FEDERAL MARITIME COMMISSION

REVISED FINAL ANNUAL PERFORMANCE PLAN

FOR FY 2005

October 2004
LIST OF ACRONYMS

1984 Act Shipping Act of 1984

ADR Alternative Dispute Resolution

ALJ Administrative Law Judge

BCL Bureau of Certification & Licensing

BOE Bureau of Enforcement

BTA Bureau of Trade Analysis

CIO Chief Information Officer

CPIC Capital Planning Investment Control 

DHS Department of Homeland Security

DOT Department of Transportation

FISMA Federal Information Security Management Act of 2002

FMC/Commission Federal Maritime Commission

FTE Full Time Equivalent Employee

FY Fiscal Year

GC General Counsel

GPEA Government Paperwork Elimination Act

GPRA Government Performance and Results Act

IG Inspector General

IT Information Technology

ITMRA Information Technology Management Reform Act

NOI Notice of Inquiry

NPRM Notice of Proposed Rulemaking
OGC Office of General Counsel

OIT Office of Information Technology

OMB Office of Management and Budget

OSRA Ocean Shipping Reform Act of 1998

OTI Ocean Transportation Intermediary

POA&M Plan of Action and Milestones

SC Service Contract

SDLC Systems Development Life Cycle

SERVCON Service Contract Filing System

SES Senior Executive Service

VOCC Vessel-Operating Common Carrier
INTRODUCTION

This document comprises the FMC’s Revised Final Annual Performance Plan for FY 2005.

The Commission has made specific changes to its Final Plan based on a recent agency

realignment, and an overall assessment of its planning process. This Revised Plan remains

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

performance assessment.

In August 2004, the FMC reallocated its resources so as to maximize staff effectiveness

and enhance agency efforts to better serve the ocean transportation industry. Our aim is

to provide an effective regulatory structure, serve our stakeholders more efficiently and

responsively, and improve our internal business processes and operations. We have

included specific performance goals in line with this restructuring, as more fully explained

below. 

This Revised Final Plan reflects a modified approach to our annual planning. We have

determined that both effectiveness and efficiency can be improved if we operate pursuant

to broader performance goals tied to the achievement of agency-wide objectives, as

opposed to more narrowly focused goals tailored to the responsibilities of individual units.

Accordingly, agency performance goals now are linked directly to our Strategic Goals

instead of our Budget Program Activities. This will enable the Commission to pursue its

strategic objectives in a more cohesive manner, with various agency components working

toward common ends. It also will facilitate our aim of utilizing a more inclusive, collaborative

approach in conducting ongoing activities, which we believe both enhances

decision-making and improves ultimate results. Further, we anticipate that addressing our

performance goals in this fashion will foster our efforts to link planning, budgeting and

performance more effectively. 

Additionally, with this Revised Final Plan, we now will allocate all agency resources for the

fiscal year. OMB guidance requires agencies to reflect in their annual performance plans

the resources needed to accomplish stated performance goals. Previously, the Commission

‘s Plans have identified the FTEs and funding required to accomplish its stated

performance goals, acknowledging that the remainder of its resources were dedicated to

its various other day-to-day responsibilities. We now will set forth all of our myriad steady

state functions, which enables our Plan to account for all Commission resources. We have

presented performance goals and steady state functions for each Strategic Goal; the

figures for these five Strategic Goals, when summed, reflect the full FTE and funding levels

of the President’s FY 2005 budget submission for the Commission.

For FY 2005, the Commission has placed a major emphasis on furthering its interactions

with external parties to increase the value of its services and oversight operations. As an

example, we plan to establish appropriate contacts with consumer protection agencies at

the state and local levels to inform them how we can assist in redressing

transportation-related complaints. We also intend to strengthen relationships with
government agencies responsible for maritime security to facilitate our mutual efforts to

identify and address potential security threats. And we propose to improve our

communication with the media, industry representatives, and other stakeholders to increase

public awareness of Commission programs and policies, and to help address concerns

before they become problems. 

