FEDERAL MARITIME COMMISSION 

STRATEGIC PLAN

FY 2022-2026

 March 2022
Table of Contents

Message from the Chairman................................................................................................................ i

About the Federal Maritime Commission........................................................................................... 2

FMC Strategic Plan Fiscal Years 2022-2026......................................................................................... 3

Overview and how to use the Strategic Plan .............................................................................. 3

Strategic Goal 1 – Maintain a competitive and reliable international ocean 

transportation supply system ...................................................................................................... 5

Strategic Objective 1.1: Ensure no unreasonable increases in transportation costs 

or decreases in transportation service are attributed to anticompetitive practices 

under FMC-filed agreements...................................................................................................... 5

Strategic Objective 1.2: Ensure competition is preserved in the purchase of certain 

covered services (46 U.S.C. § 40102(5)) through 46 U.S.C. § 40307 authorities. ...................... 7

Strategic Goal 2 – Protect the public from unlawful, unfair, and deceptive ocean 

transportation practices ............................................................................................................... 8

Objective 2.1: Identify and take action to end unlawful, unfair, and deceptive practices. ...... 9

Objective 2.2: Prevent public harm through licensing and financial responsibility 

requirements............................................................................................................................ 11

Objective 2.3: Enhance public awareness of agency resources, remedies, and 

regulatory requirements through education and outreach..................................................... 12

Objective 2.4: Impartially and timely resolve international shipping disputes through 

alternative dispute resolution and adjudication. ..................................................................... 14

Stewardship Objective – Advance the FMC’s performance through excellence in 

organizational management....................................................................................................... 15

Stewardship Sub-objective 1: Strengthen infrastructure and effective resource 

management. ........................................................................................................................... 15

Stewardship Sub-objective 2: Foster a high performing, engaged, and diverse 

workforce where staff understand how their efforts contribute to the goals of 

the Commission........................................................................................................................ 17

Equity............................................................................................................................................ 19

Program Evaluation and Evidence ............................................................................................. 19

External Factors........................................................................................................................... 20

Appendix A: Summary of Performance Measures by Strategic Goals and Objectives................ 21

Appendix B: Organization Chart and Commission Bureaus and Offices....................................... 27
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Federal Maritime Commission FY 2022-2026 Strategic Plan

Message from the Chairman

The Federal Maritime Commission (FMC or Commission) is pleased to issue its Strategic 

Plan for fiscal years (FY) 2022-2026. 

The FMC’s work to maintain competition and integrity throughout the Nation’s ocean 

transportation supply chain is vital to America’s economy and job growth. The 

international ocean transportation system is experiencing significant challenges in the 

wake of the COVID-19 pandemic, including a surge in cargo movements that require the 

system to respond efficiently and appropriately. The U.S. has brought in more ocean 

freight in less time than ever before in our Nation’s history. The Commission’s efforts in 

facilitating commerce and protecting U.S. shippers will continue to be critical in the 

upcoming years. 

Our Strategic Plan provides the framework to address current and anticipated challenges 

in the ocean transportation industry over the next five years. It calibrates performance 

measures to ensure the Commission is meeting its statutory mission and the needs of a 

rapidly changing ocean transportation supply system. Finally, this plan is intended to be 

flexible and adaptable as the shipping industry evolves, while providing clear and 

measurable targets.

This Strategic Plan builds on the success of our prior Strategic Plan, which covered FY 

2018-2022. In looking forward over the next five years, the Commission has set forth two 

strategic goals as well as a stewardship objective for organizational excellence to guide 

our efforts and ensure that the Commission efficiently and effectively carries out its 

mission and serves the public.

The challenges of the pandemic have changed some of the day-to-day operations of the 

FMC but has not changed the Commission’s ability to fully meet its mission and strategic 

goals. The Commission’s unwavering commitment to achieving its mission and meeting 

high performance standards from its staff will continue to ensure that we execute our 

Strategic Plan to achieve results for the American people. My colleagues and I look 

forward to the work ahead as we continue to fulfill our important mission. 

Daniel B. Maffei

Chairman

Federal Maritime Commission
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Federal Maritime Commission FY 2022-2026 Strategic Plan

About the Federal Maritime Commission

Mission

Ensure a competitive and reliable international ocean transportation supply system that 

supports the U.S. economy and protects the public from unfair and deceptive practices.

History and Statutory Authority

The Federal Maritime Commission (FMC or Commission) is an independent agency charged

with regulating liner shipping in the U.S. international trades. From its creation in 1961, the 

FMC has ensured a competitive and reliable international ocean transportation supply system 

that supports the U.S. economy and job growth, and protects the public from unlawful, unfair, 

and deceptive practices. While the specifics of the U.S. maritime policy and laws have changed 

during the last few decades, the FMC’s mission and dual strategic goals are the focus of 

today’s regulatory efforts.

Congress assigned these responsibilities to the FMC in the following laws now codified at 46 

U.S.C. §§ 40101-44106:

• The Shipping Act of 1984 (Shipping Act), as amended by the Ocean Shipping Reform Act

(OSRA) of 1998;

• The Foreign Shipping Practices Act of 1988 (FSPA);

• Section 19 of the Merchant Marine Act, 1920 (1920 Act); 

• Sections 2 and 3 of Pub. L. No. 89-777, 80 Stat. 1350; and

• Section 834 of the Frank LoBiondo Coast Guard Authorization Act of 2018 (LoBiondo Act).
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Federal Maritime Commission FY 2022-2026 Strategic Plan

FMC Strategic Plan Fiscal Years 2022-2026

Overview and how to use the Strategic Plan

The Federal Maritime Commission’s Strategic Plan for FY 2022-2026 (Strategic Plan or Plan) 

sets goals and objectives for achieving the FMC’s mission. The FMC publishes its Strategic Plan 

every four years, aligning with presidential administrations. This Plan contains targets and 

measures linked to objectives via strategies through FY 2026. These objectives, targets, and 

measures drive the agency’s performance and budgetary process. 

The Commission’s goals and objectives are:

Strategic Goal 1: Maintain a competitive and reliable international ocean transportation 

supply system.

Objective 1.1: Ensure no unreasonable increases in transportation costs or decreases in 

transportation service are attributed to anticompetitive practices under FMC-filed 

agreements.

Objective 1.2: Ensure competition is preserved in the purchase of certain covered services 

(46 U.S.C. § 40102(5)) through 46 U.S.C. § 40307 authorities.

Strategic Goal 2: Protect the public from unlawful, unfair, and deceptive ocean 

transportation practices.

Objective 2.1: Identify and take action to end unlawful, unfair, and deceptive practices.

Objective 2.2: Prevent public harm through licensing and financial responsibility 

requirements.

Objective 2.3: Enhance public awareness of agency resources, remedies, and regulatory 

requirements through education and outreach.

Objective 2.4: Impartially and timely resolve international shipping disputes through 

alternative dispute resolution and adjudication.

Stewardship Objective: Advance the FMC’s performance through excellence in 

organizational management.

