FEDERAL MARITIME COMMISSION

 

 

FINAL ANNUAL PERFORMANCE PLAN 

FOR FY 2006

February 2005
LIST OF ACRONYMS 

1984 Act Shipping Act of 1984 

ADR Alternative Dispute Resolution 

BOE Bureau of Enforcement 

BTA Bureau of Trade Analysis 

CIO Chief Information Officer 

ET Essential Terms 

FISMA Federal Information Security 

 Management Act of 2002 

FMC/Commission Federal Maritime Commission 

FTE Full Time Equivalent Employee 

FY Fiscal Year 

GPEA Government Paperwork Elimination 

Act 

GPRA Government Performance and Results 

Act 

IT Information Technology 

ITDS International Trade Data System 

MR Monitoring Report 

NVOCC Non-Vessel-Operating Common 

Carrier 

NSA NVOCC Service Arrangement 

OBFM Office of Budget and Financial 

Management 

OHR Office of Human Resources 
OIT Office of Information Technology 

OMB Office of Management and Budget 

OMS Office of Management Services 

OS Office of the Secretary 

OSRA Ocean Shipping Reform Act of 1998 

OTI Ocean Transportation Intermediary 

PVO Passenger Vessel Operator 

SC Service Contract 

SDLC Systems Development Life Cycle 

SES Senior Executive Service 

SERVCON Service Contract Filing System 

SOP Standard Operating Procedure 

VOCC Vessel-Operating Common Carrier
INTRODUCTION

This document comprises the FMC=s Final Annual Performance Plan for FY 2006. 

This plan is closely linked to the agency=s Strategic Plan and it sets forth objective 

performance goals and narrow, measurable performance indicators so as to facilitate 

implementation and assessment of performance. 

For FY 2006, we have continued the modified approach for our annual planning first 

implemented with our Revised Final Plan for FY 2005. Agency performance goals 

now are tied directly to our Strategic Goals instead of our budget program activities. 

This has resulted in the development of broader performance goals better suited to 

the achievement of agency-wide objectives, as opposed to more narrowly focused 

goals tailored to the responsibilities of individual units. It also facilitates our aim of 

utilizing a more inclusive, collaborative approach in conducting our ongoing 

activities, which we believe both enhances decision-making and improves ultimate 

results. Addressing our performance goals in this fashion also has enabled us to link 

planning, budgeting and performance more effectively. 

Our Plan for FY 2006 focuses on refining the agency=s business practices, 

specifically on revising and updating internal procedures in line with the amendment 

of Commission regulations. Several performance goals were developed to facilitate 

the use and dissemination of filed material in order to improve analysis of required 

filings and responsiveness to inquiries, and to implement procedural changes to 

enhance the effectiveness of agency operations. 

Our FY 2006 Plan also broadens our efforts to implement the President=s 

Management Agenda initiative to expand electronic government. Several 

performance goals were formulated to improve the management of information by 

more effective use of available technologies. We plan to streamline and simplify the 

delivery of services and information to regulated entities, other government agencies 

and the public, as well as automate agency systems and enhance the use of agency 

databases, which will allow staff to discharge program responsibilities more 

effectively. 

The Commission=s Annual Performance Plan comports with the overall objectives of 

GPRA while maintaining flexibility in its presentation and application. The majority 

of Commission activities are statute-driven and our goals essentially are based upon 

legislative mandates which are clear and direct. Significant alteration of our existing 

programs is not possible, given that many measures and goals are required by statute. 

 

Accordingly, OMB agreed that the Commission should use an appropriately scaled 

mechanism for GPRA process and development with a framework which would be 

productive, yet less resource-intensive. Nonetheless, our Plan presents relevant 
2 

information clearly and concisely, and strives to be as detailed as necessary while 

avoiding minutiae. 

Our Plan sets forth the mission statement and general goals from our Strategic Plan, 

as a point of reference for the reader. As aforementioned, we have prepared 

performance goals for the agency in line with each of the agency=s Strategic Goals. 

Each performance goal has been stated as a narrow, measurable objective. For each 

performance goal, we have identified the related Ameans to achieve@ from the 

Strategic Plan, the intended outcomes, appropriate performance indicators, the 

processes and resources required to accomplish it, and the means for 

measuring/evaluating performance. To ensure a clear understanding of the Plan=s 

contents, set forth below are definitions of basic terms used. We relied on OMB=s 

published guidance for these definitions, and have included parenthetically our 

interpretation of their practical application. 

