FEDERAL MARITIME COMMISSION

FINAL ANNUAL PERFORMANCE PLAN

FOR FY 2003

February 2002
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INTRODUCTION

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

for FY 2003. As set forth in the Government Performance and Results Act ("GPRA") 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 three 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. Also, the Commission benefitted from

preparation of its two-year study of OSRA, The Impact of the Ocean Shipping Reform Act

of 1998, which was issued in September 2001. The Report relied on a broad range of

sources in culling information on how the new law has played out across the ocean

shipping industry. It provides objective, impartial findings on the regulatory and commercial

impact of OSRA, and identifies the issues the Commission must continue to address as it

fulfills its oversight mandates.

Additionally, in preparing this plan, the Commission has paid particular attention to the

importance of effectively managing and utilizing its human resources. Building on the

initiatives undertaken pursuant to prior annual performance plans, we have established

performance goals that seek to enhance employee performance while providing the staff

with the capability to provide more efficient, user-friendly services to those who interact with

us. 

Further, our FY 2003 Plan seeks to take better advantage of emerging technologies and

to offer time/cost saving e-services to regulated entities and the public at large. The

advances we hope to achieve under the Government Paperwork Elimination and E-Sign

statutes in FY 2002 should put the agency in a position to better serve our stakeholders

and other interested parties. 

The Commission continues to tailor 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 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.
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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 five 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 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. In preparing our two-year

study of the impact of OSRA, we contacted all sectors of the ocean shipping industry to

solicit input on the key issues that needed to be addressed. A formal Notice of Inquiry also

was issued to obtain industry feedback on specific areas of relevance. 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
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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

further outreach efforts 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

2003 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

FTEs and funding not specifically reflected in this plan is necessary to perform those other

activities. Additionally, our funding figures do not consider the $1,126,000 added to the

Commission's budget to cover the potential shifting of certain retirement and health benefit

costs from central accounts to our specific program accounts, as envisioned by the

proposed Freedom to Manage Act of 2001. 

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. Additionally, we continue to ensure that all employee performance plans

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 is evaluated in part on how they

achieve the objectives in this plan. 

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. 

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
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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 ("1984 Act"), 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. 

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
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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

economical 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 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 - 16.35 FTEs and $2,099,883 will baccomplish the goals under this Program Activity. 1. Efficient Regulatory Process: Provide a timely, efficienregulatory process, to enable all segments of the industry conduct their operations more effectively and with minima 4. Internal Capabilities: Ensure the FMC has the organizthe managerial leadership necessary to meet its industry enforcement, and educational responsibilities. 

Performance Goal Outcome Performance Indicator Process/Activity 

Me

1. Increase by 50% overFY 2002 the number offormal proceedings inwhich the Commission'sADR mediation servicesare actively utilizedtowards informallyresolving the involveddispute.

- Reduce litigants' costs inresolving complaints. - More expeditiousresolution of shippingdisputes.- Streamline agencyoperations and reduceagency costs related todeciding complaints viathe full hearing process. 

- Establishment ofeffective procedures forinter-agency coordination. - Number of cases inwhich agency mediatorsactively attempt disputeresolution. - Number of casessuccessfully mediatedwhich result in settlementor withdrawal of thecomplaint.- Number of cases wheremediation facilitates caseprocessing anddecision-making by theinvolved ALJ.

- Ongoing coordinationbetween the Office ofALJs, the Commission'sChief Mediator in theBureau of ConsumerComplaints & Licensing,and the Secretary's Office.- ALJs work actively at theoutset of a proceeding toencourage mediation inline with the proceduresset forth in theCommission's final rule inthis area. - Active publication of thebenefits of theCommission's mediationservices, e.g., website

- Assignof form- Oversactivity Mediato- Compwith pri- ProceproceedOffice.
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information, attendingindustrymeetings/conferences,press coverage.- Ongoing training forCommission mediators toenhance skills towardmore successful mediationefforts.

2. By 3/30/03, requests forpublic informationreceived by the Office ofthe Secretary are referredfor response on the datereceived, and initialcontact is made within onebusiness day.

