1

FEDERAL MARITIME COMMISSION

FINAL ANNUAL PERFORMANCE PLAN 

FOR FY 2000

May 1999
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INTRODUCTION

This document comprises the Federal Maritime Commission's Final Annual Performance

Plan for FY 2000. 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.

The Commission has tailored its annual performance plan to comport with the overall

objectives of GPRA, while maintaining flexibility in its presentation and application. This

modified approach has been authorized by OMBsince the majorityof 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. Additionally, the Commission has

undergone an unusually exhaustive evaluative process with respect to its statutory goals

and performance due to legislative proposals which culminated in a new statute, the Ocean

Shipping Reform Act of 1998 ("OSRA"), that will significantly change a number of its major

functions. 

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

submission. 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. We also have included a brief explanation of our

actual performance up to this point in FY 1999 as to each Performance Goal. 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. 
3

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). 

It should be noted that, in response to the legislative reform effort that resulted in OSRA,

every segment of the maritime industry has taken the opportunity to inform Congress of its

assessment of the Commission's current statutory goals and our performance of them.

These parties also have provided a perspective of what the Commission's future goals

should be. While there is no consensus, it is clear that the industry has a full understanding

of the Commission's major program activities, and at the same time, the Commission is

more cognizant of the views of all parties with whom it interacts than at any time in the

recent past. For this reason, the Commission did not embark on an extensive outreach

effort when developing this plan. 

The Commission has provided all employees with copies of this performance plan. 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 basic principles of liner shipping regulation are being challenged. The shipping industry

continues to restructure itself, while shippers place an increasing importance on rates and

service. International trade remains dependent upon an efficient and economic ocean

transportation system. And OSRA will significantly change the commercial environment and

oversight of U.S. ocean shipping. Never has the agency been presented with more

significant issues. Therefore, it is imperative that the FMC identify the actions necessary

to ensure that its regulatory and legislative initiatives produce a competitive and

nondiscriminatory trading environment in the 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. Compliance: Promote the development of U.S. exports and the efficiency of ocean

shipping by ensuring compliance with shipping statutes administered by the FMC. 

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. Efficient Regulatory Process: Promote 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. 
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4. Internal Capabilities: Ensure the FMC has the organizational ability and the

managerial leadership necessary to meet its regulatory, enforcement and educational

responsibilities. 

LINKAGE BETWEEN MISSION STATEMENT 

AND STRATEGIC GOALS

Our strategic goals address all important FMC programmatic, policy, and management

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

thrusts of our mission. 

Therefore, Strategic Goal No. 1 is designed to enable the FMC to carry out its

regulatory mandates concerning international waterborne commerce in a manner that

ensures compliance with the substantive provisions of the shipping statutes it

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.

Curbing other malpractices should enable all industry participants to concentrate on fair

and legal means of increasing operational efficiency, secure in the knowledge that

competitors are not engaging in widespread illegal actions aimed at enhancing

short-term bottom-line profits without concern for the harmful long-term effects on the

industry. Effective accomplishment of this goal also can help to promote the growth of

U.S. exports. 

Strategic Goal No. 2's purpose is to foster economic efficiencies and reliance on typical

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, competitive, market-driven ocean transportation system. And our continuing

efforts to effectively address the actions of foreign governments that adversely affect

our foreign trade and U.S. interests operating in that trade comport with that aspect of

our mission aimed at creating an environment "free of unfair foreign maritime trade

practices."

The primary intention of Strategic Goal No. 3 is to minimize regulatory costs by

increasing the efficiency and decisiveness of the FMC's various regulatory processes.

Increasing our efficiency and timeliness will produce more timely action to address

matters that are perpetuating discrimination or precluding industry efficiency, thereby

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 can delay either operational efficiencies or

technological changes which would foster a more economical ocean shipping system. 
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Finally, we have developed a single comprehensive goal designed to improve 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. 

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 doing all that is necessary to accomplish 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: Formal Proceedings

Related Strategic Goals:

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. Efficient Regulatory Process: Promote 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. 