Performance Goal - A target level of performance; a measurable objective (a 

specific, proposed performance action). 

Related Strategic Goals/Outcomes/Means - A specific action identified in the 

agency=s Strategic Plan as one means of achieving a particular Strategic Goal 

(actions to accomplish Strategic Goals). 

Outcome - Intended result or consequence of carrying out the activity (the projected 

effect or what is hoped to be achieved). 

Performance Indicator - A value or characteristic for measuring results (the 

quantifier or qualifier of performance). 

Process/Activity - The processes, skills, or resources that are required to effectively 

accomplish a performance goal (what is needed to achieve the goal). 

Performance Measure/Evaluation - The means used to verify and validate measured 

values (methods used for assessing if programs achieved objectives, or, the specific 

means to measure if outcomes were realized). 

The Commission used its existing consultation process in developing this Plan. We 

have kept key Congressional Committees apprised of our efforts, and have responded 

to any inquiries. We continued our ad hoc meetings and visits with all sectors of the 

industry to discuss the state of U.S. ocean shipping and the FMC=s oversight 

responsibilities. In coordination with the various sectors of the maritime industry, 

we are holding periodic briefings by industry experts designed to provide 

Commission staff with valuable information on industry services, operations, 

business practices, and regulatory concerns. And we plan to initiate the second phase 

of our seminar series, where agency staff travel to various locations to exchange 
3 

information and discuss relevant issues with the industry and the shipping public. 

The opinions and comments we received via these various efforts have assisted us in 

developing our performance goals and implementing approaches. 

 

In line with OMB guidance, the Commission has reflected the resources needed to 

accomplish its performance goals. We have provided an FTE and funding figure for 

each Strategic Goal, which reflects what we believe will be required to accomplish 

the performance goals and Asteady state@ functions under each respective Strategic 

Goal. Accordingly, all Commission resources are accounted for in this Plan, i.e., the 

figures under each Strategic Goal, when summed, reflect the full FTE and funding 

levels of the President=s budget for the FMC for FY 2006. 

The Commission will post this Performance Plan on its Internet website to ensure 

that it is readily accessible to interested parties, and will advise all employees to take 

the time to review it. Additionally, all employee performance plans are required to 

comport with the agency=s Strategic and Annual Performance Plans, and contain 

specific elements and standards with a clear explanation of what is expected of the 

employee in support of the agency achieving its goals. This process in turn has the 

effect of directly furthering the Administration=s initiative on strategic human capital 

management. Performance of managers and staff is evaluated in part on how they 

achieve the objectives in this plan. 
4 

FMC VISION AND MISSION

The FMC=s vision is: 

Fairness and Efficiency in U.S. Maritime Commerce. 

To achieve its vision, the FMC=s mission is to: 

$ Develop and administer policies and regulations that foster 

a fair, efficient and secure maritime transportation system; 

$ Protect U.S. maritime commerce from unfair foreign trade 

practices and market-distorting activities. 

$ Facilitate compliance with U.S. shipping statutes through 

outreach and oversight. 

$ Assist in resolving disputes.

OSRA and the events of September 11, 2001, have significantly changed the manner 

in which the business of ocean shipping is being conducted. The industry continues 

to restructure its operations to adapt to dynamic economic conditions, emerging 

trends, and maritime security efforts. International trade remains dependent upon an 

efficient ocean transportation system. Therefore, it is imperative for the FMC to 

ensure that its oversight activities produce a competitive trading environment in U.S. 

ocean commerce that is in harmony with and responsive to international shipping 

practices, and permits fair and open commerce. We must focus our energies and 

efforts on this mission, and assure that the agency is organized and managed in a 

manner best suited to accomplish it with a minimum of government intervention and 

regulatory cost. Effective use of emerging information technologies will facilitate 

our efforts. Our actions also must encourage the development of a sound U.S.-flag 

liner fleet. Accordingly, the FMC has established the following five strategic goals 

to carry out its statutory mandates. 
5 

FMC STRATEGIC GOALS

1. Efficient Regulatory Process: Provide a timely, efficient and decisive 

regulatory process, including alternative dispute resolution, to enable all 

segments of the industry to operate more effectively, with a minimum of 

regulatory costs. 

2. Compliance: Promote efficiency and fairness in U.S. foreign waterborne 

commerce through various means, including outreach and monitoring, to 

protect the public and assist stakeholders in achieving compliance with ocean 

transportation statutes administered by the FMC.

