FEDERAL MARITIME COMMISSION

FINAL ANNUAL PERFORMANCE PLAN

FOR FY 2002

April 2001
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INTRODUCTION

This document comprises the Federal Maritime Commission’s Annual Performance

Plan for FY 2002. As set forth in the Government Performance and Results Act and

general guidelines published by OMB, the Commission has prepared a single

performance plan so as to present a comprehensive picture of performance across the

agency. This plan is closely linked to the agency’s strategic plan, although its

content is more detailed and specific as opposed to the general and long-term focus

of the strategic plan. We also have concentrated on developing objective

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

the plan’s implementation and assessment of performance.

This plan was developed with the benefit of nearly two years’ experience under the

new ocean shipping environment resulting from the Ocean Shipping Reform Act of

1998 (“OSRA”). The FMC was able to draw on the industry’s business decisions

and altered practices in response to OSRA, as well as its own operations under the

various statutory changes that became effective on May 1, 1999. The Commission

also was able to rely on the Interim Status Report it issued in June 2000 which

described recent trends in liner shipping, highlighted OSRA’s most prominent

provisions, and furnished details on various industry activities. 

Additionally, the Commission effectuated a reorganization of resources and

responsibilities in February 2000. This reorganization was implemented to enable

the Commission to more effectively accomplish its new statutory mission under

OSRA. In preparing our FY 2002 Annual Performance Plan, we have been able to

identify desired results, strategies, and measures that comport with our budgetary and

resource situations. Also, we continue to operate under the five Budget Program

Activities established under our reorganization, i.e., (1) Formal Proceedings,

(2) Operational and Administrative, (3) Consumer Complaints and Licensing,

(4) Trade Analysis, and (5) Enforcement. Resources in our FY 2002 budget are

aligned in accordance with these five Program Activities. 

Further, our FY 2002 Plan recognizes the increasing importance of automation and

the dynamic nature of the information technology industry. Continual advances in

system design and development, hardware, and software, are providing a host of

opportunities to enhance efficiency and effectiveness. We have established several

performance goals that seek to take advantage of emerging technologies, will rely on

information technology processes and strategies to achieve various goals, and intend

to automate our measuring and validation to the fullest extent possible. 

The Commission continues to tailor its annual performance plan to comport with the

overall objectives of GPRA, while maintaining flexibility in its presentation and
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application. This modified approach has been authorized by OMB since 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

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. In accordance with general OMB guidance, we

have prepared performance goals for each of the Program Activities reflected in our

budget. The strategic goals aligned with these performance goals are appropriately

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

For each performance goal, we have identified the intended outcome, the processes

and resources required to accomplish it, an appropriate performance indicator, 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. 

Budget Program Activity - The FMC’s Program Activities as listed in the program

and financing schedules of the agency budget (the agency’s major activities). 

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

specific, proposed performance action). 

Outcome - Intended result or consequence of the program 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).

Processes/Activities - 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 planning process and
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efforts, and have responded to any inquiries. We also have remained fully apprised

of the views and positions of all entities involved in the ocean shipping industry. We

currently are working on a two-year study of the impact of OSRA. In that process,

we have contacted all sectors of the ocean shipping industry to solicit input on the

key issues that need to be addressed, and to obtain their views on the impact of

OSRA. Various Commission stakeholders have offered their comments on both the

agency’s performance and appropriate objectives for the future. Their opinions have

assisted us in developing our performance goals and implementing approaches. 

 

While there is no industry consensus, it is clear that those involved in the various

sectors of U.S. ocean shipping have a full understanding of the Commission’s major

program activities, and at the same time, the Commission is fully cognizant of the

views of all parties with whom it interacts. Therefore, it was not necessary for the

Commission to embark on an extensive outreach effort when developing this plan.

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 Budget Program Activity, which reflects what we believe will be required to

accomplish the three performance goals under each respective Activity. It is

important to note that these figures, when summed, do not reflect the full FTE and

funding levels of the President’s FY 2002 budget for the Commission. Naturally, the

Commission performs significant duties beyond those reflected in our performance

goals, and also accomplishes a host of day-to-day responsibilities that do not rise to

the level of a high-profile performance goal. Those activities clearly require the

allocation of necessary resources. The portion of our FTE and funding not

specifically reflected in this plan is necessary to perform those other activities. 