- Expedite Commission'sresponse to publicinquiries. - A citizen-centeredprogram that enhancesthe Commission's deliveryof services to interestedparties.- Enable stakeholders andthe public to proceed withactions or make businessdecisions more promptlyand in a more informedmanner.- Better management ofagency services. 

- Number of inquiriesreferred and acted upon. - Time frames involved inreferring and respondingto inquiries.- Feedback fromstakeholders and thepublic.

- Secretary's Officeestablishes internalguidelines for reviewingand referring inquiries. - Bureau/office directorsestablish operatingprocedures to ensure thatall inquiries are respondedto within one businessday.

- Office time beand dat- Bureaoversig- Office followuprompt 

3. Provide assistance andtechnical advice toCongress regardingissues identified in theCommission's OSRAImpact Study as areas forpossible legislative

- Congress can proceedon a more informed basiswith a complete andaccurate record.- Remove any negative

- Ongoing assistanceprovided to Congressionalcommittees.

- Office of GeneralCounsel serves as liaisonwith Congressionalcommittees andcoordinates all staffefforts. 

- Chairmvia periGenera- Geneongoing Congre
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consideration. effects caused by

legislative uncertainties. - Enable all sectors of theindustry to make businessdecisions and conductoperations with morecertainty as to legallypermissible activities. - Congressional action canfacilitate FMC oversight.

- Accurate and clearlypresenteddata/information/writtenproducts forwarded toCongress in a timelymanner. - Feedback fromCongressional staff andstakeholders.

- Chairman providesoversight and policydirection to Office ofGeneral Counsel.- Office of GeneralCounsel keepsCommission apprised ofongoing activities.

- Geneprogressuggesforward
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Budget Program Activity:Related Strategic Goals:

Operational and Administrative - 14.05 FTEs and $1,9required to accomplish the goals under this Program Acti1. Efficient Regulatory Process: Provide a timely, efficienregulatory process, to enable all segments of the industry conduct their operations more effectively and with minima4. Internal Capabilities: Ensure the FMC has the organizathe managerial leadership necessary to meet its industry enforcement, and educational responsibilities.

Performance Goal Outcome Performance Indicator Process/Activity

PeMe

1. Ensure that an effectiveagency-wide securityprogram that complies withthe GovernmentInformation SecurityReform Act ("GISRA") is inplace by 6/30/03. Theprogram must provide for:appropriate managementcontrols and riskmanagement; all necessarycontingency planning; thephysical security of allequipment; securityawareness training foragency employees; andappropriate documentation

- Compliance with GISRA. - Minimize security risksand provide appropriatesecurity for Governmentinformation and equipment.- Agency is in a betterposition to identifyrisks/vulnerabilities andmove effectively to addresssame. - Employees properlytrained and fully cognizantof relevant securityrequirements. 

- All necessarydocumentation properlyprepared regarding agencysystems/programs, e.g.,Configuration ManagementGuide, Contingency Plan. - IG finds no materialweakness or significantdeficiencies in agencysecurity operations.- Agency reports nomaterial weakness in 03Federal Managers'Financial Integrity Actreport and other related

- Contract for a consultantto assist in correctingpreviously identifieddeficiencies, e.g., preparingnecessary documentation,training staff, etc. (up to$175,000 will be earmarkedfor this assistance).

- OIRM staff, with oversightof Executive Director'sOffice, to work closely withbureaus/offices to improvesecurity plans and prepareeffective self-assessments. 

- Rass- EOffactChnee- IG - Gana
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of all procedures andsystem operations.

management reports. - Security training properlyaccomplished. 

- Staff coordinates with IGin performing GISRAreviews/assessments, andinitiating necessary securitymeasures.- Executive Director's Officedirects ad hoc riskmanagement andvulnerability assessmentson specifiedsystems/operations. 

2. Develop and implementa comprehensive trainingplan that focuses onenhancing staff analyticaland communications skills,acclimating new hires to themaritime industry andagency operations, andenabling staff to fully utilizeemerging developments inthe IT area. 

- Employees developimportant skills and abilitiesto accomplish their variousresponsibilities moreeffectively. - Employees provided withbetter understanding ofregulated industry andFMC's mission/strategicgoals.- Better utilization ofavailable technology toincrease employeeefficiency andeffectiveness. 

