FEDERAL MARITIME COMMISSION 

FINAL ANNUAL PERFORMANCE PLAN FOR FY 2008

February 2007 
1 

LIST OF ACRONYMS 

1984 Act Shipping Act of 1984 

AR Area Representative 

BCL Bureau of Certification and Licensing 

BOE Bureau of Enforcement 

BTA Bureau of Trade Analysis 

CADRS Office of Consumer Affairs and Dispute Resolution Services 

COOP Continuity of Operations Plan 

EHR1 Enterprise Human Resources Integration 

e-OPF Electronic Official Personnel Folder 

FMC/Commission Federal Maritime Commission 

FR Final Rule 

FRB Federal Reserve Bank 

FTE Full Time Equivalent Employee 

FY Fiscal Year 

GPEA Government Paperwork Elimination Act 

GPRA Government Performance and Results Act 

IAA Inter-agency Agreement 

IT Information Technology 

NARA National Archives and Records Administration 

NPR Notice of Proposed Rulemaking 

NVOCC Non-Vessel-Operating Common Carrier 

OIT Office of Information Technology 
2 

OMB Office of Management and Budget 

OPF Official Personnel Folder 

OPM Office of Personnel Management 

OPS Office of Operations 

OSRA Ocean Shipping Reform Act of 1998 OTI Ocean Transportation 

Intermediary 

PVO Passenger Vessel Operator 

SAHRC Small Agency Human Resources Consortium 

SC Service Contract 

SOW Statement of Work 

U.S. United States 

VOCC Vessel-Operating Common Carrier 
3 

INTRODUCTION 

This document comprises the FMC’s Final Annual Performance Plan for FY 2008. This plan is 

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

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

performance. 

For FY 2008, 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 2008 focuses on continuing our efforts to implement the President’s 

Management Agenda initiative to expand electronic government. Several performance goals 

focus on utilizing technology to streamline and simplify the delivery of services and 

information to regulated entities and the public, and to improving our databases so the staff can 

more effectively identify regulated entities, relevant data/information, and potential abuses. 

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

particular focus on the more effective use of teleworking and the implementation of EHRI, and 

to improve our technological efficiency through upgrading agency network and desktop 

operating systems and improving access to library information. 

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. 

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. 
4 

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 have initiated a broader outreach program 

to expand our extant seminar series, where agency staff travels 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. 

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 2008 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 
5 

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 with a 

clear explanation of 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. 
6 

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. 

 

 
7 

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 marketdistorting 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. 
8 

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, 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 

this area, and the Commission intends to take advantage of any improvement that can enable it 
9 

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. 
10 

I. STRATEGIC GOAL: Efficient Regulatory Process 

36 FTEs and $6,731,000 will be required to accomplish this goal. 

2008 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 
11 

Performance 

Goal 

Related 

Strategic 

Goals/ 

Outcomes/ 

Means 

Outcome Performance 

Indicator 

Process/Activity Performance Measure/ 

Evaluation 

1. Develop 

plan for 

automating 

PVO 

Application 

Form 131 and 

perform 

requirements 

analysis. 

 

- Automate 

agency 

systems. 

- More user friendly 

and convenient 

process for industry 

to apply for 

certificates of 

nonperformance and 

casualty. 

- Reduction in 

burden and cost for 

industry. 

- More timely and 

effective staff review 

and process. 

- More efficient 

database 

management. 

- Facilitate 

filing of PVO 

applications. 

- Improve 

BCL’s ability 

to receive and 

process PVO 

certificates. 

- Contributes to 

streamlined 

PVO process. 

- Reduce staff 

database 

management 

efforts. 

- Discuss with 

PVOs benefits 

of electronic 

filings. 

 - Identify 

system 

functionality. 

- Initiate 

development of 

SOW. 

- Begin 

development of 

system & 

implementation 

plans. 

- Requirements analysis 

conducted. 

- Initial SOW drafted. 

- Feedback from staff. 

- Identify and resolve any 

impediments, then continue 

next steps identified in 

overall plan. 