The Commission has posted this performance plan on its Internet website to ensure

that it is readily accessible to interested parties, and has advised all employees to take

the time to review it. We also have modified all employee performance plans to

ensure that they comport with the agency’s Strategic and Annual Performance Plans,

and that they contain specific elements and standards aimed at achieving the

agency’s strategic and performance goals. Performance of managers and staff will

be evaluated in part on how they achieve the objectives in this plan. 
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FMC MISSION

To achieve its vision, the FMC’s mission is:

Ensure the Nation’s interests are met through an efficient,

competitive, market-driven, and nondiscriminatory ocean

transportation system that is free of unfair foreign maritime trade

practices. 

The Ocean Shipping Reform Act of 1998 (“OSRA”) is significantly changing the

manner in which the business of ocean shipping is being conducted. Additionally,

the industry continues to restructure itself while adapting to dynamic economic

conditions and emerging trends. And, 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 and nondiscriminatory

trading environment in U.S. ocean commerce that is in harmony with and responsive

to international shipping practices. 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 costs.

Our actions also must encourage the development of a sound U.S.-flag liner fleet.

Accordingly, and in conformity with the Shipping Act of 1984, as amended by

OSRA, the FMC has established the following four strategic goals. 

FMC STRATEGIC GOALS

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

regulatory process, to enable all segments of the industry to plan and conduct

their operations more effectively and with minimal regulatory costs. 

2. Balanced Enforcement: Foster economic efficiencies and reliance on

marketplace factors by administering U.S. shipping statutes in a balanced and

equitable manner that redresses excessive anticompetitive actions and

restrictive practices of foreign governments. 

3. Compliance: Promote the development of U.S. exports and the efficiency of

ocean shipping by monitoring and assisting stakeholders in achieving

compliance with shipping statutes administered by the FMC. 
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4. Internal Capabilities: Ensure the FMC has the organizational ability and the

managerial leadership necessary to meet its industry assistance, enforcement,

and educational responsibilities. 

LINKAGE BETWEEN MISSION STATEMENT

AND STRATEGIC GOALS

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

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

basic thrusts of our mission and attaining the competitive, nondiscriminatory

shipping environment envisioned by OSRA. 

Therefore, the primary intention of Strategic Goal No. 1 is to minimize regulatory

costs by maintaining timely and decisive regulatory processes. This will render the

FMC more effective in addressing matters that are perpetuating discrimination or

precluding industry efficiency, while reducing the industry’s costs in pursuing

matters before the Commission. More decisive action on our part will help to

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

Such uncertainties delay operational efficiencies or technological changes, each of

which can foster a more economical ocean shipping system. 

Our second strategic goal is designed to foster economic efficiencies and reliance on

typical marketplace factors, and to redress excessive anticompetitive practices

harmful to international commerce. This is a direct link to our mission statement’s

call for an efficient, competitive, market-driven ocean transportation system. And

our continuing efforts to effectively 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 “free of unfair foreign maritime trade

practices.”

Strategic Goal No. 3 centers on achieving compliance with the substantive provisions

of the shipping statutes the FMC administers. 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 bottom-line profits without concern for

the harmful long-term effects on the industry. The shipping public also will have

added protection from potential cargo losses and disruptions through the agency’s
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focus on intermediaries operating in U.S. trades having the necessary character and

financial responsibility to offer viable services. Effective accomplishment of this

goal also can help to promote the growth of U.S. exports. 

Finally, we have a single comprehensive goal to address internal Commission

management and operations. Enhancing our management oversight and improving

employee morale can both foster the accomplishment of various Administration

directives and programs in this regard, while putting us in a position to more

effectively address the specific aims of our mission. This strategic goal also ensures

continuation of a comprehensive approach to performance management.

Achieving these mission-driven goals will enable us to effectively 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. 
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Budget Program Activity:Related Strategic Goals:

Formal Proceedings - 2.9 FTEs and $379,486 will be required to accomplish the goals under this Program 1. Efficient Regulatory Process: Provide a timely, efficient and decisive regulatory process, to enable 

and conduct their operations more effectively and with minimal regulatory costs.

4. Internal Capabilities: Ensure the FMC has the organizational ability and the managerial leaders

assistance, enforcement, and educational responsibilities. 

Performance Goal Outcome Performance Indicator Process/Activity 

1. By 9/30/02, implement a processto electronically serve ALJ/Commission issuances in formalproceedings (with assent oflitigants).

- Reduce costs associatedwith mail/fax service ofALJ/Commission issuances.- Provide for speedierservice of ALJ/Commissionissuances.

The number of issuanceselectronically served.