3. Balanced Enforcement: Foster economic efficiencies, reliance on 

marketplace factors and maritime security by administering U.S. shipping 

statutes in a balanced and equitable manner to redress excessive 

anticompetitive actions and other unlawful activities. 

4. Technological Efficiencies: Employ technological enhancements to improve 

efficiency and to facilitate the exchange of information. 

5. Management Capabilities: Ensure the FMC has the appropriate 

organizational framework and management systems to carry out its statutory 

mandates. 

 
6 

 LINKAGE BETWEEN MISSION STATEMENT 

AND STRATEGIC GOALS

Our strategic goals address essential FMC statutory, programmatic, and management 

responsibilities. They were developed with a specific focus on accomplishing the 

basic purposes of our mission and attaining the competitive, nondiscriminatory 

shipping environment envisioned by the 1984 Act, as amended by OSRA. 

The primary intention of Strategic Goal 1 is to minimize regulatory costs by 

maintaining timely and decisive regulatory processes, and providing various dispute 

resolution services. This will render the FMC more effective in addressing matters 

that perpetuate discrimination or preclude industry efficiency, while reducing the 

costs of pursuing matters before the Commission. Decisive action and effective 

assistance in resolving informal complaints or disputes will help to remove 

uncertainties as to statutory interpretations or the application of FMC rules. Such 

uncertainties may impede operational efficiencies or technological changes, each of 

which can foster a more economical ocean shipping system. 

Our second strategic goal centers on achieving compliance with the substantive 

provisions of the shipping statutes the FMC administers, and protecting those 

involved in U.S. ocean commerce from unfair practices. We will address this goal 

particularly by interacting with all sectors of the industry, and by vigilant monitoring 

of ongoing commercial activities. Accomplishing this goal should minimize the 

unjust discrimination and undue preference or prejudice that precludes certain 

shipping interests from obtaining rates or service levels that can render their 

businesses more economic and efficient. Increasing industry compliance should 

enable stakeholders to concentrate on fair and legal means of enhancing operational 

efficiency, secure in the knowledge that competitors are not engaging in widespread 

illegal actions aimed at improving short-term profits. The agency=s focus on the 

qualifications of intermediaries operating in the U.S. trades will afford greater 

protection to our stakeholders and contribute to national maritime security. And 

cruise passengers also will be protected through the demonstration of financial 

responsibility by passenger vessel operators. 

Strategic Goal 3 is designed to foster economic efficiencies, assist maritime security 

initiatives, promote reliance on marketplace factors, and redress excessive 

anticompetitive practices harmful to international commerce. This is a direct link to 

our mission statement=s call for an efficient, secure, competitive, market-driven 

ocean transportation system. Our continuing efforts to address the actions of foreign 

governments that adversely affect U.S. interests and our foreign trade comport with 

that aspect of our mission aimed at creating an environment Afree of unfair foreign 
7 

maritime trade practices.@ Our focus on commercial malpractices enhances our 

objective of limiting unlawful activities. 

We also have a specific strategic goal that focuses on making effective use of 

advancements in IT to improve the efficiency of our operations and enhance our 

exchange of information with external parties. Carrying out the agency=s mission in 

times of budgetary limitations dictates that we appropriately utilize all available 

resources. Dynamic changes continue to be made in this area, and the Commission 

intends to take advantage of any improvement that can enable it to perform its 

functions more effectively. We hope to improve our business operations so as to add 

efficiency to the Commission=s dissemination and receipt of information. We intend 

to perform the research and analysis necessary to identify the best options for 

implementing technical enhancements to facilitate our efforts to achieve our mission. 

Finally, our fifth strategic goal addresses Commission management and operations. 

In order to achieve the objectives of our mission, we must maintain effective 

processes that enhance efficiency, without serving as ends in themselves. It is 

essential that we manage for results, and that we effectively tie our budget needs to 

our performance. This strategic goal serves as the internal underpinning that enables 

us to accomplish the policy objectives set forth in our mission statement. This goal 

also ensures continuation of a comprehensive approach to the strategic management 

of our human capital. 

Achieving these mission-driven goals will enable us to address the external factors 

we face, while assuring an equitable and efficient administration of the shipping 

statutes under our jurisdiction. Our processes and procedures will be refined or 

updated as necessary. We are committed to accomplishing our strategic goals and 

the outcome goals related to them. Therefore, specific means have been identified to 

enable the FMC to achieve these goals in the most cost-efficient and least disruptive 

manner possible. 
8 

I. STRATEGIC GOAL: Efficient Regulatory Process 

37 FTEs and $6,032,075 will be required to accomplish this goal.

2006 Steady State Activities:

$ Adjudication and resolution of complaints. 