2. By 

9/30/08, 

assess the 

impact and 

effectiveness 

of the new 

rules for 

agreements. 

-Update and/or 

refine FMC 

rules relating to 

the content of 

filed 

agreements, 

minutes, 

information 

form & 

monitoring 

reports. 

-Written report to 

Director, OPS re: 

- Extent relevant 

filings are timely, 

useful, complete, & 

accurate. 

- Level of industry 

compliance/ 

concerns 

- Filings’ impact on 

regulatory costs/

burdens; 

- Impact on 

processing times for 

agreement filing/

effective -ness 

of ongoing 

monitoring of 

agreements of 

concern to BTA; 

- Impact on 

“follow-up” 

contacts w/filers 

related to routine 

monitoring; 

- Extent to which 

filed information 

effectively used; 

-Recommendations 

for further changes 

to rules postassessment. 

-Drawing on 

relevant BTA 

databases, data 

and 

information to 

address the 

performance 

goal are 

collected. 

-Relevant 

agreement files 

reviewed, and 

information 

relevant to the 

performance 

goal collected. 

- BTA staff 

surveyed to 

collect 

information 

relevant to the 

performance 

goal. 

- Relevant data 

from samples 

of industry 

filers 

collected. 

-Research team 

is established -- 

composed of a 

team leader and 

approximately 

four BTA staff 

members. 

-Team agrees 

on the 

necessary tasks 

& workload 

distribution to 

address fully 

the 

performance 

goal. 

-Team meets 

bi-weekly to 

share findings, 

concerns or 

problems. 

- Team 

members meet 

with industry 

representatives 

for relevant 

input. 

- Team drafts 

final report and 

any proposals 

for revising 

existing rules. 

-Bureau director manages 

ongoing staff efforts. 

-Team leader for project 

tracks progress of team 

through periodic meetings 

and deadlines established 

to maintain schedule. 

- Feedback from industry 

sectors on costs/burdens 

related to current rules, 

and on alternative data 

sources. 
12 

II. STRATEGIC GOAL: Compliance 

47 FTEs and $7,970,000 will be required to accomplish this goal. 

2008 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. 

— Working with other agencies to enhance 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. 
13 

— 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. 
14 

Performance 

Goal Related 

Strategic 

Goals/ 

Outcomes/ 

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/ 

Evaluation 

1. Enhance OTI 

audit/

monitoring 

program as to 

unlicensed 

operators. 

-Ensure higher 

compliance 

with licensing 

& bonding 

requirements. 

-Enhance 

monitoring 

programs to 

improve 

industry 

compliance. 

-Ensure those OTIs 

whose applications 

have been rejected 

or terminated for 

inaction receive 

compliance followup. 

- Pursue, monitor 

or audit those OTIs 

who fail to get 

licensed or relicensed. 

- Number of 

entities relicensed. 

- Number of 

compliance or 

enforcement 

actions against 

entities who refuse 

to be licensed or 

re-licensed. 

- Develop 

procedures to 

assist review of 

monitoring. 

- Identify 

procedures and 

requirements to 

coordinate 

possible 

compliance or 

enforcement 

actions. 

-Quarterly reviews 

by BCL. -

Quarterly reports 

by BOE & ARs as 

to efforts with 

regards to noncompliant entities. 

2. Begin 

redesign of the 

functionality 

of OTI list on 

the homepage 

to include 

more 

information 

and make it 

more 

interactive. 

-Increase 

outreach via 

FMC’s 

homepage. 

- Enhance query/ 

search capability. 

- Provide more 

timely 

information. 

-Protect the public 

& users of ocean 

transportation 

services by 

providing more 

information re: 

choosing an OTI 

or ensuring an 

OTI is licensed/

bonded. 

- Facilitate 

industry and 

public 

accessibility to 

list of compliant 

OTIs. 

- Improve 

compliance with 

statute and 

regulations by 

OTIs and 

VOCCs. 

- Enhance 

protection of 

shipping public. 

