyses.

These factors can be mitigated by

targeting analyses to the most critical

industrial sectors and by working with other

like-minded supplier nations to develop

comparable acquisition and sales

practices.

 Crosscutting Activities

• Department of Energy: BXA participates in an

interagency review of foreign participation in DOE

sponsored Research and Development Agreements. DOE is partnered with BXA in promoting

the reuse of surplus manufacturing equipment at

former U.S. military bases.

• Departments of Labor, State and Treasury; U.S.

Trade Representative (USTR): Representatives

from these departments participate in an interagency group chaired by BXA which prepares

the annual report, Offsets in Defense Trade, for

the U.S. Congress.

• Department of Defense: BXA works closely with

DOD in providing support for U.S. industry competing for international defense procurement opportunities.

• Department of State: BXA participates in the

State-chaired Conventional Arms Transfer Committee.

• U.S. Trade Representative (USTR): BXA is part

of a USTR-led interagency team that is developing and implementing the U.S.- E.U. Transatlantic Economic Partnership.

 External Factors

• The biggest external factor affecting the overall

volume of strategic industry analyses completed

is the environment for international defense trade

and cooperation. Domestic and international economic conditions affecting the health of U.S. strategic industries influence the need for strategic

industry analyses.

• Unanticipated global events may also affect such

analyses by shifting the commodities and destiBureau of Export Administration
III - 56 FY 2000 Annual Performance Plan

Part III - Minority Business Development Agency

Enabling Legislation

MBDA operates under the authority of Executive Order 11625

of October 13, 1971. The agency was created to assist

minority businesses in achieving effective and equitable

participation in the American free enterprise system.

Bureau Context

While 28 percent of Americans are minorities, only 11 percent of business owners are minorities, and minority businesses generate only 6 percent of total business receipts.

MBDA exists to increase the participation of minorities in

our Nation’s and the world’s commerce.

MBDA helps minority individuals form and grow businesses

by assisting them to obtain access to the marketplace and

capital. MBDA also assists minority businesses by identifying new business opportunities here and abroad, informing minority-owned businesses about those opportunities,

and assisting them in taking advantage of them.

Database which matches minority-owned firms with

opportunities to participate on contracts and

procurements. MBDA will also implement a Business

Geographic Information System which will be used to

deliver market information to minority firms via the

Internet.

Organizational Structure

MBDA serves minority-owned businesses from its Washington, D.C. headquarters and from its Regional Offices

in New York, Chicago, San Francisco, Dallas, and Atlanta, as well as from District Offices in Boston, Philadelphia, Miami, and Los Angeles. In addition, MBDA funds

41 Minority and Native American Business Development

Centers, 7 Minority Business Opportunity Committees,

and 5 Business Resource Centers. The following organization chart reflects an improved structure to better focus

on promoting business and economic development for

minority-owned businesses.

Priorities and Initiatives

Digital Department - MBDA will expand the Phoenix

Minority Business Development Agency

Office of

Administration

and Financial

Management

Office of Program

Support Services

Office of

Information

Technology

Services

Office of Market

Access Regional Offices Office of FinancialAccess

Associate Director for Management Associate Director for Programs

Office of the Director

Deputy Director

Minority Business Development Agency
FY 2000 Annual Performance Plan III - 57

Part III - Minority Business Development Agency

Measures and Targets Summary

Goal: Improve opportunities for minority-owned businesses to have access to the marketplace

Measure

Dollar value of contracts generated by assisted minority-owned businesses

Target

$548 Million

Measure

Number of business loans received by assisted minority-owned businesses

Dollar value of business loans to assisted minority-owned

businesses

Target

858

$475 Million

Goal: Improve the opportunities for minority-owned businesses to pursue financing

Resource Requirements Summary

$27.6 Million

120 FTEs

Skills: Marketing, Finance, Research, IT/Internet

IT Requirements: $1 Million

Minority Business Development Agency
III - 58 FY 2000 Annual Performance Plan

Part III - Minority Business Development Agency

Improve opportunities for minority-owned businesses to

have access to the marketplace

Rationale for/Comments on Performance

Goal:

Minority-owned businesses are connected to the Internet

at lower rates than non-minority-owned businesses. Electronic commerce is the fastest growing sector of the

economy, presenting opportunities for minority businesses.

Owners of minority businesses require specialized assistance to expand and diversify into areas such as franchising, international trade, business-to-business sales,

large-scale financial capital, aquaculture, biotechnology,

and manufacturing technology.

Exports to foreign countries represent a $900 billion market for American firms. Minority firms currently export at

lower rates than non-minority firms, and could benefit

greatly from this opportunity.

Measure: Dollar value of contracts awarded

Contracts Generated by Assisted Businesses

$ Value in millions

Year 1998 1999 2000 2001 2002

Target $533 $548 $548 $650 $700

Actual $300 TBD TBD TBD TBD

Means and Strategies

• MBDA staff have developed an electronic matching system to link minority-owned firms automatically to at least 25,000 new business opportunities worth about $200 million.

• MBDA provides assistance to more than 8,000

minority-owned firms each year via Minority/Native American Business Development Centers,

Business Resource Centers and Minority Opportunity Committees.

Data Validation and Verification

Target: $548 Million

Data Source: MBDA’s Performance Management Database System

Frequency: Annual

Baseline: To be established in FY 1999

Data Storage: MBDA’s Performance Management Database System

Verification: MBDA will conduct a 100% client

verification survey

Comment: MBDA’s Performance Management Database System will be fully implemented

in FY 1999

MBDA recognizes the importance of developing more outcome-oriented performance measures to assess the impact of

its programs. One measure which MBDA

has examined is a measure of gross receipts:

Total dollar value of gross business

receipts generated by assisted minorityowned businesses

The data to support this measure is not

currently available. MBDA will work to develop this data during fiscal years 1999 and

2000. In FY 2001, MBDA will include this

measure in the Commerce Annual Performance Plan.

Minority Business Development Agency

©Joel Rogers/AllStock/PNI
FY 2000 Annual Performance Plan III - 59

Part III - Minority Business Development Agency

External Factors

Crosscutting Activities — Other Federal Agencies

Crosscutting Activities — Department-Wide

• MBDA works with EDA to assure that minorityowned businesses are included in all EDA programs .

• MBDA works with ITA to assure that minorityowned businesses are included in Department

trade missions.

• MBDA works with NIST to include minority owned

businesses in programs such as the Manufacturing Extension Program (MEP).

• MBDA is working with NTIA to develop a memorandum of understanding on licensing of radio frequency spectrum.

• MBDA works with the SBA to assure that minority-owned small businesses receive all the

services available to other businesses.

• The overall health of the economy may influence the $ volume of gross receipts for all businesses, including minority-owned businesses.

Resource Requirements

$15.3 Million

39 FTEs

Skills: Marketing, IT/Internet

IT Requirements: $1 Million

Improve opportunities for minority-owned businesses to

have access to the marketplace (cont.)

Minority Business Development Agency
III - 60 FY 2000 Annual Performance Plan

Part III - Minority Business Development Agency

Improve opportunities for minority-owned businesses to

pursue financing

Minority Business Development Agency

Rationale for/Comments on Performance

Goal:

Obtaining financing is a necessary first step to creating

and/or growing a business. Studies show that minorities

are approved for new business loans at lower rates than

non-minorities.

Measure: Number of financing opportunities

(loans)

Measure: Dollar value of financing

opportunities (loans)

Data Validation and Verification

Target: $548 Million

Data Source: MBDA’s Performance Management Database System

Frequency: Annual

Baseline: To be established in FY 1999

Data Storage: MBDA’s Performance Management Database System

Verification: MBDA will conduct a 100% client verification survey

Comment: MBDA’s Performance Management Database System will be fully implemented

in FY 1999

Number of Business Loans

Year 1998 1999 2000 2001 2002

Target 858 858 858 925 975

Actual 1,070 TBD TBD TBD TBD

Data Validation and Verification

Target: 858

Data Source: MBDA’s Performance Management Database System

Frequency: Annual

Baseline: To be established in FY 1999

Data Storage: MBDA’s Performance Management Database System

Verification: MBDA will conduct a 100% client verification survey

Comment: MBDA’s Performance Management Database System will be fully implemented

in FY 1999

Value of Loans (Millions)

Year 1998 1999 2000 2001 2002

Target $462 $447 $475 $500 $550

Actual $198 TBD TBD TBD TBD
FY 2000 Annual Performance Plan III - 61

Part III - Minority Business Development Agency

Means and Strategies

• MBDA promotes minority business lending with

financial institutions, arranges loan pre-qualification for minority business enterprises, and assists in establishing memoranda of understanding for minority-owned businesses with private

and public sector resources.

Crosscutting Activities

• MBDA works with EDA and SBA to provide access to their loan guarantee programs.

External Factors

• The overall health of the economy and prevailing

interest rates may influence the number of loans

to all businesses, including minority-owned businesses.

Improve opportunities for minority-owned businesses to

pursue financing (cont.)

Resource Requirements

$1 Million

7 FTEs

Skills: Finance, Research

IT Requirements: None

Minority Business Development Agency
III - 62 FY 2000 Annual Performance Plan

Part III - National Oceanic and Atmospheric Administration

· Natural

Resources

· Natural

Disaster

Reduction

National Oceanic and Atmospheric Administration

Enabling Legislation

The National Oceanic and Atmospheric Administration

(NOAA) was established by Reorganization Plan Number 4 of 1970, which became effective on October 3,

1970. The reorganization plan transferred to the Secretary of Commerce various functions relating to oceans

and atmosphere, including commercial fishery functions.

NOAA’s programs and activities are authorized by a

number of permanent organic acts and a variety of statutes including:

• The National Weather Service Organic Act

• The National Sea Grant College Program Act

• The Marine Mammal Protection Act

• The Endangered Species Act

• The Magnuson-Stevens Fishery Conservation and

Management Act

• The Coast and Geodetic Survey Act

• The Coastal Zone Management Act

Bureau Context

The National Oceanic and Atmospheric

Administration’s mission is to describe and predict

changes in the Earth’s environment, and conserve

and manage wisely the Nation’s coastal and marine resources to ensure sustainable economic opportunities. NOAA conducts research to develop new

technologies, improve operations, and supply the scientific basis for managing natural resources and solving

environmental problems. NOAA’s comprehensive system

for acquiring observations - from satellites to radars to

ships and submersibles - provides the quality data and

information needed for the safe conduct of daily life and

the basic functioning of modern society. Common products and services include weather and climate warnings

and forecasts, environmental technologies, marine fisheries statistics and regulations, nautical charts, assessments of environmental changes, and hazardous materials response information. These capabilities, products,

and services support the domestic security and global

competitiveness of the United States, and affect the lives

of nearly every citizen today.

NOAA’s FY 2000 budget request affirms the agency’s

role by providing the resources to maintain essential

services, facilitate progress in key investment areas of

national interest, and address statutory obligations. This

proposed budget ensures an appropriate balance among

the environmental assessment, prediction, and stewardship needs of the Nation. For FY 2000, NOAA requests

$2.5 billion and 12,720 FTE to manage natural resources

and provide assessment and prediction of the Earth’s

environment.

NOAA efforts are key components of the Department of

Commerce strategic plan and will contribute significantly

to achieving the three DOC strategic themes.

Priorities and Initiatives

Natural Resources - NOAA will work to reduce overfishing and overcapitalization of the Nation’s fishery resources;

better manage the crisis of salvaging protected resources;

protect coastal habitats from continued loss and degradation; conduct more research into the effects of climate

changes on the oceans and atmosphere; and promote

safe navigation.

Natural Disaster Reduction - NOAA contributes to this

initiative by providing weather warnings and forecasts to

the general public via the National Weather Service by

acquiring and processing hydrometeorological, ocean, and

space-based observations, conducting weather and climate research as well as maintaining historical environmental data and making it available to public and private

concerns.
FY 2000 Annual Performance Plan III - 63

Part III - National Oceanic and Atmospheric Administration

National Oceanic and Atmospheric Administration

DOC Strategic Themes and NOAA Goals :

1. Build for the future and promote U.S. competitiveness in the global marketplace by strengthening and

safeguarding the Nation’s economic infrastructure.

• Advance Short-Term Warning and Forecast Services

• Promote Safe Navigation

2. Keep America competitive with cutting-edge science

and technology and an unrivaled information base.

• Implement Seasonal to Interannual Climate Forecasts

• Predict and Assess Decadal to Centennial Change

3. Provide effective management and stewardship of our

Nation’s resources and assets to ensure sustainable

economic opportunities.

• Build Sustainable Fisheries

• Recover Protected Species

• Sustain Healthy Coasts

The challenge of investing strategically in the Nation’s

future is accompanied by the requirement to be more

effective, to identify and realize opportunities for savings, and to focus the effects of government on what

matters to people. NOAA envisions a 21st century in

which environmental stewardship, assessment, and prediction serve as keystones to enhancing economic prosperity and quality of life, better protection of lives and

property, and strengthening of the U.S. balance of trade.

This vision depends on NOAA actions that:

• Create and disseminate reliable assessments and

predictions of weather, climate, space environment,

ocean and living marine resources, nautical and

geodetic phenomena and systems.

• Implement integrated approaches to environmental management and ocean and coastal resources

development for economic and social health.

• Ensure continuous operational observing capabilities -- including buoys, satellites, ships,

submersibles, and radars.

• Build and use new information networks including

investing in state-of-the-art computing capabilities.

• Develop public-private, interagency, and international partnerships for the expansion, transfer, and

archiving of environmental knowledge and technologies.

• Invest in scientific research and the development

of new technologies to improve current operations

and prepare for the future.

• Improve NOAA’s abilities to serve its customers

and forge stronger ties with its partners and stakeholders.

· Natural

Resources

· Natural

Disaster

Reduction
III - 64 FY 2000 Annual Performance Plan

Part III - National Oceanic and Atmospheric Administration

National Oceanic and Atmospheric Administration

Organizational Structure

Under Secretary for Oceans & Atmosphere

& Administrator

Assistant Secretary for Oceans &

Atmosphere & Deputy Administrator

Deputy Under Secretary for

Oceans & Atmosphere

Chief Scientist of NOAA

Counselor to the Under Secretary

Deputy Assistant Secretary for

Oceans & Atmosphere

Deputy Assistant Secretary for

International Affairs

Naval & Air Force Deputies

• Finance & Administration

• Systems Acquisition

• Program Coordination

• High Performance Computing

& Communications • Military Affairs

• Federal Coordinator for

Meteorology

• Public Constituent Affairs

• Sustainable Development &

Intergovernmental Affairs • Policy & Strategic Planning

• Legislative Affairs

• International Affairs

• General Counsel

• NOAA Corps Operations

National Environmental

Satellite, Data &

Information Services

National Weather

Service

Oceanic &

Atmospheric Research

National Marine National Ocean Service

Fisheries Service

• Satellite Operations

• Satellite Data

Processing &

Distribution • Research &

Applications • Systems

Development • National Climatic

Data Center • National

Oceanographic

Data Center • National

Geophysical Data

Center

• Meteorology

• Hydrology

• AWIPS Program

• Systems

Operations • Systems

Development • National Centers

for Environmental

Prediction • NWS Training

Center • National Data Buoy

Center

• 6 Regions

• NOAA Undersea

Research Program • National Sea Grant

College Program • Global Programs

• Environmental

Research

Laboratories

• Coastal Survey

• Aeronautical

Charting &

Cartography • National Geodetic

Survey • Ocean Resources

Conservation &

Assessment • Ocean & Coastal

Resources

Management • Coastal Ocean

Program

• Sustainable

Fisheries • Protected

Resources • Habitat

Conservation • Science &

Technology

Assistant Administrator

Satellite & Information

Services

Assistant Administrator

Weather Services

Assistant Administrator

Oceanic & Atmospheric

Research

Assistant Administrator

Ocean Services and

Coastal Zone

Management

Assistant Administrator

Fisheries

· Natural

Resources

· Natural

Disaster

Reduction
FY 2000 Annual Performance Plan III - 65

Part III - National Oceanic and Atmospheric Administration

Measures and Targets Summary

Increase lead time (minutes) and accuracy (%) for severe

weather warnings for Tornadoes

Increase lead time (minutes) and accuracy (%) for severe

weather warnings for Flash Floods

Increase lead time (minutes) and accuracy (%) for severe

weather warnings for Severe Thunderstorms

Increase accuracy (km/mi) of warnings within 24 hours of Hurricane landfall

Increase lead time (days in advance) for successfully forecasting

one inch of precipitation

Increase accuracy (%) of correct forecasts for heavy Snowfall

Increase the accuracy (in degrees F) of Temperatures averaged for all forecasts periods and cycles

12 min

70% accuracy

46 min

86% accuracy

20 min

85% accuracy

130km/

81 mi

2.4 days

60%

Correct: 87%

Freezing: 80%

Goal: Advance Short-Term Warning and Forecast Services

Goal: Implement Seasonal to Interannual Climate Forecasts

Goal: Predict and Assess Decadal to Centennial Change

Measure FY 2000 Target

ENSO Forecasts – Accuracy (correlation)

U.S. temperature – skill score (see p. III - 76 for definition)

New and improved data sets developed and produced (number

per year)

Global Ocean-Atmosphere-Land System (GOALS) experiments

implemented (%)

0.85

20

6

25%

Document the “turnover” of CFC source gases (whose atmospheric abundance is expected to begin decreasing in 1998)

in order to verify the effectiveness of global policy actions

Publish updated trend results of air quality measurements

Lead development of peer-reviewed initial assessment of regional ozone in North America, including summarizing results

for customers

N/A

N/A

N/A

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Part III - National Oceanic and Atmospheric Administration

Measures and Targets Summary, cont.

Number of Physical Oceanographic Real-Time Systems (PORTS)

in place to provide quality-assured data in real-time for safe navigation

Percent reduction in the backlog (square nautical miles) of hydrographic surveys for critical areas (cumulative)

7

22.5%

By 2004, 50% fewer overfished fisheries (currently 86 of 286 stocks

are overfished. This would be reduced to 43.)

By 2004, 60% of stocks have sufficient essential fish habitat

By 2004, 10% increase in employment in non-capture fishing and

other sectors in fishing communities

By 2004, 20% increase in economic contribution of aquaculture to

Gross Domestic Product (GDP)

0%

50%

0%

4%

Number of recovery plans developed (cumulative)

Number of recovery plans priority activities implemented (annual)

Number of species with status improved (annual)

Number of investigations of human-induced and other sources of

mortality (annual)

Cooperative conservation programs implemented (cumulative)

27

20

16

15

10

Number of U.S. coastal regions with reduced introductions and

impacts of nonindigenous species (total of 6 regions)

Percent of U.S. coastline with threats to habitat assessed and

ranked

Number acres of coastal habitat restored (cumulative)

Percent of state coastal nonpoint pollution control programs approved (% of 35 coastal states)

Number of U.S. coastal regions with systems to predict and reduce impacts of harmful algal blooms (total of 6)

Percent of U.S. shoreline and inland areas with improved ability to

identify extent and severity of coastal hazards

1

20%

88,000

86%

1

20%

Goal: Sustain Healthy Coasts

Goal: Recover Protected Species

Goal: Build Sustainable Fisheries

Goal: Promote Save Navigation

Measure FY 2000 Target

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Part III - National Oceanic and Atmospheric Administration

Resource Requirements Summary

$2.5 billion

12,726 FTEs

Skills: Meteorologists, Hydrologists, Engineers, Oceanographers, Physical Scientists, Atmospheric Scientists, Computer Specialists, Chemists, Physicists, Mathematicians,

Cartographers, Fishery Biologists, Fishery Economists,

Ecologists, Marine Ecologists, Toxicologists

IT Requirements: The following represents some of the major NOAA IT system requirements for FY 2000:

• Advanced Weather Interactive Processing System

(AWIPS): $60.5 M

• Next Generation Weather Radar (NEXRAD) System:

$48.9M

• Geostationary Operational Environmental Satellites

(GOES) Ground System: $6M

• Geophysical Fluid Dynamics Laboratory (GFDL):

$5.7M

• Geodetic Support System: $19.8M

• National Marine Fisheries Service Fishing Information Technology System: $25M

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Advance short-term warning and forecast services

Rationale for/Comments on Performance Goal:

Significantly improved short-term warning and forecast products and services enhance public safety, through the protection of life and property, and the economic productivity of

the Nation. They also enhance NOAA’s ability to observe,

understand, and model the environment, and effectively disseminate products and services to users.

Measure: Increase lead time (minutes) and

accuracy (%) for severe weather warnings

through verification statistics for Tornadoes

50%

55%

60%

65%

70%

75%

1998 1999 2000 2001 2002

Target

Target

Data Validation and Verification

Data source: National Weather Service (NWS) Field

Offices

Frequency: Annual

Baseline: Progress based on the previous year

Data storage: National Weather Service Headquarters, Office of Meteorology, Silver

Spring, MD

Verification: Verification is the process of comparing the predicted weather to the actual

outcome. The process begins with the

collection of warning and the corresponding observational data from every

NWS office across the Nation. Quality

control procedures are followed to ensure the highest possible reliability of the

gathered data.

Comment: The Customer Service Core of the NWS

Office of Meteorology is responsible for

the validation and verification activities.

There are limitations of scientific verification in assessing data. The fundamental purpose of scientific verification

is to objectively assess program performance through the use of standard statistical analysis. However, a number of

factors unique to the atmospheric sciences must be considered to ensure

proper interpretation of objectively derived statistics. The primary factor to

consider is the natural variation of this

performance measure related to annual

fluctuations in meteorological conditions

associated with severe weather.

Outyear measures are dependent on a

stable funding profile and take into account improved use of the Weather Surveillance Radar (WSR-88D), new satellites, improved forecast models, new and

continued U.S. Weather Research Program (USWRP) research activities, investments in critical observing systems,

and implementation of the Advanced

Weather Interactive Processing System

(AWIPS).

0

5

10

15

1998 1999 2000 2001 2002

National Oceanic and Atmospheric Administration
FY 2000 Annual Performance Plan III - 69

Part III - National Oceanic and Atmospheric Administration

Measure: Increase lead time (minutes) and

accuracy (%) for severe weather warnings for

Flash Floods

· Natural

Disaster

Reduction

Advance short-term warning and forecast services (cont.)

0%

25%

50%

75%

100%

1998 1999 2000 2001 2002

Target

Target

Data Validation and Verification

Data source: National Weather Service Field Offices

Frequency: Annual

Baseline: Progress is based on previous year

Data storage: National Weather Service Headquarters, Office of Meteorology, Silver

Spring, MD

Verification: Verification is the process of comparing the predicted weather to the actual

outcome. The process begins with the

collection of warning and the corresponding observational data from every

NWS office across the Nation. Quality

control procedures are followed to ensure the highest possible reliability of the

gathered data.

Comment: The Customer Service Core of the NWS

Office of Meteorology is responsible for

the validation and verification activities.

There are limitations of scientific verification in assessing data. The fundamental purpose of scientific verification

is to objectively assess program performance through the use of standard statistical analysis. However, a number of

factors unique to the atmospheric sciences must be considered to ensure

proper interpretation of objectively derived statistics. The primary factor to

consider is the natural variation of this

performance measure related to annual

fluctuations in the meteorological conditions associated with severe weather.

Outyear measures are dependent on a

stable funding profile and take into account improved use of the WSR-88D,

new satellites, improved forecast models, new and continued research activities of the USWRP, investments in critical observing systems, and implementation of AWIPS.

0

10

20

30

40

50

1998 1999 2000 2001 2002

Accuracy

(%)

Lead Time

(Minutes)

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Advance short-term warning and forecast services (cont.)

Measure: Increase lead time (minutes) and

accuracy (%) for severe weather warnings for

Severe Thunderstorms

0%

25%

50%

75%

100%

1998 1999 2000 2001 2002

Accuracy

(%)

Target

0

5

10

15

20

25

1998 1999 2000 2001 2002

Lead Time

(Minutes)

Target

Data Verification and Validation

Data source: National Weather Service Field Offices

Frequency: Annual

Baseline: Progress is based on previous year

Data storage: National Weather Service Headquarters, Office of Meteorology, Silver

Spring, MD

Verification: Verification is the process of comparing the predicted weather to the actual

outcome. The process begins with the

collection of warning and the corresponding observational data from every

NWS office across the Nation. Quality

control procedures are followed to ensure the highest possible reliability of the

gathered data.

Comment: The Customer Service Core of the NWS

Office of Meteorology is responsible for

the validation and verification activities.

There are limitations of scientific verification in assessing data. The fundamental purpose of scientific verification

is to objectively assess program performance through the use of standard statistical analysis. However, a number of

factors unique to the atmospheric sciences must be considered to ensure

proper interpretation of objectively derived statistics. The primary factor to

consider is the natural variation of this

performance measure related to annual

fluctuations in the meteorological conditions associated with severe weather.

Outyear measures are dependent on a

stable funding profile and take into account improved use of the WSR-88D,

new satellites, improved forecast models, new and continued research activities of the USWRP, investments in critical observing systems, and implementation of AWIPS.

National Oceanic and Atmospheric Administration
FY 2000 Annual Performance Plan III - 71

Part III - National Oceanic and Atmospheric Administration

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Advance short-term warning and forecast services (cont.)

Measure: Increase accuracy (km/mi) of

warnings within 24 hours of Hurricane landfall

Measure: Increase lead time (days in advance)

for successfully forecasting one inch of

precipitation

0

1

2

3

4

5

1998 1999 2000 2001 2002

Target

Lead Time

(Days)

Data Validation and Verification

Data source: Hydrometeorological Prediction Center

(HPC)

Frequency: Annual

Baseline: Established 24 hour forecast baseline in

1971.

Data storage: World Weather Building, Camp Springs,

MD

Verification: HPC has produced the Quantitative Precipitation Forecast (QPF) since the early

1960s and has kept verification statistics related to the QPF program since

that time. All data is examined for accuracy and quality control procedures are

applied.

Comment: The NWS routinely prepares and distributes to internal and external customers predictions of heavy rainfall. The

HPC has the responsibility to prepare

both graphical and text products depicting the areas threatened by heavy precipitation in the contiguous United

States. There will be a significant

amount of variability and the improve

ments may not be achieved exactly as

predicted. Outyear measures are dependent on a stable funding profile and

take into account improved use of the

WSR-88D, new satellites, improved

forecast models, new and continued

research activities of the USWRP, in

vestments in critical observing systems,

and implementation of AWIPS.

Data Validation and Verification

Data source: National Hurricane Center (NHC)

Frequency: Annual

Baseline: Established baseline for 24 hour track error in 1993.

Data storage: NHC/Tropical Prediction Center, Miami,

FL

Verification: Hurricane storm verification is performed

for hurricanes, tropical storms, and tropical depressions and considered whether

over land or water. The NHC issues warning when hurricane conditions are expected along the coast within 24 hours.

The location and timing of these warnings

are based upon a number of factors, including the official NHC track forecast. The

average errors of the NHC track forecast

for the Atlantic basin are calculated at the

end of each hurricane season.

Comment: Documentation for Hurricane Warnings is

published in the Atlantic Hurricane Summary published at the end of the hurricane

season which ends November 30. Other

source documentation to justify performance measure are typically charts/briefings on performance, Special Climate

Summary press releases, and NOAA reports. There is large variability in the hurricane warning program due to sample sizes

and types of storms each year. There may

be years with unusually easy or difficult

forecasts. Outyear measures are dependent on a stable funding profile and take

into account improved use of the WSR-88D,

new satellites, improved forecast models,

new and continued research activities of

the USWRP, investments in critical observing systems, and implementation of

AWIPS.

— Accuracy —

Km.

Mi .

131

82

135

84

130

81

130

81

1998 1999 2000 2001

125

78

Year 2002

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Advance short-term warning and forecast services (cont.)

Measures: Increase accuracy (%) of correct

forecasts for heavy Snowfall

0%

25%

50%

75%

1998 1999 2000 2001 2002

Target

Accuracy

(%)

Data Validation and Verification

Data source: National Weather Service Field Offices

Frequency: Annual

Baseline: 3-year moving average.

Data storage: National Weather Service Headquarters,

Office of Meteorology, Silver Spring, MD

Verification: Verification is the process of comparing

the predicted weather to the actual outcome.

The process begins with the collection of

forecasts and the corresponding observational data from every NWS office across

the Nation. Quality control procedures are

followed to ensure the highest possible reliability of the gathered data.

Comment: Forecast accuracy for heavy snowfall is

defined as the percent of correct forecasts

for all snowfall events of 4 inches or more,

over a 24 hour period. Documentation for

heavy snowfall is printed annually. Due to

the relatively few number of cases each

year, the projections assume a 3-year average (current plus 2 previous years equally

weighted). Due to the large volume of data

gathered and computed, a document for the

above cannot be finalized until well into the

following fiscal year. Outyear measures

are dependent on a stable funding profile

and takeinto account improved use of the

WSR-88D, new satellites, improved fore

cast models, new and continued research

activities of the USWRP, investments in criti

cal observing systems, and implementation

of AWIPS.

National Oceanic and Atmospheric Administration
FY 2000 Annual Performance Plan III - 73

Part III - National Oceanic and Atmospheric Administration

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Reduction

Advance short-term warning and forecast services (cont.)

Measure: Increase the accuracy (in degrees F)

of temperatures averaged for all forecasts

periods and cycles

0%

25%

50%

75%

100%

1998 1999 2000 2001 2002

Accuracy of

Predicting Correct Temperatures

(%)

Targe t

0%

25%

50%

75%

100%

1998 1999 2000 2001 2002

Accuracy of Predicting Correct

 Freezing Temperatures (%)

Target

Data Validation and Verification

Data source: National Weather Service Field Offices

Frequency: Annual

Baseline: Progress is based on previous year.

Data storage: National Weather Service Headquarters, Office of Meteorology, Silver

Spring, MD

Verification: Verification is the process of comparing the predicted weather to the actual

outcome. The process begins with the

collection of forecasts and the corresponding observational data from every

NWS office across the Nation. Quality

control procedures are followed to ensure the highest possible reliability of the

gathered data.

Comment: The performance measure involves two

types of temperature forecasts: the

percentage of correct temperature forecasts and the forecast accuracy of the

onset of freezing temperatures. The

correct temperature forecasts are defined as those whose absolute errors

differ by 5F or less averaged for all forecast periods and cycles. The forecast

accuracy of freezing temperatures is defined as the frequency that a minimum

temperature of 32F (0C) or less was correctly forecast when the previous day’s

minimum temperature was 40F or more.

Data is based on the 12Z cycle forecast (24hr period) and the 00Z cycle

forecast (36hr projection) for the over

night minimum temperature. Documentation for temperature verification is

printed annually. Due to the large volume of data gathered and computed,

documentation for the above cannot be

finalized until well into the following fiscal year. Outyear measures are dependent on a stable funding profile and take

into account improved use of the WSR88D, new satellites, improved forecast

models, new and continued research

activities of the USWRP, investments in

critical observing systems, and implementation of AWIPS.