$ Adjudication and resolution of investigatory proceedings, including fact-findings and show 

cause proceedings. 

$ Issuance of rules through the rulemaking process. 

$ Commission decision-making activities through meetings (formal and notation) that comply 

with the Government in the Sunshine Act. 

$ Public information and assistance processes such as press relations, responses to legislative and 

regulatory inquiries, and compliance with Freedom of Information Act and Privacy Act 

requirements. 

$ Other regulatory processes, including activities such as appeals of delegated authority actions, 

policy issuances, and formal petition processes. 

$ Providing timely legal counsel to the Commission in order to facilitate regulatory action that is 

consistent with statutory mandates, representing the Commission=s interest in matters before 

Congress and OMB. 

$ Reviewing and refining Commission rules to determine their economic impact and ensure that 

they reflect the current industry environment, as well as meet the needs of the Commission=s 

regulatory mandate. 

$ Compiling, organizing, and maintaining Commission records. 

$ Monitor, review and modify, as necessary, Commission regulations to address changing trade 

conditions, industry practices or statutory modifications. 
I. STRATEGIC GOAL: Efficient Regulatory Process - Continued

9 

Performance Goal Related Strategic 

Goals/Outcomes/

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/Evaluation 

1. By 9/30/06, make 

selected Opening/ 

Reply Briefs & 

Exceptions & 

Replies in docketed 

proceedings 

available to the 

public through the 

Commission=s 

website. 

Encourage use of 

electronic filing. 

-Reduce duplicating 

costs & costs 

associated with 

responding to public 

requests for copies 

of filings. 

-Provide for quicker 

access to such 

document filings. 

-Improve efficiency 

of providing 

Commission staff 

with access to 

public filings. 

-Selected Opening 

Briefs & Reply 

Briefs & Exceptions 

& Replies, if any, 

are made available 

through the website. 

-Filings & 

proceedings are 

placed on the 

homepage & are 

readily accessible in 

electronic format. 

OS requests 

litigants to submit 

filings in 

electronic form or 

scans filings 

which are 

received in hardcopy form. 

-OS reviews the 

number of briefs, 

exceptions & replies 

available to the public. 

-Assess feedback from 

external & internal 

users. 

2. By December 

2005, complete 

project for scanning 

& posting historical 

Commission 

decisions issued 

between 1989 & 

1996. 

Encourage use of 

electronic filing. 

The maritime & 

legal communities 

will have greater 

access to the 

Commission=s 

decisions, which 

provide the basis for 

its policies & 

precedent. 

Historical 

Commission 

decisions issued 

between 1989 & 

1996, when the 

Commission began 

posting its decisions 

on the web, will be 

made available 

through the website. 

-Commission 

staff will identify, 

compile & scan 

decisions/rulings 

issued between 

1989 and 1996. 

-Scanned 

documents will be 

posted on the 

Commission=s 

website. 

Assess feedback from 

external & internal 

sources. 

3. By 6/30/06, 

provide the option 

of filing carrier & 

marine terminal 

agreements online. 

 Update agreement 

content, monitoring 

rules. 

-Reduction in hour 

burden & costs on 

the public 

associated with 

filing agreements 

with the agency. 

-Quicker 

dissemination & 

availability of 

documents within 

the agency & to the 

general public. 

-Reduction in 

agency resources 

needed to handle & 

process the filing of 

paper documents. 

-Reduced agency 

costs in handling 

filing fees through 

direct deposit of 

filing fees. 

-The number of 

filings 

accomplished 

online as a 

percentage of total 

filings. 

-Availability of 

staff resources for 

other projects. 

-Industry interest in 

the possibility of 

extending a similar 

option to other 

applications. 

-Develop IT 

systems to 

accommodate the 

online submission 

of agreements & 

accompanying 

documents. 

-Have necessary 

safeguards & 

security 

protections in 

place, including 

e-signature, to 

ensure 

confidentiality of 

documents where 

required. 

-Develop filing 

procedures & 

software 

standards to be 

employed in 

conjunction with 

industry 

suggestions & 

views. 

-Feedback from the 

filing public on the 

efficacy of online 

filing. 

-Level of interest 

shown in obtaining 

copies of filings. 
10 

II. STRATEGIC GOAL: Compliance 

39 FTEs and $6,165,243 will be required to accomplish this goal.

2006 Steady State Activities:

$ Reviewing and maintaining a database of SCs between ocean common carriers and shippers, 

and using this database to guard against anticompetitive practices and other unfair prohibited 

activities under the 1984 Act. 