- Identify data to 

be displayed & 

queried. 

 - Conduct 

requirements 

analysis. 

- Develop overall 

plan for system 

and its 

implementation. 

- Requirements 

analysis 

successfully 

completed. 

- Identify and 

resolve any 

impediments, 

then continue 

next steps 

identified in 

overall plan. 
15 

III. STRATEGIC GOAL: Balanced Enforcement 

19 FTEs and $3,497,000 will be required to accomplish this goal. 

2008 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. 
16 

Performance 

Goal Related Strategic 

Goals/Outcomes/ 

Means 

Outcome Performance 

Indicator 

Process/Activity 

Performance 

Measure/ 

Evaluation 

1. Review “best 

practices” re: 

VOCCs & 

NVOCCs 

offering service 

to non-compliant 

entities 

- Encourage 

voluntary 

compliance by 

increasing 

outreach to 

industry. 

-Improved 

compliance by 

VOCCs and 

NVOCCs w/their 

statutory 

responsibility not 

to provide service 

to non-compliant 

OTIs. 

-Improved 

maritime security 

by limiting service 

to non-compliant 

OTIs. -Increased 

protection of the 

shipping public by 

limiting the 

operations of 

unbonded and 

unqualified OTIs. 

-More equitable 

competition among 

VOCCs and among 

entities operating 

as compliant OTIs. 

-Increased 

recognition by 

VOCCs & 

NVOCCs of the 

benefits of 

implementing a 

“best practices” 

program. 

-Reduction in the 

number of 

noncompliant OTIs 

receiving service 

from VOCCs & 

NVOCCs. 

-Reduction in the 

number of 

complaints 

received by 

CADRS relating to 

unbonded & 

untariffed 

NVOCCs. 

-Utilize outreach 

resources, 

including the 

FMC’s website, 

electronic 

databases & 

activities of the 

ARs, to promote 

the ‘best 

practices” 

program among 

the VOCC & 

NVOCC 

communities. 

-Provide 

appropriate 

“mitigation” 

recognition in 

enforcement 

actions to entities 

w/ “best 

practices” 

programs. 

-Review of 

outreach & 

promotional efforts 

& materials 

developed to advise 

VOCCs & 

NVOCCs of the 

availability of the 

“best practices” 

program. 

-Number of VOCCs 

& NVOCCs 

implementing “best 

practices” 

programs. 

-Usage of “best 

practices” in 

mitigation of 

enforcement 

actions. 

-Level of 

recidivism among 

those VOCCs & 

NVOCCs adopting 

“best practices” 

programs. 

2. Develop 

rulemaking 

containing new 

enforcement 

options against 

cruise lines that 

fail to file PVO 

reports. 

- Enhance 

monitoring 

programs to 

improve 

compliance. 

- Timely filed and 

accurate PVO 

reports. 

- More efficient 

and effective 

monitoring of 

PVO activities. 

- Reduction of 

staff resources 

spent contacting 

PVOs to submit 

reports. 

- Prepare NPR. 

- Solicit 

comments. 

- Issue FR. 

- Reduction in 

number of PVOs 

identified as 

noncompliant. 

- Actions taken 

against 

noncompliant 

PVOs. 
17 

IV. STRATEGIC GOAL: Technological Efficiencies 

15 FTEs and $2,518,000 will be required to accomplish this goal. 

2008 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 
18 

 

Performance Goal 

Related 

Strategic 

Goals/ 

Outcomes/ 

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/ 

Evaluation 

1. Implementation of 

Pay.gov. 

-Increase use 

of modern 

technologies 

& systems to 

improve 

results. 

-Employ 

OMB’s 

procedures to 

meet GPEA 

mandates. 

-Agencywide 

acceptance of 

electronic 

payments. 

-Industry use 

of electronic 

payments. 

-Relative 

reporting 

output from 

Pay.gov. 

-Volume of 

electronic 

payments 

received. 

-Feedback from 

the industry/users 

of electronic 

payments. 