Our FY 2005 Plan also broadens our efforts to implement the President’s Management

Agenda initiative to expand electronic government. Several performance goals were

formulated to improve the management of information by utilizing technology to streamline

and simplify the delivery of services and information to regulated entities, other government

agencies and the public, and to create more sophisticated databases which will allow staff

to more effectively identify and target regulated activities, complaints, and potential abuses.

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

while maintaining flexibility in its presentation and application. The majority of Commission

activities are statute-driven, and our goals essentially are based upon legislative mandates

which are clear and direct. Significant alteration of our existing programs is not possible,

given that many measures and goals are required by statute.

Accordingly, OMB agreed that the Commission should use an appropriately scaled

mechanism for GPRA process and development with a framework which would be

productive, yet less resource-intensive. Nonetheless, our Plan presents relevant

information clearly and concisely, and strives to be as detailed as necessary while avoiding

minutiae. 

Our Plan sets forth the mission statement and general goals from our Strategic Plan, as a

point of reference for the reader. As aforementioned, we have set forth agency

performance goals and steady state functions under each of our 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. 

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).

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

proposed performance action). 

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).

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 efforts, and have responded to any

inquiries. We continued our ad hoc meetings and visits with all sectors of the industry to

discuss the state of U.S. ocean shipping and the FMC’s oversight responsibilities.

Rulemakings and formal inquiries also were effective in soliciting industry views on

particular issues. And, the Commission continued its regular seminars conducted by

agency staff at various locations around the country, which provide a valuable forum for the

exchange of information with the industry and the shipping public. We expanded on this

concept late in FY 2004 by holding the first of what will be periodic briefings by industry

experts designed to provide Commission staff with valuable information on industry

services, operations, business practices, and regulatory concerns. The opinions and

comments we received via these various efforts have assisted us in developing our

performance goals and implementing approaches. 

The Commission will post this Performance Plan on its Internet website to ensure that it is

readily accessible to interested parties, and will advise all employees to take the time to

review it. Additionally, all employee performance plans are required to comport with the

agency’s Strategic and Annual Performance Plans, and contain specific elements and

standards 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. 

FMC MISSION

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

Advance the Nation’s interests by fostering an efficient, competitive, secure,

market-driven, and nondiscriminatory ocean transportation system that is free of

unfair foreign maritime trade practices and market-distorting activities.

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.

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.

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 the1984 Act, as amended by OSRA.

The primary intention of Strategic Goal 1 is to minimize regulatory costs by maintaining
timely and decisive regulatory processes, and providing various dispute resolution services.

This will render the FMC more effective in addressing matters that perpetuate

discrimination or preclude industry efficiency, while reducing the costs of pursuing matters

before the Commission. Decisive action and effective assistance in resolving informal

complaints or disputes will help to remove uncertainties as to statutory interpretations or

the application of FMC rules. Such uncertainties may impede operational efficiencies or

technological changes, each of which can foster a more economical ocean shipping

system.

Our second strategic goal centers on achieving compliance with the substantive provisions

of the shipping statutes the FMC administers, and protecting those involved in U.S. ocean

commerce from unfair practices. We will address this goal particularly by interacting with

all sectors of the industry, and by vigilant monitoring of ongoing commercial activities.

Accomplishing this goal should minimize the unjust discrimination and undue preference

or prejudice that precludes certain shipping interests from obtaining rates or service levels

that can render their businesses more economic and efficient. Increasing industry

compliance should enable stakeholders to concentrate on fair and legal means of

enhancing operational efficiency, secure in the knowledge that competitors are not

engaging in widespread illegal actions aimed at improving short-term profits. The agency’s

focus on the qualifications of intermediaries operating in the U.S. trades will afford greater

protection to our stakeholders and contribute to national maritime security. And cruise

passengers also will be protected through the demonstration of financial responsibility by

passenger vessel operators.