Performance Goal Outcome Performance Indicator Process/Activity Performance

Measure/Evaluation

Actual Performance 

FY 99 to Date

By end of FY99,

Commission decisions

on average are issued

16 months from date

case begins, so the

public is provided with

more timely

determinations on

contested matters.

Provide industry &

public with informed,

judicious decisions in a

more timely manner to

permit them to conduct

their business with more

certainty as to 

acceptability/ legality of

their activities. 

Issue Commission

decisions on average 16

months from date case

begins.

- ALJs encourage:

settlement; use of ADR;

shortened procedure in

Subpart K; written

submissions as opposed

to hearings.

- Specific timetable for

agency action once ID

issued.

- ALJ and Secretary's

Office review status of

all proceedings monthly

& report to Chairman.

- Annual reviews are

conducted by

Secretary/GC to assess

overall achievements.

For FY98, the average

completion time for

formal proceedings has

been approximately 15

months, which is down

from almost 17 months

in FY97. To date in FY

99, the average is

approximately 11

months.
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Performance Goal Outcome Performance Indicator Process/Activity Performance

Measure/Evaluation

Actual Performance 

FY 99 to Date

By mid-FY99, assess 84

Act, PL 89-777 &

Reform Act proposals &

identify changes to

benefit US commerce,

to facilitate FMC

oversight, and to provide

appropriate level of

protection for the

cruising public, and

appropriately advise

Congress. Monitor

impact and effect of new

legislation and

implementing

regulations to assess if

changes are warranted.

- More equitable,

efficient trading

conditions.

- Enhance industry

flexibility in conducting

business.

- Reduce filing &

compliance burdens.

- Facilitate FMC

oversight to protect

against negative effects

on commerce.

- Ongoing assistance to

Congressional

Committees is provided.

- Input forwarded to

Congress detailing

desired changes.

- Consult with affected

industry groups.

- Senior staff

recommend approach &

assign staff to process.

- Staff completes

technical analysis &

drafting.

- Matters forwarded for

Commission action.

- Chairman monitors

progress via periodic

meetings with senior

staff.

- Monitor progress of

proposals once

forwarded to Congress.

- Periodic reviews are

conducted to assess

impact of any changes

effectuated.

- Frequently & regularly

provided Congressional

staff with suggestions

for shipping reform

legislation, & offered

input on proposals

origi-nating from

industry sources during

the reform process.

Contributions were

acknowledged by

Congressional staff as

instrumental in

composing legisla-tion

improving FMC

oversight.

- Promulgated &

finalized rules reflecting

the intentions of OSRA

& concerns/advice of

interested parties by the

assigned statutory

deadline of 3/1/99.

- Concerning certain

Interim Final Rules,

considered industry

comment and issued

Final Rules by 5/1/99. 
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Performance Goal Outcome Performance Indicator Process/Activity Performance

Measure/Evaluation

Actual Performance 

FY 99 to Date

Develop & utilize

process for rapid

response to clear cases

of fraud & passenger

vessel operators'

financial failures with

result, e.g., 25%

increase in FY99 in

number of unscrupulous

intermediaries forced to

cease & desist in

actions harming

unsuspecting shippers.

- Preclude dishonest,

corrupt companies from

harming unsuspecting

shippers.

- Assist cruising public in

receiving refunds for

canceled voyages.

Approach in place for

each by 3/31/99.

- Task force of GC,

BOE, BTCL & OIIC.

- Consultations w/DOJ.

- Compare number of

informal inquiries/

complaints &

Congressional inquiries

on these items with prior

years.

- Obtain feedback from

affected parties on any

instances that develop.

Established the task

force. Actions have

been initiated to put

unscrupulous

intermediaries out of

business. 

By mid-FY00, review

and modify the

Commission's Rules of

Practice & Procedure,

with a view towards

modernization,

clarification, elimination

of unnecessary

provisions, & expediting

resolution of issues.

Monitor effect of the

revisions to determine if

further changes are

warranted.

- Parties will better

understand how to

proceed among various

approaches to obtaining

remedies. 

- Proceedings should be

less cumbersome &

expensive to parties. 

- Proceedings may be

resolved more

expeditiously.

- Rules were amended

by 3/31/99.

- If further rule revisions

are necessary,

formulate proposal by

9/30/99.