Stewardship Sub-objective 1: Strengthen infrastructure and effective resource 

management. 

Stewardship Sub-objective 2: Foster a high performing, engaged, and diverse workforce 

where staff understand how their efforts contribute to the goals of the Commission.
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Federal Maritime Commission FY 2022-2026 Strategic Plan

This is how the Strategic Plan can be used by both internal and external audiences. 

FMC Employees: Use as a roadmap to plan work and track performance 

outcomes. 

Provide feedback on implementation and whether and how 

measures are working in real time. 

External Stakeholders/ Use as a tool to understand the FMC’s priorities and focus over 

the Public: next four years and how the FMC accounts for its actions and 

progress.

Additional information

This Strategic Plan conforms with the spirit and letter of the GPRA Modernization Act of 2010; 

OMB Circular A-11, Preparation of Submission of Strategic Plans, and Annual Program 

Performance Reports; and Executive Order 13450 – Improving Government Program 

Performance.

This Strategic Plan was developed through a review of available evidence including experience 

with evolving industry structural and behavioral changes, current challenges, and future 

industry forecasts to determine the best strategies to support a competitive and reliable 

shipping industry and to drive continuous improvement in the FMC’s performance. 

This strategic planning process validated retention of the Commission’s two previous strategic 

goals, as broad outcomes that the Commission should continue to achieve consistent with its 

statutory mandate. The FMC’s strategic planning refined and focused several of the strategies 

and measures and added a stewardship objective that supports the mission activities across 

the Commission. This new objective focuses on human resources; information technology (IT); 

contracting and property management; and financial management. Each of these important 

functions are subject to their own stringent planning and measuring regimes pursuant to 

various laws and executive mandates. 
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Federal Maritime Commission FY 2022-2026 Strategic Plan

Strategic Goal 1 – Maintain a competitive and reliable international ocean 

transportation supply system.

The FMC carries out the Shipping Act’s policy objective “to promote the growth and 

development of United States exports through competitive and efficient ocean transportation 

and by placing a greater reliance on the marketplace.” The Commission’s oversight of the 

international ocean transportation supply system remains critical. Ocean transportation plays 

a primary role in the movement of more than $1 trillion in U.S. exports and imports annually. 

The COVID-19 pandemic surge in demand for ocean transportation, supply chain congestion,

carrier consolidations, mergers, and a major carrier bankruptcy have greatly impacted the 

industry. The Commission’s work protects shippers, both exporters and importers, as well as

the Nation’s interest in a competitive ocean supply chain that reliably delivers goods to the 

American public.

Under the Shipping Act, carriers and other regulated entities can file agreements with the 

FMC. The FMC ensures that actions taken pursuant to these filed agreements do not result in 

unreasonable increases in transportation costs and/or unreasonable decreases in 

transportation services. Competition among participants in the U.S. liner trades fosters 

competitive rates and encourages innovation and a variety of service offerings for the benefit 

of U.S. exporters and importers, and ultimately consumers. 

To achieve the strategic goal of maintaining a competitive and reliable international ocean 

transportation supply system, the FMC developed two strategic objectives. 

Objective 1.1: Ensure no unreasonable increases in transportation costs or decreases in 

transportation service are attributed to anticompetitive practices under FMC-filed 

agreements.

Objective 1.2: Ensure competition is preserved in the purchase of certain covered services 

(46 U.S.C. § 40102(5)) through 46 U.S.C. § 40307 authorities.

Strategic Objective 1.1: Ensure no unreasonable increases in transportation costs or

decreases in transportation service are attributed to anticompetitive practices under FMCfiled agreements.

Under the Shipping Act, vessel-operating common carriers (VOCCs) and marine terminal 

operators (MTOs) establishing agreements that benefit from antitrust immunity must file their 

agreements with the FMC. Agency staff reviews proposed agreements for competitive harm 

before they can take effect. The FMC is authorized, pursuant to 46 U.S.C. § 41307(b), to seek 

appropriate injunctive relief against any agreement that is likely to result in a reduction in 

competition that could be expected to unreasonably raise transportation costs or reduce 

transportation service.
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Federal Maritime Commission FY 2022-2026 Strategic Plan

The Shipping Act and implementing regulations also authorize the FMC to require agreement 

parties to: (a) provide information needed to assess certain categories of agreements; (b) file 

certain standard types of reports — including economic data and/or minutes of meetings held 

by the agreement parties; and (c) submit special ongoing informational reports once the 

agreement becomes effective. Both the baseline and periodic monitoring reports allow the 

FMC to initially evaluate, and monitor on an ongoing basis, the conduct of the parties to VOCC 

and MTO agreements.

Strategies: 

• Review initial agreements and amendments, including additional information 

requested by the FMC, to determine the likelihood that the agreement parties could 

engage in substantially anticompetitive conduct with respect to transportation costs 

or services.

• Regularly review information provided in standard and special reporting to assess the 

existence or likelihood of substantially anticompetitive conduct or unfavorable trade

conditions.

• Apply visualization techniques and statistical tests to identify potential 

anticompetitive changes in transportation costs or services.

• Conduct research studies on current competition issues with respect to U.S. trades.

• Actively monitor foreign government-owned controlled carriers in U.S. trades and 

regularly review their pricing practices.

• Obtain information via inquiries and/or complaints about conduct or conditions that 

impede the efficient movement of cargo.

• Encourage and support stakeholder-developed, market-driven solutions to systemic 

supply chain inefficiencies by sponsoring opportunities for collaboration across a 

diverse group of industry stakeholders.

• Ensure competitive conditions in the U.S. foreign oceanborne trades by working with 

agreement parties on an informal basis to negotiate changes in agreements that raise 

competitive concerns.

• Preserve competition and reliability in ocean transportation by seeking appropriate 

injunctive relief for agreements likely to produce an unreasonable reduction in 

transportation service or an unreasonable increase in transportation cost.
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Federal Maritime Commission FY 2022-2026 Strategic Plan

• Address disruptions in the ocean transportation marketplace by investigating

violations of the Shipping Act.

• Take action under the FSPA to address adverse conditions affecting U.S. carriers in the 

U.S. oceanborne trades when such conditions do not exist for foreign carriers or other

entities providing maritime or maritime-related services in the United States.

• Create rules and regulations pursuant to the 1920 Act to address conditions that are 

unfavorable to shipping in the foreign trade.

• Ensure timely action on formal proceedings.

• Maintain an electronic agreement library on the FMC’s website to provide

transparent, real-time public access to agreements.

Five-Year Performance Measures

Performance Measure: Percentage of newly filed vessel sharing agreements and 

amendments to agreements analyzed and presented to the Commission within 32 

days.

Validation: This outcome goal is measured using data from the eAgreements 

electronic filing system and tracking the time elapsed between the agreement 

submission and review. 

Performance Measure: Percentage of agreement monitoring reports reviewed within 

30 days of receipt to detect actionable information, including market-distorting 

behavior.