- Office of the Secretarycoordinates with the Office ofAdministrative Law Judges todevelop language to be includedin initial Notices of Assignmentfor complaint cases offeringparties the option of receivingelectronic service in lieu oftraditional mail service. - The Office of the Secretarywill include similar language inCommission-institutedproceedings.
Performance Goal Outcome Performance Indicator Process/Activity 

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2. By 09/30/02, implement anoptional process for respondingelectronically to public requests fordocuments, e.g., public filings,FOIA requests.

- Reduce duplicating costs& mailing costs associatedwith responding to publicrequests for documents.- Provide for speedier, moreefficient delivery of suchdocuments. 

The number of electronicresponses to public requests fordocuments. 

- Office of the Secretarycoordinates as necessary withother organizational units whichhandle public requests fordocuments to develop consistentapproach/procedures.- Requesters routinely are askedto accept electronic copy of allrequested documents. 

3. By 06/30/02, make public filingsin at least one significantCommission proceeding availableon the home page. 

- Reduce duplicating costs& mailing costs associatedwith responding to publicrequests for copies offilings.- Provide for quicker publicaccess to such documentsfilings. 

- Process appropriatelydeveloped to permit action. - Public filings in at least oneproceeding made available onhome page.

Office of the Secretary requestslitigants to voluntarily submit anelectronic copy of all publicfilings, and scans filings whichare received in hard-copy form. 
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Budget Program Activity:Related Strategic Goals:

Operational and Administrative - 14.7 FTEs and $1,907,860 will be required to accomplish the goals un

1. Efficient Regulatory Process: Provide a timely, efficient and decisive regulatory process, to enab

plan and conduct their operations more effectively and with minimal regulatory costs. 

4. Internal Capabilities: Ensure the FMC has the organizational ability and the managerial leadersh

assistance, enforcement, and educational responsibilities.

Performance Goal Outcome Performance Indicator Process/Activity 

1. By 9/30/02, utilize developmentsin technology to find a reasonable,cost-effective software system toprocure, then develop andimplement the capability forelectronic filing of all majorbusiness transactions with theCommission, consistent with theGovernment Paperwork EliminationAct and the Electronic Signatures inNational and Global Commerce Act.

- Provide an electronic filingprocess, when practicable,using electronic signatures,where applicable, fortransactions defined byOMB as requiring anelectronic filing option, thuseffecting agency compliancewith government initiatives.- Enhance efficiency ofagency operations byreducing costs & timeexpended on reproducing,disseminating & reviewingapplications & othertransaction documents forcompleteness.- Minimize the filing burdenon regulated entities byaccepting electronicsubmissions/signatures inplace of paper filings.- Provide the regulatedindustry with the ability tomore efficiently achievecompliance with theshipping statutes withrespect to applicationfilings/submissions.

- Agency quantifies percentageof affected regulated industryavailing itself of the option forelectronic submission of formsv. submission in hard-copyformat.- Number of hard-copyreproductions of applications &instruction forms declines aselectronic filings increase.- Processing time forapplications is reduced due tomore complete compliance (allfields must be completed orfiling will not be effected) &increased ease of access tofilings by staff (in a databaseinstead of file folders).- Non-compliant entities rarelyvoice concern over difficulty insubmitting information.

- Contractor assistance todevelop cost-effective &efficient, easy-to-use electronicfiling system with e-signaturecapabilities.- Tracking of applications/filings via the electronicdatabase.- Offices receiving electronicfilings track both electronic &hard-copy filings,reproduction/dissemination ofhard copies of forms & timespent reviewing electronic v.hard copies of documents(biannual review of process/timefor updating of user feeschedule).- Informal, periodic feedbackfrom all sectors of the regulatedindustry is sought to confirmefficiencies.
Performance Goal Outcome Performance Indicator Process/Activity 

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2. During the first quarter of FY2002, initiate a comprehensiverecruiting effort that, by FY end,better matches agency humanresources to its changing workrequirements, improves on existinglevels of employees with targeteddisabilities, and enhances thediversity of the FMC’s workforce.

- Agency can attract andhire energetic individualscovering all agencydisciplines, with strengths inresearch, analysis, &oral/written communication.- Improves the agency’sability to addressresponsibilities & duties in atimely & effective manner. - Renders FMC’s employeerolls more reflective of thediverse groups that make uptoday’s society.- Facilitates & enhancesfuture recruiting efforts.