Strategic Goal 3 is designed to foster economic efficiencies, assist maritime security

initiatives, promote reliance on marketplace factors, and redress excessive anticompetitive

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

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

continuing efforts to address the actions of foreign governments that adversely affect U.S.

interests and our foreign trade comport with that aspect of our mission aimed at creating

an environment “free of unfair foreign maritime trade practices.” Our focus on commercial

malpractices enhances our objective of limiting unlawful activities.

We also have a specific strategic goal that focuses on making effective use of

advancements in IT to improve the efficiency of our operations and enhance our exchange

of information with external parties. Carrying out the agency’s mission in times of budgetary

limitations dictates that we appropriately utilize all available resources. Dynamic changes

continue to be made in this area, and the Commission intends to take advantage of any

improvement that can enable it to perform its functions more effectively. We hope to

improve our business operations so as to add efficiency to the Commission’s dissemination

and receipt of information. We intend to perform the research and analysis necessary to

identify the best options for implementing technical enhancements to facilitate our efforts

to achieve our mission.

Finally, our fifth strategic goal addresses Commission management and operations. In

order to achieve the objectives of our mission, we must maintain effective processes that
enhance efficiency, without serving as ends in themselves. It is essential that we manage

for results, and that we effectively tie our budget needs to our performance. This strategic

goal serves as the internal underpinning that enables us to accomplish the policy objectives

set forth in our mission statement. This goal also ensures continuation of a comprehensive

approach to the strategic management of our human capital.

Achieving these mission-driven goals will enable us to address the external factors we face,

while assuring an equitable and efficient administration of the shipping statutes under our

jurisdiction. Our processes and procedures will be refined or updated as necessary. We are

committed to accomplishing our strategic goals and the outcome goals related to them.

Therefore, specific means have been identified to enable the FMC to achieve these goals

in the most cost-efficient and least disruptive manner possible.
STRATEGIC GOAL: Efficient Regulatory Process - 37 FTEs and $5,743,000 will be required to acc

2005 Steady State Activities:# Adjudication and resolution of complaints.# Adjudication and resolution of investigatory proceedings, including fact-findings and show cause # Issuance of rules through the rulemaking process.# Commission decision-making activities through meetings (formal and notation) that comply with th

Sunshine Act.

# Public information and assistance processes such as press relations, responses to legislative and 

and compliance with Freedom of Information Act and Privacy Act requirements.

# Other regulatory processes, including activities such as appeals of delegated authority actions, p

formal petition processes. 

# Providing timely legal counsel to the Commission in order to facilitate regulatory action that is con

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 th

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 

practices or statutory modifications. 
Performance Goal Related Strategic

Goals/Outcomes/Means

Outcome Performance Indicator Process/Activity 

1.Promote the use ofADR to potential users& provide conflictresolution training toCommission managers.

Refine ADR Process. Increased awareness

& utilization of ADRby the industry, &Commissionmanagerial officialsbetter prepared todeal with humanresource conflicts.

Increased use of ADR toresolve industrydisputes, & improvedCommission productivity.

Presentations &training sessionsprovided by the ADRfunction, whether byCommission officials oroutsidepresenters/trainers.

2.Develop options forupdating & modernizingthe Commission’s Rulesof Practice &Procedure, includingexploring the ability toutilize technology forelectronic filing.

Review Procedural Rules. -Definitive analysis of

effect of prospectivechanges on theregulatory process, &whether Commissionaction is warranted.Such actions couldinclude NOI or NPRMto solicit publiccomment.-Plan of action toeliminate barriers togreater utilization ofelectronic businessprocesses.

Report to Commissionwith analysis of options &recommendations onwhat changes arewarranted.

-Meetings arescheduled to presentideas, gatherinformation & studyoptions.-Report to be filed withCommission withfindings.-Task force co-chairedby GC & Secretary,with legal input fromALJ & technical inputfrom CIO, &participation byprogram bureaus.