Validation: This outcome goal is measured using data contained in the eMonitoring 

system used for the electronic filing of agreement monitoring submissions.

Performance is measured by comparing the file receipt date to the date that the filing 

was reviewed by staff analyst. 

Strategic Objective 1.2: Ensure competition is preserved in the purchase of certain 

covered services (46 U.S.C. § 40102(5)) through 46 U.S.C. § 40307 authorities.

The LoBiondo Act modified the legal standard in the Shipping Act of 1984 for enjoining 

agreements. The Commission may now enjoin agreements that are likely “to substantially 

lessen competition in the purchasing of certain covered services.” 46 U.S.C. § 40307(b)(1). The 

LoBiondo Act also established a requirement that the Commission include in its annual report 

to Congress an analysis of the competitive impact of ocean carrier alliance purchases of 

“certain covered services” and a “summary of actions, including corrective actions, taken by 

the Commission, to promote such competition.” 46 U.S.C. § 306(b)(6).
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Federal Maritime Commission FY 2022-2026 Strategic Plan

Strategies

• Produce an annual report analysis of agreements that permit jointly negotiated 

ocean carrier purchases of terminal services for anticompetitive outcomes.

• Encourage agreement parties to remove provisions that permit jointly negotiated 

purchases.

• Develop alternative periodic reporting requirements for parties to agreements that 

permit jointly negotiated purchases of certain covered services to evaluate the 

extent of utilization and potential anticompetitive effects.

Five-Year Performance Measure

Performance measure: Percentage of alternative agreement reports indicating joint 

contracting/procurement of covered services analyzed and escalated to regular 

monitoring status within 30 days of receipt to ensure systematic analysis of data for 

actionable information.

Validation: This outcome goal is measured using regulated entities’ data. Performance 

is measured by reviewing information received and identifying whether reports 

indicating covered services are moved from this system to the eMonitoring system 

within 30 days.

Strategic Goal 2 – Protect the public from unlawful, unfair, and deceptive ocean 

transportation practices.

The FMC has responsibilities related to protecting the shipping public from financial harm that 

may be caused by the commercial activities of regulated entities. The FMC licenses ocean 

transportation intermediaries serving the U.S. trades; certifies that passenger vessel operators 

meet the required financial responsibility levels for death, injury, or nonperformance; assists

the public with resolving informal complaints related to the shipment of goods or to passenger 

vessel cruises; identifies and prosecutes unreasonable or unjust practices by VOCCs, OTIs, or 

MTOs; and investigates formal, private-party complaints or FMC-initiated proceedings alleging 

Shipping Act violations. 

To achieve its strategic goal of protecting the public from unlawful, unfair, and deceptive 

ocean transportation practices, the FMC developed four objectives. 

Objective 2.1: Identify and take action to end unlawful, unfair, and deceptive practices.

Objective 2.2: Prevent public harm through licensing and financial responsibility 

requirements.
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Federal Maritime Commission FY 2022-2026 Strategic Plan

Objective 2.3: Enhance public awareness of agency resources, remedies, and regulatory 

requirements through education and outreach.

Objective 2.4: Impartially and timely resolve international shipping disputes through 

alternative dispute resolution and adjudication.

Objective 2.1: Identify and take action to end unlawful, unfair, and deceptive 

practices. 

The FMC is responsible for ensuring that regulated entities, including individual VOCCs and 

MTOs, as well as those permitted by agreement to act in concert, treat shippers and other 

members of the shipping public fairly by not engaging in prohibited acts set out in the Shipping 

Act. In the effort to identify prohibited acts, the FMC maintains a visible presence among

regulated entities, collects intelligence and analyzes trade data, and exchanges intelligence 

with other regulatory and law enforcement agencies. 

The Commission’s focus on ending unlawful, unfair, and deceptive practices is multifaceted. To 

ensure compliance with laws and regulations under the jurisdiction of the FMC, various formal 

enforcement and informal compliance actions may be taken by the Commission. Formal 

proceedings may be initiated to investigate and prosecute Shipping Act violations. The 

Commission often enters settlement agreements to informally resolve and correct prohibited 

activities.

The Commission’s work strengthens protections for shippers and ensures compliance with the 

Shipping Act. Through Fact Finding Investigations, the Commission uses its authority to 

address challenges facing shippers and the industry through facilitating discussions and 

solutions among stakeholders. The FMC has established a National Shipper Advisory 

Committee that will advise the FMC on policies related to the competitiveness, reliability, 

integrity, and fairness of the international ocean freight delivery system.

In July 2021, the FMC established an audit program and dedicated team to assess carrier 

compliance with the Shipping Act and the FMC’s detention and demurrage interpretive rule. 

By analyzing the practices of the top carriers by market share and working with carriers to 

address their application of the rules and clarify ambiguities, the FMC will protect shippers 

from unfair disadvantages. 

Additionally, the FMC has identified this objective as a possible area for future equity review. A

new measure for Objective 2.1 will track the percentage of businesses that received shipping 

licenses after being identified as unlicensed shippers and then brought into compliance 

through FMC licensing assistance, as opposed to enforcement actions. The FMC will monitor 

any trends coming from this area and may determine that demographic information is needed 

to ensure equitable outcomes in the future.
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Federal Maritime Commission FY 2022-2026 Strategic Plan

Strategies

• Investigate and respond to allegations of Shipping Act violations.

• Prosecute alleged violations of the Shipping Act through formal proceedings.

• Enter into voluntary settlement agreements with alleged violators through informal 

procedures to terminate unlawful activities and bring about compliance with 

requirements of the law or regulations.

• Engage and audit ocean carriers and advise of any required corrective action and/or 

best practices.

• Initiate Fact Finding Investigations to address industry conditions impacting Shipping 

Act and regulatory compliance. 

• Engage with National Shipper Advisory Committee members on international ocean 

freight delivery system. 

• Review tariffs and authorized alternative pricing mechanisms to ensure compliance 

with the Shipping Act and Commission regulations.

• Enter into voluntary settlement agreements with alleged violators through informal 

procedures to terminate unlawful activities and bring about compliance with 

requirements of the law or regulations.

• Gather intelligence through visible and accessible presence in the regulated 

community to identify unlicensed OTIs and other violations including monitoring OTI

advertising to identify potential illegal activity.

• Identify subjects who offer, advertise, or provide passage on passenger vessels having 

berths or staterooms to accommodate 50 or more passengers and have not met FMC 

financial requirements.

• Exchange information and liaise with other federal, state, and local investigative and 

regulatory agencies and bureaus.

Five-Year Performance Measures

Performance Measure: Percentage of enforcement actions taken under the Shipping 

Act successfully resolved through compliance audits, judgments, settlements, 

compromise agreements, or issuance of default judgments, that are favorable to the 

FMC’s enforcement program.

Validation: This outcome goal is measured by examining enforcement case inventory 

and counting the number of cases resolved. 