- By 9/30/02, the ability ofbureaus/offices to timelyaddress their variousresponsibilities & assignments isincreased & the substance &quality of line-staff workproducts improves, both incomparison to performance inFY 01. - By 9/30/02, the number ofemployees with targeteddisabilities increases comparedto 9/30/00.- By 9/30/02, representation ofrecognized minority groups inagency workforce is increasedcompared to 9/30/00.

- Agency bureau/office headsidentify knowledge, skills,abilities & ideal number ofemployees required for theirchanging responsibilities.- The Office of HumanResources, at the direction ofthe Executive Director’s Officeand in consultation with senioragency managers, develops arecruitment plan in line withidentified requirements. Theplan includes approaches &procedures best suited toachieve stated goals in anexpedient manner. - Upon Chairman’s approval,plan initiated. Office of HumanResources provided withassistance as needed to enable itto accomplish all merit staffing& procedural requirements. - Upon noticing vacancies, allbureaus/offices establish fillingthose vacancies as a highpriority.
Performance Goal Outcome Performance Indicator Process/Activity 

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3. By 9/30/02, standardize

and modernize the agency’sfinancial systems environment sothat it complies with currentguidance on Federal financialmanagement and reporting systems(such as those in the FederalManagement Financial IntegrityAct, the Federal FinancialManagement Improvement Act of1996, OMB Circulars A-123, A-127and A-130, and OMB Bulletin98-08) and satisfies audit concernsidentified by the agency’s InspectorGeneral.

- Improve ability to collect& compile complete &reliable agency operatinginformation.- Facilitate the eventualpreparation of financialstatements & other financialreports in accordance withFederal accounting &reporting standards.- Improve the agency’sbudgeting, analysis &government-wide reportingprocesses.- Provide a complete audittrail to facilitate audits.- Senior management hasaccess to more timely &comprehensive financialinformation necessary fordecision-making.- Assets are properlysafeguarded to deter fraud,waste & abuse.

- Standard data classifications(definition & formats) would beestablished & used for recordingfinancial events.- Common processes would beused for processing similarkinds of transactions.- Consistent application ofinternal controls over data entry,transaction processing, &reporting.- The system design wouldeliminate unnecessaryduplication of transaction entry.

- Assess/analyze the fullcapacity of each of the agency’scurrent financial & managementreporting systems (the DOTaccounts receivable system, theOTS accounting system & theComprizon acquisition system),& determine best approach toensure cohesive, consistentinformation. - Evaluate Commercial Off-theShelf software to facilitatepreparation of financialstatements.- Procure software or crossservicing arrangement/contractor to develop technicalspecifications to customizesoftware for agency use.
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Budget Program Activity:Related Strategic Goals:

Consumer Complaints & Licensing - 12.6 FTEs and $1,510,954 will be required to accomplish the goal

1. Efficient Regulatory Process: Provide a timely, efficient and decisive regulatory process, to enable 

and conduct their operations more effectively and with minimal regulatory costs. 

3. Compliance: Promote the development of U.S. exports and the efficiency of ocean shipping by mo

in achieving compliance with shipping statutes administered by the FMC.

4. Internal Capabilities: Ensure the FMC has the organizational ability and the managerial leaders

assistance, enforcement, and educational responsibilities. 

Performance Goal Outcome Performance Indicator Process/Activity 

1. Develop an integrated OTIdatabase by 9/30/02 which containsrelevant data such as currentaddress, bond levels, QI, etc. Thisinformation should be readilyaccessed and easily manipulated tofacilitate compliance andenforcement activities.

- Data input in a moreefficient manner.- Database is more readilyavailable to FMC staff. - Data collected reflect morecurrent needs/requirementsof FMC & shipping public.

- Timeliness & accuracy of datainput. - Easier access to database toimprove FMC programcapability to performcompliance or enforcementactivities. - Ability to respond quickly &confidently to public inquiriesregarding licensed and bondedOTIs.

- Train appropriate personnel toinput data accurately & timely.- Perform (in conjunction withan IT consultant, if necessary) asystems requirement analysis(discuss with FMC programsdata to be collected, analysesperformed, reports generated,update of data, publicinformation needs, etc.). - Review software capable tomeet those identifiedrequirements. - Contract for development of(develop in conjunction with anIT consultant, if necessary) adatabase & programs to supportFMC & public informationneeds.
Performance Goal Outcome Performance Indicator Process/Activity 

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2. By 6/30/02, revise FMCapplication form(s) for OTIapplicants to simplify form(s),clarify information required so thatstaff can more expeditiously processan application (i.e., within 30 daysof receipt) and reduce the number ofthe most common delays inprocessing an OTI application.