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Advance short-term warning and forecast services (cont.)

Means and Strategies

Means or Activity Strategy or Rationale

Sustain modernized weather service

operations.

Our increased understanding of the environment through

research and investments in new technologies has provided

more accurate and timely weather warnings and forecasts

required by the Nation.

Maintain continuous operational satellite

coverage critical for warnings and forecasts.

Satellites positioned over the United States provide uniform

coverage with visible and infrared (day and night) imagery.

Satellite coverage is combined with and complements data

from other systems to form a complete set of information about

the space from the Earth’s surface to the upper atmosphere.

Strengthen observing and prediction systems

through scientific, technological and

programmatic advances, and international

cooperation.

The environment has profound effects on human welfare and

economic well-being. NOAA is committed to improving its

observing systems, developing a better understanding of natural

processes, and enhancing its predictive models and

dissemination systems.

Improve customer service to the public,

emergency managers, the media, and private

forecast planners through effective

communication and utilization of NOAA’s

products.

Effective communication and dissemination are critical to the

users of weather forecasts, warnings, and other products.

These are accomplished through the utilization of

telecommunication systems and external outreach.

National Oceanic and Atmospheric Administration
FY 2000 Annual Performance Plan III - 75

Part III - National Oceanic and Atmospheric Administration

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Advance short-term warning and forecast services (cont.)

Crosscutting Activities

• Weather and climate services are provided to the

public and industry through a unique partnership

between NOAA and the private meteorological

sector. NOAA provides forecasts and warnings

for public safety, and the private sector promotes

dissemination of forecasts and the tailoring of basic

information for business uses.

• NOAA works closely with other DOC bureaus,

such as NIST and EDA, and other agencies such

as FEMA, the Corps of Engineers, the Bureau of

Reclamation, and others as well as state and local governments to participate in the Federal Natural Disaster Reduction initiative which is focused

on reducing the costs of natural disasters and saving lives through improved warnings and forecasts

and the provision of information to improve resiliency to disaster.

• NOAA works very closely with DoD, especially

the Air Force, to complement DoD meteorological services in the interest of national security.

NOAA also works directly with FAA on aviation

forecasts and with NASA on launch forecasts and

solar forecast effects.

Program Evaluation Efforts

• Program evaluations at NWS field offices are

conducted annually.

• Quality control procedures are also followed to

ensure the highest possible reliability of gathered

data and weather products.

• The National Academy of Sciences is also involved in program analysis and evaluation processes on a national level.

Resource Requirements

$1.3 Billion

6,156 FTEs

Skills: Meteorologists, Hydrologists,

Electronic Technicians, Hydrometeorological Technicians, Engineers,

Oceanographers

IT Requirements:

• Advanced Weather Interactive

Processing System: $60.5M

• Next Generation Weather Radar (NEXRAD) System: $48.9M

• Geostationary Operational Environmental Satellites (GOES)

Ground System: $6M

• Automated Surface Observing

System (ASOS): $11.75

National Oceanic and Atmospheric Administration
III - 76 FY 2000 Annual Performance Plan

Part III - National Oceanic and Atmospheric Administration

Implement seasonal to interannual climate forecasts

Rationale for/Comments on Performance Goal:

NOAA works with academic and multinational partners to

provide one-year lead-time forecasts of known skill of global climate variability, especially El Niño, and consequent

precipitation and surface temperature distributions. These

forecasts increase society’s ability to mitigate economic

losses and social disruption.

Measure: ENSO (El Niño/Southern Oscillation)

Forecasts - Accuracy (correlation)

— Accuracy —

Correlation .85 .85 .85 .85

1998 1999 2000 2001

.85

Year 2002

Data Validation and Verification

Data source: Forecasts of sea surface temperature

in a portion of the Pacific Ocean, and

observations from buoys, ships, and

satellites.

Frequency: Annual

Baseline: 1997: .81 correlation

Data storage: National Weather Service’s National

Centers for Environmental Prediction,

Camp Springs, MD

Verification: NOAA quality controls the incoming

data (e.g., error checking, interstation

comparison), and the satellite data can

be compared with the in situ data to help

validate the data accuracy.

Comment: This measure assesses the correlation

between forecasts of sea surface temperature (based on models) and actual

sea surface temperature (based on satellite and in situ observations). Improve

ments in forecasting ability depend upon

improved observations, models, and research. Forecasts will likely be better in

El Niño years than in non-El Niño years.

Measure: U. S. temperature - skill score Skill Score

Data Validation and Verification

Data source: Forecast data, observations from U.S.

Weather Forecast Offices (WFO), and

from a cooperative network maintained by

volunteers across the Nation.

Frequency: Annual

Baseline: 1997: 22 skill score

Data storage: National Weather Service’s National

Centers for Environmental Prediction,

Camp Springs, MD

Verification: NOAA performs quality assurance

analysis of the data (e.g., error check

ing, elimination of duplicates, interstation

comparison) both at the national and

WFO level.

Comment: For those areas of the United States

where a temperature forecast (i.e.,

warmer than normal, cooler than normal,

normal) is made, this score measures

how much better the prediction is than

the random chance of being correct. Skill

score is based on a scale of 50 to +100.

If forecasters match what would be predicted by random chance, the skill score

is 0. Anything above 0 shows positive

skill in forecasting. Given the difficulty of

making advance temperature and precipitation forecasts for specific locations, a

skill score of 20 is considered quite good

and means the forecast was correct in

almost 50 percent of the locations forecasted. Forecasts will likely be better in

El Niño years than in non-El Niño years.

0

5

10

15

20

25

1998 1999 2000 2001 2002

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Part III - National Oceanic and Atmospheric Administration

Implement seasonal to interannual climate forecasts (cont.)

Measure: New and improved data sets

developed and produced (number per year)

Target

Data Sets

Data Validation and Verification

Data source: Satellite data sets

from NOAA and

Department of Defense environmental satellites, and in

situ data sets

worldwide from

ships, buoys, air

craft, radiosondes.

Frequency: Annual

Baseline: 1997: 7 data sets

Data storage: National Environmental Satellite, Data,

and Information Service’s National Climatic Data Center in Asheville, NC, and

Office of Satellite Data Processing and

Distribution in Suitland, MD

Verification: NOAA performs quality control, including error checking, elimination of duplicates, and interstation comparison. In

addition, for the satellite data, NOAA itself does the data processing.

Comment: In the future, the National Oceanographic Data Center and the National

Geophysical Data Center may also contribute to this performance measure, if

funding levels permit. Compilation of

the in situ data sets, particularly the global data sets, relies on continued international data exchange cooperation.

Measure: Global Ocean-Atmosphere-Land

System (GOALS) experiments implemented

(%)

0%

10%

20%

30%

40%

1998 1999 2000 2001 2002

Target

Experiments

Implemented (%)

Data Validation and Verification

Data source: Progress reports

Frequency: Annual

Baseline: 1997: 15 percent

Data storage: NOAA Office of

Global Programs, Silver Spring, MD

Verification: Progress is reported to NOAA management at Quarterly Reviews.

Comment: The Global Ocean-Atmosphere-Land

System Program has been formulated

to continue improvements in the prediction of ENSO, extend our understanding and predictive capability to include

global seasonal-to-interannual climate

variations, and develop the observational and computational means for predicting these variations. Should the program be prolonged due to, for example,

unexpected research findings or fiscal

constraints, the program could be extended and the percentage of the program completed could stall.

0

1

2

3

4

5

6

7

1998 1999 2000 2001 2002

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III - 78 FY 2000 Annual Performance Plan

Part III - National Oceanic and Atmospheric Administration

Implement seasonal to interannual climate forecasts (cont.)

Means and Strategies

Crosscutting Activities

• NOAA works with a wide variety of partners in

the area of climate forecasts, including other federal agencies (e.g., the Federal Emergency Management Agency (FEMA) and the Agency for International Development), state and local agencies (e.g., state departments of environmental protection and emergency preparedness managers),

academia, foreign government agencies, and international organizations. In preparing for the 1997-

1998 El Niño, NOAA worked closely with FEMA

and state and local officials, greatly improving the

preparedness of the public for the severe weather

resulting from El Niño.

Program Evaluation Efforts

A number of NOAA Line Offices participate in the seasonal to interannual goal. The Office of Oceanic and Atmospheric Research conducts periodic reviews of the activities of its Environmental Research Laboratories. The

National Environmental Satellite, Data, & Information Service holds management performance reviews several

times per year. NOAA also holds constituent workshops

at which NOAA’s seasonal climate forecast efforts are discussed with the users of our data and products, and their

input is solicited to help shape future efforts.

Resource Requirements

$119 Million

538 FTEs

Skills: Meteorologists,

Oceanographers, Physical

Scientists, Atmospheric Scientists,

Computer Specialists

IT Requirements:

• Satellite Active Archive: $1.5M

• NOAA Virtual Data System:

$2.5M

Means or Activity Strategy or Rationale

Implement climate predictions systems to

deliver useful seasonal to interannual climate

forecasts for the U.S. and collaborate in a

multinational effort to generate and use similar

forecasts.

The ability to forecast seasonal climate variability, including

temperature and precipitation, provides enormous socioeconomic benefits to the United States, including the protection

of life and property.

Enhance global observing and data systems

required to provide data for the initialization

and validation of model predictions of seasonal

to interannual climate variations.

Climate observations and data systems to analyze, distribute,

and save this information are the crucial building blocks of our

research and forecasting efforts.

Invest in process and modeling research that

leads to improved predictability of temperature

and rainfall distributions.

Research will help improve our understanding of El Niño and

other modes of climate variability, resulting in better models

and thus more accurate predictions with longer lead times.

Assess the impacts of climate variability on

human activity and economic potential, and

improve public education so that climate

forecasts are understood and acted upon.

Discussion and assessments with various user communities

will ensure that they understand and benefit from our climate

forecasts; soliciting user input will help us create forecasts that

are even more useful.

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Part III - National Oceanic and Atmospheric Administration

Predict and assess decadal to centennial change

Rationale for/Comments on Performance Goal:

Policymakers require, and NOAA and its partners provide, science-based information for decisions regarding

decadal to centennial changes in the global environment,

specifically for: climate change and greenhouse warming; ozone layer depletion; and air quality improvement.

Measure: Document the “turnover” of CFC

source gases (whose atmospheric abundance

is expected to begin decreasing in 1998) in

order to verify the effectiveness of global policy

actions

— Documents on Turnover —

# N/A 1 N/A N/A

1998 1999 2000 2001

1

Year 2002

Data Validation and Verification

Data source: Research from NOAA/OAR/ERL/Aeronomy Laboratory

Frequency: Aperiodic (approximately every 3-5

years)

Baseline: A report every 3-5 years

Data storage: NOAA Aeronomy Laboratory, Boulder,

CO

Verification: Data are taken using proven, peer-reviewed procedures. The results are also

peer-reviewed by internationally qualified experts as part of the publication

process.

Comment: Turnover of gases refers to the increase

and decrease of specific gases in the

atmosphere over time. Five years is

the period generally used to expect reasonable progress in a field such that a

new assessment or report could be justified. Those products take 2 1⁄2 to 3

years to produce. The scientific assessments of the state of our understanding

of the stratospheric ozone depletion are

sponsored by NOAA, the National Air

and Space Administration, the United

Nations Environmental Program, and the

World Meteorological Organization.

They are undertaken every three to five

years based on advancements in the science. The third assessment was published in 1994. The fourth is underway

at this time.

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Predict and assess decadal to centennial change (cont.)

Measure: Publish updated trend results of air

quality measurements

— Number of Publications—

# N/A 1 N/A 1

1998 1999 2000 2001

N/A

Year 2002

Data Validation and Verification

Data source: Research from NOAA/OAR/ERL/Air

Resources Laboratory

Frequency: Biennial

Baseline: A report every 3-5 years

Data storage: NOAA/Air Resources Laboratory, Silver

Spring, MD

Verification: Data are taken using proven, peer-reviewed procedures. The results are also

peer-reviewed by internationally qualified experts as part of the publication

process.

Comment: Five years is the period generally used

to expect reasonable progress in a field

such that a new assessment or report

could be justified. Those products take

two and a half to three years to produce.

Measure: Lead development of a peer-reviewed

initial assessment of regional ozone in North

America, including summarizing results for

customers

— Assessments/Reports —

# N/A 1 N/A N/A

1998 1999 2000 2001

1

Year 2002

Data Validation and Verification

Data source: Research from NOAA/OAR/ERL/Aeronomy Laboratory

Frequency: Aperiodic (approximately every 3-5

years)

Baseline: A report every 3-5 years

Data storage: Research from NOAA/Aeronomy Laboratory, Boulder, CO

Verification: Data are taken using proven, peer-reviewed procedures. The results are also

peer-reviewed by internationally qualified experts as part of the publication

process.

Comment: Five years is the period generally used

to expect reasonable progress in a field

such that a new assessment or report

could be justified. Those products take

two and a half to three years to produce.

The assessments conducted under the

North American Research Strategy for

Tropospheric Ozone are conducted on

a three to five year interval determined

by the scientific advancements that

have occurred and the perceived requirements for updates to Congress,

the Office of Science and Technology

Policy, and the Committee on Environment and Natural Resources. The chart

above represents the present assessment schedule.

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Part III - National Oceanic and Atmospheric Administration

Predict and assess decadal to centennial change (cont.)

Means and Strategies

Means or Activity Strategy or Rationale

Characterize the agents and processes that force

decadal to centennial change.

Natural events and human activities cause changes in

climate. The atmospheric amounts of many greenhouse

gases are increasing. This objective addresses

understanding natural and man-induced greenhouse

processes

Understand the role of the ocean as a reservoir of both

heat and carbon dioxide to address a major source of

uncertainty in climate models.

Research has highlighted the role of the oceans in

climate change. Accurate simulations of the coupled

air-sea system are essential for predicting and

assessing climate variability.

Ensure a long-term climate record by enhancing

domestic and international weather networks, observing

procedures, and information management systems.

Document present and past changes and variations in

the climate system, including extreme events, and rapid

climate changes, exploiting national and international

observing networks, satellites, and paleoclimatic data.

A well-documented, long-term record of climate data is

required to ascertain the sensitivity of the climate

system to changes in atmospheric composition and the

impact of climate change on socio-economic,

biogeochemical, and physical systems.

Guide the rehabilitation of the ozone layer by providing

the scientific basis for policy choices associated with

ozone-depleting compounds and their replacements.

A better definition of which substitutes are the most

“ozone friendly” will help our chemical industry avoid

production of a substitute that later proves to destroy

unacceptable amounts of ozone.

Provide the scientific basis for better air quality by

improving the understanding of high surface ozone

episodes in rural areas and by strengthening the

monitoring network to detect cleaner air quality and

improving the characterization of airborne fine particles.

Stations that detect air quality must be upgraded and

maintained to provide the required information to

achieve a more effective Clean Air Act implementation.

Develop models for the prediction of long-term climate

change (including extreme events and rapid climate

changes), carry out scientific assessments, and provide

human impacts information.

Explanatory environmental models must be

strengthened through better understanding of the

atmospheric and oceanic processes to meet the

challenges of understanding and foreseeing climate

variability and long term changes.

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Part III - National Oceanic and Atmospheric Administration

Predict and assess decadal to centennial change (cont.)

Crosscutting Activities

• NOAA depends strongly on universities to help

accomplish its science objectives through a network of Joint and Cooperative Institutes and

Universities.

• NOAA also funds academic researchers through

competitive, peer-reviewed programs, including

the Global Climate Change Program.

• NOAA, in partnership with ITA within the Department of Commerce, other federal agencies, the

private sector, and academia, is providing the

foundation the U.S. will depend upon to lead new

emerging global industries in economically and

environmentally sustainable ways.

Program Evaluation Efforts

• All NOAA Environmental Research Laboratories

are reviewed on a regular basis. The Sea Grant

Colleges are visited at least every two years by a

review panel.

• The National Undersea Research Centers are

visited annually and reviewed for certification on

a six-year basis.

• All the external science supported by NOAA is

openly solicited and competed and peer- and

panel-reviewed. All principal investigators are

encouraged to publish their results in the peerreviewed literature.

Resource Requirements

$102 million

462 FTEs

Skills: Meteorologists, Instrumentation Engineers, Oceanographers,

Instrumentation Technicians, Computer Scientists, Chemists, Physicists, Mathematicians, Electronic

Engineers

IT Requirements:

• Geophysical Fluid Dynamics

Laboratory (GFDL): $5.7M

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FY 2000 Annual Performance Plan III - 83

Part III - National Oceanic and Atmospheric Administration

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Promote safe navigation

Rationale for/Comments on Performance Goal:

NOAA serves commercial and recreational mariners

around the Nation by providing these customers with

nautical charts, tides and currents data, and geographic

positioning data for safe navigation. Geodetic services

are vital to the broader mapping and surveying industry

nationwide. Shoreline data and real-time tides and currents information also serve the coastal resource management and oil spill/disaster response communities.

NOAA is currently exploring innovative ways to modernize its services in a cost-efficient manner to meet customer needs.

Measure: Number of Physical Oceanographic

Real-Time Systems (PORTS) in place to provide

quality-assured data in real-time for safe

navigation

0

5

10

15

1998 1999 2000 2001 2002

Target

PORTS

Data Validation and Verification

Target: Increase the # of PORTS by 3 each year

Data source: National Ocean Service/Ocean Products Service Center automated data

base which tracks system operation and

equipment upgrades.

Frequency: Ongoing, annual reporting

Baseline: From FY 1994.

Data storage: Automated database at National Ocean

Service

Verification: National Ocean Service will apply standard verification and validation methods.

Comment: Severe weather can impact the water

level stations, by knocking them off-line,

affecting the accuracy of real-time data,

or destroying them completely. This

performance measure can be affected

by maintenance schedules or the need

to replace existing equipment. Annual

targets include PORTS “Lite” which is a

substantially smaller, single station system requiring less maintenance than a

regular PORTS system which consists

of as many as 26 stations (e.g., San

Francisco).

National Oceanic and Atmospheric Administration
III - 84 FY 2000 Annual Performance Plan

Part III - National Oceanic and Atmospheric Administration

Promote safe navigation (cont.)

Measure: Percent reduction in the backlog

(square nautical miles) of hydrographic surveys

for critical areas (cumulative)

Data Validation and Verification

Target: 4% annual reduction in backlog beginning in FY 2000

Data source: Progress reports on data collected from

hydrographic survey platforms.

Frequency: Annual

Baseline: From FY 1994.

Data storage: National Ocean Service will store data

and publish nautical charts.

Verification: National Ocean Service will apply established verification and validation

methods.

Comment: Progress in reducing the backlog is

measured against a baseline value of

43,000 square nautical miles as determined in 1994. Weather can affect

scheduled surveys.

0%

25%

50%

75%

100%

1998 1999 2000 2001 2002

Target

Reduction in Backlog

(%)

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FY 2000 Annual Performance Plan III - 85

Part III - National Oceanic and Atmospheric Administration

Promote safe navigation (cont.)

Means and Strategies

Crosscutting Activities

• NOAA works closely with the U.S. Coast Guard,

the U.S. Army Corps of Engineers, local port authorities, state coastal zone management agencies, state oil-spill response organizations, and

others while creating a context for new partnerships with the private sector. The U.S. Army Corps

of Engineers provides crucial data pertaining to

navigation channels approaching the Nation’s

ports and harbors. The U.S. Coast Guard, in its

national waterways management initiative, is depending on NOAA to successfully deliver the suite

of navigation services which would result from a

balanced investment in the programmatic components of the Promote Safe Navigation goal. Providing this suite of services is NOAA’s responsibility as the agency works to promote safe navigation. These products and services include realtime and forecast tide and current information, and

a range of electronic chart products from raster to

vector. These products and services support the

Coast Guard’s national waterways management

program, and are also used by the public and private sectors.

Means or Activity Strategy or Rationale

Provide mariners with predictions and

observations of water levels, tides and

currents, and weather conditions in ports.

Increased access to quality-assured tide, current, and

positioning data, particularly in real-time, enables commercial

mariners to navigate in and out of ports efficiently and with

confidence that they will not run aground.

Update nautical surveys in order to accurately

chart the depth of the sea floor and identify

obstructions to navigation.

Hydrographic survey data forms the basis of NOAA’s nautical

charts. By reducing the backlog of surveys in critical areas,

NOAA will be able to update charts for some of the Nation’s

busiest and most hazardous shipping areas.

Build, maintain, and deliver a digital nautical

charting database.

Creating a nautical chart database allows NOAA to apply new

data to nautical charts quickly and efficiently. It will also enable

NOAA to deliver its products to customers in an electronic

format that meets their needs.

Create a Global Positioning System (GPS) -

based system of reference marks and stations

that support the digital revolution in mapping,

charting, and surveying.

Increasing reliance on GPS positioning for surveying and

navigation requires an accurate national spatial reference

system. The ability of GPS to accurately measure heights is

particularly important to marine surveying and navigation.

Map the national shoreline. Accurate shoreline data is a critical component of nautical

charts.

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Promote safe navigation (cont.)

Program Evaluation Efforts

• A number of Marine Board studies (listed below)

were carried out between 1992 and 1996 to

evaluate the nautical charting program and its

transition into the digital era. Study recommendations have been incorporated into the program

and their successful implementation is being

monitored through existing performance measures. Particularly important are the recommendations for reducing the survey backlog, implementing new digital production techniques, and

delivering new electronic chart products. Another

important recommendation urged the program

to make substantial use of contract support for

all aspects of the program. In FY 1995, contracting was less than 5% of the program activities. In FY 1998, contract support for the program will approach $20M - about half of the

program’s annual appropriation.

Marine Board Studies:

Charting a Course into the Digital Era -

Guidance for NOAA’s Nautical Charting

Mission. Marine Board, 1994. National

Academy Press. Washington, D.C.

ANCS II Study, Marine Board, January 1996.

A Performance-Based Organization for

Nautical Charting and Geodesy. June 1996.

National Academy of Public Administration.

Washington, D.C.

• The National Academy of Public Administration

examined all of the programmatic components of

Promote Safe Navigation to determine if they could

be converted into a Performance-Based Organization. The result of the study found that these

essential programs would not survive on product

receipts.

Resource Requirements

$95 million

807 FTEs

Skills: Meteorologists, Cartographers,

Photogrammetists, Hydrologists, Geodesists, Hydrographers, Oceanographers, Physical Scientists, Engineers,

Computer Scientists, Aerial Photographers

IT Requirements:

• Nautical Charting and Surveying

System: $33.3M

• *Physical Oceanographic RealTime Systems (PORTS) and

*Data Processing and Analysis

Subsystem (DPAS) for National

Water Level Observation Network: $14.9M

• Geodetic Support System:

$19.8M

*PORTS and DPAS are appropriated together through the

“Tide and Current Data” line item of the NOAA budget.

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FY 2000 Annual Performance Plan III - 87

Part III - National Oceanic and Atmospheric Administration

Build sustainable fisheries

Rationale for/Comments on Performance Goal:

Billions of dollars in economic growth, thousands of jobs,

and countless recreational fishing opportunities are

wasted as a result of overfishing and overcapitalization in

commercial and recreational fisheries. While many fisheries are well managed and produce positive benefits,

others are severely depleted or overcapitalized, and must

be restored and managed to realize their long-term potential. Rebuilding and reducing overcapitalization in

existing fisheries will promote the economic and biological sustainability of U.S. fishing resources. Building sustainable fisheries will increase greatly the Nation’s wealth

and quality of life.

Measure: By 2004, 50% fewer overfished fisheries

(Currently 86 of 286 stocks are overfished. This would be

reduced to 43.)

Data Validation and Verification

Data source: NOAA/ National Marine Fisheries Service (NMFS) Report to Congress: Status of Fisheries of the United States

Frequency: Annual

Baseline: See below

Data storage: NOAA/NMFS Office of Sustainable

Fisheries

Verification: Stock assessments and peer-reviews

(internal and outside the agency)

Comment: The reauthorization of the MagnusonStevens Sustainable Fisheries Act of

1996 requires that overfishing be eliminated in ten years. A period of two years

has been provided to amend the Fisheries Management Plans of affected

overfished stocks to reflect the new law.

The 50% goal means that the currently

86 overfished fisheries will be reduced

to 43 or less by 2004. External factors

that may affect NOAA’s ability to reach

this target include the impact of climate

and other natural conditions, such as El

Niño, on biological stocks.

National Oceanic and Atmospheric Administration

Target

Reduction in Overfished

Fisheries

(%)

· Natural

Resources

0

20

40

60

80

100

2000 2001 2002 2003 2004
III - 88 FY 2000 Annual Performance Plan

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Build sustainable fisheries (cont.)

Measure: By 2004, 60% of stocks have

sufficient essential fish habitat

— Stocks With Essential Fish Habitat —

% N/A N/A 50 52

1998 1999 2000 2001

54

Year 2002

Data Validation and Verification

Data source: Regional offices of NOAA/NMFS

Frequency: Annual

Baseline: See below.

Data storage: Regional Office of NOAA/NMFS

Verification: Inter-agency and internal peer-review.

Comment: The reauthorization of the MagnusonStevens Sustainable Fisheries Act of

1996 requires NMFS to identify, protect,

and restore essential fish habitats. A

period of two years has been provided to

amend the affected Fisheries Management Plans to reflect the new law. Regulations have been promulgated to define

“essential fish habitat,” and Regional

Fisheries Management Councils, as key

stakeholders, have participated extensively in this regulatory process. External factors that may affect NOAA’s ability to reach this target include the impact of biological and other natural conditions.

Measure: By 2004, 10% increase in employment

in non-capture fishing and other sectors in

fishing communities

— Increase in Employment —

(in non-capture fishing and other sectors

in fishing communities)

% N/A 0% 0% 0%

1998 1999 2000 2001

5%

Year 2002

Data Validation and Verification

Data source: U.S. Department of Commerce/Bureau

of Economic Analysis

Frequency: Annual

Baseline: See below.

Data storage: U.S. Department of Commerce/Bureau

of Economic Analysis

Verification: BEA has been consulted and may provide the information and verification.

Comment: NMFS has approached the Bureau of

Economic Analysis to provide the information starting with 1999 figures. External factors that may affect NOAA’s

ability to reach this target include impact of national and/or local economic

conditions. Non-capture fishing is

aquaculture.

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FY 2000 Annual Performance Plan III - 89

Part III - National Oceanic and Atmospheric Administration

Build sustainable fisheries (cont.)

Means and Strategies

 Measure: By 2004, 20% increase in economic

contribution of aquaculture to Gross Domestic

Product (GDP)

0%

3%

5%

8%

10%

1998 1999 2000 2001 2002

Increase in Economic

Contribution of

Aquaculture to GDP

(%)

Target

Data Validation and Verification

Data source: NOAA/NMFS, BEA, U.S. Department of

Agriculture

Frequency: Annual

Baseline: BEA has been consulted and may provide GDP estimates beginning with

1999 figures.

Data storage: BEA

Verification: BEA has been consulted and may provide information and verification.

Comment: BEA will serve as a satellite account.

Aquaculture is defined as marine aquaculture, including the Great Lakes. External factors that may affect NOAA’s ability to reach this target include the impact

of national and/or local economic conditions.

Means or Activity Strategy or Rationale

Eliminate and prevent

overfishing and

overcapitalization.

As evidenced by the Sustainable Fisheries Act amendments, there is a strong

consensus among lawmakers, fishery managers, the fishing industry, and the

public that depleted fishery resources must be restored and healthy fisheries

must be maintained and managed for greater efficiency.

Attain economic sustainability

in fishing communities.

The rebuilding of overfished fisheries required under the Magnuson-Stevens Act

will result in lower harvest levels, and therefore fewer fishing vessels and fishingrelated jobs, and potentially an overall reduction in economic activity in many

coastal communities. To minimize the economic impact of fisheries

management decisions on communities, NOAA is working with other Federal,

state, and local agencies to address these impacts on fishing communities

through a variety of programs including loans, retraining, vessel and permit

buyouts, and community planning.

Develop environmentally and

economically sound marine

aquaculture.

Sound marine aquaculture will enhance the Nation’s ability to meet the growing

domestic and global demand for seafood, as a growing number of wild stocks

are overfished or fully utilized.

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Build sustainable fisheries (cont.)

Crosscutting Activities

• NOAA will focus on reducing overfishing and

overcapitalization of U.S. fishery resources by improving stock assessment and prediction, improving essential fisheries habitat, and reducing fishing pressure, including downsizing of fishing

fleets. The Department of Commerce, enlisting

the support of key bureaus such as EDA, MBDA,

and NIST, and other federal agencies, such as

the U.S. Department of Agriculture, Small Business Administration, and the U.S. Department of

Labor, will play a key role in mitigating the impact

of these critical resource conservation decisions

in the transition to economically sustainable communities.

External Factors

• Impact of national and/or economic conditions.

Program Evaluation Efforts

• Virtually every aspect of the National Marine Fisheries Service fisheries science program is peerreviewed, either internally within NMFS or outside the agency, e.g., the National Academy of

Sciences of the National Research Council and

the National Science Foundation. NMFS also

relies on extensive informal networks of university partnerships and laboratories throughout the

Nation. Moreover, reviews often occur by opposing parties’ scientists in the court system when

fisheries management decisions are litigated.

Resource Requirements

$324 million

1,661 FTEs

Skills: Fishery Biologists, Fishery

Economists

IT Requirements:

• *National Marine Fisheries

Service Fishing Information

Technology System: $25.3M

* NMFS Fishing Information Technology System provides

information that is used to meet the data needs of the

Build Sustainable Fisheries and Recover Protected Species teams.

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FY 2000 Annual Performance Plan III - 91

Part III - National Oceanic and Atmospheric Administration

Recover protected species

Rationale for/Comments on Performance Goal:

NOAA’s overall objectives for recovering protected species are to prevent the extinction of protected species

and to maintain the status of healthy species. NOAA

measures its performance in meeting these objectives

by focusing on the agency’s ability to manage protected

species through conservation programs and recovery

plans, and through constant monitoring and research

regarding the status of species and the stresses that

affect their mortality.

Measure: Number of recovery plans developed

(cumulative)

0

10

20

30

40

1998 1999 2000 2001 2002

Recovery

Plans

Target

Data Validation and Verification

Data Source: NMFS

Frequency: Annual

Baseline: Annual progress is measured compared

to the previous year.

Data storage: NMFS Office of Protected Resources

Verification: Audits and regular communication between field and headquarter offices regarding the status of recovery plans.

Comment: Recovery plans for listed marine species, including Pacific salmon, are developed and implemented under the Endangered Species Act.

Measure: Number of recovery plans priority

activities implemented (annual)

0

10

20

30

40

1998 1999 2000 2001 2002

Activities

Implemented

Target

Data Validation and Verification

Data source: NMFS

Frequency: Annual

Baseline: Annual progress is measured compared to the previous year.