3.Develop automatedFMC-18 to permitelectronic filing &explore feasibility ofelectronic payment &e-signature capability.

Encourage use ofelectronic filing.

-Permit public theoption to file FormFMC-18 electronicallyrather than typing &mailing form into theFMC.

-Volume of applicationsfiled electronically.-Feedback from filers &FMC staff. 

-Design input screens& directions to facilitateapplication process.Include varioususer-friendly featuressuch as track progressof application, facilitate
-Reduce FMC

administrativeprocessing time ofapplication.-Easy accessibility toall information onForm FMC-18 forstaff. -Applicants can trackprogress of theirapplications online.-Applicants havevarious options ofpayment.-Applicants can signapplicationelectronically.

-Allocation of FMCresources.

filing amendments tocurrent application orprovision ofsupplementalinformation &documentation, & 24 X7 access to filingsystem.-Develop standardprocedures & systemsto streamline & reduceprocessing time ofapplications.-Perform internal auditto ensure data quality(accuracy,completeness, etc.) &security of system.
STRATEGIC GOAL: Compliance - 36 FTEs and $5,403,000 will be required to accomplish this goal.

2005 Steady State Activities:# Reviewing and maintaining a database of SCs between ocean common carriers and shippers, and 

to guard against anticompetitive practices and other unfair prohibited activities under the 1984 A

# Ensuring that common carriers’ rates and charges are accessible to the shipping public in p

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 gen

clarity and understanding of Commission rules and regulations.

# Administering the Commission’s international affairs program.# Liaisoning with other agencies regarding maritime security.# Reviewing operational and pricing agreements among ocean common carriers and marine termina

do not unduly restrict competition.

# Issuing passenger vessel certificates evidencing financial responsibility of vessel owners or charter

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 rela

responsibilities.

# Acting as a liaison between the FMC and the public by responding and/or coordinating agency 

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 ensu

applicable statutes and Commission regulations.

# Respond to inquiries and complaints from the regulated industry and shipping public. Provide info

and forms necessary to comply with applicable statutes and Commission regulations, including ed
Performance Goal Related Strategic

Goals/Outcomes/Means

Outcome Performance Indicator Process/Activity 

1.Develop publicrelations strategies &programs.

Foster dialoguew/industry.

-Improve/establishrelationships/imagew/media, industry &governmentinstrumentalities.-Establish lines ofcommunicationw/constituents &others to addressconcerns before theybecome problems.-Increased publicawareness ofCommission policies& programs.

-Increased mediacontacts and/or morestories/articles re FMCactivities in mediaoutlets, particularlynon-industry media.-Increased FMCrepresentation at publicmeetings, particularly ofthe nontraditionalvariety, i.e., shippers,travel agents, etc.-More frequentcontact/interactionw/individuals from thepublic, media &industry.

-Meetings w/media,industry & governmentrepresentatives.-Attendance atconferences &meetings, both social &business.-Develop a plan forproducing brochures &other educationalpublications.-ADR-Explore webcasting forCommission meetings.

2.Enhance industryoutreach.

Increase outreach toindustry.

-Increased level ofcommunicationbetween agency &industry stakeholders.-Positive & effectiverelationships betweenagencyrepresentatives &industryrepresentatives.

-Number of outreachactivities andFMC-sponsoredseminars, and types ofconferences attended.-Greater FMC voice inindustry press.

-Improved staff-wideconference attendance.-ContinueFMC-sponsoredseminars.-Increased proactivepress contact regardingFMC activities &oversight initiatives.
-Greater industry

awareness of benefitsof FMC oversight.

3.Provide opportunityfor VOCCs to establisha “ best practices“program to limitparticipation of unlawfulentities in oceantransportation.

Increase outreach toindustry.

-Promote equitablecompetition amongentities acting as OTIservice providers.-Promote voluntarycompliance by vesseloperators w/regard tostatutoryrequirements toprovide transportationservices & servicecontracts to lawfulOTI entities.-Improve maritimesecurity by curtailingunlawful participationin the oceantransportation system.

