FEDERAL MARITIME COMMISSION

FINAL ANNUAL PERFORMANCE PLAN 

FOR FY 2007

February 2006
LIST OF ACRONYMS 

1984 Act Shipping Act of 1984 

AR Area Representative 

BCL Bureau of Certification and Licensing 

CADRS Office of Consumer Affairs and Dispute Resolution Services 

ERB Executive Resources Board 

FMC/Commission Federal Maritime Commission 

FTE Full Time Equivalent Employee 

FY Fiscal Year 

GPRA Government Performance and Results Act 

GS General Schedule 

HHG Household Goods 

IP Internet Provider 

IPv4 Internet Protocol Version 4 

IP v6 Internet Protocol Version 6 

IT Information Technology 

MR Monitoring Report 

NVOCC Non-Vessel-Operating Common Carrier 

NSA NVOCC Service Arrangement 
OIT Office of Information Technology 

 

OMB Office of Management and Budget 

OS Office of the Secretary 

OSRA Ocean Shipping Reform Act of 1998 

OTI Ocean Transportation Intermediary 

RPI Regulated Persons Index 

PVO Passenger Vessel Operator 

SC Service Contract 

SES Senior Executive Service 

SOW Statement of Work 

SQL Structured Query Language 

VOCC Vessel-Operating Common Carrier
INTRODUCTION

This document comprises the FMC’s Final Annual Performance Plan for FY 2007. This plan is 

closely linked to the agency’s Strategic Plan and it sets forth objective performance goals and 

narrow, measurable performance indicators as to facilitate implementation and assessment of 

performance. 

For FY 2007, 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 2007 focuses on broadening 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 utilizing technology to 

streamline and simplify the delivery of services and information to regulated entities and the 

public, and to improve our databases so the staff can more effectively identify regulated 

entities, complaints, and potential abuses. 

Several performance goals were developed to facilitate the monitoring of regulated activities to 

ensure compliance with the statutes and regulations administered by the Commission. 

Performance goals also were developed to enhance our management capabilities, with 

particular focus on effectively using our performance appraisal system to guide employee 

growth and career development, and ensuring implementation of an appropriate succession 

plan. 

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

while maintaining flexibility in its presentation and 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. 

 
2 

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 “means 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 industry officials 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 a broader outreach program 

to expand our extant seminar series, where agency staff travel to various locations to exchange 

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

information and opinions we received via these various efforts have assisted us in developing 

our performance goals and implementing approaches. It is clear that those involved in the 

various sectors of U.S. ocean shipping understand the Commission’s major program activities 

and, at the same time, the Commission is cognizant of the views of all parties with whom it 

interacts. 
3 

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

its various functions. We have provided FTE and funding figures for each Strategic Goal, 

which reflect what we believe will be required to accomplish the performance goals and 

“steady 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 our FY 2007 budget. 

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 that 

clearly explain 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 “free of 

unfair foreign 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 
7 

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 

48 FTEs and $8,234,000 will be required to accomplish this goal. 

2007 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. 

 

Note: Goal has been revised to reflect the funding included in, and workyears funded by, the 

President’s FY2007 Budget. 
9 

Performance Goal Related Strategic 

Goals/Outcomes/

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/Evaluation 

1. Provide for and 

encourage the 

electronic filing of 

monitoring reports 

and minutes. 

-Encourage use of 

electronic filing. 

-Refine agreement 

minutes and 

monitoring report 

rules. 

 

-Reduce labor hour 

and cost burden on 

the public associated 

with submitting 

monitoring reports 

and minutes to the 

agency. 

-Reduce agency 

resources needed to 

process and review 

these documents. 

-Improved quality 

and accuracy through 

the use of automated 

checks. 

-Quicker analysis of 

submitted 

information and 

speedier 

dissemination of the 

results of those 

analyses. 

-Reduced problems 

relating to 

compliance with 

monitoring report 

and minutes 

requirements. 

-The proportion of 

monitoring reports 

and minutes 

submitted 

electronically as a 

percent of the total 

submitted. 

-The percent of 

electronic monitoring 

reports and minutes 

submitted timely 

compared to the 

percent of hard 

copies submitted 

timely. 