$ Ensuring that common carriers= rates and charges are accessible to the shipping public in 

private, electronically accessible systems. 

$ Ensuring that OTIs maintain bonds that protect the shipping public from financial losses. 

$ Providing formal and informal legal opinions and guidance to the Commission=s staff and the 

general public to ensure clarity and understanding of Commission rules and regulations. 

$ Administering the Commission=s international affairs program. 

$ Liaisoning with other agencies regarding maritime security. 

$ Reviewing operational and pricing agreements among ocean common carriers and marine 

terminals to ensure that they do not unduly restrict competition. 

$ Issuing passenger vessel certificates evidencing financial responsibility of vessel owners or 

charterers to pay judgments for personal injury or death or to repay fares for the 

nonperformance of voyage or cruise. 

$ Licensing OTIs to protect the public from unqualified, insolvent, or dishonest companies. 

$ Responding to informal complaints and informal inquiries from Congress and the public 

relating to Commission responsibilities. 

$ Acting as a liaison between the FMC and the public by responding and/or coordinating agency 

responses to public inquiries. 

$ Maintaining a specialized maritime law library for agency and public use. 

$ Conduct audit activity of regulated entities, including OTIs and VOCCs, to promote and ensure 

compliance with applicable statutes and Commission regulations. 

$ Respond to inquiries and complaints from the regulated industry and shipping public. Provide 

information, assistance and forms necessary to comply with applicable statutes and Commission 

regulations including educational seminars. 
11 

Performance Goal Related Strategic 

Goals/Outcomes/

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/Evaluation 

1. By 9/30/06, 

enhance use of SC 

and NSA data, and 

evaluate SERVCON 

system functionality.

 

Enhance 

monitoring 

program. 

-Consistent retrieval 

of accurate SC and 

NSA data. 

-Access to certain 

data in standard 

format. 

-Increase 

confidence level of 

statistics & 

SERVCON query 

results used in 

analyses for reports 

& enforcement 

actions. 

-Increase accuracy 

of SC and NSA 

information being 

filed into the 

system. 

-More user-friendly 

features for industry 

& government. 

-Better ability to 

manage data in the 

database & IT 

resources. 

-Easy access to 

efficient & useful 

data. 

-Data retrieved in 

organized manner. 

-Reduction in 

number of inquiries 

received for SC and 

NSA filing 

assistance. 

-Increased 

awareness of certain 

terms & conditions 

provided in SCs and 

NSAs. 

-Increased ability to 

keep abreast of 

issues involving 

specific SC and 

NSA activities. 

-More disk storage 

space & fewer 

indexing & other 

related problems. 

-Contact filer 

users to obtain 

relevant 

information. 

-Confer with 

government users 

for input. 

-Collect relevant 

information. 

-Prepare any 

rulemaking as 

may be needed to 

present to FMC. 

-Monitor & 

analyze terms & 

conditions in 

larger volume of 

SC and NSA 

filings. 

-Report persistent 

compliance 

problems to BOE. 

-Create, update & 

enter results of 

SC & NSA/ET 

review & analysis 

in Tariff Profile 

System, SC & 

NSA/ETs section. 

-Industry & 

government user 

feedback regarding 

ongoing efforts. 

-Overall efficiency of 

SERVCON system. 

-Periodic assessment 

& ability to determine 

compliance. 

-BTA Director 

manages ongoing staff 

efforts. 

2. Evaluate OTI rules 

& suggest changes, if 

necessary, to address 

industry & agency 

concerns. 

Enhance 

monitoring 

program. 

-Recommendations 

for up-to-date rules 

that reflect current 

industry 

environment. 

-Improved 

compliance with 

regulations. 

-Less uncertainty 

among regulated 

entities regarding 

requirements. 

-Recommendation 

to Commission. 

-Positive feedback 

from stakeholders & 

the public. 

-Discussion with 

staff & industry 

experts. 

-Internal analysis 

of rulemaking. 

-Final Commission 

determination on staff 

recommendations. 

-Assess impact of any 

proposals finalized. 
12 

III. STRATEGIC GOAL: Balanced Enforcement

15 FTEs and $2,208,948 will be required to accomplish this goal. 

2006 Steady State Activities:

$ Investigating discriminatory rates, charges, classifications, and practices of common carriers, 

terminal operators, and OTIs operating in the foreign commerce of the U.S. 

$ Representing the FMC before U.S. courts and other administrative agencies. 