-VOCCs advised ofopportunity to adopt“best practices”program.-Reduction in number ofunlawful OTIs receivingocean transportationservices.

-Use educationalprograms & publicnotice to advise VOCCsof “best practices”opportunity.-Give appropriate“mitigation” recognitionto entities with “bestpractices” programs inenforcement actions.
STRATEGIC GOAL: Balanced Enforcement -16 FTEs and $2,313,000 will be required to accomplish 

2005 Steady State Activities:# Investigating discriminatory rates, charges, classifications, and practices of common carriers, ter

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 d# Regulating rates, charges, and rules of government-owned or -controlled carriers to ensure th

reasonable and are not unfairly undercutting private competitors.

# Protecting shippers and carriers engaged in the foreign commerce of the U.S. from restrictive o

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 com

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 govern# Coordinate and cooperate with other government entities to improve homeland security by ef

information and assistance regarding foreign ocean transportation.
Performance Goal Related Strategic

Goals/Outcomes/Means

Outcome Performance Indicator Process/Activity 

1.Contact & educateconsumer protectionagencies on the state &local government levelregarding Commissionprograms & remedies toprotect & assist thepublic from the unlawfulactivities oftransportation providers& intermediaries.

Increase dealings withindustry & government.

-Commission canprovide assistance toconsumer protectionagencies inredressingtransportationcomplaints.-Agencies can directthe Commission toentities unlawfullyprovidingtransportationservices.

Number of agenciescontacted &identification ofinformation provided &educational programsconducted.

-Secretary & Dir.,Operations, coordinate& conduct outreach, &educational effortsreach agencies &entities most likely toaddress oceantransportation concerns.-Disseminate materialsdiscussing FMC & itsfunctions for distributionby other agencies &entities.-Appear at seminars &meetings to discussFMC & its functions.

2.By 6/30/05, redesigninternal agreementdatabase to enablemore efficient oversightof agreement activities.

Monitor competitive tradeconditions.

-Identification ofagreements that havethe potential forunreasonable marketdistortions.-Shifting of resourcesfrom thoseagreements that havelittle or no competitiveimpact to focus onthose which possiblycould distort themarket.

-Ability to identify readilyagreements for specificmonitoring.-Number of shippercomplaints.-Number of Commissionagreement initiatives.-Number of requests forspecific databasereports from agencycomponents.

-Review currentagreement elements todetermine which areoutdated & what newones should be added.-Confer w/other agencycomponents for theirinput on what currentelements are still useful& what additionalelements would bettersupport their programgoals & objectives.
-More in-depth

analyses of potentiallyproblematicagreements resultingin a greater incidenceof Commissionagreement initiativesto address possibleabuses.-Fewer instances ofmarket-distortingactivities adverselyaffecting the shippingpublic.-Quicker agencyresponse to potentialproblems.

-Number of agencyinquiries to agreementparties regarding theiractivities.

-Review effectiveagreements to ensureaccurate coding ofagreement authoritiesinto the database.-Design databasereports to meet theneeds of variousagency components.

3.Review results ofmajor enforcementactions (e.g., thosetargeted atanti-competitivepractices of ports &ocean common carriers)during the past 3 yearsto assess effectivenessof remedies.

Monitor competitive tradeconditions.

-Assure practices ofcarriers or ports arenot unlawfullyanti-competitive.-Assure Commissionvigilance inmonitoring use ofantitrust immunity.

-Remedies of pastenforcement &compliance efforts havebeen properlyimplemented.-How effectivelycompliance directiveshave beenimplemented.

-In coordination withBTA & BCL, reviewreports, minutes &activities of entitiespreviously subject toenforcement actions.-Director, BOE ensuresappropriate parametersfor review &assessment are inplace.
4.Develop additional

relationships w/otheragenciesw/responsibilitiesrelated to maritimesecurity, including DHS,DOT & intelligenceagencies.