- Plan developed by10/31/02.

- Widespread agencyenrollment in varioustraining courses beginningin November 02 andrunning through the fiscalyear.- Internal cross-trainingprogram initiated by end ofsecond quarter for purposeof educating staff onoperations of variousagency units as well asrelevant industryactivities/practices.

- Training Officer plans,coordinates, and managesprogram. - Supervisors surveyed toassess primary areas offocus. - Employees surveyed toidentify particularcourses/training needs. - Training Officer exploresall avenues for training,including e-learningoptions, Small AgencyCouncil offerings, grouptraining sessions, and freeor reduced rate governmentcourses. - Executive Director's Officecoordinates development ofcross-training program.

- EOfftrai- Tasstraion cou- Othe wo- Rwodetgai- Ue.gand appem
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3. Review all internalCommission issuances forcontinued applicability,accuracy, clarity, andpotentially unnecessaryprocedures/processes, andthen develop a plan forimplementing allappropriate modifications. 

- Ensure that onlyissuances that serve aviable purpose remain ineffect. - Eliminate unnecessaryprocedures/burdens/requirements that could beresulting in unwise use ofemployee time. - Clarify and updateapplicable issuances tofacilitate accomplishment ofrelevant tasks andobjectives.- Employees' time freed-upfor more substantiveassignments.

- Review of all issuancescompleted by 10/31/02. - A comprehensive plan isdeveloped by 11/14/02 thatidentifies all issuancesrequiring change andmakes necessaryassignments.- All changes andrevocations are completedby 9/30/03. 

- Project will be managedfrom Executive Director'sOffice by ExecutiveAssistant to the ED.

- Executive Assistant willreview all CommissionOrders and make initialsuggestions/recommendations.- Each agency unit willhave a designated point ofcontact familiar with itsunit's operations, to beresponsible for allsubstantive review andmodifications.- Various CommissionOrder changes andrevocations are initiatedand then forwarded throughnormal clearance processfor review and approval.

- Eenspladea- Eperand ensproacc- Ecomissend yea- Echeheachafacaccresstaavawo
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Budget Program Activity:Related Strategic Goals:

Consumer Complaints & Licensing - 10.9 FTEs and $1required to accomplish the goals under this Program Acti1. Efficient Regulatory Process: Provide a timely, efficienregulatory process, to enable all segments of the industry conduct their operations more effectively and with minima3. Compliance: Promote the development of U.S. exports 

of ocean shipping by monitoring and assisting stakeholdecompliance with shipping statutes administered by the FM4. Internal Capabilities: Ensure the FMC has the organiza

the managerial leadership necessary to meet its industry enforcement, and educational responsibilities. 

Performance Goal Outcome Performance Indicator Process/Activity 

M

1. Evaluate passengervessel operator ("PVO")program and suggestchanges, if necessary, toassure that it meetscontemporary needs ofcruising public. 

- Statutory compliance. - Assist cruising public indealings with PVOs.- Enhance public'sprotection againstnon-performance by cruiseoperators. 

- Report delivered by9/30/03 forcomments/evaluation ofrecommendations. - Approvedrecommendationsimplemented in a timely,effective manner.

- Discussions with staffand communication withindustry experts. - Analysis of rules, PVOdata, comments, andcomplaints with regard toPVO noncompliance. - Preparation of report forCommissionconsideration. 

- Btimasp- Eoveof arec
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- Implementation of reportrecommendations. 

2. Develop effective programfor updating oceantransportation intermediary("OTI") licensee data. 

- Ensure OTI datamaintained by theCommission is current.- Industry can conductoperations based onreliable data/information. - Enhance agencyoversight and enforcementefforts. 

- Report delivered by9/30/03 forcomments/evaluation ofrecommendations. - Approvedrecommendationsimplemented in a timely,effective manner.- Feedback from industryand public.

- Discussions with industrysources. - Coordination with Bureauof Enforcement onobtaining currentinformation. - Increased staff focus onusing all available sourcesto obtain current, reliableinformation.