Performance Measure: Percentage of contacted unlicensed OTIs that submit license 

applications within one year after pre-enforcement contact and education from an 

area representative.
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Federal Maritime Commission FY 2022-2026 Strategic Plan

Validation: This outcome goal is measured by correlating prior fiscal year area 

representatives’ approved pre-enforcement case inventories with the current fiscal 

year data and notices on the status of ocean transportation intermediary licenses. This 

data is collected and maintained by the Bureau of Certification and Licensing on the 

Regulated Persons Index and the list of FMC Licensed & Bonded OTIs. 

Objective 2.2: Prevent public harm through licensing and financial responsibility 

requirements. 

The FMC licenses and regulates ocean transportation intermediaries, including ocean freight 

forwarders and non-vessel-operating common carriers (NVOCCs), and ensures that OTIs have 

the required financial responsibility. The FMC also issues certificates to owners and operators 

of passenger vessels that have evidenced financial responsibility to satisfy liability incurred for 

nonperformance of voyages and for death or injury to passengers and other persons.

Strategies

• License OTIs with the requisite character, experience, and financialresponsibility.

• Process OTI license and registration triennial updates (renewals) to ensure OTIs 

continue to maintain the financial responsibility and experience required to perform 

OTI activities. 

• Issue Passenger Vessel Operator (PVO) certificates to cruise line operators that have 

met regulatory requirements for proof of financial responsibility.

• Monitor PVO unearned passenger revenue (UPR) reports and conduct on-site review 

of PVO UPR receipts.

• Periodically review and assess the need to update OTI bonds and coverage amount.

Five-Year Performance Measures

Performance Measure: Percentage of decisions on completed OTI license applications 

rendered within 60 calendar days of receipt, facilitating lawful operation of OTIs with 

appropriate character and experience requirements.

Validation: This outcome goal is measured by comparing the total number of OTI 

applications assigned to an analyst (X) and the number of applications completed by an 

analyst on or before the 60th calendar day following assignment (Y) during a specific 

time period. The outcome goal is calculated as (Y / X) x 100 = %.

Performance Measure: Percentage of license renewals completed on or prior to the 3-

year renewal deadlines to timely verify regulatory compliance.
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Federal Maritime Commission FY 2022-2026 Strategic Plan

Validation: The Completion Status Report, generated in the license renewal system, 

provides the total number of renewals completed (X) and the number of renewals 

completed on or before the renewal deadline (Y) during a specific time period.

The outcome goal is calculated as (Y / X) x 100 = %.

Performance Measure: Percentage of PVOs examined during the year that have the 

full financial coverage required by regulation to protect against loss from 

nonperformance or casualty.

Validation: This outcome goal is measured by comparing reported financial coverage 

amounts against required coverage amounts. Operators covered by this program file 

semi-annual, monthly, and weekly unearned passenger revenue reports. This 

information is used to compare reported coverage against required coverage amounts.

Objective 2.3: Enhance public awareness of agency resources, remedies, and 

regulatory requirements through education and outreach. 

Protection of the public requires educating regulated entities and industry stakeholders 

about their responsibilities under the Shipping Act and Commission regulations. The FMC 

must inform the shipping public of agency services and the remedies available in the event 

of non-compliance, injury, or unresolved disputes.

This area is identified as a possible area for future equity consideration. The Commission will 

review website and other resources to ensure plain language and accessibility. In 

consideration of limited English proficiency communities, the agency continues to seek staff 

with multiple language capabilities for certain vacant positions. The FMC will also consider 

issuing Public Service Announcements (PSAs) to targeted communities and continue to post 

Advisory Notices to the website in English and other languages as appropriate when specific 

issues arise. The FMC will consider issuing PSAs on online publications or social media when 

specific Shipping Act-related issues arise in underserved communities. 

Strategies

• Use plain language and consider accessibility on the FMC’s website and in other 

resources. 

• Make available to the public all documents filed or issued in formal proceedings 

through the Commission’s website.

• Publish news releases and compromise agreements reached under informal 

penalty procedures on the Commission’s website.

• Leverage the Commission’s website and social media presence to educate the 
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Federal Maritime Commission FY 2022-2026 Strategic Plan

public regarding events affecting the shipping or cruise industry, industry trends, 

challenges, and risks associated with using unlicensed companies (including 

companies whose licenses have been revoked and may still be conducting 

business).

• Promote general awareness of resources available through Commission’s website.

• Maintain an accessible presence in local regulated communities.

• Proactively educate regulated entities on regulatory requirements.

• Educate regulated entities and the shipping public about dispute resolution services 

available through CADRS.

• Publish VOCC and NVOCC tariff location information on the agency website.

• Emphasize OTI requirements to new licensees.

• Promote awareness of FMC-licensing and financial requirements.

• Continuously expand and update information available to the public through

the Commission’s website and other online offerings (e.g., webinars, social 

media).

• Employ additional strategies and external partnerships to amplify outreach 

initiatives (e.g., National Moving Month with trade associations; popular 

vacation times for cruising with AARP, AAA; and National Consumer Protection 

Week).

• Consider issuing Public Service Announcements (PSAs) targeting community 

locations and continue to post Advisory Notices to communities on the 

website in English and other languages as appropriate when specific issues

arise.

• Consider using PSAs on publications online or social media when specific 

Shipping Act-related issues arise in underserved communities.

• Seek language capabilities for certain vacant positions to better communicate 

with communities with limited English proficiency.

Five -Year Performance Measure

Performance Measure: Percentage of Commission issuances, orders, and reports 

available through the Commission’s website within 5 working days of receipt.

Validation: This outcome goal is measured by reviewing the workflow processes for 

posting documents to the Commission’s website docket activity logs. The date that 

each docket activity log is updated with new filings or issuances is compared to the 

date the document is filed with or issued by the Commission in a particular proceeding. 
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Federal Maritime Commission FY 2022-2026 Strategic Plan

Objective 2.4: Impartially and timely resolve international shipping disputes through 

alternative dispute resolution and adjudication. 

The Commission has several means by which the public, shippers, or regulated entities may 

resolve a problem with an ocean shipment. The Commission provides direct assistance 

through its Office of Consumer Affairs and Dispute Resolution Services. When parties are able 

to reach a compromise, this assistance has the potential to save supply chain participants and 

the FMC significant time and resources. 

In addition to alternative dispute resolution (ADR), the Shipping Act authorizes formal 

complaints alleging Shipping Act violations to be filed with the FMC for formal adjudicatory 

hearings by an FMC administrative law judge. Commission procedures also authorize informal 

dockets, similar to small claims matters in local courts, to adjudicate allegations of Shipping 

Act violations where the compensation sought is under $50,000. These cases are decided by 

Settlement Officers in the Office of the Administrative Law Judge. In all adjudications, parties 

are encouraged to utilize and may request FMC sponsored ADR at any time during a 

proceeding. 

Strategies

• Provide and promote ADR services to resolve commercial cargo, passenger vessel, 

household goods, and other disputes related to the FMC’s authority and mission.