- Provides applicants withclearer instructions, clarifiesrequirements (includingwhere to obtain requiredsupport documentation, e.g.,fictitious name certificate),& simplifies or reduces,where possible, informationrequired. - OTI applicants provideappropriate information withinitial applicationsubmission.- FMC staff can moreexpeditiously processapplications.

- Less follow-up calls by staffrequired. - Shorter processing timerequired since fewer incompleteapplications.

- Identify those aspects of FMC18 & other forms which impedeefficient data collection &review, & those areas ofconfusion to applicants. - Draft revised form(s) &instructions & route for internalreview. - Submit revised form(s) forapproval. 

3. Enhance Passenger VesselDatabase by 9/30/02 so that it willcontain needed pertinentinformation about operators in theprogram and to maximizeidentifying those operators withUnearned Passenger Revenue inexcess of current maximumcoverage ($15 million) and potentialweakness in financial indicators,e.g., debt/capital ratio is relativelyhigh or bond rating reduced.

FMC can quickly assessinformation such as thenumber of vessels in theprogram, amount ofcoverage (both performanceand casualty), type offinancial responsibility(surety, P&I Club guaranty,etc.), & financialinformation about cruiseoperators.

Timeliness & ease of producingstatus reports to assist indetermining expiration orsufficiency of coverage oridentifying riskier companies. 

- Identify data requirements &useful reporting formats.- Refine database capabilities (inconjunction with IT consultant,if necessary).- Input data.- Generate reports/analyses.- Allocate additional staff to thePVO program.
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Budget Program Activity:Related Strategic Goals:

Trade Analysis - 27.2 FTEs and $3,076,151 will be required to accomplish the goals under this Program A

1. Efficient Regulatory Process: Provide a timely, efficient and decisive regulatory process, to enable 

and conduct their operations more effectively and with minimal regulatory costs.

2. Balanced Enforcement: Foster economic efficiencies and reliance on marketplace factors by adm

a balanced and equitable manner that redresses excessive anticompetitive actions and restrictive p

Performance Goal Outcome Performance Indicator Process/Activity 

1. In reviewing agreement filingsfor anticompetitive consequences,also ensure that only eligible oceancommon carriers receive antitrustimmunity for their concertedactivities under filed agreements asCongress intended pursuant to the1984 Act, as part of a program thatprovides that all agreement filingscomply with the shipping statuteand agency regulations.

- Full compliance with theapplicable provisions ofshipping statute & agencyregulations.- Agreement parties areallowed to effectuatebeneficial operationalarrangements on the 45thday after filing, or soonerwith good cause.-Agreement-related rate &service levels do notadversely affect U.S.commerce.-Planned program goalreduces the need forsporadic investigativeaction.- Carriers purporting to beocean common carriers, butfound to be NVOs, complywith agency OTIrequirements, i.e., thatNVO’s are properly bonded,licensed, & tariffed.

- Informal inquiries requestinginformation & data on proposedagreement’s impact on cost &service & evidence of theparties’ eligibility.- Formal investigations whereinformation, data, or evidence isnot provided or is foundinsufficient. - Number of substantialcomplaints about rates & servicecharged/offered by agreementparties.- Increase in OTI (NVO) licenseapplications.

-Review agreement language inlight of precedent & agency/court decisions, & analyzeeconomic data & informationsubmitted with agreementfilings.- Negotiate with parties toaddress objectionable provisionsor to obtain further economicdata or evidence of eligibility;recommend formal action wherean informal approach fails.- Review databases & tradeperiodicals for informationpertinent to agreement analysis& eligibility.- Capital requirements includehaving appropriate software &hardware for continued accessto various agency/outsidedatabases & the development ofnew, linked databases.
Performance Goal Outcome Performance Indicator Process/Activity 

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2. Develop integrated tariff andservice contract database for onlineaccessibility by Commissionheadquarters staff and local arearepresentatives by June 2002 as partof the Bureau’s overall ServiceContracts and Tariffs program .

- Full access to database ofcurrent tariff & servicecontract profile informationby necessary Commissionheadquarters staff & localarea representativesregarding carrier &agreement compliance withCommission tariff & servicecontract rules & regulations.- Eliminate delays in sharingtariff & service contractinformation by creating acentral informationrepository to help detectpossible violations undertariff publications & servicecontract filings pertaining tothe 1984 Act, as amendedby OSRA.