Data storage: NMFS Office of Protected Resources

Verification: Audits. Internal peer-review within

NOAA and external peer-review by regional fishery councils, the National

Science Foundation, the National Academy of Sciences, and other organizations.

Comment: Lowering mortality for marine species

requires reducing incidental and direct

takes, improving species habitat, decreasing negative interactions, and mitigating the effects of natural phenomena.

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Recover protected species (cont.)

Measure: Number of species with status

improved (annual)

0

5

10

15

20

1998 1999 2000 2001 2002

Target

Number of

Species

Data Validation and Verification

Data source: NMFS

Frequency: Annual

Baseline: Annual progress is measured compared

to the previous year.

Data storage: NMFS Office of Protected Resources

Verification: Audits. Internal peer-review within

NOAA and external peer-review by re

gional fishery councils, the National Science Foundation, the National Academy

of Sciences, and other organizations.

Comment: Recovery plan activities are

implemented through cooperative partnerships

with other federal agencies, state, local, and

tribal governments, and

organizations including

the National Fish and

Wildlife Foundation.

Measure: Number of investigations of humaninduced and other sources of mortality (annual)

0

5

10

15

1998 1999 2000 2001 2002

Target

Data Validation and Verification

Data source: NMFS

Frequency: Annual

Baseline: Annual progress is measured compared

to the previous year.

Data storage: NMFS Office of Protected Resources

Verification: Audits. Internal peer-review within

NOAA and external peer-review by regional fishery councils, the National

Science Foundation, the National Academy of Sciences, and other organizations.

Comment: Lowering mortality for marine species requires

the reduction of incidental and direct takes, improving species habitat, decreasing negative interactions, and

mitigating the effects of

natural phenomena.

National Oceanic and Atmospheric Administration

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Number of

investigations
FY 2000 Annual Performance Plan III - 93

Part III - National Oceanic and Atmospheric Administration

Recover protected species (cont.)

Measure: Cooperative conservation programs

implemented (cumulative)

0

5

10

15

20

1998 1999 2000 2001 2002

Programs

Implemented

Data Validation and Verification

Data source: Cooperative agreements, Memoranda

of Understanding and Memoranda of

Agreement, between NMFS and other

involved parties submitted to NOAA.

Frequency: Annual

Baseline: Annual progress is measured compared

to the previous year.

Data storage: NMFS Office of Protected Resources

Verification: Audits and communication with each

party involved in a cooperative conservation program.

Comment: NOAA partners with public and private

entities to implement conservation programs.

New Performance Measures

NOAA is currently revising the performance measures for

Recover Protected Species as it transitions to new measures which will be used beginning in FY 2000. Through

ongoing NMFS scientific research and workshops, quantitative measures are being developed which will establish the baseline from which program performance will be

measured. Recover Protected Species performance will

be measured by the results of NOAA’s efforts to reduce

the risk of extinction of protected species. The new performance measures will focus on reducing the probability

of extinction for protected and candidate marine species,

lowering mortality rates of marine stocks incidental to

commercial fishing, and protecting and restoring priority

biodiversity areas. Extensive consultation and input with

the science community is being planned to assist NMFS

in the development of the statistical models necessary to

establish performance baselines.

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Recover protected species (cont.)

Means and Strategies

Crosscutting Activities

• Over the past year, NOAA has developed innovative partnerships with the states of Maine,

Washington, Oregon, and California to promote

the recovery of listed and at-risk salmon and steelhead species. This approach has enabled NOAA

to address a high-profile Presidential and Departmental priority in the most efficient, least disruptive way possible, limiting the number of listings

while empowering state, local, tribal, and private

partners with greater responsibility for the protection and recovery of these valuable species.

External Factors

• The impact of climate, biological, and other natural conditions affect NOAA’s efforts to recover

protected species and maintain the status of

healthy species.

Program Evaluation Efforts

Evaluation efforts include peer-reviews of proposals, internal and external reviews of programs, and quarterly

reviews of NOAA’s overall performance in protected species recovery. Constituent input is an important part of

the evaluation process and is solicited regularly through

constituent workshops.

$104 Million

676 FTEs

Skills: Fishery Biologists, Ecologists

IT Requirements:

• * National Marine Fisheries

Service Fishing Information

Technology System: $25.3M

Means or Activity Strategy or Rationale

Prevent extinction of

protected species.

Marine resources contribute billions of dollars to the Nation’s economy. However, many

commercial and recreational activities contribute to stress on marine species and

ecosystems, threatening their survival.

Maintain the status of

healthy species.

Many populations of marine species are depleted or declining due to human activity,

environmental variation, and other causes. Recovering protected species, and avoiding

the further decline of others, will contribute to the improved overall health and

understanding of marine ecosystems. Improved science will lead to better long-term

conservation and management strategies.

Resource Requirements

*NMFS Fishing Information Technology System provides

information that is used to meet the data needs of the

Recover Protected Species and Build Sustainable Fisheries teams.

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FY 2000 Annual Performance Plan III - 95

Part III - National Oceanic and Atmospheric Administration

Sustain healthy coasts

Rationale for/Comments on Performance Goal:

Sustain Healthy Coasts is the most complex of the seven

goals of NOAA’s Strategic Plan, integrating activities

across five of NOAA’s six line and program offices – the

National Ocean Service, the Office of Oceanic and Atmospheric Research (OAR), the National Marine Fisheries Service, the National Environmental Satellite, Data

and Information Service, and the Office of Global Programs.

The Sustain Healthy Coasts program is successful if

coastal habitats and biodiversity are protected and restored, coastal water quality is improved and sustained,

and coastal communities are planned, developed, and

revitalized in sustainable ways.

Measure: Number of U.S. coastal regions with

reduced introductions and impacts of

nonindigenous species (total of 6 regions)

0

1

2

3

4

5

1998 1999 2000 2001 2002

Coastal Regions

Target

Data Validation and Verification

Target : Reduced impacts in at least one region

per year.

Data source: NOAA Office of Oceanic and Atmospheric Research, U.S. Department of

the Interior, and state agencies.

Frequency: Annual

Baseline: FY 1996 = 1

Data storage: OAR will collect data, conduct assessments and store data

Verification: Original research data verified through

peer-review; OAR will obtain quality

control data from other sources to ensure criteria are being met for inclusion

in performance calculations.

Comment: Reaching these targets will also depend

on activities of other federal and state

agencies with management responsibilities in this area.

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Sustain healthy coasts (cont.)

Measure: Percent of U.S. coastline with threats

to habitat assessed and ranked

0%

25%

50%

75%

100%

1998 1999 2000 2001 2002

Coastline

(%)

Target

Data Validation and Verification

Data source: National Marine Fisheries Service, Office of Habitat Conservation

Frequency: Annual

Baseline: FY 1998 > 0

Data storage: NMFS/Habitat Office will collect information, conduct assessments, and

store data.

Verification: NMFS/Habitat Office will collect quality

control data to ensure criteria are being

met by data used to calculate performance.

Measure: Number of acres of coastal habitat

restored (cumulative)

-

50,000

100,000

150,000

1998 1999 2000 2001 2002

Habitat Restored

(Acres)

Target

Data Validation and Verification

Data source: Primary source is National Marine Fisheries Service, Office of Habitat Conservation. Other input from National Ocean

Service.

Frequency: Annual

Baseline: FY 1994

Data storage: NMFS/Habitat Office will collect information, conduct assessments, and

store data.

Verification: NMFS/Habitat Office will collect quality

control data to ensure criteria are being

met by data used to calculate performance.

Measure: Percent state coastal nonpoint

pollution control programs approved (% of 35

coastal states)

0%

25%

50%

75%

100%

1998 1999 2000 2001 2002

Target

Programs

Approved

(%)

Data Validation and Verification

Data source: National Ocean Service, Office of

Ocean and Coastal Resource Management (OCRM)

Frequency: Annual

Baseline: FY 1996 = 0

Data storage: OCRM will collect information, conduct

assessments, and store data.

Verification: OCRM will verify information from states

through formal review and approval of

state plans.

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FY 2000 Annual Performance Plan III - 97

Part III - National Oceanic and Atmospheric Administration

Sustain healthy coasts (cont.)

Measure: Number of U.S. coastal regions with

systems to predict and reduce impacts of

harmful algal blooms (total of 6)

Data Validation and Verification

Data source: National Ocean Service, other federal

and state agencies.

Frequency: Annual

Baseline: FY 1998 = 0

Data storage: NOS will collect information, conduct

assessments, and store data.

Verification: Verification includes peer-review of research and testing of models used in

the prediction systems.

Comment: Accuracy and content of predictions will

depend on information and activities of

other federal and state agencies with

responsibilities in this area.

Measure: Percent of U.S. shoreline and inland

areas with improved ability to identify extent

and severity of coastal hazards

0%

25%

50%

75%

1998 1999 2000 2001 2002

U.S. Shoreline and

Inland Areas

(%)

Target

Data Validation and Verification

Data source: National Ocean Service, other federal

and state agencies.

Frequency: Annual

Baseline: FY 1998

Data storage: NOS will collect information, conduct

assessments, and store data.

Verification: All data used in coastal hazard risk assessments is quality controlled; risk assessment models are tested for accuracy and coverage (amount of shore

line covered).

Comment: This measure tracks development and

implementation of “coastal hazard risk

atlases” as an indicator of improved

ability to identify the extent and severity

of coastal hazards. Reaching these targets will also depend on activities of

other federal and state agencies with

management responsibilities in this

area.

National Oceanic and Atmospheric Administration

· Natural

Resources

0

1

2

3

4

5

6

1998 1999 2000 2001 2002

Coastal Regions

Target
III - 98 FY 2000 Annual Performance Plan

Part III - National Oceanic and Atmospheric Administration

Sustain healthy coasts (cont.)

Means and Strategies

Means or Activity Strategy or Rationale

Protect, conserve, and restore coastal

habitats and their biodiversity.

Coastal habitats produce many of the Nation’s commercial and

recreational fisheries. They also are the foundation for most coastal

tourism and recreation industries that contribute over $58 billion annually

to the U.S. economy. Protecting and restoring coastal habitats and their

biodiversity is an investment in the long-term sustainability of the

Nation’s coastal resources and the communities and economies that

depend on them.

Promote clean coastal waters to

sustain living marine resources and

ensure safe recreation, healthy

seafood, and economic vitality.

Clean water is essential for productive coastal ecosystems and

sustainable coastal communities. Contaminated coastal waters

threaten living resources, human health, and economic stability. The

primary source of coastal water pollution is run-off from urban and

agricultural areas that washes nutrients and other contaminants into

coastal waters.

Foster well-planned and revitalized

coastal communities that sustain

coastal economies, are compatible

with the natural environment, minimize

the risks from nature’s hazards, and

provide access to coastal resources

for public use and enjoyment.

The U.S. economy is increasingly dependent on coastal resources.

One in every six jobs is marine-related and one-third of the Nation’s

gross domestic product is produced in coastal areas through fishing,

tourism, recreation, and other industries. These industries depend on

healthy coastal resources to survive. Effective planning and

revitalization of coastal communities is essential to sustainable

management of both natural areas and the coastal communities that

depend on them.

National Oceanic and Atmospheric Administration

· Natural

Resources
FY 2000 Annual Performance Plan III - 99

Part III - National Oceanic and Atmospheric Administration

Sustain healthy coasts (cont.)

Crosscutting Activities

• NOAA has leveraged its resources through a

variety of effective international, interagency,

state, local, private-sector, and other partnerships

to develop world-class coastal stewardship capabilities. These partnerships are essential to

effectively integrate coastal science, assessment,

monitoring, education, and management activities.

• In FY 2000, for example, SHC will work with other

federal agencies, states, and academic partners

to initiate new research necessary to sustainably

manage the Nation’s coastal ecosystems. This

research will provide managers and decisionmakers with information, solutions, and technologies as part of an interagency initiative developed

by the National Science and Technology Council’s

Committee on Environment and Natural Resources.

• Through SHC, NOAA provides technical and scientific assistance to a variety of partners involved

in protection, monitoring, and restoration of

coastal resources. For example, NOAA provides

critical information to the U.S. Coast Guard to help

the Coast Guard respond to approximately 70

serious oil and chemical spills every year.

Through SHC, NOAA is also working closely with

other agencies, DOC bureaus, states, local governments, and industry on important crosscutting

activities such as reducing the risks and impacts

of natural hazards, protecting and restoring essential fish habitats, reducing run-off pollution,

forecasting and preventing harmful algal blooms,

and exploring the deep ocean and new uses of

the ocean’s rich biodiversity.

Resource Requirements

Program Evaluation Efforts

NOAA’s goal to sustain healthy coasts is the product of

over 25 years of experience helping to understand and

manage coastal resources so that their ecological and

economic productivity can be fully realized and sustained.

Evaluation efforts exist at a variety of levels, from peerreviews of proposals and evaluations of individual

projects, to internal and external reviews of entire programs and quarterly reviews of NOAA’s overall performance in coastal stewardship areas. Constituent input

is an important part of the evaluation process and is solicited regularly through constituent workshops.

$218 Million

608 FTEs

Skills: Marine Ecologists, Fisheries

Biologists, Environmental Educators, Land Use Planners, Toxicologists, Chemists, Engineers, Oceanographers

IT Requirements: Requirements are

met through different NOAA Line Office technologies. Sustain Healthy

Coasts does not rely on any one

major IT system.

National Oceanic and Atmospheric Administration

· Natural

Resources
III - 100 FY 2000 Annual Performance Plan

Part III - Patent and Trademark Office

· Broadening

Trade

· Performance

Based

Organization

Patent and Trademark Office

Enabling Legislation

The foundation for the American Patent System was a

law enacted in 1790 based on Article 1, Section 8, Clause

8 of the Constitution whereby Congress has the power

“to promote the progress of science and useful arts by

securing for limited times to authors and inventors the

exclusive right to their respective writings and discoveries.” The current trademark system is grounded in the

Trademark Act of 1946, although the first American federal trademark legislation was passed in 1870. Statutes

for PTO are embodied in Titles 15 (Trademarks) and 35

(Patents) of the U.S. Code.

Bureau Context

As the steward for the Nation’s patent and trademark registration system, PTO has maintained its

basic role of granting patents and registering trademarks. In this role, PTO operates in a dual management

capacity: like a business, totally reliant on its own generated income and accountable for the judicious use of revenue from its fee-paying customers; and as a federal

agency, accountable for maintaining and strengthening

the foundation and integrity of the Nation’s patent grant

and trademark registration systems.

As a fee-for-service agency, PTO expects to receive

559,000 patent and trademark applications and to issue

155,000 patents and register 141,000 trademarks in fiscal year 2000.

PTO’s mission is to:

• Administer the laws relevant to granting patents

and registering trademarks

• Advise the Secretary of Commerce, the President of the United States, and the Administration

on patent, trademark, and copyright protection

• Advise the Secretary of Commerce, the President of the United States, and the Administration

on the trade-related aspects of intellectual property

To fulfill the Department’s mission, strategic themes and

initiatives, PTO works with other Commerce bureaus.

PTO’s contributions to the DOC mission and themes are

listed by major business area in the chart that follows.

Department Theme

I: Economic Infrastructure

III: Resources and Assets

III: Resources and Assets

II: Science and Technology

PTO Strategic Goal

Play a leadership role in intellectual property rights

policy, including trade-related

intellectual property issues for

which we have responsibility.

Provide our customers with

the highest level of quality

and service in all aspects of

PTO operations.

Provide our customers with

the highest level of quality

and service in all aspects of

PTO operations.

Provide our customers with

the highest level of quality

and service in all aspects of

PTO operations.

Organization

Policy Function

Patent Business

Trademark Business

Information Dissemination Business

Performance Goal

To help protect, promote and

expand intellectual property

rights systems throughout the

United States and abroad.

To grant exclusive rights, for

limited times, to inventors for

their discoveries through the

issuance of high quality and

timely patents.

To enhance trademark protection through the registration of high quality and timely

trademarks.

To promote awareness of,

and access to, patent and

trademark information.
FY 2000 Annual Performance Plan III - 101

Part III - Patent and Trademark Office

· Broadening

Trade

· Performance

Based

Organization

Patent and Trademark Office

As one of Vice President Gore’s High-Impact Agencies

(HIA); the PTO has committed to high-impact performance goals that are customer-oriented and resultsdriven. HIA performance goals are supported in our FY

1999 and FY 2000 Corporate Plans (budget requests).

These commitments began in FY 1999 and will reach

full completion in FY 2003. HIA goals are as follows:

High Impact Agency (HIA) Goal 1

Reduce the PTO’s trademark processing time to three

months to first action and offer electronic filing capabilities to our customers in fiscal year 1999. Place on PTO’s

web site an electronic trademark application and provide

trademark customers the option to file applications and

related papers electronically.

HIA Goal 2

Test reengineered patent examination processes and

automated systems in 1999; Deploy electronic filing of

patent applications in 2003; Reduce PTO processing time

for inventions to 12 months in 2003 (and for 75 percent of

all inventions in 1999).

HIA Goal 3

Partner with the World Intellectual Property Organization (WIPO) to achieve electronic filing of Patent Cooperation Treaty (PCT) applications in 1999 and, in 2000,

electronically receive and process PCT applications at

the PTO.

HIA Goal 4

Enable customers to use the Internet to request the status of their patent and trademark applications, to place

orders and receive products, and to access patent and

trademark data in 1999.

HIA Goal 5

Establish a fee schedule that encourages participation

in the patent and trademark systems and aligns with costs

beginning 1999 through 2003.

HIA Goal 6

Offer PTO employees innovative training programs at

PTO University and work-at-home opportunities beginning 1999 through 2003.

Priorities and Initiatives

Broadening Trade—PTO will increase its technical assistance efforts to foreign (especially developing) countries. These efforts focus on the preparation of laws and

regulations regarding intellectual property.

Performance-Based Organization—PTO continues to restructure its resource management and core program

processes and systems to support a results-oriented and

customer-driven environment.

Digital Department—PTO will automate patent and trademark activities and offer access via the Internet to expand the range of electronic options offered to customers.

Clean Financial Audits—PTO continues to enhance internal resource management controls and the integrity of

automated financial systems.
III - 102 FY 2000 Annual Performance Plan

Part III - Patent and Trademark Office

· Broadening

Trade

· Performance

Based

Organization

Patent and Trademark Office

Organizational Structure

Assistant Secretary of

Commerce and

Commissioner of

Patents and

Trademarks

Deputy Assistant

Secretary of Commerce

and Deputy

Commissioner of

Patents and

Trademarks

Associate

Commissioner

and

Chief Financial Officer

Assistant Commissioner

for Patents

Assistant Commissioner

for Trademarks

Deputy

Chief Information

Officer

Solicitor

Administrator for

Legislative/International

Affairs

Deputy (Vacant)

Trademark Trial and

Appeal Board

Board of Patent

Appeals and

Interferences

Office of Patent Quality

Review

Office of Trademark

Quality Review

Deputy Associate

Commissioner for

Administration and

Quality Services

Administrator for

Information

Dissemination

Controller and Deputy

Chief Financial Officer

Administrator for

Human Resources and

Public Affairs

Deputy Assistant

Commissioner for

Patents

Deputy Assistant

Commissioner for

Patent Policy and

Projects

Deputy Assistant

Commissioner for

Patent Process

Services

Office of Patent

Programs Control

Trademark Examining

Groups

Office of Trademark

Program Control

Office of Trademark

Services

Office of System

Architecture and

Engineering

Office of System Quality

and Enhancement

Office of System

Development and

Acquisition

Administration for

Computer

Telecommunications

Operations
FY 2000 Annual Performance Plan III - 103

Part III - Patent and Trademark Office

Measures and Targets Summary

Goal: Promote awareness of, and provide effective access to, patent and trademark information

Measure FY 2000 Target

· Broadening

Trade

· Performance

Based

Organization

Number of technical assistance activities completed 80

Goal: Grant exclusive rights, for limited times, to inventors for their discoveries

Average cycle time of original inventions processed

(months)

Percent of customers satisfied

10.2

70

Goal: Enhance trademark protection

Pendency time to registration (months)

Percent of customers satisfied

3.0 to first action

13.8 to disposal/ registration

80

Percent of key products and services meeting schedules

or cycle time of standards

80

Resource Requirements Summary

$922.0 Million (including $20 million to be transferred from OPM for the post-retirement

health and life insurance costs for PTO employees)

6801 FTEs - Engineers, Scientists

Skills: Expertise in intellectual property law and appropriate scientific and technical

disciplines, Computer Technology, Knowledge of Global Intellectual Property Rights

Systems and Policies

IT Requirements:

$155.2 Million

Electronic Commerce; Digital Department; Electronic Filing; Performance-Based Organization; Electronic Workplace; Clinger-Cohen Act; Capital Programming

Goal: Help protect, promote and expand intellectual property rights systems throughout the United

States and abroad

Patent and Trademark Office
III - 104 FY 2000 Annual Performance Plan

Part III - Patent and Trademark Office

· Broadening

Trade

· Performance

Based

Organization

Help protect, promote, and expand intellectual property

rights systems throughout the United States and abroad

Rationale for/Comments on Performance Goal:

Technical assistance is one method of promoting U.S.

competitiveness in the global marketplace. Assistance

also strengthens and safeguards the Nation’s economic

infrastructure by indirectly promoting and shaping intellectual property throughout the world. PTO provides seminars and technical training to officials in countries on reforming their intellectual property structures. As part of

the Broadening Trade initiative, PTO will increase its assistance efforts in Africa.

To achieve HIA Goal 3 and the Digital Department initiative, the PTO will work with the WIPO to achieve electronic filing of PCT applications. The PTO will also electronically receive and process PCT applications at the

PTO.

Measure: Number of technical assistance

activities completed

PTO will meet its performance target by enhancing its

activities to include compliance with the Agreement on

Trade-Related Aspects of Intellectual Property’s (TRIPS)

Article 67. Article 67 requires developed country members of the World Trade Organization to provide technical assistance to developing and least-developed countries in preparing laws and regulations on the protection

and enforcement of intellectual property.

PTO will continue working with the World Intellectual

Property Organization (WIPO) to develop activities that

will incorporate information technology in the administration of intellectual property systems.

50

60

70

80

90

100

1996 1997 1998 1999 2000

Baseline

Activities

Actual Target

Data Validation and Verification

Target: 93 (FY 2000)

Source: Records maintained by the PTO’s Office of Legislation and International Affairs (OLIA)

Frequency: Annual

Data storage: OLIA’s records

Verification: Reported in the Chief Financial Officer’s

Report – an audited document

Patent and Trademark Office
FY 2000 Annual Performance Plan III - 105

Part III - Patent and Trademark Office

· Broadening

Trade

· Performance

Based

Organization

Help protect, promote, and expand intellectual property

rights systems throughout the United States and abroad

(cont.)

Means and Strategies

Partnerships and negotiations with other countries’

patent and trademark organizations directly support this

goal. Increasing technical assistance to developing

countries will facilitate these negotiations and partnerships.

Crosscutting Activities

• Department of State, the Office of the United

States Trade Representative (USTR), and the

International Trade Administration (ITA): The

PTO collaborates with these agencies in the formulation and negotiation of proposals for the protection of intellectual property, both at home and

abroad, and collaborates with other agencies in

administering the patent and trademark laws.

• The Office of the United States Trade Representative (USTR): PTO also advises the USTR on

unfair foreign trade practices for intellectual property (Section 301).

External Factors

• PTO relies on the expressed interest of officials

from foreign countries to take advantage of technical assistance related to intellectual property.

Resource Requirements

$21.9 Million

100 FTEs

Skills: Expertise in patent law and

multiple scientific and technical disciplines, Computer Technology,

Knowledge of Global Intellectual Property Rights Systems and Policies,

Global Intellectual Property Systems

and Policies

IT Requirements: $3.7 Million

Wire the World; Share of Enterprise

Infrastructure

Patent and Trademark Office
III - 106 FY 2000 Annual Performance Plan

Part III - Patent and Trademark Office

Rationale for/Comments on Performance Goal:

A PTO decision on patentability must be timely and of

high quality, because it influences investment, development and marketing strategies, and eventually, the financial viability of U.S. businesses.

In support of the Digital Department initiative, the Patent

Business will accelerate electronic processing of patent

applications.

To achieve HIA Goals 2, 5, and 6 the PTO will test

reengineered patent examination processes and automated systems; deploy electronic processing of patent

applications; reduce patent processing time for inventions;

and establish a fee schedule that encourages participation in the patent system while aligning with costs. Finally, PTO will offer Patent employees innovative training

programs.

Measure: Cycle time of inventions processed

· Broadening

Trade

· Performance

Based

Organization

Grant exclusive rights, for limited times, to inventors for

their discoveries

Data Validation and Verification

Target: 10.2 months (FY 2000) average

Source: Automated systems (Patent Application

Locator and Monitoring – PALM, and the

Federal Financial Systems – FFS).

Frequency: Input—Daily; Reporting—Monthly

Data storage: PALM, Automated systems, reports.

Verification: Reported in the Chief Financial Officer’s

Report – an audited document.

Measure: Percentage of customers satisfied

Data Validation and Verification

Target: 70% (FY 1999) Customer satisfaction

surveys are conducted annually.

Source: Customer surveys.

Frequency: Varied. Surveys are currently conducted and results reported every two

years. Beginning FY 1999, customer

satisfaction surveys will be conducted

every year.

Data storage: PALM, Automated systems, reports.

Verification: Reported in the Chief Financial Officer’s

Report – an audited document.

10

15

20

1996 1997 1998 1999 2000

Baseline

Cycle Time (Months )

Actual Target

40

50

60

70

80

1996 1997 1998 1999 2000

Baseline

Percent of Customers Satisfied

Actual Target

Patent and Trademark Office
FY 2000 Annual Performance Plan III - 107

Part III - Patent and Trademark Office

· Broadening

Trade

· Performance

Based

Organization

Grant exclusive rights, for limited times, to inventors for

their discoveries (cont.)

Means and Strategies

• Increase the patent examining staff by 394 and

reduce cycle time by 2.1 months in each subsequent year.

• Implement process changes to accommodate an

increase in the number of patent disposals

(234,000) and the number of issued patents

(155,000). Incorporate new work roles, responsibilities and relationships and test reengineered

processes into the production pipeline.

• Continue to deploy automated systems. Continue deploying a network to connect the European Patent Office, Japanese Patent Office, PTO

and World Intellectual Property Organization.

• Propose revised fee schedule in the Federal

Register.

• Secure customer feedback (written comment or

open meetings).

• Address customer comments.

• Publish final rules and, if necessary, secure fee

legislation.

Crosscutting Activities

• Departments of Agriculture, Justice and State:

The Patent Business partners with these agencies in the formulation of intellectual property proposals.

• USAID: The Patent Business partners with

USAID to improve systems for effectively granting and protecting intellectual property rights.

• Departments of Defense and Energy and NASA:

The Patent Business partners with these agencies in handling patent applications having national security implications.

• Department of Health and Human Services: The

Patent Business partners with HHS in handling

both AIDS-related and recombinant DNA information.

Resource Requirements

$713.5 Million

5391 FTEs: Engineers, Scientists

Skills: Expertise in patent law and

multiple scientific and technical disciplines, Computer Technology,

Knowledge of Global Intellectual Property Rights Systems and Policies,

Biotechnology, Computer Technology

IT Requirements: $119.6 Million

Patent Image Capturing Systems;

Application Capture and Review; Electronic Application Management; Electronic Filing System; Patent Global Information Network; International Priority Document Exchange; Share of

Enterprise Infrastructure

Patent and Trademark Office

External Factors

• The Patent Business’ workload is related to national economies and the businesses that operate within those economies as almost 50% of

patent applications come from overseas. Changes

to the American or foreign economies could have

an impact on incoming work – either negatively or

positively. For example, the PTO currently is

watching the economies of the Asian countries to

determine potential impact on workload and revenue.
III - 108 FY 2000 Annual Performance Plan

Part III - Patent and Trademark Office

· Performance

Based

Organization

Enhance trademark protection

Rationale for/Comments on Performance Goal:

PTO will maximize the business potential of trademarks

and contain the cost of trademark application processing.

In support of the Digital Department initiative the Trademark Business will enhance communication with customers and employees by transforming trademark processing into a fully electronic operation.

To achieve HIA Goals 1, 5, and 6, PTO will reduce trademark processing time, and provide trademark customers

the option to file applications and related papers electronically by placing an electronic trademark application

on the PTO web site. Finally, PTO will establish a fee

schedule that encourages participation in the trademark

system, and aligns with cost and will offer employees

innovative training programs and work-at-home opportunities.

Measure: Pendency time to disposal/

registration

Data Validation and Verification

Target: 13.8 months (FY 2000) (3.0 months to

first action)

Source: Automated systems (Trademark Application Monitoring – TRAM, and the Federal Financial Systems – FFS).

Frequency: Varied. Input—Daily; Reported—

Monthly.

Data storage: TRAM/Trademark Information System

Verification: Reported in the Chief Financial Officer’s

Report – an audited document.

Measure: Percentage of customers satisfied

Data Validation and Verification

Target: 80% (FY 2000) Customer satisfaction

surveys are conducted annually.

Source: Customer surveys.

Frequency: Varied. Surveys are currently conducted and results reported every two

years. Beginning FY 1999, customer

satisfaction surveys will be conducted

every year.

Data storage: TRAM/Trademark Information System

Verification: Reported in the Chief Financial Officer’s

Report – an audited document.

10

12

14

16

18

20

1996 1997 1998 1999 2000

Baseline

Pendency Time (Months)

Actual Target

60

70

80

90

1996 1997 1998 1999 2000

Percent of Customers Satisfied

Baseline

Actual Target

Patent and Trademark Office
FY 2000 Annual Performance Plan III - 109

Part III - Patent and Trademark Office

Means and Strategies

• Continue to train and educate newly hired Trademark examining attorneys and thereby maintain

pendency to first action at 3 months.

• Continue to leverage information technology to

automate the processes in increments that deliver the highest return on investment.

• Be prepared to implement the Trademark Law

Treaty by October 1999.

Crosscutting Activities

• U.S. Customs Service: The Trademark Business

partners with the Department of Treasury’s U.S.

Customs Service regarding counterfeit goods or

services.

External Factors

• The Trademark Business’ workload is related to

national economies and the businesses that operate within those economies. Changes to the

American or foreign economies could have an

impact on incoming work – either negatively or

positively.

• Several significant pieces of legislation are pending in the Congress that, if enacted, could cause

the Trademark Business to revamp its strategic

agenda for the next several years.

· Performance

Based

Organization

Enhance trademark protection (cont.)