-Staff time spent 

converting hard copy 

monitoring reports 

and minutes to 

electronic format. 

-Estimate of staff 

time saved through 

electronic receipt of 

monitoring reports 

and minutes. 

-Develop a webbased application 

to facilitate 

compilation/secure 

submission of 

agreement 

monitoring reports. 

-For users unable to 

connect to the 

Internet, develop an 

Adobe-editable 

form with the same 

features. 

-A user-friendly 

front-end to be 

designed/implemented to allow 

staff easy retrieval, 

review & analysis 

of monitoring 

report data. 

-Develop a system 

to allow 

agreements to 

securely submit 

electronic copies of 

minutes & related 

attachments using 

FMC’s website. 

-Document system 

to have a userfriendly front-end 

to facilitate 

management of 

submitted minutes, 

as well as accurate 

search & retrieval 

of documents and 

terms. 

-Proactively 

demonstrate the 

monitoring report 

& minutes 

automated systems 

to filing counsels & 

agreement 

administrators to 

encourage 

maximum 

electronic 

submission. 

 

-Feedback from filing 

counsels and 

agreement 

administrators 

regarding the 

effectiveness of 

electronic submission 

of monitoring reports 

ane minutes. 

-Absence of technical 

difficulties 

encountered by end 

users and lack of 

technical assistance 

required. 

-Lower proportion of 

monitoring reports and 

minutes received in 

the form of hard 

copies. 

I. STRATEGIC GOAL: Efficient Regulatory Process - Continued
10 

Performance Goal Related Strategic 

Goals/Outcomes/

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/Evaluation 

2. By 9/30/07, 

Automate FMC 

Forms 78 & 83. 

-Encourage use of 

electronic filing. 

-More user friendly 

and convenient 

process for the 

industry to file 

forms. 

-Increase accuracy of 

NSA and SC 

registration 

information being 

filed. 

-Access to certain 

registration 

information in 

standard format to 

generate any 

necessary reports. 

-Consistent retrieval 

of accurate NSA and 

SC registration 

information. 

-Electronic file 

forms. 

-Easy access to 

efficient & useful 

information. 

- Registration 

information retrieved 

in a more systematic 

manner. 

-Reductions in time 

involved in 

completing review 

process. 

-Elimination / 

reduction of paper 

documents. 

- Develop an 

electronic online 

form to 

accommodate the 

submission of 

registration 

information. 

-Redesign 

registration 

databases to capture 

registration 

information. 

-Link/integrate 

database to other 

Commission- related 

databases. 

-Have necessary 

safeguards & 

security protections 

in place, including esignature to ensure 

authenticity of filer 

signature. 

-Feedback from filing 

public on the efficacy 

of online filing. 

-Staff assessment of 

time and effort 

expended in review 

process. 

-Centralized database 

containing pertinent 

information on filing 

parties to NSAs and 

SCs. 

3. Enable the 

electronic filing of 

OTI bonds. 

-Encourage use of 

electronic filing. 

-Ability of sureties to 

file bonds and bond 

riders electronically 

via the Commission’s 

website. 

-Reduction in burden 

and cost for industry. 

-More timely and 

effective staff review 

process. 

-Facilitate filing of 

OTI bonds by 

sureties and/or OTIs 

-Improve BCL’s 

ability to receive and 

process surety bonds 

and bond riders. 

-Contributes to a 

streamlined OTI 

licensing process. 

-Meet with sureties 

and other Federal 

agencies to discuss 

benefits of 

electronic bond 

filings. 

-Develop system 

plan and 

implementation 

plan. 

-Develop Statement 

of Work (SOW) and 

work with OIT to 

develop electronic 

bond system (inhouse- versus 

contract out) 

-Successful 

completion of each 

step in developing an 

electronic system. 

-Ease of filing and 

retrieval for industry 

and FMC. 

-Assess staff time and 

effort expended in 

review process. 

I. STRATEGIC GOAL: Efficient Regulatory Process - Continued
11 

II. STRATEGIC GOAL: Compliance 

46 FTEs and $7,126,000 will be required to accomplish this goal. 

2007 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. 
12 

II. STRATEGIC GOAL: Compliance - Continued

1. Expand OTI 

Monitoring/Audit 

Program. 