Cooperate w/governmentagencies for marinesecurity.

-Increasedinteragencycommunications &information-sharingregarding nationalsecurity as it appliesto the maritimeindustry.-Positive relationsamong relevantagencies & enhancedunderstanding of theFMC’s role inmaritime securityissues.-Continued FMCcontribution tointeragency efforts toidentify potentialsecurity threats.-Coordinated efficientapproach to maritimesecurity challenges.

-FMC continues to berepresented atinteragency meetings ofthe Container WorkingGroup & other relevantinteragency groups ortask forces.-FMC views &participation arereflected in appropriatereports &communicationsmemorializing meetingsor consultationsconcerning maritimesecurity.-Cohesive relationshipscontinue to be formed.-Concertedinformation-sharing &coordination of agencyactivities have beenaccomplished.

-Chairman providespolicy direction to OGC.-OGC continues toserve as liaison &coordinates withCommission bureaus.-Regular meetingsw/relevant agencies areattended or initiated byFMC liaison.-Communications aresubmitted to agenciesto memorializemeetings &conversations or toreport recentdevelopments inmaritime securityissues.
STRATEGIC GOAL: Technological Efficiencies - 18 FTEs and $2,374,000 will be required to accom

2005 Steady State Activities:# Implementing a wide range of IT programs and services, including operating the agency’s local are

planning for short- and long-term IT initiatives, IT security, data telecommunications, databasmanagement, and Internet page development and maintenance to enhance productivity and eff

# Maintaining and updating internal databases to enhance the ability of the public and Commissio

program-related information and enhance staff productivity.

# Converting Commission records into electronic format to enable easier public access to informa

Performance Goal Related Strategic

Goals/Outcomes/Means

Outcome Performance Indicator Process/Activity 

1.Enhance the reliability& efficiency ofSERVCON by ensuringthat filers use properelectronic document filenames to identify eachSC submission.*In addition, otherchanges to flag contractdocuments transmittedinto the SERVCONsystem with problems,e.g., retroactiveeffective date. Thisperformance goal isbeing modified toaccelerate the

Use technology toimprove agency workprocesses.

-All new SCs filed inSERVCON have properdocument file names.-Eliminate targeted SCsthat are unnamed inSERVCON &unretrievable by theFMC’s search engine.

-All targeted SCs areretrievable through theFMC’s electronic searchengine.-No omission of criticalinformation that isobtainable only inconfidential contracts isdetected.

-Audit existingcontracts incorrectlynamed.-Develop approach toensure proper SC filename.-Determine processfor eliminatingimproperly namedSCs.-Identify targeted SCsto be corrected.
streamlining &

usefulness of thesystem for anticipatedshort- & long-termgrowth.2.Assure that 95% ofthe security on agencysystems is inconformancew/Administration &Congressionalmandates.

Follow OMB regs to meetGPEA/FISMArequirements.

-More secure ITsystems in furtheranceof agency mission.-Provide users with amore stable workingenvironment to allow formore efficient businessprocesses.-Enhance safety ofdata.-Compliance w/OMBguidance under FISMAand GPEA.

-No IT systems reportedto have unauthorizedaccess.-No, or minimal, virusesreported that haveimpact on networkoperation orperformance.-Net IT systems willincorporate securityplans.-All systems reportlatest security & virusdetection tool installed.

-IT office will workwith program officesto ensure systemdevelopment willfollow SDLC &include requiredplans.-IT office appliesFISMA guidelines toIT investments.-IT office will workw/program offices toprovide feedback onsecurity matters &implement controls.

3.Analyze the currentFMC Internet website &develop a plan to createa more efficient &comprehensive design.

Automate agencysystems.

-Information &participation from allbureaus/offices willensure that websitematerial iscomprehensive &correct.-Information currentlyon the website will berevised & edited to bemore user-friendly &

-Participation of allagency bureaus/officesin designing &agreement on design.-Presentation ofrecommendation toChairman & SES.-Positive feedback fromChairman & SES.