• Offer ADR services to parties seeking formal complaints as a more efficient and costeffective method to resolve disputes. 

• Conduct mediation conferences to explore the use of mediation to resolve formal 

complaints filed with the Commission pursuant to 46 CFR § 502.64.

• Adjudicate and issue Special Docket Application decisions within 90 days of receipt.

• Adjudicate disputes under the jurisdiction of the agency through an FMC 

administrative law judge, with the possibility of appeal to the Commission, use of 

settlement officers, and through arbitration.

• Conduct Commission proceedings so that litigants and the shipping industry can adjust 

behavior accordingly to maintain regulatory compliance.

• Develop and streamline internal business processes and databases to reduce intake 

and processing time for resolving shipping disputes.

Five -Year Performance Measures

Performance Measure: Percentage of dispute resolution matters closed within 6 

months of request for assistance.

Validation: This outcome goal is measured using data maintained by the Commission 
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Federal Maritime Commission FY 2022-2026 Strategic Plan

on each dispute resolution matter opened. Cases are opened upon the request of the 

public for assistance and are subject to the normal fluctuations in businesses and 

consumers seeking help from the Commission. Cases are closed upon resolution, 

voluntary termination by the parties, refusal to participate or failure to respond by a 

party, or when the CADRS mediator determines that particular issues prevent the 

possibility for successful resolution.

Performance Measure: Percentage of formal complaints or Commission-initiated 

orders of investigation completed within 2 years of filing or Commission initiation.

Validation: This outcome goal is measured by using docket activity logs maintained by 

the Commission and used for docket management, and monthly and annual reporting 

purposes. 

Stewardship Objective – Advance the FMC’s performance through excellence in 

organizational management.

The FMC recognizes the critical importance of providing effective, performance-oriented 

management and ensuring that all resources allocated to its mission are wisely employed. The 

Commission’s stewardship objective and sub-objectives have been created to measure agency 

administration in supporting the FMC’s mission. 

The Commission’s ability to carry out its mission and serve its customers depends on having a 

well-trained, highly-skilled, and flexible workforce. The FMC is committed to the principles of 

diversity, equity, inclusion, and accessibility, and the implementation of policies and objectives 

to enhance the Commission’s workforce. The Commission’s Office of Equal Employment 

Opportunity, along with senior leaders and the Diversity and Inclusion Council, effectively 

carries out this commitment.

Stewardship Sub-objective 1: Strengthen infrastructure and effective resource 

management. 

S.1.1 Manage risks and continue mission essential operations.

S.1.2 FMC’s financial management systems and practices demonstrate fiscal 

responsibility and proper accounting. 

S.1.3 Information Technology is optimized and IT systems are protected.

S.1.4 Maintain the Commission’s cloud-based website to allow industry access to 

FMC resources and applications. 
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Federal Maritime Commission FY 2022-2026 Strategic Plan

Strategies

• Maintain updated Continuity of Operations (COOP) program, COOP Plan and Disaster 

Recovery Plan, and training and exercises for staff and emergency response team. 

• Implement enterprise risk management practices, including updating the FMC’s 

annual Risk Profile and providing risk management training to proactively manage 

risks to the agency and the completion of its mission. The FMC uses evidence-based 

decision making to manage its risks and develop appropriate internal controls. 

• Promote economy and efficiency by detecting waste, fraud, and abuse in the agency’s 

programs via auditing agency operations.

• Execute financial management policies and programs; manage agency appropriations;

administer internal control systems for agency funds, travel, and cash management;

and coordinate with contractors who provide accounting and payroll services.

• Use technology and IT expertise to streamline and automate the agency’s work 

processes and enhance the productivity and efficiency of the workforce, as well as 

maintain accessibility of FMC website, applications, and resources. 

• Secure FMC IT systems to protect against cybersecurity threats. 

• Provide clear and timely guidance to staff regarding administrative matters, including 

procurement, personnel, and contracting issues.

• Ensure program compliance with rules and regulations regarding such areas as forms 

clearance, Paperwork Reduction Act, Small Business Paperwork Relief Act, and other 

federally required reports and submissions.

Five-Year Performance Measures

S.1.1 Manage risks and continue mission essential operations. 

Performance Measure: COOP activities, including annual training, notification 

exercises, and an annual COOP exercise are conducted throughout the year 

consistent with the FMC COOP Plan.

Validation: Complete and document all activities between July 1 and June 30. 

Sources include annual training materials, sign-in sheets/confirmation emails,

and after-action reports. 

S.1.2 FMC’s financial management systems and practices demonstrate fiscal 

responsibility and proper accounting. 

Performance Measure: Achieve an unmodified (clean) opinion from the 

independent auditor on the Commission’s fiscal year’s end financial statements. 

(Data: Office of the Inspector General Independent Auditor’s Report.) 
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Federal Maritime Commission FY 2022-2026 Strategic Plan

Validation: This outcome goal is an unmodified (clean) opinion by the Office of 

the Inspector General based on the findings from the independent auditor’s 

review of the FMC’s annual financial statements and internal controls over 

financial reporting. Each year, the independent auditor reviews approximately 

75 processes, documents, procedures, checklists, transaction types, and reports 

that are all considered in the overall assessment. 

S.1.3 Information technology is optimized and IT systems are protected.

Performance Measure: Percentage of overall cybersecurity compliance with 

mandates that are issued.

Validation: This objective is measured through the report card from the 

Cybersecurity and Infrastructure Security Agency (CISA).

S.1.4 Maintain the Commission’s cloud-based website to allow industry access to 

FMC resources and applications. 

Performance Measure: FMC website uptime percentage.

Validation: This objective is measured through the Commission’s Azure server 

uptime report.

Stewardship Sub-objective 2: Foster a high performing, engaged, and diverse 

workforce where staff understand how their efforts contribute to the goals of the 

Commission.

S.2.1 Management promotes a culture that is open, diverse, inclusive, and 

engaged.

S.2.2 Management promotes a results-oriented performance culture. 

Strategies

• Identify and alleviate current and future skills gaps by fostering human resources 

management principles, including recruitment and placement, position classification 

and pay administration, occupational safety and health, employee assistance, 

employee relations, workforce discipline, performance management and incentive 

awards, employee benefits, career transition, retirement, employee development and 

training, executive resources, personnel security, and equal employment opportunity.

• Assess and promote the benefits of diversity, equity, inclusion, and accessibility for 

Federal performance and operations and barriers to achieving these goals. 
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Federal Maritime Commission FY 2022-2026 Strategic Plan

• Collect and use employee feedback provided during employee exit interviews. The 

information obtained in employee exit survey responses provides valuable 

information to support the agency’s efforts to sustain a diverse and inclusive 

workforce by analyzing employee retention and turnover. The survey also 

supplements the FEVS responses provided by the workforce to ensure the FMC is 

attuned to different employee perspectives.

Five -Year Performance Measures

S.2.1 Management promotes a culture that is open, diverse, inclusive, and engaged.