-Increase dialogue 

with industry to 

encourage voluntary 

compliance. 

-Use databases to 

ensure lawful 

activities. 

-Improved compliance 

by VOCCs and OTIs. 

-Facilitate FMC 

awareness of level of 

OTI compliance with 

Shipping Act. 

-Fewer instances of 

transportation users 

being negatively 

impacted by the 

actions of unlawful 

operators. 

-Improved compliance 

with statute and 

regulations by OTIs 

and VOCCs. 

-Equitable competition 

among licensed and 

bonded OTIs 

minimizing unlicensed 

OTI activity. 

-Enhance protection of 

shipping public. 

-Develop pool of 

OTIs from which to 

audit based on 

following criteria: all 

1st time licensees; 

factors such as 

unlicensed 

experience, Shipping 

Act violations, 

complaints, AR 

input; randomly 

selected from RPI. 

-Develop plan and 

format & identify 

resources needed to 

implement program 

(questionnaire - mail/

phone/fax); on-site 

visit; combination of 

the two formats; 

other. 

-Develop follow-up 

action steps. 

–Assess audit results 

annually - review 

audit plan & audit 

universe to enhance 

effectiveness of 

program. 

-Review outreach & 

licensing programs 

based on audit results 

at least every two 

years - identify any 

changes to 

procedures, new 

initiatives, or refocus of licensing or 

outreach activities. 

Performance Goal Related Strategic 

Goals/Outcomes/

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/

Evaluation 
13 

II. STRATEGIC GOAL: Compliance - Continued

2. Enhance the PVO 

monitoring program. 

-Enhance 

monitoring 

program. 

-Timely and accurate 

submission of reports 

and records. 

-Facilitate BCL’s 

oversight to protect 

passenger payments. 

-On-site inspections of 

PVOs that submit 

questionable data. 

-Improved 

communications 

between BCL and 

PVOs 

-BCL’s ability to 

effectively perform 

oversight of PVO 

operations and 

activities. 

-PVO compliance with 

statute & regulations. 

-Ability to identify 

financially risky 

operators. 

-Develop procedures 

to assist staff review 

of monitoring 

process. 

-Prepare PVO 

monitoring schedules. 

-Detailed review of 

PVO reports & 

records. 

-Requirement that all 

follow-up actions are 

documented (e-mail, 

telephone, notes, 

etc.). 

-Develop plan to 

assess program 

operations. 

-Monthly & quarterly 

reviews are 

conducted by BCL to 

ensure 

implementation of 

monitoring program 

and assess 

effectiveness of the 

program. 

-BCL assesses results 

of reviews & reports 

and makes changes 

as necessary. 

-Ongoing monitoring 

of staff efforts. 

-Bureau Director 

oversees staff efforts. 

Performance Goal Related Strategic 

Goals/Outcomes/

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/

Evaluation 
14 

III. STRATEGIC GOAL: Balanced Enforcement

15 FTEs and $2,551,000 will be required to accomplish this goal. 

2007 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. 
15 

III. STRATEGIC GOAL: Balanced Enforcement - Continued

1. Effectively address 

unlicensed OTI 

activity of entities 

participating in 

international ocean 

transportation of 

HHG. 

-Increase dialogue 

with external 

entities to educate. 

-Utilize databases to 

ensure lawful 

activities. 

-Increased public 

awareness of 

protection provided 

in using licensed/

lawful OTI entities. 

-Decreased usage of 

unlawful OTIs for 

transportation of 

HHG. 

-Decrease in 

instances of 

transportation users 

being harmed by 

unscrupulous 

operators. 

-Number of licensed 

OTIs. 

-Consumer 

complaint 

information. 

-Contacts with 

industry and 

government entities 

concerned with 

consumer protection 

in HHG movements. 

-Information 

disseminated on 

website regarding 

lawful and unlawful 

OTIs involved in 

international ocean 

transportation of 

HHG. 

-Use industry 

databases and 

publications, Internet, 

trade associations and 

other government 

entities to identify 

possible unlawful 

entities. 

-Use outreach and 

education efforts to 

encourage voluntary 

compliance. 