- Bass- Eapprec- Aindavainfo

3. Enhance informalcomplaint database toinclude more specific detailson types of complaintsagainst cruise operators. 

- Users of theCommission's informalcomplaint database receivetimely, accurate, detailedinformation concerning thetypes of complaints filedagainst cruise lines, onboth individual andaggregate bases.- Complements existinginformation sources withrespect to identifyingpossible nonperformancerisks.

- Provides an evidentiary

basis for determiningpossible legislativepriorities in the passengervessel area.

- Database encompassingcurrent data online andaccessible by 6/30/03. - Reports available forinclusion in the monthlyreport by 6/30/03.

- Design and maintenanceof a Bureau of ConsumerComplaints & Licensingdatabase encompassingthe input of detailed cruisecomplaint information atthe times of filing andsignificant processingactions. - Systematic input into thesystem of recent historicalcomplaint information. 

- Dacctim- Fuseposaggthe 
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Budget Program Activity:Related Strategic Goals:

Trade Analysis - 15.05 FTEs and $1,834,611 will be reqaccomplish the goals under this Program Activity. 1. Efficient Regulatory Process: Provide a timely, efficienregulatory process, to enable all segments of the industry conduct their operations more effectively and with minima2. Balanced Enforcement: Foster economic efficiencies amarketplace factors by administering U.S. shipping statut

and equitable manner that redresses excessive anticomprestrictive practices of foreign governments. 

Performance Goal Outcome Performance Indicator Process/Activity 

M

1. By 12/31/02, furtherdevelop and apply updatedocean carrier constructivecosts benchmark to be takeninto account in analyses ofcontrolled carrier rate activityunder section 9 of the 1984Act, as amended by OSRA.

- Ability to expeditiously takeinto account as the needarises the compensatorycosts of controlled carriercargo movements beingmonitored for 1984 Actsection 9 compliance.- Streamlined method forconducting 1984 Act section9 cost analyses.

- Reliable compensatorycost estimates that can bejustified through validsampling/statisticalmethods.- Sound methodology forcalculating constructivecosts that can be reliedupon in 1984 Act section 9analyses.

- Present suggestedapproach to Commission.- Gather cost informationfrom commercialoperators.- Review vessel charterhire rates for proxyinformation on vesselcosts.

- Rfigucartradcon-Tuevacomsec

- R
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- More effective oversight ofthe rate activities ofcontrolled carriers.

- Feedback from U.S.-flagcarriers.

- Review trade press andpublic information sourcesfor vessel cost information.

estagaecopro

2. By 3/31/03, refine theongoing program to evaluatethe level of adherence inindividual carrier servicecontracts to agreementvoluntary service contractguidelines in major tradelanes.

- Full compliance with theshipping statute and agencyregulations.- Agreement-related rateand service levels do notadversely affect U.S.commerce.- Planned program goalreduces the need forsporadic investigative action.- More comprehensiveanalyses of agreementactivities and tradeconditions.

- Number of complaintsabout rates charged andservice offered individuallyby agreement parties.- Feedback from otherCommission components.- Number of informalinquiries requestinginformation and/orclarification on anagreement and its servicecontract activities.

- Refine methodology forreviewing voluntaryservice contractguidelines.- Identify service contractguideline rate objectives tobe audited.- Generate samples fromthe Commission's servicecontract database.- Compile information/datafor analysis.- Compare guideline rateobjectives with actualservice contract rates fordegree of adherence.- Report findings.

- Lecomof vconindcon- NCoagrcon- Pof f

3. By 3/31/03, implement aninternal training programdirected at improving staffwriting skills necessary forthe proper analysis andpresentation of issuesarising from the monitoringof industry activity pursuantto underlying statutes. 

- Improve the ability of staffto write various memorandaand studies that theaudience can easilyunderstand.- Minimize editing time ofsupervisors. 

- Less editing is done bysupervisors and seniorlevel officials.- The overall quality ofline-staff work productsimproves in comparison toperformance in FY 02. 

- Conducting internalmeetings dedicated toteaching the skillsnecessary for the writing,editing and presentation ofmemoranda and studies toBureau management,senior officials and theCommission. 

- Meacemdurinte- FoffiCosta
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- Clarity in writing andpresentation will make iteasier for senior levelofficials and the Commissionto understand the thrust ofthe staff'smemoranda/studies.

