Federal Maritime Commission

FMC Information Resources Management

Strategic Plan

Fiscal Years 2014-2018 

March 2014
Contents

I. BACKGROUND ..............................................................................................................................1

II. FMC MISSION AND STRATEGIES ..............................................................................................1

III. MISSION OF OIT ............................................................................................................................2

IV. STRUCTURE OF PLAN..................................................................................................................3

V. FACTORS WHICH COULD AFFECT GOAL ACHIEVEMENT..................................................4

Government-wide Initiatives and OMB Directives............................................................4

Fiscal Austerity...................................................................................................................4

Current FMC IT Infrastructure ...........................................................................................4

Key Assumptions and Constraints......................................................................................5

Organizational.....................................................................................................................5

Economic ............................................................................................................................5

Technical.............................................................................................................................6

VI. IRM GOALS.....................................................................................................................................6

Goal 1: Current and Emerging Technology.......................................................................6

Goal 2: Program Area IT Services & Support...................................................................6

Goal 3: IT Security Posture................................................................................................7

Goal 4: Federal Government Mandates.............................................................................7

Goal 5: Telework Enhancements.......................................................................................7

VII. FY 2014-2018 IRM TECHNOLOGY INITIATIVES......................................................................8

Network Infrastructure and IT Operations Modernization .................................................8

FMC Enterprise Content Management Platform................................................................8

IT Disaster Recovery Plan ..................................................................................................8

End User Systems and Support...........................................................................................9

Service Contracts Filing System (SERVCON)...................................................................9

Consumer Affairs and Dispute Resolution Services Database (CADRS DB)....................9

OTI Licensing and Registration System.............................................................................9

Common Carrier and MTO Registration System (FMC1) .................................................9
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FEDERAL MARITIME COMMISSION

INFORMATION RESOURCES MANAGEMNT

FIVE-YEAR PLAN

I. BACKGROUND

The Paperwork Reduction Act of 1995 (PRA) and Office of Management and Budget (OMB) Circular A130, Management of Federal Information Resources, require the Federal Maritime Commission (FMC or 

Commission) to develop and annually revise a five-year plan (Plan) for meeting information technology 

(IT) needs. The Clinger-Cohen Act (CCA) requires agencies to acquire IT in the most efficient and costeffective manner.

Based on these and other requirements, this Information Resources Management (IRM) Plan details the 

FMC IT vision and initiatives and sets forth a plan to carry out those initiatives. The Plan provides a 

basis for addressing agency-wide needs, as well as individual bureau and office needs. The Plan is linked 

to its parent document, the agency’s 2014-2018 Strategic Plan, and has been integrated within the 

agency’s policy and decision-making processes to ensure it aligns with the FMC’s mission and strategic 

objectives.

The Plan also has been coordinated in compliance with the Commission’s Automated Information 

Security Program (Commission Order 56). Commission Order 56 directs that access to data resources 

and services be limited to authorized personnel, and that the value of the agency’s data not be diminished 

due to misuse of agency-owned or -issued technology. 

Over the next few years, enterprise content management (ECM) tools, low-cost cloud services (LCS), 

enterprise social media networking technologies, mobile enterprise applications for smartphones and 

media tablets, big data analytics, and cyber security standards will become synonymous with rapid change 

of information technology. These technologies represent a profoundly different way in which 

government agencies, at all levels, and their IT departments will relate to the public and to each other. 

These trends and events are changing the nature of IT services and support, and will challenge 

government to determine what its role should be and how to further the promise of new technological 

innovations in service to our citizens.

FMC recognizes the speed at which these technological advancements are occurring and realizes the 

importance of addressing this challenge. The Commission understands that information technology is 

critical to reaching its strategic goals. Nearly every activity relies on technology to disseminate 

information and collect data. To meet this challenge, FMC plans to update its systems and procedures to 

keep pace with these changes. 