-Feedback from 

involved FMC 

employees. 

-Conduct internal 

assessment to determine 

ways agency units might 

require Pay.gov support. 

-Meet w/ Treasury 

regarding implementation 

procedures and 

requirements. 

-Discuss and refine 

requirements. 

-Consult w/ senior 

management & Chairman 

with proposed 

implementation plans. 

- Conduct meeting(s) with 

Treasury to develop an 

Agency Configuration 

Template. 

-Begin conversion process. 

-Sign agreement w/ FRB 

Cleveland to set up, create 

and deploy application for 

FMC to receive electronic 

payments. 

-Conduct application 

testing prior to going 

“live”. 

-Deploy electronic 

payment option 

agencywide. 

-Industry usage of 

electronic 

payments. 

-Feedback from 

customer base. 

-Feedback from 

involved FMC 

employees. 

2. Upgrade network 

and desktop operating 

systems. 

- Identify and 

provide 

information 

technology to 

improve 

workforce 

productivity. 

- Agency-wide 

standard 

desktop and 

laptop 

foundation. 

- Agency-wide 

standard server 

configuration. 

- Successful 

upgrade from 

current operating 

system to new 

operating system. 

- Positive feedback 

from FMC users. 

- Complete inventory of 

existing equipment. 

- Select software, test, 

acquire & configure. 

- Update all procedures w/ 

new desktop and server 

configurations. 

- Deploy software. 

- Agency 

operating systems 

are selected, 

tested, and 

deployed. 

- Feedback from 

FMC staff. 
19 

Performance Goal Related 

Strategic 

Goals/ 

Outcomes/ 

Means 

Outcome Performance 

Indicator 

Process/Activity Performance 

Measure/ 

Evaluation 

3. Initiate 

integration of major 

databases. 

- Increase 

use of 

modern 

technologies 

to improve 

results by 

enhancing 

work 

processes. 

- Building on 

analysis of 

information 

collections 

completed in 

FY06, design 

centralized, 

unified & 

secure database 

system of 

regulated 

entities for use 

by Commission 

staff. 

- Design to 

meet needs of 

all Commission 

offices & 

bureaus with 

regard to 

regulated entity 

data collection.

- Facilitate 

retrieval of data. 

- Enhance 

analytical 

capability. 

- Reduce 

duplication of data 

input. 

- Work with other 

Commission 

components, OIT & 

contractor, if 

applicable, to develop 

system. 

- Assure periodic 

meetings held to 

evaluate progress. 

- Develop SOW or inhouse proposal to 

develop system. 

- Successful 

completion of 

implementation 

plan of action 

steps. 

- Feedback from 

staff. 

4. Explore options 

for and begin the 

development of an 

online catalogue for 

the FMC’s law/

reference library 

collection. 

-Employ 

technology to 

improve 

workforce 

productivity. 

- Paper 

catalogue in 

library replaced 

by online access 

station. 

- Staff has 

access to library 

catalogue from 

desktops. 

- Increased 

efficiency in 

searching library 

resources. 

- Directly link 

online catalogue 

entries to other 

electronic 

resources. 

- Reduce 

redundancy of 

data entry across 

library modules. 

- Options for 

automating the card 

catalogue evaluated 

against specific 

needs and 

recommendations 

made. 

- Online catalogue 

created based on 

recommended 

approach. 

- Paper catalogue 

replaced with 

online work station 

in the library. 

- Staff access to 

catalogue from 

desktops. 

- Research online 

catalogue options, make 

recommendations. 

- Design screens and 

other aspects of system. 

- Populate catalogue 

through either scanning 

of catalogue cards or use 

of outside source 

documents. 

- Work with OIT to 

provide desktop access 

to staff, including ARs, 

through central server. 

 - Train staff on how to 

use system. 

- Assess 

recommendations 

for timeliness and 

appropriateness. 

- Assess feedback 

from FMC staff 

and the public. 