- This process mayinclude relevant trainingavailable from public andprivate institutionsdepending upon theindividual needs of eachemployee.
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Budget Program Activity:Related Strategic Goals:

Enforcement - 14.25 FTEs and $1,895,646 will be requithe goals under this Program Activity. 1. Efficient Regulatory Process: Provide a timely, efficienregulatory process, to enable all segments of the industry conduct their operations more effectively and with minima2. Balanced Enforcement: Foster economic efficiencies amarketplace factors by administering U.S. shipping statut

and equitable manner that redresses excessive anticomprestrictive practices of foreign governments. 3. Compliance: Promote the development of U.S. exports of ocean shipping by monitoring and assisting stakeholdecompliance with shipping statutes administered by the FM

Performance Goal Outcome Performance Indicator Process/Activity 

M

1. Review and monitoractivities of non-traditionaltransportation intermediariesand logistics serviceproviders to determineapplicability of, andcompliance with, OTIregulations.

- Promote equitablecompetition among entitiesacting as OTI serviceproviders. - When required, entitiesproperly licensed andbonded.

- Reduction of complaintsfrom lawful OTIs regardinginequitable competition.- Reduction in number ofimproper entities holdingthemselves out to provideOTI services. 

- Bureau of Enforcementcoordinates with Bureau ofConsumer Complaints &Licensing and Bureau ofTrade Analysis to identifyand monitornon-traditionaltransportationintermediaries andlogistics service providers.

- Nserlice- Cachnecenf
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- Public receives protectionsprovided by regulatorycompliance.

- Encourage voluntarycompliance withCommission regulations.- Initiate enforcementactivity if necessary toachieve compliance or toaddress market-distortingactivities. 

2. Effectively automate thegeneral indices of theBureau of Enforcement'ssystem of records used inOTI application review. 

- Improve the accuracy andtimeliness of submission ofessential information to theBureau of ConsumerComplaints & Licensing foruse in OTI applicationprocess.- Public will receiveresolution of OTI applicationissues in a more timelymanner.- More efficient use ofagency resources. 

- System automated andworking appropriately by6/30/03.- Bureau completes workin more expedientmanner.- Bureau of ConsumerComplaints & Licensingdecision-makingenhanced and OTIapplications processedmore quickly.

- Work with OIRM toevaluate system anddevelop necessary actionsfor effective automation.- Bureau of Enforcementconsults with Bureau ofConsumer Complaints &Licensing to ensureprogram comports with itsoperations.- OIRM accomplishesnecessary automationand, after appropriatetesting, Bureau fullyimplements.

- BoveOIRCoLic- Simp- Aresdetimp

3. By 12/15/02, refine andupdate the program forreview and monitoring ofactivities of controlledcarriers, to determineexcessive anticompetitiveactions or Controlled CarrierAct violations. Initiateappropriate enforcement

- Fulfill 1984 Act policyobjective of increasingreliance on marketplacefactors to determineoutcomes in U.S. oceanshipping.

- Program timelydeveloped andimplemented. - More effective and timelyreview of tariffs, servicecontracts, and agreementsinvolving controlledcarriers.

- Bureau of Enforcementworks with Bureau ofTrade Analysis and Officeof General Counsel todevelop appropriateprogram for review andongoing monitoring.

- Bmaeffo- ODirappcas
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action as necessary toaddress any such activitiesor practices.

- Promote equitablecompetition among commoncarriers by addressinganticompetitive activitieswhich are detrimental to themarketplace and U.S.commerce.- Appropriately addresspractices that unjustlydisadvantage U.S. interestsand/or privately ownedvessel operators.

- Effective and promptCommission response toidentified anticompetitiveactivities of controlledcarriers.

- Information and data issolicited from oceancarriers in trades beingreviewed.- Activities and practicesof identified controlledcarriers are targeted inimportant trades.- Initiate investigativeactivity and enforcementaction if necessary togather necessaryinformation or to addressidentified anticompetitiveactions.- Particular focus atregularly scheduledmeetings of agency's TaskForce on InternationalAffairs.

- Gproto Cforc