Formal rulemaking

proceeding that

considers input from

general public.

Secretary monitors

impact by observing the

frequency & nature of

public inquiries about

procedures & the ease

with which proceedings

are resolved by initial

decision makers.

- Final rule served

February 1999.

- Review taking place to

determine if further

revisions are necessary.
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Budget Program Activity: Operational and Administrative

Related Strategic Goals:

1. Compliance: Promote the development of U.S. exports and the efficiency of ocean shipping by ensuring

compliance with shipping statutes administered by the FM C. 

4. Internal Capabilities: Ensure the FMC has the organizational ability and the managerial leadership necessary to

meet its regulatory, enforcem ent and educational responsibilities. 

Performance Goal Outcome Performance Indicator Process/Activity Performance

Measure/Evaluation

Actual Performance 

FY 99 to Date

Develop & implement

enforcement/

compliance initiatives to

address evolving

violative malpractices or

non-compliance

activities influenced by

experience under OSRA

by end of FY99. 

- Increased statutory

com pliance, particularly

with the spirit of OSRA.

- More efficient flow of

commerce.

- Initiatives are fully

operational by 1/1/99. 

- OSRA-driven initiatives

fully operational by

1/1/00.

- Staff resources

targeted in areas of the

initiatives to identify

probable violators.

- Communication with

affected parties and

self-policing groups. 

- Overall efforts to

determine probable

violators, target same &

eliminate probable

compliers.

- Staff working groups

develop/concentrate

detailed actions on

probable violators. 

In targeted areas:

- The number of

settlements in FY99

increases.

- And/or the dollar

amount of settlements

increases during FY99.

- And/or the number of

investigative cases

increases in FY99.

- And/or the number of

formal proceedings

increases in FY99.

- Self-policing groups in

fact report decreases in

malpractices or

non-compliance

activities.

This goal was

predicated for the most

part on legislation which

might cause the

evolution of violative

malpractices. Legislation

now effective 5/1/99.

Regarding malpractices

prior to 5/1/99,

significant actions

completed & pending.
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- Shipper complaints to

agency ombudsman

decline.

- No negative

information developed

against probable

compliers.

Maximize use of

Information Technology

("IT") by fulfilling all

goal-related objectives

of IT 5-year plan by

3/30/99, to increase

staff efficiency. By

1/1/00, maximize use of

IT required by OSRA.

- Reduced number of

staff hours required to

com plete analytical &

other regulatory

activities.

- Reduction of

compliance burden

through appropriately

secure IT.

- Fully integrating all

agency elements on an

Intranet system

post-OSRA.

- Make all appropriate

agency documents

available on the Internet.

- Fulfillment of

goal-related objectives

in IT 5-Year Plan by

3/30/99; appropriately

adjust IT 5-Year Plan by

6/30/99.

- Assessment of

computer security

measures by 6/30/99 &

computer

security-related plans

adjusted by 9/30/99.

- IT staff efforts

integrated with program

staff activities in

targeted areas of

regulatory burden and

agency IT

enhancements.

- Ongoing analyses of

regulated parties'

reaction to success of

performance goal.

- OSRA-related IT

activities dominate.

- Number of necessary

administrative steps for

industry compliance

reduced by 10-20%.

- Number of security

compromise or "virus"

related delays &

burdens reduced by

10%.

- Audit procedure to

determine if above

measures &

Intranet/Internet efforts

are achieved.

- In evaluation effort,

employ use of

consultant as

appropriate.

- To date, required

goal-related objectives

of IT 5-year plan are on

track; some are ahead

of schedule.

- Note: New technology

(internet firewall)

procured & operational

to prevent security

breaches.

Since OSRA now will

impact individual

employee goals &

performance, by

10/1/99, conduct an

audit to ensure that

performance appraisal

- Minimal disruption of

normal agency

operations while

transitioning to adjusted

goals.

All present compliance

& enforcement

program s are

maintained at constant

levels. 

- During transition, close

coordination of program

staff with administrative

support staff.

- Close coordination of

management with IG.

- Actions by

Commission qua

Comm ission remain

constant.