-Compliance and 

enforcement efforts 

directed at entities 

identified by 

consumer complaints, 

and at lawful VOCC 

and NVOCC entities 

providing 

transportation 

services to unlawful 

OTIs. 

-Review of databases, 

etc., and contacts 

made with identified 

entities to encourage 

voluntary compliance. 

-Feedback from 

consumers and 

industry with respect 

to compliance efforts. 

-Feedback of other 

government and 

industry components 

involved in the 

compliance activity. 

Performance Goal Related Strategic 

Goals/Outcomes/

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/Evaluation 
16 

IV. STRATEGIC GOAL: Technological Efficiencies 

10 FTEs and $1,557,000 will be required to accomplish this goal. 

2007 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. 
17 

IV. STRATEGIC GOAL: Technological Efficiencies - Continued

1. Integrate 

CADRS 

complaint 

database with 

other agency 

databases. 

 

-Use modern 

technologies to 

improve results. 

-Automate agency 

systems. 

-Combined agencywide database 

consisting of CADRS 

complaint data, and 

data from other agency 

components, with 

regard to 

Commission’s 

regulated community. 

-Appropriate agencywide access to newly 

integrated database. 

-Increased 

understanding of 

industry trends, 

conditions, and 

practices. 

-More effective and 

efficient compliance 

activities. 

-An integrated 

database that contains 

available data 

relevant to the 

Commission’s 

regulatory 

responsibility. 

-Access to integrated 

database provides 

timely & accurate 

CADRS data, which 

can be easily 

integrated into 

reports, 

investigations, license 

application reviews, 

and comparisons. 

-Work with other 

agency components 

and IT to integrate 

CADRS database 

with other agency 

databases. 

-Work with IT to 

allow agency 

personnel to have 

access to appropriate 

areas of the new 

database. 

-Periodically assess 

progress in integrating 

CADRS database with 

other agency databases 

and report progress to 

OS and senior staff. 

Performance 

Goal 

Related Strategic 

Goals/Outcomes/

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/Evaluation 
18 

2. Complete the 

redesign of the 

agency’s 

Intranet. 

-Use modern 

technologies 

enhancements to 

enhance work 

processes. 

-Redesign & 

modernize current 

FMC Intranet and align 

it w/new FMC public 

website. 

-Information & 

participation from all 

bureaus/offices to 

ensure comprehensive 

& correct site. 

-Intranet content 

reorganized to improve 

efficiency and access. 

-Relevant information 

missing from site will 

be considered, 

compiled, and added. 

-Issues regarding 

functionality & 

technological 

implementation of site 

identified & addressed. 

-Participation & 

agreement of agency 

bureau/office reps on 

design & content. 

-Intranet website 

restructured to be 

compatible with FMC 

public site. 

-Where feasible, 

FMC staff provided 

access to internal 

FMC databases & 

info through Intranet. 

-Positive feedback 

from Chairman & 

SES. 

-In conjunction with 

other agency 

components, OS will 

work with FMC IT 

staff and contractor to 

redesign FMC 

Intranet site. 

-Create task force 

with bureau/office 

reps. 

- Hold periodic 

meetings to discuss & 

determine design, 

functionality, and 

content. 

-Coordinate w/

program and IT staff 

on initiatives to 

facilitate FMC staff 

access to internal 

FMC information 

through agency’s 

Intranet where 

appropriate. 

-Intranet site is 

redesigned, tested and 

launched. 

-Feedback from FMC 

staff. 

IV. STRATEGIC GOAL: Technological Efficiencies - Continued

Performance 

Goal 

Related Strategic 

Goals/Outcomes/

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/Evaluation 
19 

3. Implement new 

Internet upgrade. 

-Use modern 

technologies to 

improve results. 

-Provide public access 

to agency systems. 

-Elimination of IP 

address limitations. 

-Network performance 

improvements. 

-Appropriate IP 

security. 

-Reduce network 

administration. 

-Successful upgrade 

from IPv4 to IPv6. 

-Positive feedback 

from stakeholders and 

public. 

-Increased accessibility 

to agency via Internet. 

-Complete inventory of 

existing equipment. 

-Conduct impact 

analysis. 

-Select products and 

capabilities. 

-Acquire new 

hardware and/or 

software. 