$ Reviewing staff recommendations and initial decisions for legal sufficiency and preparing final 

decisions and orders. 

$ Regulating rates, charges, and rules of government-owned or -controlled carriers to ensure that 

they are just and reasonable and are not unfairly undercutting private competitors. 

$ Protecting shippers and carriers engaged in the foreign commerce of the U.S. from restrictive or 

unfair foreign laws, regulations or business practices that harm U.S. shipping interests or ocean 

trade. 

$ Prosecute formal proceedings initiated by the Commission. 

$ Monitor activities and conduct investigations of regulated entities and of SC activity to ensure 

compliance with statutes and regulations administered by the Commission. 

$ Conduct non-adjudicatory fact-finding proceedings as directed by the Commission. 

$ Provide liaison between the Commission and the shipping industry, the public and other 

governmental entities. 

$ Coordinate and cooperate with other government entities to improve homeland security by 

effective exchange of information and assistance regarding foreign ocean transportation. 

Performance Goal 

 

Related Strategic 

Goals/Outcomes/

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/Evaluation 

1. By 9/30/06, align 

BTA=s MR program 

for carrier 

agreements with the 

amended MR 

regulations in FMC 

Docket No. 03-15. 

Monitor 

competitive trade 

conditions. 

-Compliance by all 

applicable 

agreement parties 

with the 

Commission=s MR 

regulations. 

-Access to quarterly 

MR data & info for 

use by the 

Commission on 

carrier agreement 

matters, including: 

analyses of carrier 

competition in 

trades; support for 

recommendations 

on agreement 

matters; background 

information to 

address complaints, 

investigations, or 

petitions on 

agreements before 

the Commission. 

-An increased 

-Timely & accurate 

MR data & info on 

carrier agreements. 

-Reduction in the 

number of problems 

relating to 

compliance of 

agreement parties 

with the MR 

regulations. 

-Greater use of MR 

data & info on 

agreement matters 

before the 

Commission. 

-Reduction in the 

number of internal 

Commission 

inquiries for further 

info or clarification 

on agreement/ 

trade activities. 

-Increased 

Commission 

awareness of the 

-Inform all carrier 

agreements of 

their reporting 

obligations when 

final rule 

becomes 

effective. 

-On annual/as 

needed basis, 

inform all 

applicable 

agreements of 

any changes in 

their reporting 

obligations. 

-Assign all carrier 

agreements 

required to submit 

MR to BTA staff 

to review parties=

compliance w/the 

regs. Record info 

on receipt & 

compliance of 

each MR in 

-BTA Director 

manages ongoing staff 

efforts. 

-Periodically assess 

agreement parties=

compliance with the 

regulations. 

-Assess the use & 

dissemination of MR 

data & information in 

 BTA=s projects & 

analyses on agreement 

related matters, & the 

responsiveness to 

internal inquiries on 

agreements. 

-Determine whether 

MR data and info is, 

or can be, 

incorporated in other 

Commission 

programs, projects, & 

analyses. 
III. STRATEGIC GOAL: Balanced Enforcement - Continued

13 

Performance Goal 

 

Related Strategic 

Goals/Outcomes/

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/Evaluation 

understanding & 

awareness of 

economic 

conditions, 

agreement activities 

& carrier 

competition in the 

major trades. 

specific economic 

& competitive 

issues affecting 

conditions in the 

major trades. 

BTA=s database. 

Promptly inform 

agreement rep. of 

any problems 

relating to parties=

compliance w/the 

regs. When 

compliance 

problems persist 

& parties are 

uncooperative, 

forward matter to 

BOE for formal 

review. 

-Add quarterly 

MR data to latest 

Trade Profile for 

distribution to 

FMC. Post latest 

Trade Profile on 

Intranet website 

for greater access 

by FMC staff. 

-Update and 

maintain MR in 

Bureau files for 

easy access for 

use on 

agreement/trade 

matters. 

2. Participate 

effectively in ITDS 

program. 

Cooperate with 

government 

agencies for 

marine security. 

-ITDS-based trade 

data becomes 

available for BTA 

competitive 

analyses. 

-ITDS-based trade 

data becomes 

available for 

investigative & 

enforcement 

purposes. 

-Timely 

incorporation of 

ITDS trade data for 

use in BTA 

agreement reviews. 

-Integration of 

ITDS search results 

into preliminary 

reviews & in more 

comprehensive 

investigative efforts. 

-Identify 

budgetary 

impacts of ITDS 

(w/OBFM & 

BTA). 