- Public complaints to

ombudsman regarding

Comm ission's

N.B. The effective date

of OSRA requires in

some instances internal

reorganization before

OSRA integrated into

individual performance

plans. 
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 process specifically

consider activities

unique to OSRA. 

- Employee job

satisfaction/morale

remains stable. - Close inter-bureau

coordination to avoid

program overlap.

performance remain

constant, as well as

employee complaints &

grievances.

- Internal feedback

mechanisms & IG &

EEO program activities

& audits validate

effectiveness of

performance goals and

their measurements.

- Appropriate action has

been effected in

expectation of audit.

- Managers have been

advised to ensure the

relationship exists

between actual

performance & strategic

plan/ performance plan.

- All SES contracts now

contain such specific

references .

Develop administrative/

operational procedures

to address a regulatory

environment without

tariff filing. 

Effective monitoring of

the regulated industry in

the spirit of a

deregulated tariff filing

environment.

Use of previously

untried methods or

process to replace

traditional tools (i.e.,

ATFI). 

Greater number of

inter-bureau/office

issues or cases of

common interest.

- Redirection of 25% of

overall resources from

present activities. 

- Some reorganization

within bureaus. 

- Promulgated final rules

for publication of carrier

automated tariffs to

implement OSRA.

- In process of

developing tariff review

plans under OSRA.

- Tariff transition issues

are being coordinated

among Bureaus.
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Budget Program Activity: Economics and Agreement Analysis

Related Strategic Goals: 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. Efficient Regulatory Process: Promote 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. 

4. Internal Capabilities: Ensure the FMC has the organizational ability and the managerial leadership necessary to

meet its regulatory, enforcement and educational responsibilities.

Performance Goal Outcome Performance Indicator Process/Activity

Performance

Measure/Evaluation

Actual Performance 

FY 99 to Date

Assess information form

reporting requirements

& reduce number of

information form reports

by at least 20%.

- Modified requirements

that require information

relevant to assessment

of an agreem ent's

anticompetitive impact,

with minimal burden on

filing parties.

- Facilitate staff data

compilation & analysis.

- Complete review by

12/31/99.

- Propose any changes

by 12/31/99. 

- Remove requirement

for unnecessary

information; propose

new/modified

requirement to obtain

necessary information.

- Will perm it

assessment of OSRA

for 8 months.

- Bureau working group

of economists &

transportation

specialists.

- Consult with General

Counsel on legal

aspects. 

- Comments in any

rulemaking. 

- Analysis of allocation

of resources &

productivity before &

after.

- Agreem ent reports

utilizing information form

data.

Conducted audit of

information form

reporting requirements

required of all A&B-type

agreem ents in

preparation for FY00

reductions in number of

reports filed.
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Apply economic analysis

component of 6(g)

process to evolving

industry & modify

agency approach as set

forth in Conference

Report on OSRA, &

issue two 6(g) analyses

under refined process.

- Efficient, effective

consideration of new

types of seriously

anticompetitive

agreements.

- Elimination of

concerted activity

detrimental to shippers. 

- Statutory compliance.

- Effective flow of US

commerce.

- 6(g) analyses are

readily performed on

these new types of

agreements due to a

refined process. 

- At least two 6(g)

analyses under refined

process conducted on

agreement authority or

activity in FY99.

- Bureau working group. 

- Compilation & analysis

of agreement

information

form/monitoring report

data.

- Shipper & carrier

feedback. 

- Review of 6(g) activity. 

- Completed initial 6(g)

analysis of major

evolved discussion

agreem ent in

transpacific.

Refine teamwork

approach to monitoring

carrier concerted activity

& capture informally in

two instances or issue

two §15 orders in FY99

aimed at eliminating

significantly

anticompetitive

concerted carrier

activity.

Elimination of

significantly

anticompetitive

concerted carrier activity

that has a negative

effect on shippers or US

commerce.

- Refined process

operational by 9/30/99.

- Process includes

outline for concise

reports/studies.

- Two informal industry

data submissions or two

recommended

Commission §15 orders

or compliance/

enforcement initiatives

by the end of FY99. 

- Intra-bureau working

group. 

- Available databases on

cargo movements &

carrier market share.

- Assessment of

proposed recommended

actions.