- Assess overall 

effectiveness of 

new system. 
20 

V. STRATEGIC GOAL: Management Capabilities 

10 FTEs and $1,606,000 will be required to accomplish this goal. 

2008 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 

Performance 

Goal 

Related Strategic 

Goals/Outcomes/ 

Means 

Outcome 

Performance 

Indicator 

Process/Activity Performance 

Measure/ 

Evaluation 

1. Fast track 

implementation 

of EHRI (e-OPF) 

-Evaluate 

approaches for 

increasing the use 

of modern 

technology to 

improve results. 

- Eliminate the 

need for a paper 

OPF. 

- Establish 

database to enable 

electronic transfer 

of e-OPF data 

among Federal 

agencies (future). 

- Achieve 

economy/ annual 

savings by 

eliminating the 

paper folder. 

-In sync w/ OPM 

strategic plan & 

operational goal to 

convert 50% of 

hard copy OPFs to 

electronic format 

by 10/1/2008. 

-Volume of OPF 

documents 

processed & filed. 

-Feedback from eGovernment 

officials, users of 

e-OPF. 

-Feedback from 

involved FMC 

employees. 

-Meet w/ OPM/ & 

SAHRC on funding, 

implementation, and 

requirements. 

-Begin Fast-track 

implementation. 

-Update IAA w/ 

OPM & SAHRC 

EHRI reps to lay 

framework for other 

products. 

-Activate e-OPF 

accounts for 

employees, 

managers, “friends 

and family” 

accounts. 

-Feedback from 

SAHRC user 

group, EHRI 

program officials, 

customers. 

-Feedback from 

involved FMC 

employees. 

- NARA 

requirements. 
22 

Performance 

Goal Related Strategic 

Goals/Outcomes/ 

Means 

Outcome Performance 

Indicator 

Process/Activity 

Performance 

Measure/ 

Evaluation 

2. Assess 

telework 

program to 

encourage usage 

& advance 

efficiency of 

operations. 

- Emphasizes 

workforce planning 

issues such as 

recruitment and 

retention. 

-Encourage 

activities that help 

employees 

demonstrate 

abilities and 

achieve full 

potential. 

-Encourages the 

better 

understanding of 

the benefits of 

teleworking for 

both employees, 

agency and the 

environment (e.g., 

more flexibilities 

for employees, a 

more powerful tool 

for recruitment & 

retention of 

employees, less 

fuel consumption) 

-Agency increases 

the total number of 

participating 

employees & 

teleworked days 

without 

deterioration of 

effectiveness and 

efficiency. 

-Supervisors can 

assess employees’ 

performance using 

simple 

measurement tools. 

-Agency has clear 

benchmarks to 

assess success of 

program. 

-Significant 

increase in total 

number of 

participating 

employees& total 

number of 

teleworked days 

per year over prior 

year’s experience. 

-Development of 

new supervisory 

tools. 

- Development of 

an annual survey 

of supervisors’ and 

employees’ 

opinions of 

program. 

-Development of 

benchmarks by 

which Agency may 

measure success of 

program. 

-Identify total 

number of employees 

& days teleworked 

under current 

program in the past 

year. 

-Review positions/ 

types of work which 

can, or cannot, be 

performed via 

telework. 

- Identify the 

optimum number of 

days per week/ 

month/year which 

can be teleworked 

consistent with 

Agency’s duties. 

-Identify benchmarks 

for satisfactory use of 

program. 

-Assess supervisors’ 

and employees’ 

opinions on the 

program. 

-Registration of 

eligible employees 

for use of program. 

- Administration of 

opinion survey of 

supervisors and 

employees on their 

views regarding the 

program. 

- Implementation of 

new supervisory 

tools. 

-Senior 

management 

evaluates the 

adequacy of the 

number of 

participating 

employees, the 

results of annual 

survey of 

supervisors and 

employees. 

-Chairman 

evaluates the 

operation of the 

program relative to 

the effective and 

efficient conduct of 

Agency business. 

-Chairman reviews 

the results of 

supervisor & 

employee survey & 

target benchmarks 

established for the 

program.