Performance Measure: Benchmarking EEI index is above the average for small 

agencies; no more than 10% drop from the prior year.

Validation: Annual employee responses from the Federal Employee Viewpoint 

Survey (FEVS).

S.2.2 Management promotes a results-oriented performance culture. 

Performance Measure: Benchmarking FEVS results tied to a results-oriented 

performance culture. 

Validation: Annual employee responses from the FEVS.

Performance Measure: Percent of staff with the majority of (3 or more 

expectations per performance element) performance goals rated as meeting 

the characteristics of a specific, measurable, achievable, realistic, and timely

(SMART) goal. Targets are for non-SES/non-supervisory staff. SES and 

supervisor targets will exceed listed staff targets. 

Validation: Review of performance plans each performance year.
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Federal Maritime Commission FY 2022-2026 Strategic Plan

Equity 

As an independent agency, the Commission supports the Administration’s efforts to promote 

equity and remove barriers from underserved populations as provided in Executive Order 

13985, Advancing Racial Equity and Support for Underserved Communities Through the Federal 

Government, and OMB Memo M-21-17. The FMC voluntarily conducted initial equity 

assessments of programs and services directed at the public, specifically reviewing its public 

access to information, as well as its licensing program. These areas both have opportunities for 

the FMC to consider in ensuring that the Commission is accessible to underserved groups. For 

more information on how the FMC may consider equity among groups served by FMC-licensed 

OTIs through Objective 2.1, see page 9. For more information on equitable access to FMC’s 

public information in Objective 2.3, see page 12. 

The FMC is also voluntarily participating in efforts to address potential diversity, equity, 

inclusion, and accessibility issues in its workforce as directed in Executive Order 14035,

Diversity, Equity, Inclusion and Accessibility in the Federal Workforce. For more information on 

the FMC’s Stewardship Objective S.2.1 - promoting a culture that is open, diverse, inclusive,

and engaged see pages 17-18.

Program Evaluation and Evidence

The FMC maintains a steady focus on meeting the Commission’s mission and goals, and in 

ensuring that the Commission’s efforts are responsive to changing industry practices and 

circumstances. The FMC periodically reviews all program areas in light of identified 

performance measures, recognizing that measures and strategies may need to be modified to 

better meet the strategic goals. 

The Commission continuously seeks ways to make compliance with its statutory and 

regulatory requirements less burdensome and more cost effective for shippers, VOCCs, and 

OTIs. The Commission does this by evaluating evidence collected, both qualitatively and, when 

applicable, quantitatively, to improve its rules or policies to benefit the American public. 
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Federal Maritime Commission FY 2022-2026 Strategic Plan

External Factors

The FMC is a small agency that has established considerable in-house expertise in the legal, 

economic, and organizational aspects of international liner shipping, the intermodal 

movement of ocean cargo, and the cruise line business operating from the United States. That 

expertise allows the FMC to effectively pursue its goals of maintaining a competitive and 

reliable international ocean transportation system, and protecting the public from unlawful, 

unfair, and deceptive practices efficiently at a very modest cost to the taxpayer and with a 

minimum regulatory burden on the shipping industry.

The FMC has considered external factors and, to the extent possible, has factored those into 

this Plan. The industry has recently experienced challenges due in part to the COVID-19 

pandemic, and the FMC has responded with efforts – both rulemakings and investigatory 

actions – to support the industry, maintain competition, and protect the public. These actions 

will continue in the years ahead as conditions continue to develop.

Congressional and stakeholder interest in the Shipping Act and FMC authorities could result in 

changes to the Commission’s statutory authorities. If changed, the FMC will act with 

appropriate regulatory changes and consider revision to the goals and/or objectives in this 

Strategic Plan.
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Federal Maritime Commission FY 2022-2026 Strategic Plan

Appendix A: Summary of Performance Measures by Strategic Goals and Objectives

Summary of Strategic Goals, Objectives, and Performance Measures 

STRATEGIC GOAL 1: Maintain a competitive and reliable international ocean transportation supply system.

OBJECTIVE 1.1: Ensure no unreasonable increases in transportation costs or decreases in transportation service are 

attributed to anticompetitive practices under FMC-filed agreements.

Performance Measure: Percentage of newly filed vessel 

sharing agreements and amendments to agreements 

analyzed and presented to the Commission within 32 days.

Validation: This outcome goal is measured using data from 

the eAgreements electronic filing system and tracking the 

time elapsed between the agreement submission and 

review.

2022 

Target

2023 

Target

2024 

Target

2025 

Target

2026 

Target

85% 85% 85% 85% 86%

FY 2022 Actual: TBD

Performance Measure: Percentage of agreement 

monitoring reports reviewed within 30 days of receipt to 

detect actionable information, including market-distorting 

behavior.

Validation: This outcome goal is measured using data 

contained in the eMonitoring system used for the electronic 

filing of agreement monitoring submissions. Performance is 

measured by comparing the file receipt date to the date that 

the filing was reviewed by staff analyst. 

2022 

Target

2023 

Target

2024 

Target

2025 

Target

2026 

Target

80% 80% 80% 80% 80%

FY 2022 Actual: TBD

OBJECTIVE 1.2: Ensure competition is preserved in the purchase of certain covered services (46 U.S.C. § 40102(5)) through 

46 U.S.C. § 40307 authorities.

Performance Measure: Percentage of alternative agreement 

reports indicating joint contracting/procurement of covered 

services analyzed and escalated to regular monitoring status 

within 30 days of receipt to ensure systematic analysis of 

data for actionable information.

Validation: This outcome goal is measured using regulated 

entities’ data. Performance is measured by reviewing 

information received and identifying whether reports 

indicating covered services are moved from this system to 

the eMonitoring system within 30 days.

2022 

Target

2023 

Target

2024 

Target

2025 

Target

2026 

Target

>95% >98% >98% >98% >98%

FY 2022 Actual: TBD
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Federal Maritime Commission FY 2022-2026 Strategic Plan

Summary of Strategic Goals, Objectives, and Performance Measures - Continued

STRATEGIC GOAL 2: Protect the public from unlawful, unfair, and deceptive ocean transportation practices.

OBJECTIVE 2.1: Identify and take action to end unlawful, unfair, and deceptive practices.

Performance Measure: Percentage of enforcement actions taken 

under the Shipping Act successfully resolved through compliance 

audits, judgments, settlements, compromise agreements, or 

issuance of default judgments, that are favorable to the FMC’s 

enforcement program.

Validation: This outcome goal is measured by examining 

enforcement case inventory and counting the number of cases 

resolved. 

2022 

Target

2023 

Target

2024 

Target

2025 

Target

2026 

Target

77.5% 77.5% 77.5% 77.5% 77.5%

FY 2022 Actual: TBD

Performance Measure: Percentage of contacted unlicensed OTIs 

that submit license applications within one year after preenforcement contact and education from an area representative.