- Industry feedback. 

One §15 order already

issued for Asian

Shipowners Forum &

another prepared

concerning major

transpacific agreement.

Enhance FM C ability to

utilize agreements

information by

consolidating bureau

databases & making

available to other

Commission

components on the

agency intranet.

Enhanced access to

agreement information

for streamlined oversight

of carrier activity.

- Conversion of

database to ACCESS

software.

- Availability to

Commission users on

agency intranet.

- Working group of

Bureau staff to establish

procedures & convert

existing agreements

databases to ACCESS.

- Coordination with

OIRM on intranet

availability.

- Consolidated database

available within Bureau.

- Availability on the

intranet.

- Feedback from other

agency offices &

bureaus.

Database converted and

consolidated; available

within Bureau.
15

Budget Program Activity: Tariffs, Certification & Licensing

Related Strategic Goals: 3. Efficient Regulatory Process: Promote a tim ely, 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.

4. Internal Capabilities: Ensure the FMC has the organizational ability and the managerial leadership necessary to

meet its regulatory, enforcem ent and educational responsibilities. 

Performance Goal Outcome Performance Indicator Process/Activity

Performance

Measure/Evaluation

Actual Performance 

FY 99 to Date

Maximize the use of

available IT to develop

by 3/30/99 a

cost-justified proposal

for the automated filing

of service contracts.

- Elimination of

unnecessary paper filing

of service contracts, for

the benefit of filing

parties & Comm ission. 

- More ready

accessibility of service

contract data for staff.

- Reduction in storage

space needed at

headquarters.

- Research & analyses

completed by 2/15/99. 

- Proposal forwarded to

FMC by 5/30/99. 

- Assessment of

involved policy/

technological issues. 

- Coordination with

OIRM & agency

Contractor on software/

hardware issues.

- Informal consultation

with filing reps, to

encourage

experimentation with the

optional filing

opportunity in current

rules.

- Ongoing monitoring of

Bureau efforts. 

- Assessment at

milestone dates. 

- Informal inquiries to

industry on probable

effects of proposal.

- Two options for

electronic filing of

confidential service

contracts completed by

3/1/99 with new OSRA

rules. Each option was

fairly elementary.

- Contracts being

successfully filed in

each system.

- Staff assessing each

system for any

necessary

improvements.

By 3/30/99, freight

forwarder license

applications processed

completely within 30

days, absent applicant

delay and m onitored to

maintain continued

achievement thereof.

- Applicants can

proceed with certainty in

shorter time frame.

- Those who require

freight forwarder

services have an

increase of options

sooner.

- Applicants advised

within 7 days of deficient

applications. 

- Processing completed

within 30 days (unless

delayed by applicant). 

- Revise procedures &

guidelines to facilitate

staff review. 

- Further improve

application form &

package. 

- New software to

assess application

processing time vs. time

frame objectives. 

- Review productivity

levels & number of

applicant &

Congressional inquiries

Completed task.

Monitoring to confirm

achievement continues

for remainder of FY99 &

beyond.
16

- Reduced inquiries from

applicants & Congress

on status of pending

applications. 

- Provide appropriate

advice & assistance on

the Internet. 

- New computer

software providing an

automated application

processing management

system.

on a quarterly basis.

- Semiannual inquiry to

Natl. Freight Forwarders

Assoc. re: views on

processing program.

By 3/30/99, develop a

guide regarding

information & guidance

of bureau activities

available on the FMC

home page.

- Public obtains

information more

efficiently & promptly. 

- Commission staff can

devote time to more

substantive work. 

- Increased number of

forms placed on Web.

- Reduction in number of

hard copies provided of

explanatory documents,

guidance & forms.

- Direct staff to

encourage all inquiries

to obtain information

from home page.

- Require responses,

where appropriate, to be

sent by e-mail. 

- Foster use of home

page in industry

meetings & at industry

events.

- Measure BTCL

documents on home

page semiannually. 

- Measure "hits" on

BTCL's items on home

page quarterly.

- At 6-month progress

reviews & annual

performance appraisal

meetings, measure

amount of staff time

spent providing

documents or

information.