II. FMC MISSION AND STRATEGIES

The FMC is an independent agency responsible for the regulation of oceanborne transportation in the 

foreign commerce of the United States for the benefit of U.S. exporters, importers, and the U.S. 

consumer.

The Commission carries out its regulatory responsibilities by conducting informal and formal 

investigations. It holds hearings, considers evidence, renders decisions, and issues appropriate orders and 
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regulations. The Commission also adjudicates and mediates disputes involving regulated entities, the 

shipping public, and other affected individuals or interest groups.

The Commission is composed of five Commissioners appointed by the President with the advice and 

consent of the Senate. Commissioners serve five-year, staggered terms, and no more than three members 

of the Commission may belong to the same political party. The President designates one of the 

Commissioners to serve as Chairman. The Chairman is the chief executive and administrative officer of 

the agency.

The FMC's mission and strategic goals are defined in the Commission's 2014-2018 Strategic Plan. The 

Agency's mission is "to foster a fair, efficient and reliable international ocean transportation system and to 

protect the public from unfair and deceptive practices.” The following two strategic goals enable the 

FMC to accomplish that mission: 

• Maintain an efficient and competitive international ocean transportation system.

• Protect the shipping public from unlawful, unfair and deceptive ocean transportation practices 

and resolve shipping disputes.

III. MISSION OF OIT

The OIT mission is to provide management, technical, and administrative support to the program 

operations of the Commission through IRM, IT acquisitions, technologies and applications support, 

computer network infrastructure support, IT strategic planning and governance, web services support,

documents and records management, and cyber security. In this regard, OIT plans to: (1) explore and 

support current and emerging technologies to take advantage of new and existing capabilities, such as 

ECM and LCS technology to “innovate with less” while improving the agency’s return on its IT 

investments; (2) leverage IT acquisitions to limit the impact of reduced funding; (3) support the 

Commission in effecting government initiatives such as the E-Government Act of 2002, the Government 

Paperwork Elimination Act (GPEA), the Federal Information Security Act of 2002 (FISMA), Section 508 

of the Rehabilitation Act Amendments (Section 508); and (4) provide expert technical and administrative 

advice and support to the Commission on the acquisition and use of information technologies and 

services. 

The Commission’s priorities include the implementation of upgraded applications and computer systems, 

and consolidating/eliminating redundant business and workflow applications and systems. The OIT vision 

is to be a catalyst for change in delivering the most appropriate technology solutions and service to 

effectuate and enhance agency mission accomplishment.

FMC’s key IT program investment and acquisition activities include upgrading and deployment of the 

Commission’s IT infrastructure (datacenter equipment, network, IT security, etc.), commodity IT (email, 

audio/video, computers, etc.), and the next generation applications and systems including: Internet 

Service Contract Filing (SERVCON) application, Form FMC-18 (FMC-18) Ocean Transportation 

Intermediary Application Licensing System, Form FMC-1 (FMC-1), FMC Online Agreements Library,

Passenger Vessels Operators Certificates Database (PVO Database), and Case Management System 

(ECM) platforms. Within each initiative, there are specific deliverables constituting and implementing 

the Commission’s IT strategy.
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The following chart sets forth the overall structure of the plan.

IV. STRUCTURE OF PLAN

FMC’s Strategic Plan - Mission

To foster a fair, efficient and reliable international ocean transportation system and to protect the public from unfair and deceptive practices.

FMC’s Strategic Plan - Goals

Goal 1: Maintain an efficient and competitive international 

ocean transportation system.

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

transportation practices and resolve shipping disputes.

Current Environment

Government-wide 

Initiatives & OMB 

Directives

Technology Trends Fiscal Austerity Security Threats Current FMC IT 

Infrastructure

Other Assumptions 

& Constraints

FMC IRM Mission

To provide IT leadership and governance that enables FMC to operate efficiently, effectively, and securely through the use of IT solutions and 

services.