Resource Requirements

$109.3 Million

1047 FTE

Skills: Expertise in trademark law,

Computer Technology, Knowledge of

Global Intellectual Property Rights Systems and Policies, Biotechnology, and

toehr actively developing areas of science and technology, as appropriate and

as shaped by customer demand

IT Requirements: $23.4 Million

Trademark Data Entry and Update System (TRADE UPS); Trademark Image

Capture and Retrieval System (TICRS);

Trademark Photocomp; Trademark Reporting and Monitoring (TRAM++) System; Trademark Information System

(TIS); Trademark Electronic Application

System; Share of Enterprise Infrastructure

Patent and Trademark Office
III - 110 FY 2000 Annual Performance Plan

Part III - Patent and Trademark Office

Promote awareness of, and provide effective access to,

patent and trademark information

Rationale for/Comments on Performance Goal:

Timely availability of patent and trademark information is

critical to the user community.

To support the Digital Department initiative, the Information Dissemination Business will enable customers to

use the Internet to request the status of their patent and

trademark applications, to place orders and receive products, and to access patent and trademark data.

To achieve HIA Goals 4, 5, and 6, PTO will offer electronic accessibility to customers to check application

status, place orders and receive products via the Internet.

The PTO will also offer employees innovative training programs and will establish a fee schedule that encourages

participation in the patent and trademark systems and

aligns with cost.

Data Validation and Verification

Target: 80 (FY 2000)

Source: Internal IDO records; automated systems (the Order Entry Management System, and the Patent and Trademark System; customer surveys.

Frequency: Quarterly

Data storage: TRAM/TIS, Automated systems, reports.

Verification: Reported in the Chief Financial Officer’s

Report – an audited document.

Means and Strategies

• Begin delivering general patent and trademark information and bulk data products via the

Internet.

• Begin responding to customer inquiries via

Internet e-mail.

Measure: Percent key products and services

meeting schedules or cycle time of standards

60

70

80

90

1996 1997 1998 1999 2000

Baseline

Percent of key products & services

Actual Target

Patent and Trademark Office
FY 2000 Annual Performance Plan III - 111

Part III - Patent and Trademark Office

Promote awareness of, and provide effective access to,

patent and trademark information (cont.)

Resource Requirements

$57.3 Million

263 FTE

Skills: Expertise in trademark law,

Computer Technology, Knowledge of

Global Intellectual Property Rights

Systems and Policies, and other actively developing areas of science and

technology, as appropriate and as

shaped by customer demand

IT Requirements: $8.5 Million

Increased Internet Access by Customers to PTO’s products and services

and data; Share of Enterprise Infrastructure

Crosscutting Activities

• Bureau of Census: The Information Dissemination Business works with the Census Bureau to

provide an annual report on patent statistics for

the Statistical Abstract of the United States.

• Government Printing Office (GPO): GPO replicates PTO’s CD-ROM products and makes them

available to their depository libraries.

• National Science Foundation (NSF): PTO partners with NSF on the Report to the President on

Science and Engineering Indicators.

• U.S. Customs Service: PTO provides Customs

with CD-ROMs of trademark information.

External Factors

• The Information Dissemination Business (IDB) responds to customer demands for products and

services. Growing interest and use of the patent

and trademark systems continue to increase the

demand for products and services. To meet the

challenge of delivering intellectual property information when, where and in the format needed by

customers, the IDO Business must offer its varied customer groups a diverse product portfolio.

Patent and Trademark Office
III - 112 FY 2000 Annual Performance Plan

Part III - Technology Administration

· Technology

Infrastructure

· Broadening

Trade

· Critical

Infrastructure

Technology Administration

Enabling Legislation

The Technology Administration (TA) comprises the Office

of the Under Secretary and Office of Technology Policy

(US/OTP), the National Institute of Standards and Technology (NIST), and the National Technical Information

Service (NTIS).

US/OTP operates under the authority of 15 U.S.C. 3704,

which establishes the positions of Under Secretary for

Technology and Assistant Secretary for Technology Policy

and provides the basic authority for preparing technology

policy analyses, industry studies, policy experiments, and

associated reports.

NIST operates under the authority of the National Institute

of Standards and Technology Act (15 U.S.C. 271), which

modifies The Organic Act that created the National Bureau of Standards (NBS) in 1901. Several important legislative changes were adopted in 1988. In addition to renaming NBS as NIST, the changes include the establishment of Regional Centers for the Transfer of Manufacturing Technology (15 U.S.C. 278k) and the establishment

of the Advanced Technology Program (15 U.S.C. 278n).

Separately, the National Quality Program was established

and its functions assigned to NIST by the Malcolm Baldrige

National Quality Improvement Act of 1987 (15 U.S.C.

3711a).

NTIS operates under the authority of 15 U.S.C. 3704b,

which authorizes NTIS to establish and maintain a permanent repository of non-classified scientific, technical,

and engineering information; to make selected bibliographic

information products available to depository libraries; to

collect, translate, and disseminate unclassified foreign

scientific, technical, and engineering information; to implement new methods or media for the dissemination of scientific, technical, and engineering information; and to

maintain the responsibilities enacted in 1950 (at 15 U.S.C.

1151).

Bureau Context

The Technology Administration’s mission is to work with

U.S. industry to maximize technology’s contribution to

U.S. economic growth by maintaining and improving key

components of the Nation’s technological infrastructure;

fostering the development, diffusion, and adoption of new

technologies and leading business practices; creating a

business and policy environment conducive to innovation;

and disseminating technical information.

TA is an integral part of the Department of Commerce

team. In pursuing its mission and responsibilities,

TA assists the Department in building for the future

and promoting U.S. competitiveness in the global

marketplace by strengthening and safeguarding the

Nation’s economic infrastructure, as well as by providing cutting-edge science and technology and a

world-class information base.

Priorities and Initiatives

Broadening Trade – TA continues to help stimulate technological innovation and determine measurements and

standards to improve the Nation’s competitive base and

expand trade opportunities.

Technology Infrastructure – By seeking to improve the

quality of science education, TA supports the initiative to

create a technology- and knowledge-based society.

Critical Infrastructure Program - TA supports the national

effort to assure the security of the increasingly vulnerable

and interconnected infrastructures of our nation.
FY 2000 Annual Performance Plan III - 113

Part III - Technology Administration

Organizational Structure

Technology Administration

Acting Under Secretary for Technology

National Institute of

Standards and Technology

Office of Technology Policy National Technical

Information Service

Measurement & Standards

Laboratories

Advanced Technology

Program

Manufacturing

Extension Partnership

National Quality

Program

· Technology

Infrastructure

· Broadening

Trade

· Critical

Infrastructure

Technology Administration
III - 114 FY 2000 Annual Performance Plan

Part III - Technology Administration

Measures and Targets Summary

Measure FY 2000 Target

Standard reference materials available

Standard reference data titles available

Number of items calibrated

Technical publications

1,330

64

3,250

2,150

Cumulative number of technologies under commercialization

Cumulative number of patents filed

Cumulative number of publications

180

900

690

Goal: Stimulate advanced technologies

Goal: Assure and improve measurements and standards*

Goal: Assist small manufacturers

Increased sales attributed to MEP assistance

Labor & material savings attributed to MEP assistance

Capital investment attributed to MEP assistance

Inventory savings attributed to MEP assistance

$520 Million

$59 Million

$379 Million

$75 Million

Goal: Promote performance and quality management

Number of applications per year to MBNQA and Baldrigebased state quality awards

1,395

Reports published annually 5

Goal: Collect and disseminate information

Number of items in archive

Documents reproduced from electronic media

3.0 Million

0.29 Million

Goal: Analyze and develop technology policies

· Technology

Infrastructure

· Broadening

Trade

· Critical

Infrastructure

Technology Administration

* In addition to the above measures and targets, Annual peer review of the technical quality and merit of the NIST MSL,

conducted by the NRC
FY 2000 Annual Performance Plan III - 115

Part III - Technology Administration

Resource Requirements Summary

· Technology

Infrastructure

· Broadening

Trade

· Critical

Infrastructure

$909,054 Thousand

3,653 FTE

$63,918 Thousand

Technology Administration
III - 116 FY 2000 Annual Performance Plan

Part III - Technology Administration

Assure and improve measurements and standards

TA - National Institute of Standards & Technology · Technology

Infrastructure

· Broadening

Trade

· Critical

Infrastructure

Measurement and Standards Laboratories:

Provide technical leadership for the Nation’s measurement and standards infrastructure, and assure

the availability of essential reference data and measurement capabilities.

Rationale for / Comments on Performance

Goal:

The NIST Measurement and Standards Laboratories (MSL)

develop and deliver measurement techniques, reference

data, test methods, standards, and other types of

infrastructural technologies and services that provide a

foundation for industry in all stages of commerce: research, development, testing, production, and marketing.

NIST laboratories also support U.S. firms in the global

marketplace by working

to eliminate trade barriers associated with different national standards, testing, and certification requirements.

Since its establishment

in 1901 as the National

Bureau of Standards,

NIST has collaborated

closely with industry to

anticipate and address

the Nation’s measurement, standards, and

technology needs.

NIST’s extensive and diverse interactions with

industry provide an important source of information about the quality, direction,

and future demand for NIST products and services.

The NIST MSL supports three initiatives. In the trade

arena, measurements and standards facilitate not only

domestic commerce but also international trade. In FY

2000, NIST will expand both its international standards

program to help ensure open trade (e.g., through the elimination of standards as a non-tariff trade barrier) and its

technical program to support changing U.S. industries

(i.e., through the Critical Infrastructure Program initiative).

NIST also will seek to improve the quality of science education—a critical element in preparing communities for a

technology-based society.

NIST evaluates its performance and plans its work in part

through direct customer feedback, but also through three

distinct evaluation mechanisms: peer review and other

forms of external assessments; economic impact studies; and quantitative output tracking. Each of NIST’s programs uses a different mix of these three evaluation

mechanisms, tailored to each program’s distinct goals,

outputs, and management needs. Taken alone, no individual measurement mechanism provides a singularly robust and comprehensive source of performance evaluation data. Taken together, however, all three evaluation

mechanisms—combined with continual feedback from

customers—collectively provide NIST management as well

as external stakeholders with a highly detailed, rich and

reliable set of performance data encompassing NIST’s

strategic goals.
FY 2000 Annual Performance Plan III - 117

Part III - Technology Administration

Assure and improve measurements and standards (cont.)

· Technology

Infrastructure

· Broadening

Trade

· Critical

Infrastructure

Measure: Qualitative assessment and

performance evaluation using a peer review

process

Data Validation and Verification

Data collection: NRC Board on Assessment panels

observe and analyze each MSL lab.

Frequency: Annual

Data storage: NRC

Verification: NRC independence and high technical capability; internal NRC quality

controls.

Comments: Validity limitations are those intrinsic

to peer review: panel judgments are

not quantifiable; assessments are

highly contextual and detailed; findings are not cumulative.

Since 1959 the NIST Measurement and Standards Laboratories have been reviewed annually by the National

Research Council. The current NRC Board on Assessment of NIST Programs is composed of approximately

150 scientists and engineers, organized into seven panels (one for each of the seven NIST laboratories) plus two

sub-panels for specialized programs. Panel reviews are

reported at the Division level (the major organizational

unit for the laboratories), and build upon assessments of

research processes at the project and program levels.

The NRC Board on Assessment review is independent,

technically sophisticated, and extensive. Each panel

conducts a two- to three-day on-site review of an individual laboratory’s technical quality, with particular attention to the following factors:

• The technical merit of the laboratory programs

relative to the state-of-the-art

• The degree to which the laboratory programs conform to their mission;

• The effectiveness with which the laboratory programs are carried out and the results disseminated

• Insofar as they affect the quality of the technical

programs, the adequacy of the laboratories’ facilities, equipment, and human resources

NRC panel reports for each laboratory become the basis

for a comprehensive annual peer review report of the NIST

MSL. The NRC report covering FY 1998 was completed

in October 1998. The NRC report provides each laboratory not only with an external quality assessment, but

also with a valuable source of information for its own performance assessment, planning, and management functions. To complement this information, the MSL regularly compiles benchmarking data that compare specific

NIST measurement capabilities and practices relative to

those of other national metrology institutes (NMIs), measurement laboratories, and industry measurement needs.

Measure: Economic impact studies

Data Validation and Verification

Data collection: Research is contracted to economic

and technical experts, who generate

quantitative estimates and qualitative

information using performance data

gathered through industry surveys and

field research. Project cost data are

supplied by NIST.

Frequency: Intermittent.

Data storage: Contractors collect and maintain all

data. Survey results, cost data, and

all calculations are presented in final

reports.

Verification: Data are gathered and analyzed by

highly qualified economists and

technical specialists using welldeveloped research methods and

standard economic and business

analysis metrics, as specified and

monitored by NIST.

Comments: Assessment results are intermittent

and not cumulative; elements of study

population often are too diffuse to

measure; availability and quality of

industry data often are uneven; there

are methodological qualifications

specific to each measure; the outcomes are specific to each project

(e.g. limited comparability); and the

studies are expensive.

TA - National Institute of Standards & Technology
III - 118 FY 2000 Annual Performance Plan

Part III - Technology Administration

Assure and improve measurements and standards (cont.)

· Technology

Infrastructure

· Broadening

Trade

· Critical

Infrastructure

NIST augments the performance data obtained through

peer review and benchmarking with formal microeconomic

impact assessments of the long-term impacts of specific

research projects. These studies provide qualitative assessments and quantitative estimates of the economic

impacts resulting from the different types of technology

infrastructure that NIST provides to U.S. industry. These

impacts include increases in R&D efficiency and manufacturing productivity, enhanced product quality, and lower

market transactions costs. Where data allow, quantitative estimates are provided in one of several generally

acceptable forms: net present value, benefit-cost ratio, or

internal rate of return.

NIST has been conducting economic impact studies on

a regular basis since 1992. In addition to demonstrating

consistently strong social rates of return and positive

benefit/cost ratios, these studies provide NIST management with detailed information that is useful for evaluating

current and prospective research projects and for supporting strategic planning processes.

Currently, about five new impact studies are initiated annually, focusing on projects with substantial histories.

Because such studies are conducted intermittently and

at the project level, they cannot be used to generate cumulative quantitative impact data for annual GPRA reporting.

In part due to the long time frame and intermittent character of economic impact assessments, NIST also tracks

MSL activities through a series of quantitative output

metrics. These measures, a portion of which are presented below, convey useful information to management

regarding the generation and significance of particular NIST

products and services. Although individually significant,

these measures do not comprehensively represent the

output from NIST laboratories, nor do they provide information about the quality or impact of particular products

and services. Their interpretation requires careful attention to the meaning and context of each measure.

Measure: Standard reference materials (SRMs)

available

1250

1300

1350

1400

1998 1999 2000 2001 2002

Output Measure

Target Actual

Data Validation and Verification

Data collection: NIST Technology Services.

Frequency: Ongoing

Data storage: All product and service data, along

with committee participation lists, are

regularly recorded and compiled by

NIST’s Technology Services organization.

Verification: Data represent direct and verifiable

counts of NIST products, services,

and staff activities.

Comments: Industry-specific business conditions

and technological developments affect the level and range of demand

for NIST products and services over

time.

To support the Nation’s established measurement needs,

NIST provides standard reference materials (SRMs), reference data, and instrument calibration services. These

products and services represent direct output metrics for

NIST’s measurement science research activities. Moreover, the technical expertise represented by these metrics

supports effective participation in national and international

standards organizations. Through these organizations

NIST supports the harmonization of measurement and

standards practices, which in turn promotes international

trade and domestic economic growth.

TA - National Institute of Standards & Technology
FY 2000 Annual Performance Plan III - 119

Part III - Technology Administration

Assure and improve measurements and standards (cont.)

· Technology

Infrastructure

· Broadening

Trade

· Critical

Infrastructure

Measure: Standard reference data (SRD)

available

40

50

60

70

80

1998 1999 2000 2001 2002

Output Measure

Target Actual

Data Validation and Verification

Data collection: NIST Technology Services.

Frequency: Ongoing

Data storage: All product and service data, along

with committee participation lists,

are regularly recorded and compiled

by NIST’s Technology Services organization.

Verification: Data represent direct and verifiable

counts of NIST products, services,

and staff activities.

Measure: Number of items calibrated

1000

2000

3000

4000

1998 1999 2000 2001 2002

Output Measure

Target Actual

TA - National Institute of Standards & Technology

Measure: Technical publications produced

2000

2200

2400

1998 1999 2000 2001 2002

Output Measure

Data Validation and Verification

Data collection: NIST Washington and Boulder Editorial Review Boards.

Frequency: Ongoing

Data storage: Publications data are gathered and

maintained by Washington and Boulder Ed. Review Boards.

Verification: Data represent direct and verifiable

counts of NIST products, services,

and staff activities.

Target Actual

Technical publications are a primary product of NIST’s

research activities in measurement science and technology. Many of these publications appear in prestigious

scientific journals and withstand peer review by the scientific community. Others appear in technological forums

where measurement standards and technologies developed by NIST staff (at times in collaboration with private

sector partners) are disseminated. NIST uses publications as one of the mechanisms to transfer the results of

its work to the U.S. private sector or to other government

agencies that need cutting-edge measurements and standards.
III - 120 FY 2000 Annual Performance Plan

Part III - Technology Administration

Assure and improve measurements and standards (cont.)

· Technology

Infrastructure

· Broadening

Trade

· Critical

Infrastructure

Objectives and Key Strategies

Objectives

Anticipate and address the

Nation’s most important needs for

physical and information-based

measurements and standards.

Strengthen the national system

of standards, measurement, measurement traceability, and conformity assessment.

Provide leadership in harmonizing international measurements

and standards to facilitate international trade.

Key Strategies

• Work with industry, government, and the scientific community to identify the

science and technology required for a robust measurement and standards

infrastructure.

• Perform laboratory research that develops the measurement tools, data, and

models for advanced science and technology.

• Create and maintain world-class measurement facilities to support U.S. industry in the 21st century.

• Promote the efficient delivery of measurement services to meet both current

and future infrastructure needs.

• Foster the development of domestic voluntary standards needed by government and industry.

• Stimulate the development of a robust private conformity assessment system in the United States.

• Compare measurement systems and practices with other industrialized countries, to assure consistency and eliminate measurement-related reasons for

duplicate testing.

• Foster international voluntary standards needed by government and industry.

• Collaborate with international standards organizations and counterpart laboratories in researching and developing standards.

TA - National Institute of Standards & Technology
FY 2000 Annual Performance Plan III - 121

Part III - Technology Administration

• NIST provides research and services in measurement and standards to almost every other agency

in the Federal government with scientific missions,

contracted through specific Interagency Agreements or Memoranda of Understanding. NIST

measurement research, services, and facilities

have long contributed to national defense and security, to the nationwide safety and quality-assurance systems that ensure the accuracy of health

care measurements, to the accuracy of environmental measurements, and to law enforcement

standards.

• NIST plays a large role in a wide variety of intragovernmental and government-industry coordination committees. For example, NIST has leadership positions on the committees, subcommittees,

and working groups of the National Science and

Technology Council (NSTC).

Cross-Cutting Issues

Assure and improve measurements and standards (cont.)

· Technology

Infrastructure

· Broadening

Trade

· Critical

Infrastructure

External Factors

• Industry-specific business conditions and technological developments affect the level and range of

demand for NIST products and services over time.

MSL request: $284,576 thousand, plus estimated reimbursable obligations of $101,076, construction of research

facilities request $106,798.

2,023 FTE (plus 711 reimbursable FTE and 33 FTE for

construction of research facilities request) / Skills: MSL

professional staff consists of 53% Ph.D., 19% MA/MS,

19% BA/BS

Estimated MSL IT obligations: $49,004 Thousand

Resource Requirements

TA - National Institute of Standards & Technology
III - 122 FY 2000 Annual Performance Plan

Part III - Technology Administration

Stimulate advanced technologies

Advanced Technology Program:

Accelerate technological innovation and the development of new technologies that underpin future

economic growth.

Rationale for /Comments on Performance Goal:

Market pressures often deter firms from investing in particular types of technology. For instance, private industry never has accounted for a large percentage of the

Nation’s basic R&D, because firms must be able to earn

appropriate returns within a time frame and at a level satisfactory to investors. For the same reasons, industry

tends to avoid investing or significantly under-invests in

certain types of enabling technologies: infrastructural

technologies, which require distinct competencies and

are broadly applied; multi-use technologies, which benefit multiple segments of an industry or group of industries; and high-potential breakthrough technologies, which

typically involve risk levels and time frames that far exceed the horizons of individual firms. In each of these

areas, the financial and market interests of individual firms

tend to produce a suboptimal level of investment for the

economy and society as a whole. To address this problem, the Advanced Technology Program (ATP) works with

industry to identify and promote investment in high-risk

technologies with significant potential for broad-based

economic benefits.

In addition to program guidance provided by the Visiting

Committee on Advanced Technology and NIST management, the ATP evaluates its performance through a combination of methods including economic assessments of

project developments and long-term impacts, estimates

of interim outcomes, status reports on completed projects,

and output tabulations.

Data Validation and Verification

Data collection: Data collected for ATP’s Economic Assessment Office databases

(see output metrics section below)

are supplemented with data collected

by external economic and technical

experts, who generate qualitative information and quantitative estimates

using data from field research and

other public and private databases.

Frequency: Intermittent.

Data storage: Research methodology and results

are presented in final reports; some

data are integrated with existing

ATP databases.

Verification: Data collected and analyzed by

contractors, as well as the methodology and results of the data

analysis, are rigorously reviewed by

NIST economists and technical

experts as well as by external experts in evaluation.

Comments: The time period from ATP funding

to economic impacts is long and

entails substantial market and technological uncertainties at the point

impact studies are undertaken.

Few projects are sufficiently mature

to assess their long-term impacts;

in some cases, projections are

used to estimate outcomes and

potential economic impacts. As

with project-level impact assessments in general: results are intermittent & not cumulative; elements

of the study population often are too

diffuse to measure; availability and

quality of industry data are uneven;

there are methodological problems

specific to each measure; the research results are specific to each

project (e.g. limited comparability);

and the studies are expensive.

Measure: Economic impact studies

TA - National Institute of Standards & Technology
FY 2000 Annual Performance Plan III - 123

Part III - Technology Administration

Stimulate advanced technologies (cont.)

Evaluation activities include planning, developing evaluation models and methods, collecting data and constructing databases, and conducting micro- and macro-economic case studies, statistical and econometric analyses, and other forms of assessment and inquiry.

Fully successful ATP projects are expected to contribute

significantly to the U.S. scientific and technical knowledge base, yield private benefits to the innovators, and,

ultimately, yield benefits to others in the Nation—through

market, knowledge, and/or network spillovers extending

well beyond the direct award recipients. Significant impacts can result from even partial successes. To assess

these outcomes, ATP conducts or contracts economic

impact studies that seek to quantify private rates of return, social rates of return, and public rates of return (the

social-rate-of-return component attributable to the ATP).

Evaluation studies address single projects and groups of

projects, as well as issues of special concern to policy

makers and program management.

To complement its

highly focused economic impact

studies, ATP

also measures and

evaluates a

wide range of

broader output indicators.

Below are

data for three

key output

metrics—the

number of

technologies

commercialized as a result of ATP

project funding, as well

as the number of patents and publications generated by

ATP-funded projects.

Measure: Cumulative number of technologies

under commercialization

0

50

100

150

200

250

300

1998 1999 2000 2001 2002

Output Measure

Target Actual

Data Validation and Verification

Data collection: Data are gathered from the portfolio of

ATP project participants since 1993

through an electronic survey

instrument under ATP’s Business

Reporting System. Separate portfoliobased telephone surveys are

conducted of project participants

funded prior to 1993 and for postproject data collection.

Frequency: Annual over the course of ATP funding for

projects funded since 1993; intermittent for

projects funded prior to 1993; every two

years (up to six years) after ATP funding

ends.

Data storage: Data are maintained by ATP’s Office of

Economic Assessment in an integrated

set of databases covering both descriptive

information about the funded organizations

and survey responses for all participants in

ATP-funded research projects.

Verification: Business Reporting System electronic

survey and other telephone survey

instruments represent a standardized

reporting system. Surveys record client

responses to questions concerning

business plans, progress, early economic

impacts, and other effects of ATP funding.

Data are reviewed for completeness and

subjected to validity tests.

Comments: The ATP’s Office of Economic

Assessment databases comprise a wide

spectrum of types of information for usein

project management, general ATP

oversight, and economic evaluation.

TA - National Institute of Standards & Technology
III - 124 FY 2000 Annual Performance Plan

Part III - Technology Administration

Stimulate advanced technologies (cont.)

Measure: Cumulative number of patents filed

0

200

400

600

800

1000

1200

1400

1998 1999 2000 2001 2002

Output Measure

Target Actual

Data Validation and Verification

Data collection: Data are gathered from the portfolio of

ATP project participants since 1993

through an electronic survey instrument

under ATP’s Business Reporting

System. Separate portfolio-based

telephone surveys are conducted of

project participants funded prior to 1993

and for post-project data collection.

Frequency: Annual over the course of ATP funding

for projects funded since 1993;

intermittent for projects funded prior to

1993; every two years (up to six years)

after ATP funding ends.

Data storage: Data are maintained by ATP’s Office of

Economic Assessment in an integrated

set of databases covering both

descriptive information about the funded

organizations and survey responses for

all participants in ATP-funded research

projects.

Verification: Business Reporting System electronic

survey and other telephone survey

instruments represent a standardized

reporting system. Surveys record client

responses to questions concerning

business plans, progress, early

economic impacts, and other effects of

ATP funding. Data are reviewed for

completeness and subjected to validity

tests.

Comments: The ATP’s Office of Economic

Assessment databases comprise a

wide spectrum of types of information

for use in project management, general

ATP oversight, and economic

evaluation.

Measure: Cumulative number of technical

publications

0

200

400

600

800

1000

1200

1998 1999 2000 2001 2002

Output Measure

Target Actual

TA - National Institute of Standards & Technology
FY 2000 Annual Performance Plan III - 125

Part III - Technology Administration

Stimulate advanced technologies (cont.)

Objectives and Key Strategies

Objectives

Encourage industry to increase investment in R&D for high-risk, broad-impact technologies.

Accelerate the broad diffusion of ATPfunded technologies.

 Key Strategies

• Identify and fund ATP-industry partnerships for the development of

emerging, infrastructural, and/or multi-use technologies.

• Emphasize cooperative R&D projects.

• Expand partnership activities with both the public and private sectors, and strengthen linkages to external sources of innovation—

such as small entrepreneurial firms, universities and other sources

of basic research, and new research consortia.

• Facilitate linkages between ATP award winners and other financial

and organizational resources.

• Encourage rapid dissemination of information about ATP-funded

technologies.

Cross-Cutting Issues

• Scientists and engineers from

a wide variety of government

agencies and laboratories participate in ATP’s Source Evaluation Boards.

Resource Requirements

ATP request: $251,500 Thousand

280 FTE / Skills: ATP professional staff consists of 51% Ph.D., 26% MA/MS, 19% BA/

BS

Estimated ATP IT obligations: $4,425 Thousand

External Factors

• ATP-funded projects by design involve long time horizons and high

levels of technical risk. Particularly at this early stage, assessing

long-term outcomes as well as progress toward those outcomes

entails fundamental empirical uncertainties and methodological

challenges.

TA - National Institute of Standards & Technology
III - 126 FY 2000 Annual Performance Plan

Part III - Technology Administration

Assist small manufacturers

Manufacturing Extension Program:

Improve the technological capability, productivity,

and competitiveness of small manufacturers.

Rationale for / Comments on Performance

Goals:

While the U.S. manufacturing sector as a whole is among

the most productive in the world, small manufacturers in

the United States consistently lag behind their larger counterparts. Large firms typically have greater financial, technical, and human resources available for production modernization and continuous performance improvement. Yet

the Nation’s nearly 400,000 small plants and factories

employ about 12 million people—nearly two-thirds of all

manufacturing jobs—and produce intermediate parts and

equipment that contribute substantially to the value of

finished products. Due to the pervasive role of small firms

in the manufacturing supply chain, the future productivity

of the Nation’s overall supply base will rest largely on the

ability of small firms to improve their quality, raise their

efficiency, and lower their costs.

The comparatively low productivity growth of small U.S.

firms can be attributed to numerous factors, including

technical, cost, and information barriers. Through the

Manufacturing Extension Partnership (MEP) Program,

NIST helps to overcome these barriers by providing information, decision support, and implementation assistance

in adopting new and more advanced manufacturing technologies, techniques, and business practices.

The MEP provides key support to the Secretary’s Broadening Trade initiative by partnering with ITA to expand the

participation of small manufacturers in international trade.

In addition to program guidance provided by NIST management, MEP evaluates its performance through a combination of methods including: 1) independent evaluation

of MEP program plans and policies by the newly established MEP National Advisory Board; 2) legislativelymandated independent panel reviews of individual MEP

center operations and outcomes conducted against criteria adapted from the Malcolm Baldrige National Quality

Award; and 3) regular program oversight and periodic review of individual MEP center operations and outcomes

by NIST staff. These reviews and assessments utilize a

variety of metrics, including output tabulations; interim

impacts on client competitiveness, derived from regular

surveys conducted by the Bureau of the Census; and

analysis of more detailed information regarding the operations and performance of individual centers. The following four performance measures record the impact of

MEP assistance on several key business indicators, which

illustrate MEP’s impact on key aspects of its clients’

competitiveness.

TA - National Institute of Standards & Technology
FY 2000 Annual Performance Plan III - 127

Part III - Technology Administration

Assist small manufacturers (cont.)

Measure: Increased sales attributed to MEP

assistance

Target Actual

Measure: Labor and material savings attributed

to MEP assistance

0

10

20

30

40

50

60

70

80

1998 1999 2000 2001 2002

Outcome Measure

($millions)

Target Actual

Data Validation and Verification

Data collection: MEP centers submit activity data

reports to Bureau of the Census, which

uses these reports to plan and

conduct client surveys. Census

compiles survey data, ensures

confidentiality, and forwards data

results to MEP.

Frequency: Annual.

Data storage: MEP cumulates and stores Census

survey data in an Oracle database.

Verification: Surveys record client-attested assessments of the business results attributed to completed MEP assistance.

Data are not comprehensive, for two

reasons: 1) data measure only

specific impacts within a calendar

year, hence cumulative or recurring

benefits are not measured; and 2)

many benefits of MEP are intangible,

difficult to quantify, and/or are qualitative in nature.

TA - National Institute of Standards & Technology

0

100

200

300

400

500

600

700

1998 1999 2000 2001 2002

Outcome Measure

($millions)
III - 128 FY 2000 Annual Performance Plan

Part III - Technology Administration

Assist small manufacturers (cont.)

Measure: Capital investment attributed to MEP

assistance

0

100

200

300

400

500

1998 1999 2000 2001 2002

Outcome Measure

($millions)

Target Actual

Measure: Inventory savings attributed to MEP

assistance

0

20

40

60

80

100

1998 1999 2000 2001 2002

Outcome Measure

($millions)

Target Actual

Data Validation and Verification

Data collection: MEP centers submit activity data

reports to Bureau of the Census, which

uses these reports to plan and

conduct client surveys. Census

compiles survey data, ensures

confidentiality, and forwards data

results to MEP.