- Semiannually inquiry

to directors of leading

industry associations re:

use & acceptability of

Internet for info/docs.

Completed, regarding

information and

guidance presently

existing. Efforts ongoing

re: emerging info driven

by OSRA. 

By 9/30/00, passenger

vessel applications

processed completely

within 30 days, absent

applicant delay.

- Applicants can

proceed with certainty in

a shorter time frame.

- Reduced inquiries from

applicants on status of

pending applications. 

- Applicants advised

within 7 days of deficient

applications. 

- Processing completed

within 30 days (unless

delayed by applicant). 

Review procedures to

ensure efficient staff

review.

Review of time taken to

process complete

applications.

- Initial steps taken to

streamline processing.

- Entire program under

review re: substantive

requirements & internal

functions.
17

Budget Program Activity: Enforcement

Related Strategic Goals: 1. Compliance: Promote the development of U.S. exports and the efficiency of ocean shipping by ensuring

compliance with shipping statutes administered by the FM C. 

3. Efficient Regulatory Process: Promote 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. 

Performance Goal Outcome Performance Indicator Process/Activity Performance

Measure/Evaluation

Actual Performance 

FY 99 to Date

Actions under SBREFA

for FY99 indicate

increase of 15% in

num ber of small

businesses provided

with regulatory

compliance. Actions

required by SBREFA for

FY00 met under OSRA

rule requirements.

- Small businesses are

afforded the special

treatment intended by

SBREFA. 

- Agency activities with

small businesses

improve compliance with

applicable regs. 

Reported percent of

increase comports with

other agencies'

experience. 

- Consultation with SBA.

- Review of initial

approach to this aspect

of SBREFA. 

- Comparison of

statistics on dealings

with small businesses

before & after. 

- Reports to Congress or

other required entities.

- Initiated SBREFA

program. Filed initial

reports to Congress.

Compiling data for

reporting performance in

FY99.

- Required compliance

guide under SBREFA

drafted.

Formal legal opinions &

informal staff advice in

FY99 provided 25%

more quickly in 75% of

cases, so industry can

proceed with business

activities on more timely

basis.

- Facilitate staff

accomplishment of

regulatory functions.

- Staff responds to the

industry and public more

quickly to enable them

to proceed with their

activities on an informed

basis.

No in-place feedback

measurements conflict

with the goal. 

- Coordination with other

Commission units.

- More streamlined

bureau approach to

such matters. 

- Comparison of bureau

statistics before & after. 

- Feedback from other

agency components. 

- Feedback from

industry on agency

responsiveness.

- Instituted improved IT

system for monitoring

bureau activities.

- Increased BOE liaison

with GC regarding

OSRA rule-writing effort.

- BOE actions com port

with thrust/spirit of

OSRA & OSRA rules.
18

Shipper complaints to

agency, both traditional

& those driven by

OSRA, show a 10-20%

decline between 4th

quarter of FY99 & 1st

quarter of FY00.

- Improved compliance

with shipping statutes,

particularly OSRA.

- Commission resources

can be utilized to

address most egregious

violators. 

- More efficient flow of

US commerce in

accordance with

objectives of 84 Act.

- Level of voluntary

compliance increases.

- Trade press & other

public monitoring

vehicles reflect service

enhancements available

to shippers.

- Consultation with all

segments of the

industry.

- Possible use of ADR or

Reg.Neg.

- Educational and

informational activities

(seminars, industry

conferences, meetings,

IT outreach). 

- Comparison of bureau

statistics before & after. 

- Number of educational

& informational efforts.

- Results of any

rulemakings. 

- Feedback from

industry.

- Data compiled for use

in comparison with FY99

activity.

- New methods of

response to shipper

formal/informal

complaints to agency

driven by deregulatory

spirit of OSRA were

initially developed.

- Initial response to

performance goal

subject of

recommendation to

Commission (Fact

Finding 23 followup).

20% reduction in time to

conclude formal

enforcement

proceedings.

- Improved utilization of

Commission resources.

- Industry receive

direction for future

activities.

- Improved compliance

with shipping statutes.

Improved compliance

with statutes &

regulations.

- Monitor formal

proceedings to ensure

timely completion of

each segment of

process.