Validation: This outcome goal is measured by correlating prior 

fiscal year area representatives’ approved pre-enforcement case 

inventories with the current fiscal year data and notices on the 

status of Ocean Transportation Intermediary licenses. This data is 

collected and maintained by the Bureau of Certification and 

Licensing on the Regulated Persons Index and the list of FMC 

Licensed & Bonded OTIs. 

2022 

Target

2023 

Target

2024 

Target

2025 

Target

2026 

Target

10% 15% 15% 20% 25%

FY 2022 Actual: TBD

OBJECTIVE 2.2: Prevent public harm through licensing and financial responsibility requirements.

Performance Measure: Percentage of decisions on completed 

OTI license applications rendered within 60 calendar days of 

receipt, facilitating lawful operation of OTIs with appropriate 

character and experience requirements.

Validation: This outcome goal is measured by comparing the 

total number of OTI applications assigned to an analyst (X) and 

the number of applications completed by an analyst on or before 

the 60th calendar day following assignment (Y) during a specific 

time period. The outcome goal is calculated as (Y / X) x 100 = %.

2022 

Target

2023 

Target

2024 

Target

2025 

Target

2026 

Target

75% 75% 75% 75% 75%

FY 2022 Actual: TBD
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Federal Maritime Commission FY 2022-2026 Strategic Plan

Summary of Strategic Goals, Objectives, and Performance Measures - Continued

Performance Measure: Percentage of PVOs examined during the 

year that have the full financial coverage required by regulation to 

protect against loss from nonperformance or casualty.

Validation: This outcome goal is measured by comparing 

reported financial coverage amounts against required coverage 

amounts. Operators covered by this program file semi-annual, 

monthly, and weekly unearned passenger revenue reports. This 

information is used to compare reported coverage against 

required coverage amounts.

2022 

Target

2023 

Target

2024 

Target

2025 

Target

2026 

Target

95% 95% 95% 95% 95%

FY 2022 Actual: TBD

OBJECTIVE 2.3: Enhance public awareness of agency resources, remedies, and regulatory requirements through education 

and outreach.

Performance Measure: Percentage of Commission issuances, 

orders, and reports available through the Commission’s website 

within 5 working days of receipt.

Validation: This outcome goal is measured by reviewing the 

workflow processes for posting documents to the Commission’s 

website docket activity logs. The date that each docket activity log 

is updated with new filings or issuances is compared to the date 

the document is filed with or issued by the Commission in a 

particular proceeding. 

2022 

Target

2023 

Target

2024 

Target

2025 

Target

2026 

Target

90% 90% 92% 92% 92%

FY 2022 Actual: TBD

OBJECTIVE 2.2 (CONTINUED): Prevent public harm through licensing and financial responsibility requirements.

Performance Measure: Percentage of license renewals completed 

on or prior to the 3-year renewal deadlines to timely verify 

regulatory compliance.

Validation: The Completion Status Report, generated in the 

license renewal system, provides the total number of renewals 

completed (X) and the number of renewals completed on or 

before the renewal deadline (Y) during a specific time period. The 

outcome goal is calculated as (Y / X) x 100 = %.

2022 

Target

2023 

Target 

2024 

Target

2025 

Target

2026 

Target

75% 75% 75% 75% 75%

FY 2022 Actual: TBD
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Federal Maritime Commission FY 2022-2026 Strategic Plan

Summary of Strategic Goals, Objectives, and Performance Measures - Continued

OBJECTIVE 2.4: Impartially and timely resolve international shipping disputes through alternative dispute resolution and 

adjudication.

Performance Measure: Percentage of dispute resolution 

matters closed within 6 months of request for assistance.

Validation: This outcome goal is measured using data 

maintained by the Commission on each dispute resolution 

matter opened. Cases are opened upon the request of the 

public for assistance and are subject to the normal fluctuations 

in businesses and consumers seeking help from the 

Commission. Cases are closed upon resolution, voluntary 

termination by the parties, refusal to participate or failure to 

respond by a party, or when the CADRS mediator determines 

that particular issues prevent the possibility for successful 

resolution.

2022 

Target

2023 

Target 

2024 

Target

2025 

Target

2026 

Target

67% 70% 73% 75% 80%

FY 2022 Actual: TBD

Performance Measure: Percentage of formal complaints or 

Commission-initiated orders of investigation completed within 

2 years of filing or Commission initiation.

Validation: This outcome goal is measured by using docket 

activity logs maintained by the Commission and used for docket 

management, and monthly and annual reporting purposes. 

2022 

Target

2023 

Target 

2024 

Target

2025 

Target

2026 

Target

72% 72% 72% 72% 72%

FY 2022 Actual: TBD
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Federal Maritime Commission FY 2022-2026 Strategic Plan

Summary of Stewardships Objectives and Performance Measures

Stewardship Objective: Advance the FMC’s performance through excellence in organizational management.

Stewardship Sub-objective 1: Strengthen infrastructure and effective resource management. 

S.1.1. Manage risks and continue mission essential operations.

Performance Measure: COOP activities, including annual 

training, notification exercises, and an annual COOP exercise 

are conducted throughout the year consistent with the FMC 

COOP Plan.

Validation: Complete and document all activities between 

July 1 and June 30. Sources include annual training materials, 

sign-in sheets/confirmation emails, and after-action reports.

2022 

Target

2023 

Target

2024 

Target

2025 

Target

2026 

Target

100% 100% 100% 100% 100%

FY 2022 Actual: TBD

S.1.2. FMC’s financial management systems and practices demonstrate fiscal responsibility and proper accounting. 

Performance Measure: Achieve an unmodified (clean) 

opinion from the independent auditor on the Commission’s 

fiscal year’s end financial statements. (Data: Office of the

Inspector General Independent Auditor’s Report.) 

Validation: This outcome goal is an unmodified (clean) 

opinion by the Office of the Inspector General based on 

findings from the independent auditor’s review of the FMC’s 

annual financial statements and internal controls over 

financial reporting. Each year, the independent auditor 

reviews approximately 75 processes, documents, 

procedures, checklists, transaction types, and reports that 

are all considered in the overall assessment.

2022 

Target

2023 

Target

2024 

Target

2025 

Target

2026 

Target

100% 100% 100% 100% 100%

FY 2022 Actual: TBD

S.1.3. Information technology is optimized and IT systems are protected.

Performance Measure: Percentage of overall cybersecurity 

compliance with mandates that are issued.

Validation: This objective is measured through the report 

card from the Cybersecurity and Infrastructure Security 

Agency (CISA).

2022 

Target

2023 

Target

2024 

Target

2025 

Target

2026 

Target

100% 100% 100% 100% 100%

FY 2022 Actual: TBD
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Federal Maritime Commission FY 2022-2026 Strategic Plan

Stewardship Sub-objective 2: Foster a high performing, engaged, and diverse workforce where staff understand how 

their efforts contribute to the goals of the Commission.

S.2.1. Management promotes a culture that is open, diverse, inclusive, and engaged.

Performance Measure: Benchmarking EEI index is above 

the average for small agencies; no more than 10% drop 

from the prior year.