Frequency: Annual.

Data storage: MEP cumulates and stores Census

survey data in an Oracle database.

Verification: Surveys record client-attested assessments of the business results attributed to completed MEP assistance.

Data are not comprehensive, for two

reasons: 1) data measure only

specific impacts within a calendar

year, hence cumulative or recurring

benefits are not measured; and 2)

many benefits of MEP are intangible,

difficult to quantify, and/or are qualitative in nature.

TA - National Institute of Standards & Technology
FY 2000 Annual Performance Plan III - 129

Part III - Technology Administration

Assist small manufacturers (cont.)

Objectives and Key Strategies

Objectives Key Strategies

Transform a larger percentage of the Nation’s small

manufacturers into high performance enterprises.

• Provide MEP Centers and clients with access to a

wider range of technologies and business practices

by generating an integrated knowledge network focused on high performance processes, market dynamics, technological trends, and competitiveness

indicators.

• Improve each Center’s effectiveness and efficiency by

improving the level of technical capacity in the field,

conducting market research on trends involving broad

segments of MEP’s client base, and assisting Centers in developing effective management information

systems.

Cross-Cutting Issues

• MEP collaborates with a wide range of agencies,

including Agriculture (collaboration on serving forestry and food processing industries and on promoting sustainable development); DoD (regional

recycling efforts with the Navy); DoE (technology

development from DoE labs; Energy, Environment

and Manufacturing Assessment Protocol); EPA

(Pollution Prevention; Environmental Best Practices for Metal Finishing and Printing Industries;

Environmental Service Provider Networks; Recycling Market Development; Energy, Environment

and Manufacturing Assessment Protocol (w/DOE);

collaborative promotion of sustainable development); HHS (collaboration with NIOSH re. Center

health & safety services); HUD (Center workforce

development model being adapted to HUD empowerment zones); DoL (One Stop Career Center; School to Work Project); NSF (adapting NSF

curricula); and NASA (NTTC Technology Mining

Project; field agent training); Bureau of Census

Impact Agencies.

External Factors

• Outcome projections assume lifting of the sunset

restriction on federal funds beyond sixth year of

the centers; if the sunset restriction is not lifted,

these out-year performance estimates will decrease as the number of centers that receive federal funding declines.

Resource Requirements

MEP request: $99,836 Thousand;

plus estimated reimbursable obligations of $50 Thousand

112 FTE / Skills: MEP professional

staff consists of 17% Ph.D., 72%

MA/MS, 11% BA/BS

Estimated MEP IT obligations:

$1,958 Thousand

TA - National Institute of Standards & Technology
III - 130 FY 2000 Annual Performance Plan

Part III - Technology Administration

Promote performance and quality management

The Baldrige National Quality Program:

Assist U.S. businesses and other organizations in

continuously improving their productivity and efficiency by adopting performance and quality management practices.

Rationale for /Comments on Performance

Goals:

As the 21st century approaches, quality and performance

improvement have become requirements—not options—

for competitive businesses and high-performance organizations of all types. Through the Malcolm Baldrige National Quality Program (BNQP), NIST provides a systematic and well-tested set of business values, performance

criteria, and assessment methods that all organizations

can adopt to improve their productivity and effectiveness.

Overall, the BNQP catalyzes the business community to

define what organizations must do to improve their performance and attain (or retain) market leadership, and it

provides a mechanism for broadly disseminating that information.

The Baldrige National Quality Program evaluates its performance through a combination of methods including: 1)

independent expert review of all aspects of the BNQP’s

plans and operations by its Board of Overseers, combined with other annual reviews provided by the Panel of

Judges and the Foundation for the Malcolm Baldrige National Quality Award (MBNQA); 2) output tabulations,

such as the number BNQP Criteria for Performance Excellence distributed by mail; and 3) periodic surveys and

other assessments of the program’s relevance to corporate performance. In FY 1999, the BNQP will complete a

formal economic impact assessment to evaluate the

Program’s longer-term economic impact on corporate

performance management practices, profitability, and other

business factors.

Measure: Number of applications to the

MBNQA and Baldrige-based state quality

programs

Target Actual

Data Validation and Verification

Data collection: Application data are collected and

tracked by the Baldrige National Quality

Program.

Frequency: Based on the application cycle. Data

from state programs is collected

annually.

Data storage: Baldrige National Quality Program.

Verification: Data represent direct and verifiable

counts of BNQP business activities and

processes.

Comments: BNQP’s information dissemination and

promotional activities are designed to

support performance and quality

awareness efforts at all levels.

500

1000

1500

2000

1998 1999 2000 2001 2002

Output Measure

TA - National Institute of Standards & Technology
FY 2000 Annual Performance Plan III - 131

Part III - Technology Administration

Cross-Cutting Issues

• The BNQP provides OPM with Baldrige Criteria,

Processes, and Baldrige Examiner Board members for the Presidential Quality Award.

External Factors

• BNQP’s ability to further promote quality awareness and performance excellence will depend in

part upon acquiring the formal authority to conduct research, develop data on best practices, and

generate self-assessment primers and other educational materials.

Resource Requirements

BNQP request: $5,046 Thousand;

plus estimated reimbursable obligations of $2,000 Thousand

40 FTE plus 2 reimbursables

Skills: BNQP professional staff consists of 11% Ph.D., 44% MA/MS,

33% BA/BS

Estimated BNQP IT obligations: $429

Thousand

Objectives and Key Strategies

Objectives Key Strategies

Develop and continuously improve the

Malcolm Baldrige National Quality Award,

broadly disseminate criteria for evaluating performance, and promote quality

awareness and performance excellence.

Promote quality awareness and business

excellence practices of small service businesses and manufacturers.

• Continue to work with the education and health care communities

to establish full-fledged award programs for these sectors.

• Prepare educational materials (such as case studies) and acquire

the capacity to conduct research and generate documents that will

1) identify best practices and articulate the underlying principles of

leading management practices and performance evaluation techniques; and/or 2) help businesses and other organizations initiate

and sustain performance improvement strategies.

• Use flexible partnerships to reach and address the needs of smaller

firms.

• Lead an expanding national system of state and local quality programs.

• Prepare educational materials designed to help businesses and other

organizations initiate and sustain performance improvement strategies.

Promote performance and quality management (cont.)

TA - National Institute of Standards & Technology
III - 132 FY 2000 Annual Performance Plan

Part III - Technology Administration

TA - Office of the Under Secretary / Technology Policy

Analyze and develop technology policies

Improve technology’s contribution to U.S. competitiveness, economic growth, and job creation through

the analysis, development, advocacy, and implementation of national technology policies and programs.

Rationale for/Comments on Performance

Goals:

Technological innovation and industrial competitiveness

depend upon a supportive policy environment to overcome

market inefficiencies in innovation, investment, and competition. To this end, US/OTP coordinates and leads

several Presidential Initiatives designed to recognize and

promote technological achievement (the National Medal

of Technology), generate new technologies with high potential for socio-economic advancements (Partnership for

a New Generation of Vehicles-PNGV), and improve the

conditions for international technology cooperation (U.S.-

Israel Science and Technology Commission-USISTC). In

addition, US/OTP works closely with the States to manage and improve complex policies that affect innovation,

such as regulatory policies that influence innovation in

telemedicine, environmental technologies, building and

construction, and other areas.

More generally, US/OTP promotes science and technology policy development and advocacy through analyses

of competition in technology-oriented industries; the impact of various regulatory, tax, legal, and other public

policies on corporate behavior; and the foreign policy and

competitive context in overseas markets. In all of its activities, US/OTP seeks to coordinate federal and state

policy efforts in ways that support a truly national approach to science and technology policy.

US/OTP evaluates its performance and plans its work

through several evaluation mechanisms: extensive and

ongoing consultation with public and private sector stakeholders, selected peer review, and output tracking. These

sources of performance evaluation provide diverse and

useful information for managing US/OTP’s policy development, coordination, and analysis roles. However, no

single output measure can capture US/OTP’s diverse

activities, and many core activities—such as policy advisory and advocacy functions—are difficult to characterize quantitatively.

For GPRA purposes, US/OTP provides the number of

reports published annually as a partial indicator of analytical output. In FY 2000, US/OTP expects to publish

five reports on critical technology policy issues. These

reports are designed to inform and influence key members of the science and technology policy community,

and are distributed to a core list that includes members

of Congress, the Office of Science and Technology Policy,

and other Administration offices, leading trade associations and think tanks, and numerous industry and academic leaders who are active on science and technology

policy issues.

The longer-term outcomes that derive from US/OTP reports and other outputs cannot be measured reliably, for

at least two fundamental reasons: First, outcomes associated with knowledge generation (reports, analyses,

workshops, conferences, etc.) typically are extended in

time, intangible in nature, and diffuse in scope. Second,

policy analyses and advocacy efforts may influence the

attitudes and positions of key parties, but actual policy

outcomes are determined by multiple institutional, organizational, economic and political factors. US/OTP has

begun to explore the feasibility and cost effectiveness of

interim outcome measures, such as citation analysis and

customer surveys.
FY 2000 Annual Performance Plan III - 133

Part III - Technology Administration

Analyze and develop technology policies (cont.)

Objectives and Key Strategies

Objectives Key Strategies

Coordinate and lead key interagency

technology programs.

Coordinate and lead interagency efforts

to strengthen technology partnerships

between states and the Federal government.

Improve the information base for science

and technology policy.

Lead and administer presidential initiatives designed to:

• recognize and promote technological achievement (the National

Medal of Technology);

• generate new technologies with high potential for socio-economic

advancements (PNGV); and

• improve the conditions for international technology cooperation

(USISTC).

• Develop and coordinate the U.S. Innovation Partnership to improve how state and federal R&D agencies manage complex policies that affect innovation, such as regulatory policies that influence innovation in telemedicine, environmental technologies, building and construction, and other areas.

• Develop and administer the EPSCoT program to improve the infrastructure and general business conditions for technology-led

economic growth in particular regions of the United States.

• Generate reports and analyses of foreign technology policies and

domestic industrial and technological trends, including but not

limited to: competition in technology-oriented industries; the impact of various regulatory, tax, legal, and other public policies on

corporate behavior; and the foreign policy and competitive context in overseas markets.

Year 1998 1999 2000 2001

Target 5555

Actual 5 TBD TBD TBD

Data Validation and Verification

Data collection: All data are collected and maintained

within each respective program office.

Frequency: US/OTP data is collected on an ongoing

basis.

Data storage: US/OTP.

Verification: This measure is a direct and verifiable

indicator of analytical output.

Comments: Output data are not comprehensive. In

particular, US/OTP policy advocacy

efforts consume a considerable portion

of staff time and resources, but can be

represented only by detailed activity

metrics. As with most policy development and analysis operations, long-term

outcomes cannot be isolated from other

contributing factors, and consequently

cannot be measured reliably.

Measure: Reports Published

TA - Office of the Under Secretary / Technology Policy
III - 134 FY 2000 Annual Performance Plan

Part III - Technology Administration

Resource Requirements

Analyze and develop technology policies (cont.)

US/OTP request: $8,972 Thousand;

plus estimated reimbursable obligations of $0.575 Thousand

50 FTE plus 1 reimbursable FTE

Skills: total US/OTP staff consists

of 11% Ph.D., 19% MA/MS, 32%

BA/BS

Estimated US/OTP IT obligations:

$288 Thousand

Cross-Cutting Issues

• Through the Committee on Technology of the

President’s National Science and Technology

Council, the Under Secretary helps to establish

clear national goals for federal science and technology investments and to ensure that federal civilian R&D priorities reflect the requirements of

industry customers. The Committee currently is

coordinating several major Administration R&D

initiatives in materials, construction and building,

manufacturing infrastructure, electronics and automotive technologies.

External Factors

• Outputs associated with coordination and leadership functions depend in part upon the interest

and commitment of numerous public and private

sector participants operating at the state and federal levels. US/OTP can influence but not control

other participants.

TA - Office of the Under Secretary / Technology Policy
FY 2000 Annual Performance Plan III - 135

Part III - Technology Administration

TA - National Technical Information Service

Collect and disseminate technical information

Collect, preserve, and disseminate government technical, scientific, and business information.

Rationale for/Comments on Performance

Goals:

NTIS operates a central clearinghouse of technical information which is useful to American business and industry. NTIS is directed to collect information from international sources; classify, maintain, and disseminate the

information in the forms and formats most useful to its

customers; develop electronic and other new methods

and media to disseminate information dissemination; provide information processing services to other federal agencies; and charge reasonable fees for its products and

services that permit NTIS to recover its costs.

NTIS contributes directly to the Department’s effort to

provide U.S. industry and the Nation with a world-class

scientific and technical information base. NTIS’ output

directly enhances the Nation’s scientific and technical

information base, which in turn supports virtually all segments of the Nation’s scientific and technological enterprise.

0

0.5

1

1.5

2

2.5

3

3.5

4

1998 1999 2000 2001 2002

Output Measure

(millions)

Target Actual

Data Validation and Verification

Data collection: NTIS operates and maintains internal

systems for processing collected

information into available products.

NTIS records every transaction using

a commercial order processing

system modified to meet its specific

needs. NTIS accounting and budget

offices analyze and report performance output data as well as

revenue and cost data to management.

Frequency: Internal management activity reports

are produced daily, with monthly

summaries.

Data storage: All performance-related information

is stored within the NTIS order

processing system.

Verification: Data verification and validation is

provided through regular internal and

independent auditor reporting.

Measure: Items in archive
III - 136 FY 2000 Annual Performance Plan

Part III - Technology Administration

Measure: Documents Reproduced from

Electronic Media

0

0.05

0.1

0.15

0.2

0.25

0.3

0.35

1998 1999 2000 2001 2002

Output Measure

(millions of documents)

Target Actual

Data Validation and Verification

Data collection: NTIS operates and maintains internal

systems for processing collected

information into available products.

NTIS records every transaction using

a commercial order processing

system modified to meet its specific

needs. NTIS accounting and budget

offices analyze and report performance output data as well as

revenue and cost data to management.

Frequency: Internal management activity reports

are produced daily, with monthly

summaries.

Data storage: All performance-related information

is stored within the NTIS order

processing system.

Verification: Data verification and validation is

provided through regular internal and

independent auditor reporting.

The number of items collected by NTIS and the dissemination demand can vary with the output of government

agencies during any given period. Overall, dissemination

metrics adequately convey NTIS’ performance relative to

its statutory responsibilities. However, they do not comprehensively represent NTIS’ output and performance (for

instance, NTIS also assists agencies in the development

and production of their information). Moreover, these

measures do not convey the impact of all of NTIS’ services.

TA - National Technical Information Service

Collect and disseminate technical information (cont.)
FY 2000 Annual Performance Plan III - 137

Part III - Technology Administration

TA - National Technical Information Service

Collect and disseminate technical information (cont.)

Objectives and Key Strategies

Objective Key Strategies

Play a leadership role in assisting federal

agencies with dissemination of their scientific, technical, and business information.

Provide services and infrastructure to control scientific, technical, and business related information, and increase the effectiveness of systems for locating and delivering information in the form required by

customers.

• Leverage NTIS experience with information dissemination.

• Leverage NTIS joint venture authority to broaden distribution

• Leverage NTIS investment in production technologies.

• Leverage NTIS core capabilities for information management.

• Leverage NTIS sales and distributor channels.

• Develop information products and services for agencies.

Resource Requirements

NTIS request: $2,000 Thousand; plus estimated reimbursable obligations of $60,000 Thousand

23 FTE plus 377 reimbursable FTE

Skills: Total NTIS staff consists of 0% Ph.D., 9%

MA/MS, 25% BA/BS

Estimated NTIS IT obligations: $7,814 Thousand
III - 138 FY 2000 Annual Performance Plan

Part III - National Telecommunications and Information Administration

National Telecommunications and Information

Administration (NTIA)

Enabling Legislation

In 1992, the Congress codified the National Telecommunications and Information Administration’s (NTIA) responsibilities as part of the Telecommunications Authorization Act of 1992, P.L. 102-538. NTIA is the Executive

Branch agency principally responsible for domestic and

international telecommunications and information policy

issues.

Bureau Context

NTIA envisions a world where telecommunications and

information technologies are used to protect and improve

the global quality of life. NTIA’s mission is to promote

the efficient and effective use of telecommunications

and information resources in a manner that creates

job opportunities, enhances U.S. competitiveness,

and raises the standard of living.

The telecommunications and information revolution is

bringing dramatic growth and change to the Nation’s economic, social and political life. These exciting developments affect every American to some extent because

nearly everyone uses telephones, televisions, computers, radio and related technology. Citizens receive public

services and protections that rely upon telecommunications technology. Communication is fundamental to the

very organization of society and to life as it is lived today.

Affordable access to telecommunications technology is

becoming a basic necessity for a successful and productive life in all sectors of our society, including business,

academia, industry, banking and government. The rapid

growth and critical importance of the telecommunications

and information industries will continue for at least the

next decade, domestically and internationally. By the

21st Century, telecommunications and information-related

industries will account for approximately 20 percent of

the U.S. economy. Telecommunications and information

issues are dynamic, multi-disciplinary and complex.

NTIA’s expertise and advocacy enable the U.S. to continue its lead in this integral part of America’s competitiveness.

NTIA is addressing a number of key telecommunications

challenges, including:

• Internet Domain Names: NTIA, through the Department of Commerce, is supporting efforts to

make the governance of the domain system private and competitive. Through these efforts, the

U.S. will transfer responsibility for management

functions now performed by or on behalf of the

United States, to the new corporation. The transfer will begin as soon as the new corporation is

operational and stable, and is intended to be completed by October 1, 2000.

• E-Rate (Universal Service Fund): The Administration has been a leading proponent of the Education or E-Rate, which allows eligible schools

and libraries to establish connections to the Internet

at discounted rates. DOC, along with other agencies, is working to implement the E-Rate program

through outreach and education.

• Mergers: The telecommunications industry is

being affected by the same merger wave that is

washing over the economy generally. The growing numbers of combinations is increasing concentration within the industry, although the effects

vary from sector to sector. The Department of

Commerce is studying these mergers and may

decide to weigh in with comments to the FCC on

particular mergers if appropriate.

• Critical Infrastructure Program: This new program

necessitates a budget supplement for FY 1999

funding and must meet deadlines specified in the

Presidential Decision Directive 63 for the Information and Communications Sector.

· Technology

Infrastructure

· Broadening

Trade

· Critical

Infrastructure
FY 2000 Annual Performance Plan III - 139

Part III - National Telecommunications and Information Administration

Priorities and Initiatives

Technology Infrastructure - NTIA will focus on developing

and promoting the Internet and other communications

platforms and managing radio spectrum.

Critical Infrastructure Program - The Secretary has designated NTIA to serve as the lead agency for the Information and Communications Sector under the Critical Infrastructure Program. The program is defined by Presidential Directive 63 (PDD-63) which calls for a national effort

to assure the national security of the increasingly vulnerable and interconnected infrastructures of the United

States. It stresses the critical importance of cooperation

between the government and the private sector by linking

designated agencies with private sector representatives.

· Technology

Infrastructure

· Broadening

Trade

· Critical

Infrastructure

National Telecommunications and Information

Administration (NTIA)

Organizational Structure

Assistant Secretary

Deputy Assistant Secretary

Office of Policy

Coordination and

Management

Office of

Public Affairs

Office of

Congressional Affairs

Office of

International Affairs

Office of the

Chief Counsel

Office of

Telecommunications

and Information

Applications

Office of Policy

Analysis and

Development

Institute for

Telecommunications

Sciences

Office of Spectrum

Management

The PDD-63 instructs the Department of Commerce to

establish the Critical Infrastructure Assurance Office

(CIAO).

Broadening Trade - NTIA will also continue its efforts to

expand trade opportunities for the U.S. telecommunications industry.
III - 140 FY 2000 Annual Performance Plan

Part III - National Telecommunications and Information Administration

National Telecommunications and Information

Administration (NTIA)

Measures and Targets Summary

Measure Target

Goal: Open Markets

Full compliance of countries with FY 2000 World Trade

Organization (WTO) commitments

100%

Goal: Advanced Telecommunications

TIIAP grant awards / models 50

Goal: Public Interest Promotion

Maintain or increase current telephone subscription rates

Increase Internet accessibility and use

96%

NA

Goal: Radio Spectrum Assignments

New agency-requested spectrum assignments 200,000

Resource Requirements Summary

$72.3 Million

336 FTEs

Skills: Scientists, Engineers, Lawyers, Economists, Policy Analysts, Support Staff

IT Requirements: $6.4 Million

· Technology

Infrastructure

· Broadening

Trade

· Critical

Infrastructure
FY 2000 Annual Performance Plan III - 141

Part III - National Telecommunications and Information Administration

· Broadening

Trade

NTIA

Rationale for/Comments on Performance Goal:

Open and competitive markets lead to lower prices, increased innovation, and more competitive telecommunications and information service choices for all consumers. These efforts directly support the Department’s theme

of building for the future and promoting U.S. competitiveness in the global marketplace, by strengthening and safeguarding the Nation’s economic infrastructure.

This goal supports the initiative to broaden trade. Through

new priorities and initiatives approved by the Department

for FY 2000, NTIA will continue to play a substantial role

in the implementation of the WTO Basic Agreement on

Telecommunications ($500,000); and work with MBDA

and ITA to promote Africa Electronic Commerce, targeted

at small and mid-sized minority businesses.

Measure: % of countries meeting FY 2000

commitment to implement the WTO agreement

on basic telecommunication services

Year 1997 1998 1999 2000 2001

Target NA NA NA 100% 100%

Actual NA NA NA TBD TBD

Data Validation and Verification

Data collection: ITA Database

Frequency: Monthly Reports

Data storage: ITA maintains and updates

Verification: Commerce trade experts from ITA

and NTIA, with input from private sector sources, will monitor and evaluate implementation within these

countries.

Comment: Sixty-nine countries adopted the

(WTO) Agreement on Basic Telecommunications in 1997. This land

mark agreement, which NTIA helped

negotiate, covers over 95 percent of

world revenues for basic telecommunications services -- a $675 billion industry -- and ensures that U.S. companies can compete against and invest in telecommunications companies around the globe. As part of an

interagency team, NTIA will continue

to work on implementation of the

agreement and assist in monitoring

the compliance of countries under the

agreement. In particular, NTIA has

taken a leadership role in designing

an implementation plan to assist developing countries in crafting legal

and regulatory frameworks to meet

their obligations under the agreement.

Open Markets: Promote open markets and encourage

competition

©Ridge Studio/Stock Connection/PNI
III - 142 FY 2000 Annual Performance Plan

Part III - National Telecommunications and Information Administration

Crosscutting Activities

• Federal Agencies, Including U.S. Trade Representative, and other Commerce bureaus, Including

ITA: Development of U.S. Executive Branch positions involve personal coordination and negotiation with these agencies. Senior policy specialists up to and including Assistant Secretary engage in regular communication with other agency

counterparts.

• MBDA and ITA: With these agencies, NTIA promotes Africa Electronic Commerce, targeted at

small and mid-sized minority businesses.

· Broadening

Trade

NTIA

Open Markets: Promote open markets and encourage

competition (cont.)

Means and Strategies

Strategy or

Rationale

Means or Activity Output Indicators

Develop and facilitate

implementation of

appropriate policies

Represent the U.S. and/or Executive Branch in bilateral,

regional, and international forums, such as:

- Discussions with Russia and China

- Sponsorship of the Latin American

Telecommunications Summit (LATS)

- Participation at International Telecommunication

Union (ITU) Conferences

- Comsat oversight and Intelsat/Inmarsat participation

- Support implementation of the TC Act of 1996

- Work with legislators to achieve U.S. legislation that

supports U.S. interests to leverage ISOs restructuring

- Monitor accomplishments of WTO/GBT signatories in

establishing an independent regulator

# of pro-competitive U.S.

policies initiated

# of Federal Communication

Commission Filings

# International meetings

attended

Advocate a more procompetitive

international satellite

services market

Oversee Comsat and Intelsat/Inmarsat participation # of participants in Comsat

and Intelsat / Inmarsat

Assist developing

countries in

strengthening their

telecommunications

and information

infrastructure.

Provide training in modern spectrum management

techniques to telecom personnel

# of programs to assist

emerging market countries to

build infrastructure

• Promoting open markets and competition presents

a challenge that cannot be undertaken by a single

country, or imposed by government fiat. Governments can facilitate these activities by creating a

legal and regulatory environment that supports efficient investment and innovation, and promotes

full and fair competition. Success in this area

requires the coordinated efforts of many agencies

within the U.S. government working closely with

their counterparts in other sovereign nations.

External Factors
FY 2000 Annual Performance Plan III - 143

Part III - National Telecommunications and Information Administration

· Technology

Infrastructure

Radio Spectrum Assignments: Ensure spectrum provides

the greatest benefit to all people

Rationale for/Comments on Performance Goal:

Radio spectrum is a scarce resource supporting government communication, public safety, and national defense,

while private sector uses are burgeoning. Efficient management of these resources, research into new and better spectrum uses, and participation in international organizations help to assign radio spectrum to fulfill needed

services. This goal directly supports the Secretary’s

theme to provide management and stewardship of our

Nation’s resources and assets to ensure sustainable economic opportunities. NTIA’s spectrum management activities are currently funded by other federal agencies at

the 80% level.

This goal supports the initiative for technology infrastructure. For FY 2000, the Department has approved a new

initiative leading to further automation of the spectrum

management process at a total direct cost of $200,000

and reimbursable cost of $800,000 (total priority/initiative

value: $1 million).

Measure: Number of new agency-requested

spectrum assignment actions

Data Validation and Verification

Data collection: Government Master File (GMF)

maintained by NTIA; data is collected from federal agency requests for spectrum assignment actions

Frequency: Monthly

Data storage: NTIA mission critical system; data

available on CD-ROM

Verification: GMF has built-in checks; also staff

review outside of these checks.

Comment: Number of new frequency spectrum

assignment actions is a limited measure of effectiveness of these activities, but the most quantifiable.

Radio spectrum assignment effectiveness is ensured by the Interdepartmental Radio Advisory Committee (IRAC) who administer quality

advisory recommendations to the

Assistant Secretary’s office.

100

125

150

175

200

225

1997 1998 1999 2000 2001

Baseline

Assignments (000s)

Target Actual

NTIA

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III - 144 FY 2000 Annual Performance Plan

Part III - National Telecommunications and Information Administration

Crosscutting Activities

• 23 Federal Agencies: NTIA works with each of

23 federal agencies who are represented on the

Interdepartmental Radio Advisory Committee

(IRAC). IRAC assists the Assistant Secretary

on all spectrum matters.

External Factors

• NTIA’s dealings with federal agencies, and ability to develop acceptable changes in their spectrum, are key to fulfilling this strategic goal.

• Other federal agencies provide advice to NTIA on

spectrum management and resolution and other

problems between the government and

non-government sectors domestically. Internationally issues are resolved through forums such

as the ITU. Because effective international spectrum management depends on cooperation and

adherence to common practices, NTIA operates

as much as possible through the development of

consensus among affected parties.

Radio Spectrum Assignments: Ensure spectrum provides

the greatest benefit to all people (cont.)

Means and Strategies

NTIA’s spectrum management activities are designed to establish and maintain a collaborative process with the federal

agencies that depend upon the spectrum to fulfill their mission requirements. These 23 agencies are represented

through the Interdepartmental Radio Advisory Committee (IRAC). Through a system of sub-committee and ad-hoc

groups involving both the federal agencies and NTIA participation, IRAC provides advice to the Assistant Secretary on

all spectrum matters.

Strategy or Rationale Means or Activity Output Indicators

Develop and implement

spectrum plans and policies

for both government and

private sector users

Coordinate long-range plans for spectrum use # spectrum analysis reports

created

Satisfy the spectrum needs of

Federal government agencies

Process frequency assignment action requests

from agencies

Establish follow-on program to the Public

Safety Wireless Advisory Committee (PSWAC)

to address PSWAC recommendations

Approx. 86,000 requests

processed

Advance development of

spectrally efficient

technologies

Implement Federal standards, rules,

regulations, & procedures

Reviewing and coordinating national satellite

systems

- # of necessary revisions to

spectrum rules

- 50 national satellite systems

reviewed and coordinated

Improve the management of

Federal and non-Federal

spectrum

Process Federal agency requests for spectrum

and interference resolution support

Provide spectrum information and consultation

# of support requests

processed

· Technology

Infrastructure

NTIA
FY 2000 Annual Performance Plan III - 145

Part III - National Telecommunications and Information Administration

· Technology

Infrastructure

· Critical

Infrastructure

Public Interest: Advance the public interest in

telecommunications, mass media, and information

Rationale for/Comments on Performance Goal:

Affordable access to telecommunication technology is

becoming a basic necessity for a successful and productive life in all sectors of our society, including business,

academia, industry, banking, and government. Improved

access to information, made possible by advanced telecommunications and information technologies, will increase productivity, create new jobs, help educate our

children, and provide better medical care to all Americans. Broad access also brings the benefits of the Information Age to the traditionally unserved and under-served,

including the poor, minorities, rural Americans, and disabled individuals.

This goal supports the priorities and initiatives to develop

technology infrastructure and maintain the Nation’s critical infrastructure. NTIA is developing technology infrastructure by promoting both Internet use and the digital

conversion of public broadcasting. NTIA will also move

forward on protecting the Nation’s critical infrastructure

as the lead commerce agency for the information and

communications sector.

Year 1997 1998 1999 2000 2001

Target 96% 96% 96% 96% 96%

Actual 96% TBD TBD TBD TBD

Measure: Increase Internet accessibility and use

Data Validation and Verification

Target: To be determined after 2000 Decennial determines baseline.

Data collection: NTIA is making special arrangements with Census Bureau for the

2000 Decennial

Frequency: Annual estimates after 2000

Data storage: Bureau of the Census

Verification: Established survey statistical techniques

Comment: Government and industry observersof the development of the Internet

have found great difficulty in measuring penetration and use and are

still in the process of developing generally acceptable standards for measurement. NTIA will continue to work

with the Bureau of the Census as

these measurements are refined.

Data Validation and Verification

Data collection: Data is available via Census Bureau

Frequency: Annual

Data storage: The Census Bureau maintains and

tabulates the data.

Verification: The Census Bureau uses established

statistical techniques.

Comment: Since telephone subscription rates are

already at 96%, there is only room for

marginal annual improvement. In a

dynamic economy, maintaining this

subscription rate will constitute a significant challenge, compounded by the

many personal factors that can influence choices.

Measure: Maintain or increase telephone

subscription rates

NTIA

©Tom Tracy/Photo Network/PNI
III - 146 FY 2000 Annual Performance Plan

Part III - National Telecommunications and Information Administration

Crosscutting Activities

• Since the Critical Infrastructure Program (CIP) is

a new program, involvement from other federal

agencies has yet to be finalized.

External Factors

• There are many exogenous variables affecting telephone penetration rates, including income and

affordability.