FMC IRM Vision

To be a catalyst for change in delivering the most appropriate technology solutions and service that directly enhances agency mission 

accomplishment.

FMC IRM Strategies

EFFICIENT AND RELIABLE 

BUSINESS SYSTEMS

SAFE AND SECURE 

IT ENVIRONMENT

PROACTIVE 

ENTERPRISE 

PLANNING

ASSURED AGENCY 

IT BEST PRACTICES

SHARED SERVICES 

STRATEGY

Service Contracts Disaster Recovery Plan IRM Strategic Plan IT Infrastructure 

Library Shared First Culture

Agreements IT Security Protocols Enterprise 

Architecture Lifecycle Management Begin with Commodity IT

OTI Licenses IT Infrastructure Capital Planning Change Management Identify Providers & Delivery 

Modes

Compliance/Enforcement Security, privacy and 

data protection Process Improvement Performance Monitoring

Technical Guidance/Data 

Collection

Dispute/Compliant Resolution IT Regulatory 

compliance

Data Interpretation 

and Analysis

Responsiveness with 

IT Efficiency

FMC IRM Goals

Current & Emerging 

Technology

Program Area IT Services & 

Support IT Security Posture Federal Government Mandates

Telework 

Enhancements

FMC IRM Technology Initiatives

Network Infrastructure and IT 

Operations Modernization

FMC Enterprise Content Management 

Platform IT Disaster Recovery End User Systems and Support

Service Contracts Filing System 

(SERVCON)

Consumer Affairs and Dispute 

Resolution Services Database 

(CADRS DB)

OTI Licensing and 

Registration System

(FMC-18)

Common Carrier and MTO

Registration System (FMC-1)
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V. FACTORS WHICH COULD AFFECT GOAL ACHIEVEMENT 

This plan looks at the following six key areas of the environment in which the FMC operates: 

Government-wide Initiatives and OMB Directives; Technology Trends; Fiscal Austerity; Security 

Threats; Current FMC Infrastructure; and Key Assumptions and Constraints. 

Government-wide Initiatives and OMB Directives

All Federal agencies are required to meet the information technology requirements mandated by 

Congress. FMC faces the challenge of implementing these regulations, including GPRA, CCA, FISMA, 

and E-Government. FMC must be able to measure the performance of its IT investments, consistent with 

the GPRA and CCA. The CCA requires that business processes be streamlined, redesigned, or eliminated 

prior to investing in information technology to support them. The directive is focused on business 

process improvement.

The FMC will address this challenge through its strategic IT governance processes. The agency will 

evaluate proposed project business cases and use a performance-based portfolio management system to 

evaluate investment alternatives, determine feasibility, and track performance metrics of individual IT 

projects. 

When appropriate, Program/Project Working Groups will be initiated in order to promote collaboration, 

create standards, resolve possible issues, and provide continuous improvement. Enterprise Architecture 

will be used as the roadmap to realign and re-engineer technology and processes to best meet the needs of 

citizens, other agencies, businesses, and Federal employees.

Fiscal Austerity

The imposition of sequestration on the agency during the latter half of FY 2013 curtailed the IT 

investment portfolio. There were understandable efforts to save money in holding agency furlough days 

to a minimum. It is anticipated that a reduced budget appropriation will continue into FY 2014 and 

ensuing years.

It is clear that all branches of government are focused on deficit reduction. Yet key funding challenges 

for the FMC include OMB-mandated initiatives to transition to the Internet Protocol Version 6 (IPv6), 

FISMA compliance, and annual Life Cycle Management of IT components. 

The agency also faces funding challenges in modernizing the FMC’s IT architecture by implementing an 

Enterprise Platform solution, LCS, electronic payment systems and upgrades to the Service Contracts 

application.

Current FMC IT Infrastructure

Agency-wide: FMC headquarters and regional offices have desktop and laptop computers linked to the 

Commission’s Local Area Network (LAN), which interconnects computers for the agency. The FMC uses 

Microsoft Active Directory for directory and domain services utilizing Microsoft Server 2003/2008; the 

operating systems used on the personal computers are Windows XP/Windows 7. 