- Successful user-friendly accessibility to databaseinformation.- Enforcement actions involvingtariff & service contractactivities detected in the review& analysis of tariff publications& service contract filings,including publications ofstatements of essential termsassociated with service contractfilings.- Comments & inquiriesreceived regarding tariff &service contract database profileinformation & accessibility tothe tariff profile system. 

- Review & analyze tariffpublications & service contractfilings & collect profileinformation for input todatabase regarding compliancewith the 1984 Act, as amendedby OSRA. - Process FMC-1 formsexpediently & update tarifflocation addresses on ourwebsite weekly or as otherwiseneeded.- Input data collected duringreview & analysis of tariffs &service contracts into the profiledatabase system.- Equipment requirements arepersonal computers withInternet, MS Access,Wordperfect & spreadsheetfunctionality for 7 office staff.
Performance Goal Outcome Performance Indicator Process/Activity 

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3. Establish a new and streamlined Bureau monitoring program bydeveloping a rule that focuses datacollection on critical carrieragreements and major U.S. trades,while not compromising essentialinformation.

- Significantly reduce netinformation demands onfiling parties.- Improve Commission’saccess to economic data, &reports & documents usedby agreement members intheir discussions &decision- making.- Focus data collection,monitoring attention, &resources on major U.S.trades & critical carrieragreements.- Reduce Commission administrative processing,maintenance, professionalreview, & complianceburdens.

- Commission consideration ofrule by 6/30/02.- Number of quarterlymonitoring reports filed.- Number of Commissionformal requests for information.- Number of waiver requests &periodic waiver extensions.- Number of annual agreementclassification letters.- Number of carrier agreementsnot in compliance withCommission’s reportingregulations.

- Bureau working group ofeconomists & transportationspecialists.- Consult with BOE on legalaspects.- Consult with industryrepresentatives on the needand/or suggestions fordeveloping definition of“critical” agreement.- Capital requirements includehaving appropriate computersoftware & hardware, & filingequipment & supplies toprocess, analyze & maintainconfidentially filed quarterlymonitoring reports.
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Budget Program Activity:Related Strategic Goals:

Enforcement - 12.3 FTEs and $1,548,820 will be required to accomplish the goals under this Program Ac

1. Efficient Regulatory Process: Provide a timely, efficient and decisive regulatory process, to enab

plan and conduct their operations more effectively and with minimal regulatory costs.

2. Balanced Enforcement: Foster economic efficiencies and reliance on marketplace factors by adm

in a balanced and equitable manner that redresses excessive anticompetitive actions and restrictivgovernments.

3. Compliance: Promote the development of U.S. exports and the efficiency of ocean shipping by m

stakeholders in achieving compliance with shipping statutes administered by the FMC.

Performance Goal Outcome Performance Indicator Process/Activity 

1. Develop and implement aprogram by 3/30/02 to identify andbring into compliance entities not incompliance with the Commission’sdefinition of vessel-operatingcommon carrier. 

- Improve public protectionby ensuring entities haveassets or bonding asrequired by statute.- Promote equitablecompetition in the properuse of service contracts &agreements among carriers.

- Program timely developed &implemented.- Reduction in number ofimproper entities holdingthemselves out as vesseloperating common carriers.

- Work with BTA indevelopment of program.- Initiate enforcement action, asnecessary, to establish criteriafor vessel-operating status.- Encourage voluntarycompliance with Commissiondefinition.

2. Initiate enforcement action, asnecessary, to improve compliancewith statutory requirements relatedto substantive provisions ofcontracts and proper contractingparties.

- Promote equitablecompetition among commoncarriers in the use of servicecontracts.- Improve public protectionagainst unlicensed,unbonded OTIs.- Contracting parties receivethe benefits of their servicecontracts.

- Cases initiated.- Disagreement amongcontracting parties decreases.

Investigative activity inresponse to complaints identifiespossible non-compliance withservice contract requirements.
Performance Goal Outcome Performance Indicator Process/Activity 

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3. Explore the use of alternativesystems for payment of fines andpenalties (to include identifiableelectronic transfers). Reviewcompleted by 6/30/02.

- Provide a more effective &efficient means of receivingpayments of fines &penalties.- Provide alternatives for thepublic.

- Alternatives explored &systems identified.- Rule changes, if necessary, toprovide for alternative paymentsystems.

Coordinate with OBFM forreview & implementation ofalternative systems.