• Extensive debate is underway in the United States

and numerous other countries on how to define

universal service and how to promote open access to it, particularly in the context of further liberalization in telecommunications markets and

progress toward realizing the goals of the National

Information Infrastructure (NII) and similar foreign

infrastructure initiatives.

· Technology

Infrastructure

· Critical

Infrastructure

Public Interest: Advance the public interest in

telecommunications, mass media, and information (cont.)

Means and Strategies

NTIA

Strategy or Rationale Means or Activity Output Indicators

Promote universal service and

access to telecommunication

Assist in maintenance

Upgrade the services of public broadcasting and

telecommunication facilities, including digital

broadcasting

Create substantive technical, economic, and legislative

policy analysis

# of technical

assistances to public

broadcasters

Determine the public-interest

obligations of broadcasting ,

including promoting a diversity

of choices and programming

sources in the mass media

Coordinate with the White House and other Executive

Branch agencies

Use Federal Advisory Committee support and

management

Facilitate private sector discussions by obtaining expert

and public views, including Federal Register notices for

requests for comments, public conferences, seminars,

and focus groups

Encourage private sector initiatives to give citizens the

ability to protect their children from indecent material

Establish principles for the protection of personal

privacy

# of conferences and

seminars

# of advisory

committee meetings

# of reports on current

telecommunication

models

# of content policy

models

Work to maintain the U.S.

telecommunications and

information infrastructure in

time of crisis

As lead agency for the Information and

Communications Sector under the Critical Infrastructure

Program (CIP), NTIA will coordinate and prepare the

report and plan called for in Presidential Directive 63.

Plan required by

Presidential Directive

63
FY 2000 Annual Performance Plan III - 147

Part III - National Telecommunications and Information Administration

· Technology

Infrastructure

· Critical

Infrastructure

Advanced Telecommunications: Promote the availability

and sources of advanced telecommunication and

information services

Rationale for/Comments on Performance Goal:

NTIA provides matching grants to non-profit organizations

such as schools, libraries, hospitals, public safety entities, and state and local governments to develop a leading technological or information system. Grants are used

to fund projects that improve the quality of, and the public’s

access to, education, health care, public safety, and other

community-based services. By serving as models that

can be replicated in similar communities across the country, these projects extend their benefits far beyond the

communities in which they take place, and provide economic and social benefits to the Nation as a whole.

This goal supports the initiatives to develop technology

infrastructure and maintain the Nation’s critical infrastructure. NTIA is managing a substantial grant program designed to demonstrate the benefits and applications of

technologies such as the Next Generation Internet that

will improve the Nation’s technological infrastructure.

Measure: Independent evaluation

Data Validation and Verification

Target: Not applicable.

Data collection: Formal evaluation contracts

Frequency: Annual report

Data storage: Reports printed and circulated

posted on Web site.

Verification: NTIA staff and grantees review data.

Comment: NTIA faces significant challenges in

attempting to quantify the economic

and social benefits of each model

that it supports through grant funding. NTIA continues to make

progress at incorporating evaluation

methods in its grant program where

appropriate. NTIA requires all grant

recipients to conduct objective evaluations of their projects; extension of

grants to potential applicants is dependent in part on their proposed

plans for evaluation. In addition,

NTIA publishes reports, such as

“Lessons Learned,” that detail the experiences of grantees and further

inform similarly situated entities.

Measure: Number of models / grants

available for non-profit or public-sector

organizations

Year 1997 1998 1999 2000 2001

Target 55 46 50 55 60

Actual TBD 46 TBD TBD TBD

Data Validation and Verification

Data collection: Formal evaluation contracts

Frequency: Annual report

Data storage: Reports printed and circulated

posted on Web site.

Verification: NTIA staff and grantees review data

Comment: Number of models / grants available

for non-profit or public sector use

serves as a best quantifiable proxy

for the impact of NTIA upon advancing technological solutions. The

models demonstrate how to use the

information infrastructure to benefit

communities and individuals.

NTIA

©Joseph Sohm/AllStock/PNI
III - 148 FY 2000 Annual Performance Plan

Part III - National Telecommunications and Information Administration

· Technology

Infrastructure

· Critical

Infrastructure

Advanced Telecommunications: Promote the availability

and sources of advanced telecommunication and

information services (cont.)

Means and Strategies

Crosscutting Activities

• NA

External Factors

• Sovereign nations have their own views on proper

ways to develop technologies, including standards setting. NTIA coordinates effective preparation of U.S. views for international conferences,

prepares substantive scientific and technical justifications for proposals, and holds bilateral discussions in advance of conferences. These discussions involve all levels of staff including the

Assistant Secretary.

NTIA

Strategy or Rationale Means or Activity Output Indicators

Stimulate technological

innovation

Issue grants in a highly competitive, merit-based

process

Demonstrate advanced, innovative application of

telecommunication and information technology in the

non-profit and public sector

Promote the growth of electronic commerce and

Internet use domestically and internationally

Initiate cooperative research and development

# of grants issued

(55)

# of demonstrations

# of R&D supported

projects

# of reports on current

telecommunication

issues

Promote international

acceptance of U.S.

technological proposals

Participate in International Telecommunication Union

and domestic standards, including the Asia Pacific

Economic Cooperation’s Telecom Working Group

Participate in conferences urging minimal regulation

and early adoption of electronic commerce and the

Internet

Establish a bilateral / multilateral exchange process to

promote joint solutions to cross-border Internet policy

issues

# of conferences

participated in

# of publicly circulated

proposals for

international

conferences
FY 2000 Annual Performance Plan IV - 1

Part IV - Commerce Management Strategy: Successes and Challenges

Commerce Management Strategy:

Success and Challenges

Introduction

Secretary Daley has personally made “effective, efficient

management” a critical goal for the Department. Commerce has made significant progress in meeting this goal,

and, although challenges remain, the Department is

proud of its success in achieving the Secretary’s vision.

Improving Our Management Effectiveness

and Efficiency

When Secretary Daley took office, he immediately began to focus on improving the management of the Department. At the Secretary’s direction, PriceWaterhouse

compared Commerce’s management practices with those

of well-run public and private organizations and presented

the Department with 46 recommendations to improve

performance.

This process led to some reorganization and laid the foundation for our “Strategic Management Plan.” This plan

was collaboratively developed by the Secretary, the Chief

Financial Officer/Assistant Secretary for Administration,

Commerce bureaus, and our employees. The Strategic

Management Plan focuses on seven elements that cut

across the Department:

I. Supporting a successful Census 2000

II. Ensuring reliable and accurate Department-wide

financial management

III. Making the most efficient use of information technology investments

IV. Implementing an integrated policy, planning, and

budgeting process

V. Establishing a solid risk management program

VI. Improving customer service

VII. Creating a workplace that celebrates diversity and

is free from discrimination

Secretary Daley is using the Department’s 5-year Strategic Plan (submitted in September 1997) and our Strategic Management Plan as vehicles for management oversight, guidance, and tracking. We have been supplementing our efforts to improve management effectiveness through close and continuing dialogue between Departmental leadership and oversight offices, including the

Office of the Inspector General (IG), the Office of Management and Budget, and the General Accounting Office (GAO). These organizations have brought valuable

insights to the table, which we have been able to incorporate in our management plans.

This section of the APP outlines the progress we have

made in each one of these seven areas and describes

how we are addressing the challenges that still remain.

We will continue to move aggressively to improve our

management capabilities and to ensure that Secretary

Daley’s legacy is a well-managed, well-organized, effective Department of Commerce that provides superb

service to the American public and business community.

I. Decennial Census

2000 Decennial Census

Our top management priority at Commerce is to ensure

that the 2000 Census – which will hire some 300,000

staff and award some $1 billion in contracts – is managed effectively and efficiently. The Decennial effort —

sometimes called the “management Olympics” – is the

most complex mobilization our Nation faces short of war.

Undertaking a project of this magnitude requires an enormous amount of organization, discipline, and attention to

detail.

We are committed to making Census 2000 the most accurate Census ever. To do this, we have taken extensive

steps to monitor and manage risks associated with personnel, payroll, real estate, civil rights, procurement, human resources, security, technology, accounting system,

and other issues related to design. We have paid close

attention to the guidance and criticism that aspects of

the Census have received from the IG, the GAO and the

U.S. Congress. In addition, the Department’s senior

managers (including the Deputy Secretary, Chief Financial Officer, Deputy Assistant Secretary for Administration (DAS – Admin), the Under Secretary of Economic

Affairs and others) have personally conducted numerous

regional site visits throughout the country and learned

first-hand about the key issues on the front line including

real estate, recruiting/hiring, security, data capture, automation problems, and field operations.

The Department’s management approach to the Decennial includes several elements as outlined here:
IV - 2 FY 2000 Annual Performance Plan

Part IV - Commerce Management Strategy: Successes and Challenges

Commerce Management Strategy:

Success and Challenges (cont.)

• weekly briefings on management and budget issues from the Bureau of the Census

• twice-weekly management update meetings with

the Under Secretary for Economic Affairs, the

Chief Financial Officer, and the Deputy CFO-ASA

• oversight and monitoring of key contracts, technological decisions, and security issues

• Detailed attention to guidance and items raised

by the IG and GAO, leading to their resolution

• Use of outside contractors/experts to check and

approve key management decisions

• Use of an Executive Information System (currently

being upgraded and improved) to track and monitor progress of the 3000 activities on the Master

Activity Schedule

• Reliance on Business Case Analyses, conducted

by the Bureau of the Census, to evaluate and resolve complex design and management issues

• Detailed analysis of the dress rehearsal, including particular attention to management items such

as recruiting, costs and budget, performance of

software and hardware in new information, performance of contracts, office leasing and performance

of systems that track and capture cost information

The Bureau of the Census’ detailed attention to logistics

and management has contributed, in part, to the success of the dress rehearsal to date. The dress rehearsal

has been conducted on a dual track (testing both traditional enumeration and supplemental scientific sampling

methods) in three sites: Columbia, South Carolina; Sacramento, California; and the Menomonee Indian Reservation in Wisconsin. The dress rehearsal is a good management test because it encompasses the majority of

activities involved in carrying out the Decennial, including: opening and staffing offices, administering a census,

conducting follow-up, capturing data, counting hard-toenumerate individuals, undertaking analysis, and evaluating procedures, systems, coverage, and other aspects

of performance.

To date, the results of the dress rehearsal are much better than expected. Hiring and recruiting proceeded without problems, the enumeration was completed on time

(or ahead of schedule), initial mail response met or exceeded predictions; and the effort came in on budget.

We have issued our analysis of the results and will use

the results to assist in validating and finalizing the Census 2000 plan.

The dress rehearsal also pinpointed a number of problems, largely technical, that must be fixed for the Decennial, including difficulties with the payroll scanning equipment and with bar-coding the long form questionnaire.

The Bureau of the Census will use this information, as

well as ongoing feedback from the field, to correct problems and to target areas that require continued vigilant

oversight.

This Annual Performance Plan was developed before the

recent Supreme Court ruling and assumes the use of

sampling in the 2000 Census. Under that assumption,

we are requesting a total Decennial budget of $2.8 billion,

a $1.78 billion increase over FY 1999, for census implementation and associated audits. The Census Bureau

will develop a plan in light of the Supreme Court ruling

and estimates of any associated costs. This plan will

include the use of statistical methods, as appropriate, to

provide the most accurate census data possible.

II. Clean Financial Audits

Clean financial audits ensure against discrepancies in

the Department’s financial statements, and demonstrate

that the Department is accurate and effective in accounting for the tax dollars it spends. This is one of the

Secretary’s top priorities. The FY 2000 request for this

initiative is $ 2.1 million.

Financial Management

The Inspector General has raised concerns in FY 1997

that: (a) the Department’s financial management structure was not effective in establishing financial management systems and controls and (b) CAMS was substantially over its original estimated cost and was continuing

to experience unanticipated performance shortfalls and

schedule delays.

To reduce expenditures and impose greater control over

the CAMS program, the Department narrowed the scope

of CAMS to the Core Financial System plus integrated

modules for purchase cards, small purchases, and time

reporting and labor cost distribution. The Department also

curtailed Department-wide implementation while one bureau (Census) implemented the CAMS software as a full-
FY 2000 Annual Performance Plan IV - 3

Part IV - Commerce Management Strategy: Successes and Challenges

Commerce Management Strategy:

Success and Challenges (cont.)

scale pilot during fiscal year 1998. Booz-Allen & Hamilton,

Inc. subsequently completed an Independent Verification

and Validation (IV&V) of the pilot, and determined that

CAMS was a success. A cost/benefit/risk analysis

showed that CAMS could provide comparable, or better,

data for the Department than other alternatives. The Department will soon decide on the best path for moving

forward with CAMS at other bureaus in the Department.

In addition, the Department has taken steps to improve

its overall financial management structure, controls and

procedures. The Department prepared Corrective Action Plans (CAPs) that have begun to solve the problems in these areas at both the Department and bureau

levels. The Office of the Chief Financial Officer has

worked closely with the bureaus to hire bureau Chief

Financial Officers (CFOs). The Commerce CFO established a policy to provide 40 hours of relevant training to

all financial management personnel. The Department

updated its Accounting Handbook for all financial management standards and applicable interpretations issued

by the Federal Accounting Standards Advisory Board,

OMB, and Treasury. In addition, the Department has

undertaken a variety of actions (such as improving financial management procedures and holding meetings

within the Department’s financial community to provide

a forum to improve communications and set priorities) to

improve the timeliness and accuracy of data. The

Department’s leadership and financial management team

are committed to accomplishing Secretary Daley’s goal

of obtaining a clean opinion for the Department’s FY 1999

consolidated financial statements.

For FY 1999, Commerce bureaus received more favorable audit opinions than they did the previous year. The

auditors gave a 43 percent decrease in material weaknesses, meaning that the data and/or process do not

conform to accounting standards. The next set of results

-- for FY 1998 -- will not be known until March of 1999.

III. Digital Department / Information

Technology

Modernizing the Department’s information technology infrastructure will expand the range of electronic options

available to each bureau, establish Department-wide

systems, and enable Commerce to process and disseminate information via the most convenient media for its

customers. Secretary Daley has set forth his vision for

a “Digital Department”, which leads the U.S. government

into the 21st Century. The FY 2000 request for this initiative is $4.0 million.

The challenge of creating a “Digital Department” has many

aspects. These include the creation of a fiber optic backbone and unified network architecture for all appropriate

Commerce buildings, consolidation of telecommunications

infrastructure across bureaus, creation of a smart-card

based physical and security access program, and the

leveraging of the knowledge-based infrastructure to ensure that all Department documents are electronically

published, categorized, and easily accessible.

FY 2000 Budget in CD-ROM Format

This is the first year in which the Department of Commerce has submitted the Secretary’s proposed FY 2000

Budget in a CD-ROM version in addition to the usual printed

document. This “digital” version of the Secretary’s FY

2000 Budget demonstrates the Department of

Commerce’s commitment to the advancement of the information age and the expanded accessibility for all Commerce stakeholders and the public to key Commerce

documents. The Department also incorporated a CDROM version of its Annual Performance Plan as part of

the submission of the President’s Budget to Congress.

Also, the FY 2000 Budget and the Annual Performance

Plans are linked electronically on the Commerce website.

Year 2000 Problem

The Inspector General raised concerns that: (a) most of

the Department’s accounting and feeder systems use

two-digit year dates that will become inaccurate beyond

December 31, 1999 and (b) if the problem is not corrected, there is serious risk that the Department’s mission-critical computer applications will cease functioning properly.

To address these issues, the Department assumed responsibility for centrally managing the Year 2000 (Y2K)

Program and is providing policy guidance and oversight

to the bureaus which, in turn, are responsible for assessment, renovation, testing/validation, and implementation activities. Schedules have been defined for each

of these phases.
IV - 4 FY 2000 Annual Performance Plan

Part IV - Commerce Management Strategy: Successes and Challenges

As of November 1998, the Department had:

• Determined that 80 percent of its mission critical

systems were compliant with Y2K requirements

• Completed 71 percent of necessary renovations

(converting applications, replacing databases and

utilities and codifying interfaces)

• Completed 60 percent of the testing, verifying, and

validating of converted platforms, applications,

databases and utilities

• Completed 59 percent of the implementation of

converted or replaced platforms, applications, databases, utilities, and interfaces

• Received a “B” rating from Congressman Steve

Horn (R-CA) as part of a government-wide study

of Y2K problems, and OMB raised the

Department’s performance to Tier 2 status (“Making satisfactory progress”)

The Department continues to aggressively address the

Y2K problems and anticipates meeting the Office of

Management and Budget deadline for Y2K compliance

by March of 1999, with the exception of one system.

The Classified Search and Image Retrieval (CSIR) system will be completed by June 30, 1999. A contingency

plan is in place for this system.

IV. Integrated Policy, Planning and Budget

Process

This Commerce-wide goal is to establish a framework

and schedule for linking policy, planning, and budget

activities together to assist the Secretary in leading a

cohesive set of Department programs.

This strategy includes a performance reporting system

at the Deputy Secretary and the CFO/ASA levels. The

Deputy Secretary’s performance reporting system will

use guidance from the Secretary and the Executive

Management Team. The CFO/ASA’s performance reporting system will include all aspects of GPRA implementation and the planning, management, and budget

processes.

Government Performance and Results Act

Under the requirements of the Government Performance

and Results Act (GPRA), the Department prepared its

first Strategic Plan in September of 1997 and its first

Annual Performance Plan (APP) in February of 1998. The

Department’s APP was subjected to considerable review

and comment by OMB, GAO, and Congressional staff.

The major theme of these comments was that the Department should strengthen its performance measures,

develop more credible performance information, and link

performance information more clearly to programs, as they

are authorized, appropriated, and understood, by the Congress.

Following consultations with OMB and GAO, the Department contracted with Andersen Consulting to assist Commerce in strengthening its overall APP process, and integrating the development of the APP more directly into the

Department’s budget process. All bureaus participated

in an intensive process that enabled us to achieve a breakthrough in the way we identify performance measures.

The Department refined and sharpened its forthcoming

FY 2000 APP by:

• Reducing strategic goals from 47 to 34 and decreasing the number of performance measures by

63 percent (thereby focusing on the most important activities)

• Increasing outcome-oriented measures from 22

percent to 56 percent, while dropping 165 process

measures (thus allowing a more accurate gauge

of impact or results, relative to activity)

These and related improvements will provide a more strategic basis for assessing the benefits of the Department’s

program activities and will make GPRA more relevant to

Commerce managers in helping to evaluate and manage

programs.

V. Risk Management

The goal of the Department of Commerce in the area of

“risk management” is to focus management attention on

the most important issues first – that is, to manage big

risks first. Our philosophy is to avoid having “dollars

Commerce Management Strategy:

Success and Challenges (cont.)
FY 2000 Annual Performance Plan IV - 5

Part IV - Commerce Management Strategy: Successes and Challenges

chasing dimes” during our risk management review process. Not only is it our goal to intervene in the high-risk

areas first, but we also want to make the process by

which we conduct our risk management add value to the

bureaus involved. We also have engaged in a risk management process that supplies a key ingredient of accountability to proactively implement the Secretary’s management agenda, rather than merely reacting to problems

identified by the IG. Commerce management has developed the capability and capacity to carry out this function in two ways:

• By building on the problem solving and analytical

skills of existing career personnel within the Department

• By partnering with the private sector to provide

the Department technical skills in the areas of information technology and security

NOAA Satellite Programs

The Department took steps to address IG, OMB, and

GAO concerns with the financial management of NOAA

satellite programs. As a result, forward funding requirements have been reduced and NOAA now provides regular financial reports which ensure greater accountability

in the use of resources, by providing timely identification

of surpluses, deficits, and other variations from planned

spending.

Procurement Management

The Inspector General raised concerns in FY 1997 concerning the Department’s acquisition management functions. The Inspector General cited the Department for

a number of significant procurement abuses, for failing

to provide strong, central procurement leadership, and

lack of effective oversight of information technology issues.

In response, the Department’s senior managers have increased attention to acquisition management, changed

key personnel, and developed a commonly shared vision

of the importance of integrity and teamwork among acquisition management professionals. The need for effective risk management of the Department’s procurement

activities was included among the recently developed strategic initiatives of the Office of the Chief Financial Officer

(CFO). The CFO, Deputy CFO-ASA, and their staff implemented new operational and policy changes which link

these changes to individual performance plans and which

support newly-broadened working relationships among all

pertinent Department offices, bureau offices, and program

customers. These changes have been contributing to

significant decreases in the time needed to complete

complex procurements. At the same time, the Department reversed recent practices that had limited its oversight of bureau acquisition management. These actions

have contributed to the Department’s procurement community receiving three of the Vice President’s Hammer

Awards and to the Inspector General dropping procurement as a management concern.

In addition, Commerce has embarked on an ambitious

and innovative program to increase the amount of contract dollars awarded to minority firms. The Deputy Secretary, Deputy CFO-ASA, and the procurement team are

using goal-setting, the OSDBU outreach process, and

organizational reform to increase the number of minority

firm bidders and opportunities.

Administrative Service Centers (ASCs)

The Department conducted a comprehensive review of

our ASCs nationwide. The Centers are comprised of over

450 FTEs and over $26 million of direct costs, and provide administrative services to all Department field employees. The study involved work teams led by the ASC

directors; involved every field employee through a customer satisfaction survey; and was based on extensive

communication with ASC frontline employees. The Department took the recommendations, which were developed during the study, into a GE-style workout and addressed them in a 1-day period. These recommendations covered six management areas:

• Customer Satisfaction

• Automation

• Organizational Alignment

• Financial Performance

• Human Resources Improvement

• Departmental Policy

The Department is currently monitoring the implementation of these recommendations.

Commerce Management Strategy:

Success and Challenges (cont.)
IV - 6 FY 2000 Annual Performance Plan

Part IV - Commerce Management Strategy: Successes and Challenges

NOAA Fleet

The Inspector General raised concerns in FY 1997 that:

(a) most of NOAA’s planned fleet investment and expenditures are wasteful and should not be made, (b)

NOAA can obtain better data collection and ship services at lower cost if it acquires these services from the

private sector, and (c) outsourcing would give NOAA program managers greater access to the latest technologies and more cost-effective platforms.

The Department has taken an active role in overseeing

NOAA’s efforts to develop alternatives to maintaining the

NOAA fleet. In FY 1998, NOAA outsourced 1,771 of its

Days at Sea (DAS)— 35 percent of its total DAS. In

addition, NOAA plans to outsource 1,803 DAS in FY

1999. NOAA established a Memorandum of Agreement

(MOA) with university vessel operators. The MOA calls

for the joint scheduling of NOAA and university oceanographic research ships. This permits greater access to

both NOAA and university scientists to the most costefficient vessels available. Over the past few years,

NOAA has decommissioned one-half of its hydrographic

fleet and is contracting with the private sector for much

of its hydrographic data requirements. If funding is available, NOAA expects to contract out at least 50 percent

of its hydrographic survey needs beginning in FY 1999.

NOAA has forecast the following data acquisition needs

through 2008 to meet current mission requirements for

its fisheries programs:

• NOAA will require capacity for 6,005 DAS to carry

out its fisheries and marine mammal assessment

surveys

• Replacement vessel capacity of 1,080 to 1,620

DAS will be needed as NOAA’s current fisheries

research vessels reach the end of their useful lives

• At least 3,489 DAS — 58 percent of the total —

can be met by charters and University-National

Oceanographic Laboratory System (UNOLS) ships

• 700 DAS — 12 percent of the total — can be met

through cooperative state and foreign programs

In addition, the oceanographic and coastal monitoring

mission areas will continue to outsource to meet requirements. These projections reflect approximately 50 percent outsourcing.

NOAA indicates that — depending on cost efficiencies

and program requirements — the replacement capacity

may or may not be met through vessels owned and operated by NOAA. In FY 2000, NOAA is requesting funds

for the construction of one new acoustically quiet fisheries research vessel.

Facilities Management

The Inspector General raised concerns about the need

for stronger Department oversight of long-term facilities

planning among the bureaus, including the National Institute of Standards and Technology’s (NIST’s) Capital

Improvement Facilities Program, the consolidation of

Patent and Trademark Office (PTO) headquarters offices,

and the nationwide acquisition of office space needed to

support the 2000 Decennial Census.

The Department improved its oversight of the Capital Improvements Facilities Program (CIFP) and has taken a

more active role in reviewing CIFP budget requests. The

Department and NIST used Booz-Allen & Hamilton, Inc.

(BAH) to review NIST’s plan for upgrading its laboratory

facilities. The contractor found that without intervention,

the performance deterioration caused by facilities inadequacies will seriously impede, if not invalidate, NIST’s

ability to maintain standards in weights and measures.

The Department and NIST worked on formulating budget

requests that would provide adequate facilities in a costefficient manner. In February of 1998, the Department

and NIST submitted a Facilities Improvement Plan to

Congress, as part of the President’s FY 1999 budget. In

FY 2000, we plan to construct the Advanced Measurement Laboratory and to increase funding for safety, capacity, maintenance, and major repairs in order to reach

a base level of $60 million in fifteen years (as recommended by BAH).

Over the past several years, the PTO developed plans for

consolidating its headquarters offices from space in 17

buildings (with 32 leases) to a single campus with one

lease in eight (or less) buildings. The consolidation efforts have been directed at meeting space expansion

needs with reasonable proximity to Metrorail (a Congressional requirement), through competition (to help ensure

Commerce Management Strategy:

Success and Challenges (cont.)
FY 2000 Annual Performance Plan IV - 7

Part IV - Commerce Management Strategy: Successes and Challenges

the best value), and on one campus (to support operating

efficiencies). In May of 1998, Secretary Daley provided

Congress with an independent assessment of the PTO

space acquisition project. The findings supported the

PTO’s space requirements. A lease is scheduled to be

awarded in December of 1998, with the expectation of

consolidation leading to savings $72 million over the

twenty-year lease.

Every ten years, the Bureau of the Census faces a major

challenge in acquiring acceptable, short-term office space

across the Nation to support the Decennial Census.

Census plans call for acquiring: (a) 130 early opening

local Census offices, (b) 401 Census rural field offices,

and (c) more than 350 other offices. To help meet these

demands for space, the Bureau of the Census initiated

an innovative partnership with the General Services Administration (GSA) to arrange for the availability of suitable space for the first two categories. This partnership

agreement specifically defines respective GSA and Bureau of the Census roles and responsibilities, the leasing

process, and special Bureau of the Census requirements.

As of mid-September of 1998, the GSA had arranged

for leases of 98 percent of the early opening local Census offices and 100 percent of the Census rural field

offices. After assessing GSA’s performance on obtaining these leases, the Bureau of the Census will determine whether to ask GSA to acquire the remaining Census offices or to conduct its own effort.

The Department has taken an active role in overseeing

all preparations for the Decennial Census, including the

leasing project. A Departmental realty specialist works

on-site at Census headquarters three-to-four days a

week monitoring space tracking systems, attending

meetings, and providing whatever Departmental assistance is needed. The Department’s efforts will continue

through the duration of the Decennial.

Field Office Streamlining

The Department of Commerce, through its field office

structure, has a significant presence outside the Washington, D.C. metropolitan area, including a field office

presence in all 50 states and in some U.S. territories

and foreign countries. Approximately 43 percent of the

Department’s employees, or about 14,500 personnel, are

located in domestic field offices. It is through this network of field offices that many of our Department programs and services are delivered.

As part of the overall effort to improve Departmental management of programs and the delivery of services to customers, the Deputy Secretary requested selected bureaus

to submit field office streamlining implementation plans.

Those selected bureaus, including BXA, EDA, ITA, MBDA,

and NOAA, were directed to review their current field office structure and assess the potential for streamlining

and improving service delivery through consolidation, collection, cross-servicing, or other alternative configurations.

Upon completion of the proposed Weather Service modernization program, and the restructuring of the MBDA

field offices at the end of FY 1999, the number of domestic field offices will be reduced from a base of 849 to 639

– a reduction of 25 percent.

National Weather Service Modernization

The Inspector General raised concerns that the Advanced

Weather Interactive Processing System (AWIPS) was

experiencing serious difficulties — continual cost growth,

schedule delays, management instability, and sluggish

technical progress.

To address these and other concerns, the Department

completed a detailed evaluation of the National Weather

Service (NWS) budget and operations. General Kelly, a

former director of the U.S. Air Force Weather Service

with more than 30 years experience, conducted this review.

Based on the review, Secretary Daley directed the NWS

to implement reforms to improve services and reduce

costs, including the creation of a new position for a Chief

Financial Officer to improve financial management, refine projected schedules, and clarify program management responsibilities. Subsequently, Secretary Daley

was able to certify to Congress that the Department and

NOAA would be able to complete modernization with the

deployment of 154 AWIPS systems nationwide within

the $550 million Congressionally imposed cap.

Modernization remains on schedule, with both development and deployment planned for completion by June

30, 1999. Currently 56 AWIPS systems are installed

and an additional six systems are scheduled for deployment by September 30, 1999 for a total of 62.

Commerce Management Strategy:

Success and Challenges (cont.)
IV - 8 FY 2000 Annual Performance Plan

Part IV - Commerce Management Strategy: Successes and Challenges

Security

As a result of weaknesses in the Department’s security

program, the Department conducted an internal review of

its security clearance procedures. The resulting document, known as the Reinsch report, included 35 recommendations, such as developing an automated system

to track classified documents; conducting physical inventories of classified materials in 1200+ classified storage containers nationwide; conducting zero-based clearance reviews of all full-time and part-time positions that

currently require a clearance; and conducting a comprehensive evaluation of the effectiveness of security operations.

Following delivery of the Reinsch report, Secretary Daley

commissioned an external review, led by the Security

Policy Board (SPB), of the Department’s overall security

program. The SPB initiated an assessment of the security program of the entire Department, including all operating units that perform any security functions. The SPB

team’s report recommended: dedicating a higher-level

manager with undivided attention to the security program,

centralizing control of all security functions in the Department, and improving operational deficiencies in each

of eight programmatic areas.

Secretary Daley has acted on each of these recommendations. First, he created a new career management

position, the Deputy Assistant Secretary for Security, and

hired an impressive individual to fill this job. Second, the

Department has consolidated all security personnel under Office of Security supervision.

Third, operational control of personnel took effect on September 1. Administration and budget transfers, which

have been approved by the Office of Management and

Budget, will become effective on October 1, 1998. The

Department reduced the number of security clearances

from 5, 415 in November of 1997 to approximately 3,260

— a 40 percent decrease, and further reductions will be

made. Under new procedures, security clearances are

being granted only on a strict “need-to-know” basis.

Under the direction of the new DAS-Security, the Department is moving rapidly and aggressively to complete

physical inventories of classified materials, to inventory

and bar-code equipment, and to complete the recommendations in the Reinsch Report and the SPRB.