- Promote settlement

process & use of ADR

where applicable.

Comparison of bureau &

Commission statistics.

Assessments of goal

under OSRA ongoing.
19

Budget Program Activity: Administration

Related Strategic Goals:

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

to meet its regulatory, enforcement and educational responsibilities. 

Performance Goal Outcome Performance Indicator Process/Activity Performance

Measure/Evaluation

Actual Performance 

FY 99 to Date

By 3/30/99, develop

instrument/ docum ent &

process for ensuring

regular exchange of

information between

agency units & provider

of administrative support

services to improve level

of service.

- Agency components

get what they need in a

timely manner to

improve their

operations.

- Increased efficiency for

BOA offices. 

- Improved

communication between

BOA and other

components.

- Role/responsibility

clarification.

BOA considered: 

- helpful

- creative advisors or

problem solvers

- efficient

- accurate

- timely.

- Review applicable

SOPs and Commission

Orders.

- Modify as necessary to

streamline & remove as

much burden as

possible.

- Meet with

Bureau/Office Directors

periodically. 

- Assessment of

timeliness, accuracy of

information provided &

courteousness, with

inquiries to agency

components.

- Benchmark with

appropriate relevant

entities. 

- Reviewed &

determined Commission

Orders which require

update/revision; acted

upon several. 

- Implemented

government purchase

card, which facilitated

timeliness of purchases.

Develop appropriate

plan in second quarter

FY00 to meet agency

training needs, so

employees have the

skills to more effectively

accomplish regulatory

responsibilities [driven

by 8 months under

OSRA].

Employees with relevant

skills and abilities to

more effectively

accomplish their

regulatory

responsibilities. 

Timely adjustment to

changing agency

priorities and/or

workload. 

- Survey of supervisors

to assess training

requirements. 

- Quarterly training

reports. 

- Coordination with IRM.

- Ongoing assessment

of quality of substantive

work products.

- Assess volume of staff

work products via review

of monthly workload

statistics.

- Prepared monthly

training reports.

- Coordinated with

OIRM on IT training

needs for FY99 & future

training needs.
20

- Review of quarterly

training reports.

- Assess feedback from

trainee/supervisor on

each training course

attended.

- Assess employee

morale via ad hoc

meetings, during

progress reviews, and at

performance appraisal

meetings.

- Office/Bureau directors

advised Personnel

Director results of

review of employee

performance plans. 

By 12/31/99, through an

appropriate certification

process, ensure that all

employees' individual

performance plans have

been revised to com port

with thrust of strategic

plan & annual

performance plan.

- Facilitates agency

accomplishment of

various Administration

directives & new

statutes. 

- Increases agency

efficiency &

effectiveness. 

- Ensures program &

employee accountability

& improves

organizational &

individual performance.

- Improves internal

customer satisfaction &

enhances beneficial

work atmosphere.

Meet organizational &

individual performance

objectives. 

- Advise supervisors to

update individual

performance plans to

comport with agency

strategic performance

plan goals.

- Revise & simplify

incentive awards

program to complement

agency funding levels &

comport with OPM

deregulation, etc.

- Strategic Plan review.

- Review of individual

performance

plans/performance

appraisals.

- Training assessment.

- Certification by

Bureau/Office Directors

that performance plans

are current & comport

with Bureau/Office

performance goals.

- Notified supervisors via

June 1998 memo to

review & update, as

required, all employees'

performance plans & to

consult with Personnel if

necessary.

- Each office/bureau

submitted memo to

Personnel Director

indicating they had

reviewed employees'

performance plans

(July/August 1998).
21

Enhance FMC

compliance with Final

Rule implementing Debt

Collection Improvement

Act of 1996.

Ensure debts owed to

the FMC are collected &

procedures regarding

outstanding debt

vigorously pursued.

Number of debts &

dollar amount we are

unable to collect, refer to

Treasury.

- Develop procedure to

ensure all debts are

pursued in accordance

with the Act.

- Assess impact of

OSRA on previous &

projected collections. 

Number & amount of

dollars of uncollected

debts.

Reassessment of

process/activity since

removal of tariff filing

under OSRA.