Validation: Annual employee responses from the Federal 

Employee Viewpoint Survey (FEVS).

2022 

Target

2023 

Target

2024 

Target

2025 

Target

2026 

Target

>-10% >-10% >-10% >-10% >-10%

FY 2022 Actual: TBD

S.2.2. Management promotes a results-oriented performance culture.

Performance Measure: Benchmarking FEVS results tied

to a results-oriented performance culture.

Validation: Annual employee responses from the FEVS. 

2022 

Target

2023 

Target

2024 

Target

2025 

Target

2026 

Target

>75% >75% >75% >75% >75% 

FY 2022 Actual: TBD

Performance Measure: Percent of staff with the majority 

of (3 or more expectations per performance element) 

performance goals rated as meeting the characteristics of 

a specific, measurable, achievable, realistic, and timely

(SMART) goal. Targets are for non-SES/non-supervisory

staff. SES and supervisor targets will exceed listed staff 

targets. 

Validation: Review of performance plans each 

performance year.

2022 

Target

2023 

Target

2024 

Target

2025 

Target

2026 

Target

25% >50% >98% >99% >99%

FY 2022 Actual: TBD

Summary of Stewardship Objectives and Performance Measures - Continued

Stewardship Sub-objective 1 (continued): Strengthen infrastructure and effective resource management. 

S.1.4. Maintain the Commission’s cloud-based website to allow industry access to FMC resources and applications. 

Performance Measure: FMC website uptime percentage.

Validation: This objective is measured through the 

Commission’s Azure server uptime report.

2022 

Target

2023 

Target

2024 

Target

2025 

Target

2026 

Target

99.5% 99.5% 99.5% 99.5% 99.5%

FY 2022 Actual: TBD
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Federal Maritime Commission FY 2022-2026 Strategic Plan

Appendix B: Organization Chart and Commission Bureaus and Offices

The FMC is composed of five Commissioners nominated by the President and confirmed by the 

Senate, each serving a staggered five-year term. The Commission is a bipartisan body; no more 

than three members of the Commission may be of the same political party. One 

Commissioner, designated by the President, serves as Chairman, Chief Executive, and Chief 

Administrative Officer of the Commission.
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Federal Maritime Commission FY 2022-2026 Strategic Plan

FMC Bureaus and Offices

The Commission’s staff includes economists, attorneys, and experts in ocean transportation 

and government administration. In addition to the Commissioner’s offices, the staff of the 

FMC is organized into 10 bureaus and offices. 

The Bureau of Certification and Licensing 

(BCL) protects the public from financial harm 

through its OTI licensing, registration, and 

renewal program. BCL also protects the 

public by requiring Passenger Vessel 

Operators (PVOs) to maintain adequate 

financial coverage to reimburse cruise 

cancellations or to cover liability in the event 

of death or injury at sea. 

The Bureau of Enforcement (BOE) is the 

prosecutorial arm of the Commission. 

Bureau attorneys serve as trial counsel in 

formal proceedings and protect the shipping 

public by working closely with the 

Commission’s area representatives in 

investigations of potential violations of the 

Shipping Act and Commission regulations. 

BOE negotiates settlements and informal 

compromises of civil penalties and may act 

as investigative officers in formal fact-finding 

investigations.

The Bureau of Trade Analysis (BTA) analyzes 

and monitors the concerted activities of 

VOCCs and MTOs to detect and guard 

against possible anticompetitive abuse of 

authority contained in filed agreements 

under the Shipping Act that could result in 

substantial increases in transportation costs 

or decreases in transportation services; and 

to identify and address other prohibited 

activities. BTA also reviews and analyzes 

service contracts, monitors rates of foreign, 

government-owned controlled carriers; and 

reviews carrier-published tariff systems 

under the accessibility and accuracy

standards of the Shipping Act. 

The Office of the Administrative Law Judges 

(OALJ) resolves cases of alleged violations of 

the Shipping Act and other laws within the 

Commission’s jurisdiction. Through trial-type 

hearings and the issuance of an initial 

decision, the OALJ ensures that the rights of 

all parties are preserved.

The Office of Consumer Affairs and Dispute 

Resolution Services (CADRS) aids shippers, 

OTIs, cruise operators and passengers, 

truckers, MTOs, and VOCCs by providing 

alternative dispute resolution services, 

ombuds assistance, mediation, facilitation, 

and arbitration to resolve disputes involving 

cargo shipments, household goods 

shipments, and cruises.

The Office of Equal Employment Opportunity 

(OEEO) advises and assists the Commission 

in carrying out its responsibilities relative to 

Titles VI and VII of the Civil Rights Act of 

1964 (as amended), other laws, executive 

orders, and regulatory guidelines 

implementing affirmative employment, and 

the processing of EEO complaints. The 

agency’s Diversity and Inclusion Council falls 

under the OEEO. 
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Federal Maritime Commission FY 2022-2026 Strategic Plan

The Office of the General Counsel (OGC)

provides sound and timely legal services to 

the Commission and staff as it fulfills 

responsibilities that include: preparing final 

decisions, orders and regulations for 

Commission approval and issuance; 

representing the Commission in litigation 

before the courts; providing technical and 

policy assistance to other government 

agencies engaged in international 

negotiations or discussions on shipping 

matters; and providing legal opinions to the 

Commission, its staff, and the general public 

in appropriate instances. OGC also oversees 

the Commission’s international affairs 

activities.

The Office of the Inspector General (OIG) is 

an independent and objective oversight 

office created within the FMC by the 

Inspector’s General Act of 1978 (as 

amended) to conduct and supervise audits, 

inspections, and investigations relating to 

FMC programs; detect and prevent waste, 

fraud, and abuse; promote economy, 

efficiency, and effectiveness; review existing 

and proposed legislation and regulations; 

keep the Chairman, Commissioners, and 

Congress fully informed of serious problems 

and deficiencies and recommend corrective 

actions; and report violations of law to the 

U.S. Attorney General.

The Office of the Managing Director (OMD) is 

responsible for implementing the 

administrative directives of the Chairman, 

the management and coordination of 

Commission bureaus, and overseeing the 

agency’s area representatives located in six 

major port areas nationwide. It has direct 

oversight of the administrative offices of the 

Commission, which include the offices of 

Budget and Finance, Human Resources, 

Information, and Management Services.

The Office of the Secretary (OS) serves as the 

office through which all filings are made in 

Commission proceedings, notices of 

proceedings are given, and from which all 

official actions are issued by the 

Commission. OS prepares and maintains 

agenda matters and actions taken by the 

Commission; maintains official files and 

records of formal proceedings; ensures 

compliance with Freedom of Information, 

Government in the Sunshine, and Privacy 

Acts; responds to information requests from 

the public; issues publications and 

authenticates instruments and documents of 

the Commission; maintains a public 

reference/law library and a docket library; 

and oversees the organization and content 

of the Commission’s website.
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800 N Capitol St., NW, Washington, D.C. 20573