VI. Customer Focus

The Commerce management strategy aims at improving

customer service throughout the Department by engaging our clients, stakeholders, and employees in developing, delivering and evaluating first-rate, world-class services. This customer focus will renew the Department’s

and each bureau’s efforts to improve customer service in

a demonstrable and measurable way.

The Advanced Technology Program (ATP)

The Inspector General recommended that the program:

(a) provide for the availability of funds through the life of

projects and (b) ensure that grantee’s accounting practices are consistent with federal-cost reimbursement policies. The Department took steps to resolve these concerns and Secretary Daley made several important operational and policy changes to improve the impact and

cost-effectiveness of the ATP, such as encouraging state

participation in ATP awards, increasing the cost-share

ratio for large (Fortune 500) single applicants, and working with the private sector venture capital community to

ensure the ATP does not fund projects which can be supported by private capital.

NOAA Corps

The National Partnership for Reinventing Government recommended reducing the size of the NOAA Corps to

achieve savings of $35.2 million in expenditures. The

Inspector General also recommended undertaking reductions to achieve significant savings and management

efficiencies. The Department and NOAA downsized the

Corps from 415 in FY 1994 to 299 in FY 1997, achieving

an annual savings of $6 million. Following consultations

with Congress, the Department and NOAA announced,

in June 1998, plans to restructure the Corps. The intent

of this restructuring was to ensure that NOAA’s fleet

operations are cost efficient, effective, and responsive

to its customers and the changing nature of federal, academic, and industry partnerships. The Corps was restructured and is being maintained at a reduced level to

support NOAA’s fleet and aircraft operations.

Commerce Management Strategy:

Success and Challenges (cont.)
FY 2000 Annual Performance Plan IV - 9

Part IV - Commerce Management Strategy: Successes and Challenges

VII. Organizational Structure, Development

and Diversity

A key aspect to maximizing all employees’ contributions

to the Department’s goals and objectives is to enhance

their understanding of how those goals and objectives

relate to their individual jobs. Commerce’s Office of

Administration has initiated a pilot Individual Development Plan (IDP) project that helps make that crucial linkage: managers and employees align their career goals

and IDP learning activities specifically to objectives in

their organization’s strategic plan. As each organization’s

strategic plan is designed to support the overall

Department’s APP, this pilot has great potential to infuse the organization with a significantly enhanced capacity to support the Department’s strategic plan.

One of the Department’s core values is a firm commitment to promote true diversity. Our employees know

this by both words and actions. Secretary Daley has

articulated this value in a policy statement to all Commerce employees and the Department has a range of

specific initiatives designed to promote diversity. These

include a Post-Secondary Internship Program which

serves as a pipeline program for the Department’s recruitment initiatives and which draws a significant candidate pool from Minority Serving Institutions (MSI). Additionally, our programs and activities with Historically Black

Colleges and Universities (HBCUs), Hispanic Serving

Institutions (HSIs) and American Indian Tribal Colleges

and Universities are designed to enhance the capacities

of MSIs to support the mission(s) of the Department,

and provide opportunities for faculty exchanges, internships for students and faculty, and the donation of excess scientific and educational equipment to MSIs. Our

Hispanic Initiative focuses on the implementation of the

Office of Personnel Management’s (OPM) Nine-Point

Plan to increase the number of qualified Hispanic candidates for federal positions.

In FY 1999, the Department of Commerce is partnering

with the National Partnership for Reinventing Government

(NPR) to conduct a comprehensive study of ways to enhance diversity in the Federal government. As part of the

overall effort, Commerce and NPR will sponsor a

benchmarking study, which is intended to identify best

practices being employed in the public and private sectors to achieve workforce diversity. This is a first-of-itskind joint effort to look for practical, workable solutions

to provide equal opportunity and a level playing field for

all Americans at Commerce.

Commerce Management Strategy:

Success and Challenges (cont.)
FY 2000 Annual Performance Plan V - 1

Part V - Appendices

Appendix 1

There are three minor changes in the text of Department

of Commerce’s mission and three strategic themes that

clarify their meaning. First, in the mission statement,

the word “business” has been changed to the plural “businesses” to match the other entities in the sentence.

Second, in the Science, Technology and Information

theme, the words “an unrivaled” are changed to “a worldclass.” Third, in the Stewardship of Resources and Assets theme, the word “opportunities” is changed to “opportunity.”

An additional adjustment is the abbreviated mission statement on the diagram at the end of Part I. This adjustment is for visual presentation purposes only.

The following tables serve as a crosswalk between each

bureau’s FY 1999 and FY 2000 goals. The number of

goals decreased from 47 to 34. Some goals were eliminated, others combined, and still others were reworded

to better convey their meaning. Those goals that were

changed slightly have been labeled as “similar.” Explanations are provided for those FY 1999 goals that were

eliminated.

FY 1999 (7 goals) FY 2000 (2 goals)

3.1 Establish, retain, or expand commercial, industrial,

and high technology enterprises to stimulate the

creation of private sector jobs for unemployed and

underemployed residents of economically distressed

areas. (Theme 1)

The FY 1999 goal has been reworded to be more

concise, and to embrace the many aspects of

economic distress that EDA works to eliminate."Create

jobs and private enterprise in economically distressed

communities." (Theme 1)

3.2 Help distressed communities adversely affected by

defense-related downsizing, natural disasters or

economic dislocation and build their capacity to

stimulate, maintain, or expand economic growth.

(Theme 1)

The FY 1999 goal has been incorporated into the FY

2000 goal. "Create jobs and private enterprise in

economically distressed communities." (Theme 1)

3.3 Provide new knowledge, analyses and technical

information, which serve both to assess economic

development problems and to mobilize Non-Federal

resources for their solutions at the local level. (Theme

1)

The FY 1999 goal has been subsumed under the more

strategic FY 2000 goal. "Build community capacity to

achieve and sustain economic growth" (Theme 1)

7.1 Help both rural and urban communities incorporate

technology as a tool for their economic development.

(Theme 2)

The FY 1999 goal has been subsumed under the

broader FY 2000 goal. "Build community capacity to

achieve and sustain economic growth." (Themes 1 and

2)

Economic Development Administration

Comments: Through the consolidation of activities, EDA has reduced the number of its goals from 7 to 2 to be more

strategic and more focused on outcome measurement.

Minor Adjustments to the Strategic Plan
V - 2 FY 2000 Annual Performance Plan

Part V - Appendices

F 0 Y 1999 FY 200

4.1 Enable communities that have acquired military

installations during the recent defense downsizing to

convert their use to civilian functions for local economic

benefit. (Theme 3)

The FY 1999 goal has been subsumed under the

broader FY 2000 goal: "Build community capacity to

achieve and sustain economic growth." Military

downsizing is only one of many reasons for the

economic distress EDA seeks to eliminate. (Themes 1

and 3)

4.2 Enable communities to achieve long-term

economic recovery from the devastation of their

productive resources by natural disasters. (Theme 3)

The FY 1999 goal has been subsumed under the

broader FY 2000 goal: "Build community capacity to

achieve and sustain economic growth." Natural

disaster is only one of many reasons for the economic

distress EDA seeks to eliminate. (Themes 1 and 3)

4.3 Enable distressed communities to practice and

implement sustainable economic development.

(Theme 3)

The FY 1999 goal has been subsumed under the more

strategic FY 2000 goal. "Build community capacity to

achieve and sustain economic growth" (Themes 1 and

3)

Appendix 1

Economic Development Administration (cont.)

Economics and Statistics Administration

Comments: ESA has reduced the number of its goals from 5 to 2, consolidating goals so that they apply to both

Census and BEA.

FY 1999 (5 goals) FY 2000 (2 goals)

2.1 (BEA) Strengthen the public's understanding of the

U.S. economy and its competitive position by

improving Gross Domestic Product (GDP) and other

national, regional, and international economic accounts

data. (Theme 1)

(similar goal)

Provide quality data. (Themes 1 &2)

2.2 (Census) Improve national and local census and

survey data through better business practices and

public cooperation. (Theme 1)

(similar goal)

Provide quality data. (Themes 1 &2)

5.1 (BEA) Provide Gross Domestic Product (GDP) and

related national, regional, and international economic

statistics in the most accurate, timely, cost-effective,

and easily accessible way possible. (Theme 2)

(similar goal)

Provide timely and relevant data. (Themes 1 &2)

5.2 (Census) Provide products and services of greater

value and satisfaction to Census national and local

information base customers. (Theme 2)

(similar goal)

Provide timely and relevant data. (Themes 1 &2)

5.3 (ESA) Provide information on economic events and

the workings of the economy. (Theme 2)

Collapsed under "Provide timely and relevant data" as

an approach.

Minor Adjustments to the Strategic Plan (cont.)
FY 2000 Annual Performance Plan V - 3

Part V - Appendices

Appendix 1

International Trade Administration

Comments: ITA has held the number of its goals constant between FY 1999 and FY 2000, adding one goal and eliminating another. ITA now only supports Strategic Theme 1.

Bureau of Export Administration

Comments: BXA has reduced the number of its goals from 4 to 3, eliminating a redundant goal under Theme 2. BXA

now only supports Strategic Theme 1.

Minor Adjustments to the Strategic Plan (cont.)

FY 1999 (4 goals) FY 2000 (4 goals)

1.1 Implement the President's National Export Strategy

in conjunction with the Trade Promotion Coordinating

Committee. (Theme 1)

Implement the President's National Export Strategy in

conjunction with the TPCC. (Theme 1)

1.2 Enforce U.S. trade laws and agreements to

promote free and fair trade. (Theme 1)

Enforce U.S. trade laws and agreements to promote

free and fair trade. (Theme 1)

1.3 Strengthen and institutionalize trade advocacy

efforts, placing special emphasis on the "Big Emerging

and major projects. (Theme 1)

Strengthen and institutionalize our trade promotion and

advocacy efforts. (Theme 1)

(new goal) Increase the number of small business

exporters. (Theme 1)

6.1. Employ ITA's comprehensive industry sector,

technical, and country information bases to counsel

U.S. firms (especially small and medium-sized firms)

on appropriate export strategies, and provide

comprehensive and up-to-date information to these

firms to support business strategies, and related

analyses to the USTR for trade negotiations. (Theme 2)

NA - This goal consists of strategies to accomplish the

other goals.

FY 1999 (4 goals) FY 2000 (3 goals)

1.4 Restructure export controls for the twenty-first

century. (Theme 1)

Restructure export controls for the twenty-first century.

(Theme 1)

1.5. Maintain a fully effective law enforcement program

and protect U.S. national security, foreign policy,

nonproliferation of dual-use commodities, counterterrorism, nonproliferation of chemical weapons, and

public safety interests. (Theme 1)

Maintain a fully effective law enforcement program and

protect U.S. national security, foreign policy,

nonproliferation of dual-use commodities, counterterrorism, nonproliferation of chemical weapons, and

public policy. (Theme 1)

1.5 Facilitate transition of defense industries. (Theme

1)

Facilitate transition of defense industries. (Theme 1)

6.2 Restructure export controls for the twenty-first

century, and facilitate transition of defense industries.

(Theme 2)

NA - This goal was a combination of 1.4 and 1.6

listed above.
V - 4 FY 2000 Annual Performance Plan

Part V - Appendices

Minority Business Development Agency

Comments: The MBDA has maintained its strategic focus using the same two goals for each year.

FY 1999 (2 goals) FY 2000 (2 goals)

4.1 Improve opportunities for minority-owned

businesses to have access to the marketplace. (Theme

1)

Improve opportunities for minority-owned businesses to

have access to the marketplace. (Theme 1)

4.2 Improve the opportunities for minority-owned

businesses to pursue financing. (Theme 1)

Improve the opportunities for minority-owned

businesses to pursue financing. (Theme 1)

Minor Adjustments to the Strategic Plan (cont.)

Appendix 1
FY 2000 Annual Performance Plan V - 5

Part V - Appendices

National Oceanic and Atmospheric Administration

Comments: NOAA has maintained the same number of goals.

FY 1999 (7 goals) FY 2000 (7 goals)

8.1 Promote safe navigation by revolutionizing U.S.

marine and air navigation, mapping and surveying;

assist commercial shipping in moving increased

cargoes safely and efficiently; and provide a precise

satellite-derived reference system as the basis for the

Nation's geographical positioning needs. (Theme 1)

Promote safe navigation. (Theme 1)

8.2 Improve short-term warning and forecast products

and services to enhance public safety and the Nation's

economic productivity by enhancing the ability to

observe, understand, and model the environment, and

effectively disseminate products and services to users.

(Theme 1)

Advance short-term weather warnings and forecasts.

(Theme 1)

2.1 Implement seasonal to interannual climate

forecasts. (Theme 2)

Implement seasonal to interannual climate forecasts.

(Theme 2)

2.2 Predict and assess decadal to centennial change.

(Theme 2)

Predict and assess decadal to centennial change.

(Theme 2)

1.1 Build sustainable fisheries that increase the

Nation's wealth and quality of life, support increased

fishing industry job opportunities, improve the safety

and wholesomeness of seafood resources, and expand

recreation opportunities. (Theme 3)

Build sustainable fisheries. (Theme 3)

1.2 Recover protected species through conserving

marine species, recovering those in danger of

extinction, and maintaining healthy marine ecosystems

upon which they depend. (Theme 3)

Recover protected species. (Theme 3)

1.3 Sustain healthy coasts to promote more productive

and diverse habitats for fish and wildlife, cleaner

coastal waters for recreation and the production of

seafood, and achieve sustainable economies for

coastal communities based on well-planned

development and healthy ecosystems. (Theme 3)

Sustain healthy coasts. (Theme 3)

Minor Adjustments to the Strategic Plan (cont.)

Appendix 1
V - 6 FY 2000 Annual Performance Plan

Part V - Appendices

Patent and Trademark Office

Comments: PTO has increased the number of its goals from 3 to 4. PTO separated one of its goals into two to better

convey its intent.

Minor Adjustments to the Strategic Plan (cont.)

FY 1999 (3 goals) FY 2000 (4 goals)

6.1 Help protect, promote, and expand intellectual

property rights systems throughout the U.S. and

abroad. (Theme 1)

Help protect, promote, and expand intellectual property

rights systems throughout the U.S. and abroad. (Theme

1)

3.1 Promote awareness of, and provide effective

access to, patent and trademark information. (Theme

2)

Promote awareness of, and provide effective access

to, patent and trademark information. (Theme 2)

2.1 Grant exclusive rights, for limited times, to inventors

for their discoveries, and enhance trademark

protection. (Theme 3)

(split into 2 goals)

Grant exclusive rights, for limited times, to inventors for

their discoveries. (Theme 3)

Enhance trademark protection. (Theme 3)

Appendix 1
FY 2000 Annual Performance Plan V - 7

Part V - Appendices

Technology Administration/National Institute of Standards and Technology

Comments: TA/NIST have reduced the number of their goals from 8 to 6.

Minor Adjustments to the Strategic Plan (cont.)

FY 1999 (8 goals) FY 2000 (6 goals)

5.1 Provide technical leadership for the Nation's

measurement and standards infrastructure, and assure

the availability of essential reference data and

measurement capabilities. (NIST MSL) (Theme 1)

(similar goal) Assure and improve measurements and

standards: Provide technical leadership for the Nation's

measurement and standards infrastructure, and assure

the availability of essential reference data and

measurement capabilities. (NIST MSL) (Theme 2)

5.2 Improve the technological capability, productivity,

and competitiveness of small manufacturers. (NIST

MEP) (Theme 1)

(similar goal) Assist small manufacturers: Improve the

technological capability, productivity, and

competitiveness of small manufacturers. (NIST MEP)

(Theme 1)

5.3 Assist U.S. businesses in continuously improving

their productivity and efficiency by adopting quality

management practices. (NIST NQP) (Theme 1)

(similar goal) Promote performance and quality

management: Assist U.S. businesses in continuously

improving their productivity and efficiency by adopting

performance and quality management practices. (NIST

NQP) (Theme 1)

5.4 Accelerate technological innovation and the

development of new technologies that underpin future

economic growth. (NIST ATP) (Theme 1)

(similar goal) Stimulate advanced technologies:

Accelerate technological innovation and the

development of new technologies that underpin future

economic growth. (NIST ATP) (Theme 2)

5.5 Coordinate and lead Presidential initiatives and

interagency efforts to enhance industry competitiveness

in partnership with industry, academia, and the States.

(US/OTP) (Theme 1)

(this goal was collapsed as a strategy under the goal)

Analyze and develop technology policies: Improve

technology's contribution to U.S. competitiveness,

economic growth, and job creation through the analysis,

development, advocacy, and implementation of national

technology policies and programs. (US/OTP) (Theme

2)

1.1 Partner with industry to accelerate the development

and application of cutting-edge technologies. (NIST

MSL, MEP, & ATP) (Theme 2)

Collapsed as a strategy under the goal: Analyze and

develop technology policies: Improve technology's

contribution to U.S. competitiveness, economic growth,

and job creation through the analysis, development,

advocacy, and implementation of national technology

policies and programs. (US/OTP) (Theme 2)

1.2 Collect, preserve, and disseminate government

technical, scientific, and business information. (NTIS)

(Theme 2)

Collect and disseminate technical information: Collect,

preserve, and disseminate government technical,

scientific, and business information. (NTIS) (Theme 2)

1.3 Conduct domestic and international policy analyses

on issues affecting the research, development, and

commercialization of technology and related issues

affecting U.S. competitiveness and in partnership with

industry, academia, and the States develop policy

options to improve U.S. economic growth, job creation

and quality of life. (US/OTP) (Theme 2)

(similar goal) Analyze and develop technology policies:

Improve technology's contribution to U.S.

competitiveness, economic growth, and job creation

through the analysis, development, advocacy, and

implementation of national technology policies and

programs. (US/OTP) (Theme 2)

Appendix 1
V - 8 FY 2000 Annual Performance Plan

Part V - Appendices

National Telecommunications and Information Agency

Comments: NTIA has reduced the number of its goals from 7 to 4 in an effort to be more strategic and better focused

on outcomes.

FY 1999 (7 goals) FY 2000 (4 goals)

7.1 Support the development of a National Information

Infrastructure (NII) that will be accessible to all

Americans. (Theme 1)

This goal was consolidated into the following new goal:

Public interest: Advance the public interest in

telecommunications, mass media, and information.

(Themes 1 & 2)

7.2 Advocate international telecommunications policies

to help open international markets and promote U.S.

interests. (Theme 1)

(similar goal) Open markets: Promote open markets

and encourage competition. (Theme 1)

7.3 Set policies for efficiently and effectively managing

the Federal use of the radio spectrum, and prepare for

international radio spectrum setting conferences of the

ITU. (Theme 1)

(similar goal) Radio spectrum assignments: Ensure

spectrum provides the greatest benefit to all people.

(Theme 3)

7.4 Provide leadership in developing

telecommunications policy initiatives in emerging areas

of national priority. (Theme 1)

This is an approach to the following goal: Advanced

telecommunications: Promote the availability and

sources of advanced telecommunications and

information services. (Theme 2)

4.1 Support the development of a National Information

Infrastructure (NII) that will be accessible to all

Americans. (Theme 1)

This goal was consolidated into the following new goal:

Public interest: Advance the public interest in

telecommunications, mass media, and information.

(Themes 1 & 2)

4.2 Engage in technical research to improve

telecommunications system planning, design, and

evaluation and to support government and industry

efforts in these areas. (Theme 2)

This is an approach to the following goal: Advanced

telecommunications: Promote the availability and

sources of advanced telecommunications and

information services. (Theme 2)

3.1 Promote the development of an advanced

telecommunications and information infrastructure to

efficiently serve the needs of all Americans, create job

opportunities for American workers, and enhance the

competitiveness of U.S. industry in the global

marketplace. (Theme 3)

(similar goal) Advanced telecommunications: Promote

the availability and sources of advanced

telecommunications and information services. (Theme

2)

Minor Adjustments to the Strategic Plan (cont.)

Appendix 1
FY 2000 Annual Performance Plan V - 9

Part V - Appendices

Appendix 2

The Department of Commerce has taken a fundamentally different approach to the APP this year based on

guidance from OMB, GAO, and Congressional staff. During the summer of 1998, the bureaus prepared their FY

2000 APP submission in conjunction with the FY 2000

budget. Based on information from these submissions,

as well as the budget and performance decisions, the FY

2000 APP was developed.

This year, the Deputy Secretary has made the Annual

Performance Plan one of his top management priorities.

Together with the Department’s GPRA Task Force (involving members from each bureau, the Office of Inspector General and the Office of the Secretary) and Andersen

Consulting, a small team of senior level policy officials

and the Office of Budget has worked to strengthen the

Department’s goals and performance measures. These

new goals and measures are more precise and more relevant for managing our programs. In addition, we have

better integrated the APP process into the budget process. The Department also sought the active involvement

of the bureau heads in the development of the plan.

For FY 2000, the APP has undergone a significant redrafting from what was submitted for FY 1999. Goals

have been added, subtracted, or aggregated. For a complete discussion of these changes in goals, please see

Appendix 1, “Minor Adjustments to the Strategic Plan.”

A later submission to OMB and the Congress, containing revisions to the FY 1999 APP in the form of an addendum, will reconcile differences in performance measures

between FY 1999 and FY 2000.

Stakeholder and Congressional Consultation

After the submission of the FY 1999 Annual Performance

Plan to Congress, the Department participated in several

meetings with GAO, OMB and Congressional staff to discuss the document and receive input on how to improve

the APP. The major areas identified for improvement included:

• Reduction in the number of goals and performance

measures, and improvements in their quality (more

outcome-based)

• Data verification and validation of performance

measures

• Linking activities and strategies to outcomes

• Identification of Cross-cutting areas and areas of

program evaluation

• More cohesive treatment of clearly recognized

programs within the APP

• Improved linking with resource requirements

With these areas defined, the Department began working

on a new structure for the plan that could meet the needs

of the bureaus as well as provide the information that

OMB, GAO and Congressional staff sought.

Requests for Administrative Waivers

None.

Preparation of the Annual Performance Plan
V - 10 FY 2000 Annual Performance Plan

Part V - Appendices

Appendix 3

Managing High Impact Agency Performance

The National Partnership for Reinventing Government identified 32 Federal agencies recognized by the Vice President as “High Impact Agencies” (HIA). These agencies

provide significant services to the American public. The

Vice President met the leaders of each HIA and, after

extensive consultations, each HIA established performance goals that are to be achieved in FY 2000.

Four of these 32 agencies are part of the Department of

Commerce. They are as follows:

• Patent and Trademark Office (PTO)

• Bureau of the Census

• U.S. Foreign and Commercial Service (USFCS)

• National Weather Service (NWS)

These bureaus contain four of the historically important

core functions of the Commerce Department, including

patents and trademarks, statistics, trade, and weather.

Each is critically important to the American public, our

Nation’s commerce, and the Commerce Department’s

three strategic themes.

The Secretary is committed to working with each of these

four Commerce bureaus to achieve the FY 2000 performance goals to realize the results from these high-performing HIAs. The Department of Commerce will focus

on the four Commerce bureaus that have been designated

as HIA’s in order to:

• Ensure that the HIA performance goals for FY 2000

are consistent with the performance targets specified in the Commerce Annual Performance Plan

• Ensure that the Secretary of Commerce, the Vice

President, and the heads of the HIA’s are all in

agreement with the FY 2000 performance targets

specified in the HIA goals and the Annual Performance Plan

• Develop an effective means for performance reporting of the HIA progress toward the FY 2000

performance goals and targets – and achieving

the results that Americans care about

• Implement the NPR Agenda which is aimed at

solidifying the commitments of the HIA leaders

and their Departments to the HIA goals as part of

an effective performance reporting process and

better integration of the HIA and GPRA goals.
FY 2000 Annual Performance Plan V - 11

Part V - Appendices

Appendix 4

Alphabetical List of Acronyms

ACDA Arms Control and Disarmament Agency

ACS American Community Survey

AD anti-dumping

ANCS II Automated Nautical Chart System II

ARC Appalachian Regional Commission

ASOS Automated Surface Observing System

ATP Advanced Technology Program

AWIPS Advanced Weather Interactive Processing System

BEA Bureau of Economic Analysis

BEMs big emerging markets

BLS Bureau of Labor Statistics

BXA Bureau of Export Administration

CAMS Commerce Administrative Management System

CAPs Corrective Action Plans

CBAD Current Business Analysis Division

CEMSCS Central Environmental Satellite Computer System

CENR Committee on Environment & Natural Resources

CFO/ASA Chief Financial Officer/Assistant Secretary of Administration

CIAO Critical Infrastructure Assurance Office

CIP Critical Infrastructure Program

CM continuous measurement

CMS Client Management System

CPI consumer price index

CVD counter-veiling duties

CWC Chemical Weapons Convention

DAS Days at Sea

DOD Department of Defense

DOE Department of Energy

DOL Department of Labor

EAA Export Administration Act

EACs Export Assistance Centers

EAR Export Administration Regulations

EAS Electronic Application System

ECASS Export Control Automated Support System

EDA Economic Development Administration

EE export enforcement

EMT Executive Management Team

EPA Environmental Protection Agency

EPSCoT Experimental Program to Stimulate Competitive Technology

ERL Environmental Research Laboratories

ESA Economics and Statistics Administration

EZ/EC Empowerment Zone-Enterprise Community

FEMA Federal Emergency Management Agency

FFS Federal Financial Systems

FSL Forecast Systems Laboratory

FTZ foreign trade zone

GAO General Accounting Office

GDI gross domestic income

GDIN Global Disaster Information Network

GDP gross domestic product
V - 12 FY 2000 Annual Performance Plan

Part V - Appendices

GFDL Geophysical Fluid Dynamics Laboratory

GMF Government Master File

GMRA Government Management & Reform Act

GOES Geostationary Operational Environmental Satellites

GPRA Government Performance & Results Act

GPS global positioning system

HCHB Herbert C. Hoover Building

HHS Health & Human Services

HIA high impact agency

HPC Hydrometeorological Prediction Center

I & C information & communications

IA Import Administration

ICM Integrated Coverage Measurement

IMF International Monetary Fund

IRAC Interdepartmental Radio Advisory File

IT information technology

ITA International Trade Administration

ITU International Telecommunication Union

ITU International Trade Union

LATs Latin American Telecommunications Seminar

MAC Market Access & Compliance

MBDA Minority Business Development Agency

MBEs Minority-Owned Business Enterprises

MBNQP Malcolm Baldrige National Quality Program

MEP Manufacturing Extension Partnership

MOU memorandum of understanding

MSL Measurement & Standards Laboratories

NAICS North American Industrial Classification System

NAPA National Academy of Public Administration

NBS National Bureau of Standards

NCEP National Centers for Environmental Protection

NDAA National Defense Authorization Act

NDR Natural Disaster Reduction

NEC Nonproliferation Export Control

NESDIS National Environmental Satellite, Data, and Information Service

NEXRAD Next Generation Weather Radar

NGI Next Generation Internet

NHC National Hurricane Center

NIOSH National Institute of Occupational Safety and Health

NIST National Institute of Standards and Technology

NMFS National Marine Fisheries Service

NMIs National Metrology Institutes

NOAA National Oceanic and Atmospheric Administration

NOS National Ocean Service

NRC Nuclear Regulatory Commission

NSTC National Science & Technology Council

NTEs new-to-export firms

NTMs new-to-market firms

NTIA National Telecommunications and Information Agency

NTTC National Technology Transfer Center

Appendix 4

Alphabetical List of Acronyms (cont.)
FY 2000 Annual Performance Plan V - 13

Part V - Appendices

NURP National Undersea Research Program

NWS National Weather Service

OAR Office of Oceanic & Atmospheric Research

OCRM Office of Ocean & Coastal Resource Management

OEA Office of Economic Adjustment

OECD Organization for Economic Cooperation & Development

OEE Office of Export Enforcement

OGP Office of Global Programs

OIG Office of Inspector General

OLIA Office of Legislative and International Affairs

OPM Office of Personnel Management

ORF Operations, Research and Facilities

OSTP Office of Science & Technology Policy

OTEM Office of Trade Event Management

OTP Office of Technology Policy

PAC Procurement, Acquisition, and Construction

PALM Patent Application Locator & Monitoring

PBO performance-based organization

PCT Patent Cooperation Treaty

PNGV Partnership for a New Generation of Vehicle

POES Polar-orbiting Operational Environmental Satellite

PORTS Physical Oceanographic Real Time Telemetry Systems

PSN Promote Safe Navigation

PTDL Patent and Trademark Depository Library

PTO Patent and Trademark Office

QPF Quantitative Precipitation Forecast

RLF Revolving Loan Fund

RWA returned without action

SBA Small Business Administration

SHC Sustain Healthy Coasts

SMEs small and medium sized enterprises

SMOBE Survey of Minority-Owned Business Enterprises

SRD Standards Reference Database

SRMs Standard reference materials

TA Technology Administration

TAACS Trade Adjustment Assistance Centers

TCC Trade Compliance Center

TD Trade Development

TDA Trade & Development Agency

TIC Trade Information Center

TICRS Trademark Image Capture & Retrieval System

TIIAP Telecommunications Information Infrastructure Assistance Program

TIS Trademark Information System

TPCC Trade Promotion Coordinating Committee

TRAM Trademark Application Monitoring

TRIPs Trade-Related Aspects of Intellectual Properties

UNEP United Nations Environment Programme

URAA Uruguay Round Agreements Act

US FCS U.S. Foreign & Commercial Service

USACE U.S. Army Corps of Engineers

Appendix 4

Alphabetical List of Acronyms (cont.)
V - 14 FY 2000 Annual Performance Plan

Part V - Appendices

USG U.S. Government

USIP U.S. Innovation Partnership

USTR U.S. Trade Representative

WFO Weather Forecast Office

WIPO World Intellectual Property Organization

WMO World Meteorological Organization

WTO World Trade Organization

Appendix 4

Alphabetical List of Acronyms (cont.)

USAF U.S. Air Force

USAID U.S. Agency for International Development

USDA U.S. Department of Agriculture

USEAC U.S. Export Assistance Centers
FY 2000 Annual Performance Plan V - 15

Part V - Appendices

Note 1: Public Works Program Performance

Evaluation and the Defense Adjustment

Program Performance Evaluation

These studies were conducted by a consortium composed of Rutgers University, New Jersey Institute of Technology, Columbia University, Princeton University, the National Association of Regional Councils, and the University of Cincinnati and completed in May and November

of 1997, respectively. These studies covered public

works projects completed in FY 1990 and defense adjustment projects (infrastructure, revolving loan fund, and

capacity building grants) approved between FY 1992 and

FY 1995.

This research documents the long-term nature of EDA

investments and indicates that project outcomes typically are not realized fully until six to ten years following

project completion for public works and infrastructure

projects. Such projects may require three years to complete construction and, once completed, continue to create

jobs, attract investment, increase tax base, and diversify local economies as businesses locate and expand

in EDA funded research parks, incubators, and areas

served by technology infrastructure and training facilities. Outcomes for FY 2000 public works grants are

projected for FY 2003 (near-term), FY 2006 (mid-term)

and FY 2009 (long-term).