-Create task forcew/representativesfrom bureaus/offices.-Hold periodic group& individual meetingsto discuss designtemplates &compilation ofinformation.
reflect OMB’s proposed

website guidelines.-Any relevantinformation not currentlyon the website will becompiled & formattedfor addition to thewebsite.-Issues regarding thetechnologicalimplementation of thedesign will be identified.

-Create a design plan,both visual(templates, colors,graphics, etc.) &organizational (whatinformation, how theinformation ispresented, etc.).-Compile newinformation.-Comprehensiveediting of both new &old information.-Hold meetings w/OITto discusstechnological needs.-Prepare & givepresentation toChairman & SES.
STRATEGIC GOAL: Management Capabilities -26 FTEs and $3,662,000 will be required to accomp

2005 Steady State Activities:# Executing financial management policies and programs, including developing annual budg

submission to the Congress and OMB, managing agency appropriations, administering internaagency funds, travel and cash management, and coordinating with contractors who provide acservices.

# Fostering human resource management principles, including recruitment and placement, positio

pay administration, occupational safety and health, employee assistance, employee relations, performance management and incentive awards, employee benefits, career transition, redevelopment and training, personnel security, and equal employment opportunity.

# Ensuring the program operations of the agency are administratively supported via telecommunic

of administrative goods and services, property management, office space, printing and copyinservices, facilities and equipment maintenance, and transportation.

# Promoting economy and efficiency in the administration of the agency’s programs, and detecti

abuse in same via auditing agency operations.

# Providing guidance to staff regarding administrative matters, including procurement, personnel an# Ensuring program compliance with various rules and regulations regarding such areas as forms cl

Reduction, Small Business Paperwork Reduction Act, and other Federally required reports and 

Performance Goal Related Strategic

Goals/Outcomes/Means

Outcome Performance Indicator Process/Activity 

1.Implement an IT CPICprocess for theCommission’s major ITinvestments.

Train & provide IT toimprove workforceproductivity.

-Commission’s ITexpenditure decisionsmake the best use ofscarce agencyresources.

-New IT systems supportmulti-programrequirements.-New IT systems willshare data across the

-Commission willprovide solid businesscases for projects thatrequest funds tosupport ITinvestments.
-Complying with OMB

guidance underITMRA & GPRA.

Commission & externally,as required.-IG audits identify minimalcorrective actions neededto improve IT programmanagement.

-Formal IT CPICissued in fourthquarter of FY 2005.-Bureau/office headsensure staff followspolicy guidelineswhen developingproposals forapplications.

2.Completeimplementation ofstrategic linkage ofagency planning,budgeting &performance.

Integrate performancereview with budget.

-Managers have morecontrol/flexibility overresources.-Managers havetimely, thorough &accurate informationto plan activities &monitor businessprocesses.-Agency ensures thatits major priorities &objectives drive theallocation ofresources, & that staffis managed &appraised in line withaccomplishment ofclearly articulatedperformance goals.-Improvedperformance, betterservice tostake-holders, & more

-FY 06 & 07 budgets &annual performance plansare completed in linew/stated goals &outcomes.-FY 05 resourcesallocated via collaborativesenior managementprocess that appropriatelyfunds relevantpriorities/functions/objectives.-Staff more fully engagedin agency-wide planning/business processes.-Awards/incentives basedon accomplishment ofstated performance goals.

-Completeimplementation of aprocess whereby allsenior managerscollaborate in theidentification ofrelevantpriorities/functions,allocation of allresources, & theconsistentassessment of staffperformance.-FY 06 budget &annual performanceplan are completedvia refinedcollaborative process.-Broader use ofparticipativemanagement toinclude all levels ofagency staff inplanning efforts &identification of most
cost-effective use of

resources.

viable regulatoryapproaches/actions.-Budgets aredeveloped based onagency-wideassessments, asopposed to singularbureau/office views.