-Identify IT 

requirements & 

implications of 

ITDS (w/OIT & 

BTA). 

-Identify security 

implications of 

ITDS 

participation. 

-Request for 

supplemental funding, 

if any, required to 

implement ITDS. 

-Commission enters 

initial agreement for 

ITDS participation. 

-Review of ITDS 

program upon roll-out 

of new ITDS modules. 
14 

IV. STRATEGIC GOAL: Technological Efficiencies 

17 FTEs and $2,422,485 will be required to accomplish this goal. 

2006 Steady State Activities:

$ Implementing a wide range of IT programs and services, including operating the agency=s local 

area network, strategic planning for short- and long-term IT initiatives, IT security, data 

telecommunications, database development and management, and Internet page development 

and maintenance to enhance productivity and efficiency. 

$ Maintaining and updating internal databases to enhance the ability of the public and 

Commission to obtain relevant program-related information and enhance staff productivity. 

$ Converting Commission records into electronic format to enable easier public access to 

information. 
IV. STRATEGIC GOAL: Technological Efficiencies - Continued

15 

Performance Goal Related Strategic 

Goals/Outcomes/

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/Evaluation 

1. Electronic 

payment of user fees. 

Use technology to 

improve agency 

work processes to 

the extent possible 

and practical. 

Existence of webbased system to 

permit electronic 

payment of user 

fees to the extent 

possible and 

practical. 

Assist stakeholders 

in submitting 

payment 

electronically. 

Development of 

technological 

tools to provide 

secure Internetbased interface 

for payment of 

user fees to the 

extent possible 

and practical. 

Lower number of 

paper checks received 

& increased usage of 

electronic payment 

system. 

2. Analyze 

information 

collections of the 

agency and update 

them as necessary to 

ensure they are 

meeting the needs of 

the users in the most 

efficient way 

possible, by being 

centralized, secure, 

and containing no 

unnecessary 

duplication. 

Automate agency 

systems. 

-Enhance efficiency 

of various business 

processes. 

-Better utilization of 

agency resources. 

-Enables broader, 

more in-depth 

analyses of relevant 

regulatory issues. 

-Information 

provided to senior 

management & 

various stakeholders 

more expediently. 

-Relevant 

information more 

readily available for 

access, 

manipulation & 

analysis. 

-Agency managers 

report broader use 

of information 

resulting in 

improved analyses 

& ability to address 

difficult issues. 

-Agency staff 

indicates increased 

effectiveness in 

accomplishing 

relevant tasks 

developing/ 

providing 

information. 

-Reductions in time 

involved in 

completing 

assignments. 

-Task Force with 

CIO, Operations, 

and 

representatives 

from Bureaus is 

formed to create 

plan. 

-Task Force 

identifies, 

documents, and 

analyzes current 

information 

systems. 

-Task Force 

conducts a user 

survey to identify 

user needs. 

-Task Force 

creates 

recommendation 

paper outlining 

short-, medium-, 

and long-term 

changes. 

-Implementation. 

-Postimplementation 

review. 

-Director of 

Operations monitors 

progress of Task 

Force. 

-Senior management 

assesses results of all 

automation efforts. 

-CIO incorporates all 

changes/refinements 

identified by senior 

management. 

3. Streamline agency 

procurement 

procedures, 

including: (1) credit 

card micro-purchases 

& (2) receiving & 

accepting of goods & 

services. 

Automate agency 

systems. 

-Complying with 

various government 

regulations, such as 

Prompt Payment 

Act & OMB 

Circular A-123, 

concerning the 

establishment & 

maintenance of 

management & 

controls. 

-Faster invoice 

processing, making 

better use of 

valuable agency 

resources. 

-Prism entries for 

receipt & 

acceptance of goods 

& services are 

captured in a timely 

& appropriate 

manner. 

-Blanket purchase 

orders are entered 

into Prism replacing 

individual Prism 

requisitions for each 

micro-purchase. 

-For micropurchasing, 

various 

bureau/offices are 

given a budget as 

reflected in a 

blanket purchase 

order. Purchases 

are made by OMS 

upon e-mail 

requests from 

various 

bureaus/offices. 

-When goods are 

delivered to the 

FMC, entries for 

receipt & 

-Various 

bureaus/offices are 

more empowered in 

micro-purchasing, 

which under the 

blanket purchase order 

approach, is 

conducted in a 

streamlined manner. 