For revolving loan funds, jobs are generated shortly after

project approval, but projects continue to generate jobs

and investment as new loans are made from principal

repayments in subsequent years. EDA tracks the cumulative results for revolving loan funds projects, including increases in the capital base. Outcomes for FY 2000

revolving loan fund grants are projected for FY 2003 (nearterm), FY 2006 (mid-term) and FY 2009 (long-term).

Note 2: Public Works Program Performance

Evaluation

This study, by Rutgers et al, 1997, showed a $3058 cost

per job for EDA construction projects when measured

six years following project completion (or an average of

nine years following grant approval). The Defense Adjustment Program Performance Evaluation (Rutgers et

al., 1997) covered projects approved between FY 1992

and FY 1995. This study showed cost per job of $8,052

for construction projects and a cost per job for revolving

loan funds ranging from $3,312 - $4,079.

The Rutgers findings are adjusted for inflation and discounted by 30 percent to account for variations in the

mix of projects that can effect outcomes. EDA does not

predetermine the types of projects funded each year, but

responds to local and state priorities based on locally

developed strategies. This limits our ability to anticipate

the exact mix of project types that will be funded in any

given year. The Rutgers studies found that performance

varies by type of project.

Note 3: EDA Performance Measures

EDA performance measures focus on long-term outcomes, and our performance goals are developed through

systematic program evaluations (e.g., Rutgers et al.) that

document the long-term results of EDA investments in

distressed areas. For example, FY 2000 grants for public works and revolving loan fund projects are expected

to create or retain 66,753 jobs by FY 2009.

EDA is developing a reporting system to track long-term

outcomes (e.g., job creation and retention, private sector investment) reported by grantees over a period of years

following grant award and project completion. FY 2000

grantees will report on program outcomes in 2003, 2006

and 2009. Similarly, outcomes for FY 1999 grant awards

will be reported in 2002, 2005, and 2007. EDA introduced reporting requirements in FY 1997, but most of

these grantees will not start reporting until the year 2000.

In the interim, EDA is conducting pilot reviews of earlier

projects (e.g., FY 1993 grant awards) to validate targets

and train EDA staff and grantees on valid methods for

reporting and verifying outcome data.

To supplement the long-term measures, EDA has developed a set of interim and process measures that can be

used by managers on regular basis to set targets and

track performance in critical areas that affect program

outcomes (e.g., targeting investments to areas of highest distress and improving the quality and timeliness of

EDA assistance). The interim measures will ensure annual reporting to gauge progress toward long-term goals.

Appendix 5

Economic Development Administration
V - 16 FY 2000 Annual Performance Plan

Part V - Appendices

Note 4: Pilot Review of FY 1993 Construction

and Revolving Loan Fund Grants

EDA will conduct periodic reviews and site visits to verify

data and validate grantee reporting methods. During FY

1999, EDA will work with Rutgers to conduct a pilot review of 58 construction projects completed in FY 1993

and 44 revolving loan fund projects approved in FY 1993

(six years ago). EDA will use the pilot to provide extensive outreach and training for EDA grantees on valid reporting methods and to train EDA staff on methods for

verifying data reported by grantees. The pilot will establish a national performance team involving EDA grantees

and national organizations to oversee the pilot and provide consultation and feedback on EDA performance

measures and reporting requirements.

Note 5: Refinement of Performance Measures

Data is not currently available to establish targets for

some of the measures or indicators presented in the Commerce Annual Performance Plan. EDA expects to refine performance measures and establish targets during

FY 1999 based on program evaluations currently underway for planning, University Center, and trade adjustment

assistance center grantees.

In addition, EDA will use the pilot review of 58 construction projects completed in FY 1993 and 44 revolving loan

funds approved in FY 1993 to validate program outcomes

and targets for near, mid and long-term jobs and private

investment. Other measures and targets may be adjusted

following the pilot review.

Note 6: Verification and Validation of Grantee

Reports

EDA performance measures cover outcomes reported

by grantees and verified by EDA through performance

reviews and periodic site visits. Grantees report actual

jobs and investment created or retained as a result of

the project at the time of the report. This is the most

straightforward and cost-effective method for measuring

outcomes but does not account for all factors which

can influence job creation and investment. EDA will rely

on periodic program evaluations, as resources permit, to

provide more complete information on program performance.

Appendix 5

Economic Development Administration (cont.)

Note 7: EDA Program Evaluations Underway

EDA is conducting systematic evaluations of all program

activities to develop, test and refine performance measures and benchmarks. Program evaluations underway

for EDA’s planning, university center, and trade adjustment assistance programs will lead to improvements in

the way EDA measures performance for capacity building programs. Evaluations and studies on disaster response, technology and trade issues support our efforts

to develop effective measures for these priorities and initiatives. Following is a listing of EDA sponsored evaluations and studies showing actual or planned year of

completion.

Studies completed:

 Public Works Program Performance Evaluation

(Rutgers University et al.) - 1997

 Defense Adjustment Program Performance Evaluation (Rutgers University et al.) - 1997

 Science and Technology Strategic Planning (SSTI/

Battelle Institute) - 1997

 Impact of Incubator Investments (University of Michigan, et al) - 1997

 Cluster-based Economic Development ( Information

Design Associates) - 1997

 Public Works Program: Multiplier & EmploymentGenerating Effects (Rutgers et al.) - 1998

Evaluation of EDA’s Response to the Midwest Flood

of 1993( Aguirre International) - 1998

Performance Measures for EDA Planning Programs

(Applied Development Economics) -1999

Trade Adjustment Assistance Program (Urban Institute) - 1998

Microenterprise Development (Rutgers University) -

1999

University Center Peer Review (NAMTAC) - 1998

Studies underway:

Overall Economic Development Program Evaluation

(Corp. for Enterprise Dev. et al.) - 1999
FY 2000 Annual Performance Plan V - 17

Part V - Appendices

Appendix 5

State Incentive Programs (National Assoc. of State

Development Agencies) - 1999

Impact of Revolving Loan Funds- 1999

Technology Transfer and Commercialization -1999

Cutting-edge Economic Development Projects and

Practices-1999

Brownfields/Air Quality-2000

American Indian Economic Development-1999

American Indian Technology Infrastructure Needs

Assessment-1999

EDA is making significant investments in program evaluation and research to improve programs and provide useful information to local economic development practitioners. EDA’s goal is to evaluate programs on a regular

basis (e.g., every five years) to verify and supplement

performance data reported by grantees and to improve

program management.

Note 8: Overview of Organizational Structure

and Management Challenges

EDA assists economically distressed communities

throughout the United States, including Puerto Rico,

U. S. Virgin Islands, Guam, American Samoa, Commonwealth of Northern Mariana Islands, Federated States of

Micronesia, Palau, and the Republic of Marshall Islands.

EDA operates with a headquarters staff located in Washington, DC, six Regional Offices (Philadelphia, Chicago,

Atlanta, Austin, Denver, and Seattle) and 28 Economic

Development Representatives who provide outreach and

assistance at the State and local level. Through a nationwide network of planning organizations and technical assistance providers, EDA works with distressed

communities to identify needs, develop strategies and

fund projects, consistent with State and local priorities.

In recent years EDA has restructured its grants process

and management operations to better respond to local

needs. EDA reduced staffing by 30 percent, cut regulations by 62 percent and continues to streamline project

processing by delegating increased authority to Regional

Offices. EDA recently recruited a Chief Financial Officer. Management challenges for the years leading up

to and including FY 2000 include:

• preparing to implement the reauthorization of EDA

programs, institutionalizing reinvention, and providing a stable platform for Administration priorities

• improving technology and training for agency operations to support EDA’s mission and Commerce

priorities and initiatives (including increased collaboration with other agencies)

• completing a major upgrade to EDA’s data system for approved and pending projects, and integrating a new data base on performance measures as part of the larger system upgrade

• implementing a process for ongoing consultations

with Congress, OMB, GAO, DOC, national economic development organizations, EDA grantees,

program managers and staff

• improving compliance with GPRA, including training for EDA staff and grantees on data collection

and reporting requirements. EDA will work to

refine outcome measures and to develop interim

measures for major program activities and crosscutting activities

Note 9: Resource Requirements

FY 2000 Total Bureau Dollars: $393,000,000

 Program Resources: $364,000,000

• $347 Million for Community and Regional Enhancement

• $12 Million for Community Economic Adjustment

to help firms adjust to changes in trade

patterns

• $3 Million for Disaster Mitigation and Recovery

Assistance

• $2 Million for National Program Analysis and Information Consolidation

FY 2000 FTE: 272, Skill Summary

• Economic development policy, planning, and program specialists.

• Project and grants management, engineering and

environmental specialists.

• Legal, accounting and information systems support specialists.

• Knowledge/expertise in key technology sectors

(e.g., information technology).

• Disaster relief training (coordinated with FEMA).

Economic Development Administration (cont.)
V - 18 FY 2000 Annual Performance Plan

Part V - Appendices

FY 2000 Bureau Requirements: Information Technology

Modernize mission critical information systems

• complete upgrade of EDA data base on ap

proved and pending projects

• move to non-mainframe, client server system

• improve user access to mission critical data

Reduce technological obsolescence

• replace 1/4 of user desk tops every year

• replace 1/3 of LAN file servers every year

• increase portability to support agency travel, training and field work.

Improve information dissemination

• improve WEBSITE to provide ready access to mission critical information

• increase links with other economic development

organizations

• increase capacity to share information on current

trends and research

Appendix 5

Economic Development Administration (cont.)
FY 2000 Annual Performance Plan V - 19

Part V - Appendices

Appendix 6

Crosscutting Activities (By Bureau) Between the Department

of Commerce and Other Federal Agencies

Department Theme 1: Economic Theme 2: Theme 3: Resource and

Infrastructure Science/Technology/ Asset Management and

Information Stewardship

 AID BXA TA PTO

• Funding to countries of • Standards-related training • Improve systems for

concern for purchase of workshops effectively granting and

controlled U.S. items protecting intellectual

property rights

ITA NOAA

• TPCC • Famine warning: Satellite

data, rainfall analysis NOAA

PTO • Seasonal to Interannual • International Coral Reef

• International training and climate forecasts Initiative

 technical assistance for

developing countries

ACDA BXA

• Export license application

review, consultation, and

dispute resolution/EAA

• Multilateral Regime

Participation/EAA

Implementation of CWC

Negotiation of BWC

Protocol

Agriculture BXA TA EDA

• Short Supply Controls/EAA • Grain inspection and • Office of Rural Development/

• National Defense Stockpile measurements Supplemental public works

 Market Impact Committee grants

NOAA • Agriculture Conservation

EDA • Columbia River Basin study and Stabilization Service/

• Rural Development study (flood forecasting) Flood- related technical

 Program • CENR (global change, assistance

 hazards, water)
V - 20 FY 2000 Annual Performance Plan

Part V - Appendices

Appendix 6

Crosscutting Activities (By Bureau) Between the Department

of Commerce and Other Federal Agencies(cont.)

Department Theme 1: Economic Theme 2: Theme 3: Resource and

Infrastructure Science/Technology/ Asset Management and

Information Stewardship

Agriculture (cont.) • Timber Economic • Global Climate Data and NTIA

Adjustment Initiative Information System • Spectrum Mgmt. (IRAC)

• Seasonal to Interannual

ITA climate forecasts

• TPCC NOAA

• Sea Grant (fisheries and

MBDA aquaculture research)

• Minority Business • Marine aquaculture

Opportunity Committee research and promotion

• National Ocean Partnership

NIST Program

• MEP collaboration on • CENR (environmental

forestry and food monitoring)

processing industries, and • Coastal Zone Management

related agricultural (land-use planning, nonextension issues point source pollution)

• Gulf of Mexico Hypoxia

NOAA Task Force

• CENT (hazards) • Habitat restoration and

• Joint Agricultural Weather protection

Facility (World and U.S. • South Florida Ecosystem

Agricultural Outlooks) Restoration

• Satellite data (agricultural • Interagency Taxonomic

forecasts) Information System

PTO PTO

• Formulate proposals for • Intellectual property policy

intellectual property proposals

protection both at home

and abroad (plant varieties)
FY 2000 Annual Performance Plan V - 21

Part V - Appendices

Appendix 6

Crosscutting Activities (By Bureau) Between the Department

of Commerce and Other Federal Agencies (cont.)

Department Theme 1: Economic Theme 2: Theme 3: Resource and

Infrastructure Science/Technology/ Asset Management and

Information Stewardship

Defense BXA TA EDA

• Export license application • Measurement and standards • Military Base Closures/Defense

review, consultation, and activities for all branches of Defense contract reductions/

dispute resolution/EAA the military Downsizing

• Multilateral Regime • ATP Source Evaluation Board • Levee Restoration Program

Participation/EAA

• Export Control Policy NOAA NOAA

Development/EAA • Columbia River Basin study • National Undersea Research

• Export Control Cooperation (flood forecasting) Program

with foreign governments • California project (flood • Protected species management

• Intelligence Liaison forecasting) • Coastal habitat restoration and

• Critical Infrastructure • CENR (global change) conservation program

Protection Initiative • Global Climate Data and • National Ocean Partnership

• Encryption expost license Information System Program

application review, • HPCC • South Florida Ecosystem

consultation and dispute Restoration

resolution NTIA • Living marine resources

• Encryption Policy • Telecom Research habitat protection

Development • Radio frequency management

• Defense Industrial Base (with NTIA)

Assessments

• Excess Defense Articles review

• Implementation of CWC

• Negotiations of BWC Protocol

• Defense Diversification

• Offsets in Defense Trade/TPCC

• Review of Defense Memoranda for

Understanding

• National Defense Stockpile

Market Impact Committee
V - 22 FY 2000 Annual Performance Plan

Part V - Appendices

Appendix 6

Crosscutting Activities (By Bureau) Between the Department

of Commerce and Other Federal Agencies(cont.)

Department Theme 1: Economic Theme 2: Theme 3: Resource and

Infrastructure Science/Technology/ Asset Management and

Information Stewardship

Defense (cont.) EDA

• Military Base Closures/ Defense

contract reductions/ Downsizing

Research and national technical

assistance

ITA

• TPCC

NOAA

• Polar satellite convergence

• Defense Department satellite data

• NEXRAD (weather radar)

• ASOS (weather observations)

• U.S. Weather Research Program

• Marine Observing Network

• Civilian applications of Global

Positioning Systems

• Hydrological Monitoring

• Advanced Hydrologic Prediction

System (flood forecasting)

TA

• ENGV (non- budget)

Education NTIA NOAA NTIA

• Universal Service, Internet • GLOBE • Spectrum Mgmt. (IRAC)

use in schools, libraries • HPCC
FY 2000 Annual Performance Plan V - 23

Part V - Appendices

Appendix 6

Crosscutting Activities (By Bureau) Between the Department

of Commerce and Other Federal Agencies (cont.)

Department Theme 1: Economic Theme 2: Theme 3: Resource and

Infrastructure Science/Technology/ Asset Management and

Information Stewardship

Energy BXA EDA NOAA

• Export Control Cooperation • Convert Energy labs to • Living marine resources

with foreign governments support civilian technology habitat conservation program

• Enforcement cooperation and enterprise • Anadromous fisheries programs

support • CENR (environmental

• Export license application TA monitoring)

review, consultation, and • Measurement and standards • Radio frequency management

dispute resolution/EAA activities (with NTIA)

• Multilateral Regime • ATP Source Evaluation Board\

Participation/EAA NTIA

• Export Control Policy NOAA • Spectrum Mgmt. (IRAC)

Development/EAA • Greenhouse gas emissions

• Implementation of CWC studies and assessments PTO

• Negotiations of BWC Protocol • CENR (global change, • Handling patent applications

• Defense Diversification hazards) having national security

• International Cooperative • Data storage implications

License / EAA • Global Climate Data and

Information System

EDA • HPCC

• Energy Realignment - Federal • Seasonal to Interannual

Lab closures and downsizing climate forecasts

ITA

• TPCC

NOAA

• CENR (hazards)

TA

• PNGV (budget)
V - 24 FY 2000 Annual Performance Plan

Part V - Appendices

Appendix 6

Crosscutting Activities (By Bureau) Between the Department

of Commerce and Other Federal Agencies(cont.)

Department Theme 1: Economic Theme 2: Theme 3: Resource and

Infrastructure Science/Technology/ Asset Management and

Information Stewardship

EPA EDA TA EDA

• Brownfields Initiative • Measurement and standards • Brownfields Initiative

activities • Levee Restoration Program

ITA • Sustainable Development

• TPCC NOAA • Diversify resource-based

• CENR (global change) economies

TA • National Acid Prediction

• Collaborated with MEP on Assessment Program NOAA

environmentally consciouso • Atmospheric Integrated • Living marine resources

manufacturing Research Monitoring Network habitat conservation program

• PNGV • Assessment of CFC • Protected species management

substitutes for ozone • National Ocean Partnership

NOAA depletion potential Program

• Global ecosystem datasets • Global Climate Data and • CENR (environmental

Information System monitoring)

• GLOBE • Non-point source pollution

• HPCC control

• North American Research • Response to and remediation

Strategy for Troposphere of hazardous materials spills

ozone • Coastal monitoring (water

quality, contaminants, harmful

algal blooms)

NTIA

• Spectrum Mgmt. (IRAC)

FCC NTIA NOAA

• Telecommunications Policy, • Radio frequency management

Universal Service, Public (with NTIA)

Safety Communications,

 international conferences NTIA

• Spectrum Mgmt. (IRAC),

COMSAT Oversight
FY 2000 Annual Performance Plan V - 25

Part V - Appendices

Appendix 6

Crosscutting Activities (By Bureau) Between the Department

of Commerce and Other Federal Agencies (cont.)

Department Theme 1: Economic Theme 2: Theme 3: Resource and

Infrastructure Science/Technology/ Asset Management and

Information Stewardship

FEMA BXA TA EDA

• National Security Emergency • Agreements for measurement • Post Disaster Economic

Preparedness/Defense and standards research and Recovery Program and

Priorities and Allocation services mitigation planning

Systems

• NATO Civil Emergency NOAA NOAA

Planning Coordinating • CENR (hazards) • Coastal Zone Management

Committee • Seasonal to Interannual (land-use planning and risk

• National Defense Stockpile climate forecasting evaluation)

Market Impact Committee extreme events) • Radio frequency management

• Critical Infrastructure

Protection Initiative

EDA

• Post Disaster Economic

Recovery Program

NOAA

• CENR (hazards)

Shoreline mapping, hazard

mitigation planning

• Emergency management

training and outreach

• External weather warning coordination

FDA • Patent term extension for drug

related patents that have

received regulatory review.

GPO PTO

• GPO replicates CD- ROM

products, makes them available

to the federal depository libraries

who choose to receive them
V - 26 FY 2000 Annual Performance Plan

Part V - Appendices

Appendix 6

Crosscutting Activities (By Bureau) Between the Department

of Commerce and Other Federal Agencies(cont.)

Department Theme 1: Economic Theme 2: Theme 3: Resource and

Infrastructure Science/Technology/ Asset Management and

Information Stewardship

GSA TA NTIA

• Agreements for measurement • Spectrum Mgmt. (IRAC),

and standards research and COMSAT Oversight

services

HHS BXA TA NOAA

• National Defense Stockpile • Agreements for measurement • CENR (harmful algal blooms,

Market Impact Committee and standards research and endocrine disruptors)

services

NOAA • ATP Source Evaluation NTIA

• CENR (hazards) local Board (w/NIH) • Spectrum Mgmt.(IRAC)

planning- coordinated

delivery of NOAA PTO

• CENR (global change, • Handling both AIDs-related

NTIA hazards) inventions/information and

• Telemedicine Policy • HPCC recombinant DNA information

Development

HUD EDA TA NTIA

• Post Disaster Economic • Agreements for measurement • Spectrum Mgmt.(IRAC)

Recovery Program research in identifying building

• Community Development lead content and abatement

Block Grants program techniques

NOAA NOAA

• CENR (hazards) • CENR (hazards)
FY 2000 Annual Performance Plan V - 27

Part V - Appendices

Appendix 6

Crosscutting Activities (By Bureau) Between the Department

of Commerce and Other Federal Agencies (cont.)

Department Theme 1: Economic Theme 2: Theme 3: Resource and

Infrastructure Science/Technology/ Asset Management and

Information Stewardship

Interior ITA TA NOAA

• TPCC • Agreements for measurement • Protected species

and standards research management (marine mammal

BXA programs & endangered

• Short Supply Controls/EAA NOAA species conservation and

• National Stockpile Market • Tsunami Network (coastal management)

Impact Committee hazard warning system) • Living Marine resources

• Columbia River basin study habitat conservation program

NOAA (flood forecasting) • Aquaculture development

• FGDC (data standards) • Watershed and River • South Florida Ecosystem

• Spatial reference system System Management Restoration

and geodetic control program, Yakima Basin • CENR (environmental

• Satellite data • FGDC (data standards) monitoring)

• CENR (hazards) • CENR (global change, • U.S. Coral Reef Initiative

• Hydrological (flood) hazards, water) • Radio frequency management

monitoring and forecasting • Satellite data (archive) (with NTIA)

• Seasonal To Interannual • Global Climate Data and • Interagency Taxonomic

climate forecasts Information System Information System

• Volcanic ash monitoring

• Advanced Hydrological NTIA

Prediction System • Spectrum Mgmt. (IRAC)

• Fire weather

• Stream gauging

Justice BXA TA NOAA

• Encryption Export License • Agreements for measurement • Marine fisheries enforcement

application review, and standards research and program

consulations, and dispute services

resolution NTIA

• Encryption Policy • Spectrum Mgmt. (IRAC)

 Development

• Defense Priorities and PTO

Allocations • Formulate intellectual

• Law enforcement cooperation property policy proposals.

 (FBI,INS)
V - 28 FY 2000 Annual Performance Plan

Part V - Appendices

Appendix 6

Crosscutting Activities (By Bureau) Between the Department

of Commerce and Other Federal Agencies(cont.)

Department Theme 1: Economic Theme 2: Theme 3: Resource and

Infrastructure Science/Technology/ Asset Management and

Information Stewardship

Justice BXA

• Intelligence liason

• Critical Infrastructure Protection

Initiative

NTIA

• Telecommunications Policy Issues

Labor EDA NTIA

• Economic development • Spectrum Mgmt. (IRAC)

based on local planning

ESA

• Price and Output Working Group

Economic Classification and Policy

Committtee

• Working Group on Compensation

Measurement

• NAICS Implementation

• Interagency Confidentiality and

Data Access Group

ITA

• TPCC

NIST

• Labor Participation in Workplace

ModernizationPilot Project

Library of PTO

Congress • Formulate Proposals for

Intellectual PropertyProtection in

the U.S. and Abroad
FY 2000 Annual Performance Plan V - 29

Part V - Appendices

Appendix 6

Crosscutting Activities (By Bureau) Between the Department

of Commerce and Other Federal Agencies (cont.)

Department Theme 1: Economic Theme 2: Theme 3: Resource and

Infrastructure Science/Technology/ Asset Management and

Information Stewardship

NASA BXA TA NOAA

• Export control policy • Agreements for measurement • National Ocean Partnership

development/EAA and standards research and Program

• International Cooperative services • Radio frequency management

Licenses (with NTIA)

NOAA

NOAA • EOSDIS (interoperability, NTIA

• Polar satellite convergence archive) • Spectrum Mgmt. (IRAC)

• FGDC (data standards) • Pathfinder (data reprocessing)

• CENR (hazards) • Satellite data PTO

• GPSmet satellite • CENR (global change, • Handling patent applications

• Space launch forecasts hazards) having national security

• U.S. Weather Research • EOS Missions and implications

Program instruments (SeaWiFS,

TRMM, NSCAT)

NTIA • Global Change Data and

• PEACESAT Information System

• Seasonal to Interannual

TA climate forecasts

• PNGV (non budget) • GLOBE

• HPCC

NSF NOAA TA NOAA

• CENR (hazards • Agreements for measurement • National Undersea Research

• GPSmet satellite and standards research and Program

• U.S. Weather Research services • Fisheries stock assessment

Program programs, fisheries science

NOAA program

NTIA • CENR (global change, • National Ocean Partnership

• Internet issues hazards) Program

• University Corporation for • Harmful algal blooms

PTO Atmospheric Research • CENR (environmental

• Domain Name Dispute • GLOBE monitoring)

Resolution - for developing • Global Climate Data and • Radio frequency management
V - 30 FY 2000 Annual Performance Plan

Part V - Appendices

Appendix 6

Crosscutting Activities (By Bureau) Between the Department

of Commerce and Other Federal Agencies(cont.)

 Department Theme 1: Economic Theme 2: Theme 3: Resource and

Infrastructure Science/Technology/ Asset Management and

Information Stewardship

NSF (cont.) acceptable legal and Information System (with NTIA)

procedural regimes for • HPCC • Sea Grant

settlement of trademark

domain name disputes PTO

• Report to the President on

TA Science and Engineering

• PGNV (budget) Indicators. Reports on

patenting trends in the U.S.

by Standard Industrial code,

foreign country and

technological activities, and

university patenting activity.

OMB BXA

• National Defense Stockpile

Market Impact Committee

• Critical Infrastructure

Protection Initiative

ESA

• Economic Classification and

Policy Committee

• Federal Committee on

Statistical Methodology

• Interagency Council on

Statistical Policy

SBA BXA

• Export Control Seminars

• Defense Diversification
FY 2000 Annual Performance Plan V - 31

Part V - Appendices

Appendix 6

Crosscutting Activities (By Bureau) Between the Department

of Commerce and Other Federal Agencies (cont.)

Department Theme 1: Economic Theme 2: Theme 3: Resource and

Infrastructure Science/Technology/ Asset Management and

Information Stewardship

EDA

• Post Disaster Economic

 Recovery

ITA

• TPCC

MBDA

• Minority Enterprise Week

NOAA

• Small Business Initiative

Research Program

State BXA TA NTIA

• Export license application • Coordination in the area of • Spectrum Mgmt. (IRAC)

review, consultation, and measurements and

dispute resolution/EAA standards for international NOAA

• Commodity Jurisdiction trade • Protected species

Review and transfers management (marine mammal

• Multilateral Regime NOAA programs & endangered

Participation/EAA • CENR (global change) species conservation and

• Implementation of CWC • International science and management)

• Negotiations of BWC Protocol technology agreements • International fishery

• National Defense Stockpile / • GLOBE management programs

Strategic and Critical • Global Climate Data and • US Coral Reef Initiative

Materials Stockpiling Act Information system • Land-based sources of

of 1979 marine pollution

• National Defense Stockpile / • Radio frequency management

Market Impact Committee (with NTIA)

• NATO Industrial Planning

Committee PTO

• Defense Diversification • Formulate Intellectual Property

• Discussion of Boycott policy proposals

requests and other boycott

issues at monthly

interagency meetings
V - 32 FY 2000 Annual Performance Plan

Part V - Appendices

Appendix 6

Crosscutting Activities (By Bureau) Between the Department

of Commerce and Other Federal Agencies(cont.)

Department Theme 1: Economic Theme 2: Theme 3: Resource and

Infrastructure Science/Technology/ Asset Management and

Information Stewardship

State (cont.) • Export Control Policy

Development/EAA

• Sanction Policy/EAA

• Export Control Cooperation

with foreign governments

• Intelligence Liaison

ITA

• TPCC

NTIA

• International forums on telecommunications policy

(ITU, WTO, OECD, ASEAN, etc.)

NOAA

• Satellite and data policy

PTO

• Protection of intellectual

property both at home and abroad

• Improve international standards for

the protection of intellectual property

Transportation BXA TA EDA

• Coordination on license • Agreements for measurement • Supplemental Grants fro FHA

shipments and standards research and

services NOAA

EDA • Living marine resources

• Economic Development NOAA habitat conservation program

District-Review of overall • CENR (hazards) • Response to hazardous

Economic Development materials spills

Program NTIA • National Marine Sanctuaries

(vessel traffic, enforcement)
FY 2000 Annual Performance Plan V - 33

Part V - Appendices

Appendix 6

Crosscutting Activities (By Bureau) Between the Department

of Commerce and Other Federal Agencies (cont.)

Department Theme 1: Economic Theme 2: Theme 3: Resource and

Infrastructure Science/Technology/ Asset Management and

Information Stewardship

Transportation NTIA

(cont.) • Telecommunications

ESA Research (smart vehicles, • National Invasive Species Act

• Transportation Satellite next gen radar for • Radio frequency management

Accounts Team FAA, etc.) (with NTIA)

• Highway Statistics Steering

Committee NTIA

• Spectrum Mgmt. (IRAC)

ITA

• TPCC

NOAA

• Nautical and aeronautical

charting

• CENR (hazards)

• FGDC (data standards)

• ASOS (environmental

monitoring for meteorology

and airplane flight safety)

• FSL (forecast workstation

development)

• Volcanic ash monitoring

• NEXRAD (weather radar)

• GPSmet satellite

TA

• PNGV (budget)
V - 34 FY 2000 Annual Performance Plan

Part V - Appendices

Appendix 6

Crosscutting Activities (By Bureau) Between the Department

of Commerce and Other Federal Agencies(cont.)

Department Theme 1: Economic Theme 2: Theme 3: Resource and

Infrastructure Science/Technology/ Asset Management and

Information Stewardship

Treasury BXA TA NTIA

• Committee on Foreign • Agreements for measurement • Spectrum Mgmt. (IRAC)

Investment in the United and standards research and

States services in security and PTO

• National Defense Stockpile / electronic data transfers • US Customs Service

Market Impact Committee regarding counterfeit goods

• Sanction Policy/EAA PTO or services

• Export Compliance Seminars • Provide CD-ROMS of

• Discussion of Boycott trademark information to

requests and other boycott Customs

 issues at monthly

 interagency meetings

• Customs: domestic and

 foreign cooperative

 investigations

• Foreign Asset Controls

• Information exchanges

ESA

• Improving surveys of

 international investment

• Improving source data on

 property incomes

• NAICS implementation

ITA

• TPCC

• Customs: Enforce U.S.

 trade laws
FY 2000 Annual Performance Plan V - 35

Part V - Appendices

Appendix 6

Crosscutting Activities (By Bureau) Between the Department

of Commerce and Other Federal Agencies (cont.)

Department Theme 1: Economic Theme 2: Theme 3: Resource and

Infrastructure Science/Technology/ Asset Management and

Information Stewardship

United States Trade ITA TA PTO

Representative • TPCC • Coordination in the area of • Formulate intellectual

(USTR) measurements and property policy proposals

PTO standards for international • PTO advises USTR on

• Protection of intellectual trade foreign unfair trade

property both at home and practices for intellectual

abroad property (Section 301)

• Participate in efforts to

improve international

standards for the protection

of intellectual property

VA NOAA

• HPCC

TA

• Agreements for research in

hearing aid metrology and

performance improvements