Local Area Network: Software applications on the network include Microsoft Office 2007, Adobe 

Acrobat 9/10, WordPerfect Office X5, Google Chrome, Safari Firefox, Symantec Endpoint Protection, 
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Microsoft Project Professional 2007, Microsoft Visio 2003, Numara Track-it, Microsoft Internet 

Explorer, and Dell Desktop Authority Management Suite. 

Specialized programs and systems: Specialized programs and systems which support bureau and office 

operations include: Google Email and Apps for Government, Pay.gov, Laserfiche, Westlaw LexisNexis, 

BPD Bureau of the Fiscal Service ARC PRISM platform, and SERVCON. 

Network and Infrastructure: The FMC’s network runs on a 1 GB/s backbone with 1 GB/s connectivity 

to the desktop computers. Internet access is provided via a dedicated high-speed (DS3) connection at the 

headquarters. Internet access for the six Area Representative Office locations is provided through

dedicated high-speed (T1) lines at each office. 

Federal Shared Services: The agency uses interagency shared services of Bureau of Public Debt, U.S. 

Customs Service, and the Department of the Treasury Federal Financial Management System.

It is important to look at the current IT infrastructure in evaluating IT solutions for the agency at the 

present time and in the future. While some migration to the cloud has already taken place (e.g., email, 

National Finance Center for human resources), the agency is mainly in an on-premise environment with 

servers and storage residing at headquarters. Due to budget constraints over the past several years, the 

FMC IT infrastructure has taken deep cuts. The FMC is developing an Information Technology Roadmap 

along with a cost-benefit analysis between on-premise and cloud hosting for certain commodity and 

agency-unique IT resources. 

Key Assumptions and Constraints

A variety of organizational, economic, and technical assumptions and constraints have been considered in

formulating this Plan.

Organizational

Updating the business applications and infrastructure to more cost-effectively support the business 

function is the objective of every FMC IT initiative. Alignment of information technology initiatives and 

agency strategy will involve the participation of key agency decision-makers. Improved understanding of 

information technology will help FMC decision-makers identify and prioritize the service improvement 

initiatives. 

The IT management provides background information, alternatives, and recommendations to educate the 

business customers on the impacts of their initiatives and their associated risks. A partnership between the 

business units and the IT management will help two-way communications. Business units must not only 

understand that IT expenditures benefit them, but that they are also responsible for prioritization of 

initiatives across the agency. The needs of the entire organization must be considered and solutions 

developed that reflect a corporate/unified approach and execution of the agency’s mission.

Economic

Adequate budget resources are required to maintain current service levels, while meeting the additional 

challenges involved in improving planning processes, creating E-Government pilot projects, and meeting 

new and expanded Federal mandates. The FMC must have enough flexibility in its IT budget to comply 

with new requirements, to cover unforeseen costs, and to plan budgets which reflect future needs. 
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Technical

The Commission is currently breaking down its technology stovepipes. All new applications will use 

current proven technology to maximize user functionality and minimize operation maintenance costs.

VI. IRM GOALS

Goal 1: Current and Emerging Technology Support the Commission’s efforts to ensure all 

major systems and applications will benefit from 

new and emerging technologies that can be used

to better support business and workflow

processes.

OIT initiatives supporting Goal 1:

• IT infrastructure modernization; servers, storage, and network.

• Backup and Recovery infrastructure modernization with a disk-based architecture.

• Complete agency’s initiative to implement ECM technology.

• Complete agency’s initiative to integrate databases.

• Assess enterprise or volume software license agreements for operating systems and office 

automation applications.

• Implementation of Federal Shared Services Strategy as key part of the Commission’s Plan.

• Provide training for IRM staff to enhance development of IT programs for agency requirements.