-The receipt & 

acceptance of 

purchased items is 

tracked in a timely 

manner in the Prism 

system. 
IV. STRATEGIC GOAL: Technological Efficiencies - Continued

16 

Performance Goal Related Strategic 

Goals/Outcomes/

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/Evaluation 

acceptance are 

made into the 

Prism system. 
17 

V. STRATEGIC GOAL: Management Capabilities 

25 FTEs and $3,670,249 will be required to accomplish this goal. 

2006 Steady State Activities:

$ Executing financial management policies and programs, including developing annual budget 

justifications for submission to the Congress and OMB, managing agency appropriations, 

administering internal control systems for agency funds, travel and cash management, and 

coordinating with contractors who provide accounting and payroll services. 

$ 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, 

personnel security, and an equal employment opportunity. 

$ Ensuring the program operations of the agency are administratively supported via 

telecommunications, procurement of administrative goods and services, property management, 

space, printing and copying, mail and records services, facilities and equipment maintenance, 

and transportation. 

$ Promoting economy and efficiency in the administration of, and protecting and detecting waste, 

fraud and abuse in, the agency=s programs via auditing agency operations. 

$ Providing guidance to staff regarding administrative matters, including procurement, personnel 

and contracting issues. 

$ Ensuring program compliance with various rules and regulations regarding such areas as forms 

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

required reports and submissions. 

Performance Goal Related Strategic 

Goals/Outcomes/

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/Evaluation 

1. Simplify and 

refine the agency=s 

performance 

appraisal system so 

that expectations are 

clearly reflected, 

performance properly 

assessed via 

appropriate 

measures, and the 

system facilitates 

growth and 

development. 

Develop & 

monitor 

performance plans. 

-Any lingering 

emphases on 

processes & 

productivity are 

replaced with a 

focus on intended 

results. 

-Facilitates 

evaluations based 

on what is actually 

accomplished, as 

opposed to work 

produced. 

-Performance 

appraisal system 

serves as an 

effective tool to 

provide feedback, 

guide careers, and 

-Specific 

methods/means 

agreed to by senior 

management. 

-Consensus among 

managers & 

employees that 

performance plans 

clearly convey 

expected results & 

contain viable 

means of measuring 

performance. 

-Use of 

performance 

measures is readily 

accomplished & 

performance 

appraisal process 

-Employees fully 

engaged in 

development of 

all measures to be 

used. 

-Based on 

recommendations 

of task force 

comprised of unit 

deputies, revised 

system initiated 

early in FY06. 

-Consistent 

approach taken in 

stating goals, 

identifying 

desired outcomes, 

& specifying 

means to be used 

-Senior management 

meets to discuss 

preliminary progress 

under new system. 

-Chairman assesses 

agency progress in 

implementing new 

system. 

-Senior management 

assesses progress at 

mid-year reviews. 

-Chairman reviews 

final appraisals, and 

speaks with a crosssection of employees 

to determine success 

of new system in 

meeting objectives. 
V. STRATEGIC GOAL: Management Capabilities - Continued

18 

Performance Goal Related Strategic 

Goals/Outcomes/

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/Evaluation 

offer developmental 

advice. 

-Increased incentive 

for all agency staff 

to achieve results 

that are aligned with 

the agency=s 

mission & stated 

policy objectives. 

-Clear 

communication 

with employees & 

more candid, 

effective, equitable 

conduct of 

employee 

appraisals. 

conducted more 

effectively. 

-System facilitates 

effective feedback 

and developmental 

advice. 

to 

measure/evaluate 

results. 

-All agency 

officials ensure 

that performance 

goals & employee 

performance 

elements clearly 

specify expected 

outcomes in a 

measurable 

manner, and that 

appropriate 

feedback and 

guidance is 

provided to all 

employees. 

2. Develop strategic 

succession plan for 

agency senior 

executives & nonSES upper level 

managers. 

Anticipate future 

skill problems & 

recruit. 

-Agency will be 

prepared to fill 

leadership positions 

with trained, 

competent staff as 

vacancies occur. 

-No significant 

reduction in 

effectiveness and 

efficiency of agency 

operations upon 

departure of senior 

managers. 

-No discernible 

shortfalls in 

required employee 

skill sets. 

-Ability of agency 

to absorb expected 

attrition & meet 

current & ongoing 

mission needs. 

-Task force of 

various agency 

staff, led by OA, 

assesses situation 

and recommends 

specific actions. 

-Necessary 

development/train

ing actions 

initiated. 

-Approved succession 

plan. 

-Existence of trained, 

capable staff members 

ready to fill vacant 

leadership positions.