-Configure hardware 

and/or software. 

-Develop IPv6-related 

policies. 

-Develop & implement 

a test plan. 

-Deploy hardware and/

or software. 

-Agency senior 

management assesses 

efforts to migrate to 

upgraded Internet. 

-Provide reports to 

OMB identifying 

progress. 

-OMB Enterprise 

Architecture 

Assessment 

Framework review. 

 

IV STRATEGIC GOAL: Technological Efficiencies - Continued.

Performance 

Goal 

Related Strategic 

Goals/Outcomes/

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/Evaluation 
20 

V. STRATEGIC GOAL: Management Capabilities 

13 FTEs and $2,006,000 will be required to accomplish this goal. 

2007 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. 
21 

V. STRATEGIC GOAL: Management Capabilities - Continued

Performance Goal Related Strategic 

Goals/Outcomes/

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/Evaluation 

1. Fully implement 

the agency’s 

succession plan for 

senior managers, and 

continue the 

Emerging Leaders 

program for internal 

staff at the GS 11-13 

level. 

 

-Anticipate future 

skill problems & 

recruit. 

-Provide necessary 

training. 

-Implement policies 

to enable employees 

to reach full 

potential. 

-Agency can fill 

leadership positions 

with trained, 

competent staff as 

vacancies occur. 

-No significant 

reduction in 

effectiveness and 

efficiency of agency 

operations. 

-Employees are 

motivated to 

demonstrate their 

abilities and skills in 

support of agency 

mission. 

-Future supervisors 

and managers are 

well versed in 

management/ 

leadership 

philosophies and 

principles, and better 

equipped to lead staff 

in line with existing 

agency culture. 

-Increase in 

individual and group 

training offerings 

relevant to managing/ 

leadership skills. 

-Agency able to 

absorb expected 

attrition & meet 

current & ongoing 

mission needs. 

-Identifiable increase 

in leadership skills of 

new supervisors. 

-Appropriate training 

and/or developmental 

experiences 

identified for 

participating 

employees. 

-ERB oversees 

another SES 

Candidate 

Development 

Program. 

-Emerging Leaders 

program identifies, 

trains and develops 

future supervisors 

and managers. 

-Evaluate/modify 

development 

programs and plans 

to maintain strategic 

alignment with 

overall mission, and 

promote integration 

of training programs 

with overall mission 

accomplishment. 

-Approved succession 

plan. 

-Chairman oversees 

progress of SES 

Candidate 

Development and 

Emerging Leaders 

Programs. 

-Existence of trained, 

capable staff to fill 

vacant leadership 

positions. 
22 

V. STRATEGIC GOAL: Management Capabilities - Continued

Performance Goal Related Strategic 

Goals/Outcomes/

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/Evaluation 

2. Evaluate the 

effectiveness of the 

Commission’s new 

performance appraisal 

system. 

-Develop and 

monitor 

performance plans 

to manage human 

capital. 

-Encourage 

policies to help 

employees 

demonstrate 

abilities and 

achieve potential. 

-Performance appraisal 

system results in a 

focus on results rather 

than process, and on 

accomplishments 

rather than volume of 

work produced. 

-Performance appraisal 

system is implemented 

in a way to effectively 

provide feedback, 

guide careers, and link 

the staff’s 

achievements to the 

agency’s mission and 

stated policy 

objectives. 

-Performance appraisal 

system is implemented 

to increase 

communication 

between supervisors 

and employees. 

-Consensus among 

managers and 

employees that new 

appraisal process is 

effectively 

conveying accurate 

assessments of 

performance. 

-Evidence that new 

system is being 

implemented 

effectively and 

efficiently. 

-Task Force or other 

mechanism to collect 

data and impressions 

of new appraisal 

system. 

-Data and 

impressions analyzed 

and conveyed to the 

Chairman and senior 

management. 

-Senior management 

meets to discuss 

appraisal process 

implementation data 

and impressions. 

-Chairman evaluates 

agency progress at 

efficiently 

implementing new 

process. 

-Chairman reviews final 

appraisals, and reviews 

Task Force’s collection 

of data and impressions, 

and speaks with a crosssection of employees to 

determine success of 

new system.