Goal 2: Program Area IT Services & Support Support program and administrative bureaus and

offices in the fulfillment of their responsibilities 

by providing high-quality IT services and

support. This includes the integration and 

coordination of information technology across

functional and program lines.

OIT initiatives supporting Goal 2:

• Provide and support end-user applications and equipment.

• Provide expert technical and administrative support.

• Introduce Business Intelligence (BI) through data analysis and reporting tools for the bureaus and 

offices.

• Provide end user training in coordination with FMC Training Officer.

• Coordinate with bureaus and offices, contractors, and the industry.

• Schedule all systems of records, as appropriate.

• Obtain OMB clearances, as needed.
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Goal 3: IT Security Posture Implement enhanced security policies and

procedures to fully implement FISMA

requirements. 

The law requires each Federal agency to develop, document, and implement an agency-wide program to

provide information security for the information and information systems that support the operations and

assets of the agency, including those provided or managed by another agency, contractor, or other source.

Under FISMA, agencies must ensure the integrity, confidentiality, authenticity, availability, and nonrepudiation of information and information systems. FISMA further requires: (1) annual program 

reviews; (2) annual Inspector General (IG) evaluations; (3) agency reporting to OMB of the results of IG 

evaluations for unclassified systems and audits of IG evaluation for national security programs; 

(4) security Certification and Accreditation of Federal Information Systems; and (5) an annual OMB 

report to Congress summarizing the material received from agencies. 

OIT initiatives supporting Goal 3:

• Implement security controls in Commission information systems.

• Transition from the traditional Certification and Accreditation (C&A) into the Risk Management 

Framework (RMF)

• Compile/update current inventory of information systems.

• Implement security controls in agency information systems.

• Assess the effectiveness of baseline security controls.

• Construct Plan of Action to remediate all security issues for management/OMB.

• Assess agency systems security status and compile reports to management/OMB.

• Continue Commission-wide survey and security assessments of information systems.

• Monitor the security controls on a continuous basis.

Goal 4: Federal Government Mandates To further position the Commission to be able to

engage in E-Government and E-Commerce. 

OIT initiatives supporting Goal 4:

• Improve Commission policy, procedures and specifications for managing documents and records 

to meet with National Archives and Records Administration (NARA) requirements.

• Migrate all documents and record collection deemed suitable for conversion to NARA-compliant 

electronic storage.

• Provide employees with training to operate in an electronic content management environment.

• Continue to enhance Commission policy and procedures for compliance with Section 508 to 

include IT systems development, procurement, maintenance, and use of technology that meets the 

standards published by the 508 Standards Access Board.

Goal 5: Telework Enhancements To ensure that the needs of the Commission to

meet the objectives of the Telework Act of 2000 

(the Act 2000) and the Telework enhancement 

Act of 2010 (the Act 2010) are in place. 

Implement the requirements of Section 359 of Public Law No. 106-346, which requires agencies to 

establish a policy by which eligible employees may participate in teleworking so long as their
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performance is not diminished. The Public Law’s primary aim is to reduce traffic congestion and 

improve the environment; improve employee morale and commitment; improve productivity and quality 

of work; help hire and retain employees; and enable employees to better arrange their use of leave. The 

Act 2010 expands upon and strengthens the Federal government’s commitment to the telework program. 

OIT initiatives supporting Goal 5:

• Ensure that sufficient inventory of laptops, tablets and mobile equipment exists.

• Provide expertise to solve application/laptop/tablet/equipment problems.

• Provide reliable user-friendly remote access to all FMC systems.

• Implement a defined Bring Your Own Device (BYOD) policy.

• Provide clear, defined IT policy and processes for support of telework.

VII. FY 2014-2018 IRM TECHNOLOGY INITIATIVES

This section describes major initiatives planned or underway. Also listed are examples of specific 

activities supporting the FMC’s major information system initiatives. 

Network Infrastructure and IT Operations Modernization

This investment represents the FMC’s system servers, including hardware and software operations, 

licenses, maintenance, backup, continuity of operations, disaster recovery, virtualization, and data center 

renewal to support all Commission technology. The project and related ongoing upgrades makes available 

the IT platform from which mission-critical software applications are supported.

FMC Enterprise Content Management Platform

This project will improve FMC’s outdated and disparate database architecture with a central Database 

Management System (DBMS) to support all agency ECM requirements. The DBMS will serve as a 

central database and document repository to replace FMC’s legacy database system and paper document 

repositories with a digital repository. The digital repository will be available on-line to FMC staff, and 

where possible, the public, and will provide enterprise search tools, and document and workflow 

management tools designed to reduce the need for the agency to produce paper documents. 

The system will also make available services and functions to support the FMC’s core mission by 

providing a database to support the new SharePoint 2013 application for records and document 

management, business workflow, business intelligence, and internal and external web portal needs. This 

project includes the replacement of existing legacy databases and the integration of new relational 

database technology for data warehouse and big data analytics. This new DBMS will support 

Commission business transactions, web portal, records and document management technology and 

automated workflows implemented for the entirety of agency applications and systems. 

IT Disaster Recovery Plan 

The information technology disaster recovery plan (DR) will be developed in conjunction with the agency 

continuity of operations plan (COOP). The DR strategy will cover Commission IT systems, applications 

and data (network, servers, desktop, laptops, and data and connectivity requirements). Priorities for IT 

recovery will be consistent with the priorities for recovery outlined in the COOP.
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End User Systems and Support

This investment provides the day-to-day end user products, services, and support for FMC employees at 

Headquarters and Area Representative Offices. This provides the basic automated IT tools and technical 

support needed by FMC staff to complete agency mission. This investment provides support services for 

IT assets such as, but not limited to: end-user hardware (desktops, laptops); peripherals (local and shared 

printers, etc.); software (operating systems, office automation suites, anti-virus software); 

telecommunications and network services; and OIT Service desk software. 

Service Contracts Filing System (SERVCON)

This investment represents the replacement of the FMC’s service contracts filling system (SERVCON). 

This replacement will integrate legacy and external systems with the agency’s new DBMS to provide 

service contracts and NVO service arrangements submission, enterprise data warehouse reporting, and 

business intelligence analysis processing functions, as well as appropriate public access. The anticipated 

benefit of the investment includes delivering a new service contracts filing system which will support 

submissions in a more productive, reliable and secure manner. 

Consumer Affairs and Dispute Resolution Services Database (CADRS DB)

This investment represents the replacement of the FMC’s consumer affairs and dispute resolution services

activities database application. This replacement will provide a case management solution and integrate

as appropriate with the agency’s new DBMS. This application will provide FMC staff with web portal 

access to CADRS submissions, reporting and data analysis tools and processing functions and, as 

appropriate, public access to dispute resolution information.

OTI Licensing and Registration System

This investment represents the completion of the next generation Automated Application for an Ocean 

Transportation Intermediary License System. This project will develop an OTI certification and licensing 

case management application that provides a fully integrated online, paperless interface to conduct OTI 

licensing to facilitate electronic processing and registration activities that are under the Bureau of 

Certification and Licensing (BCL), and replaces both the Regulated Persons Index (RPI) and the current 

FMC-18 application process. This will integrate internal and external OTI-related services and business 

processes, and provides a case management system that supports licensing transactions and fees payment 

processing in a more productive, reliable manner for current and new licensing applicants. This system 

will expand the Commission’s existing E-government platform to include all internal program offices 

permitting, licensing, registrations, and docket activities. 

Common Carrier and MTO Registration System (FMC-1)

This investment represents the replacement of the Common Carrier and MTO Registration System (FMC1). This new Form FMC-1 application will permit shippers and other members of the public to obtain 

reliable and more secure access to tariff information via current web portal technology.