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Federal Maritime Commission 

Proposed FY 2022-2026 Strategic Goals and Stewardship Objective

 

Draft Strategic Goals

Strategic Goal 1: Maintain a competitive and reliable international ocean transportation 

supply system.

Objective 1.1: Ensure that actions under filed agreements do not result in unreasonable 

increases in transportation costs and/or unreasonable decreases in transportation 

services.

Performance Measure: Percentage of newly filed vessel sharing agreements and 

amendments to agreements analyzed and presented to the Commission within 32 

days.

Validation: This outcome goal is measured using data from the eAgreements 

electronic filing system and tracking the time elapsed between the agreement 

submission and review.

Performance Measure: Percentage of agreement monitoring reports reviewed 

within 30 days of receipt to detect actionable information including marketdistorting behavior.

Validation: This outcome goal is measured using data contained in the eMonitoring 

system used for the electronic filing of agreement monitoring submissions. 

Performance is measured by comparing the file receipt date to the date that the 

filing was reviewed by staff analyst. The data is constantly under review and 

frequently updated.

Objective 1.2: Develop and implement a comprehensive monitoring program to assess 

covered services defined in 46 U.S.C. § 40102(5).

 

Performance measure: Percentage of alternative agreement reports indicating joint 

contracting/procurement of covered services analyzed and escalated to regular 

monitoring status within 30 days of receipt to ensure systematic analysis of data for

actionable information.
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Validation: This outcome goal is measured using data from a dedicated FMC email 

address. Performance is measured by reviewing information received via email and 

identifying whether reports indicating covered services are moved from this system 

to eMonitoring system within 30 days.

Strategic Goal 2: Protect the public from unlawful, unfair, and deceptive ocean 

transportation practices.

Objective 2.1: Identify and take action to deter unlawful, unfair, and deceptive practices.

Performance Measure: Percentage of enforcement actions taken under the Shipping 

Act successfully resolved through favorable judgment, settlement, compromise 

agreement, issuance of default judgment, or warning letter or notice.

Validation: This outcome goal is measured by examining enforcement case 

inventory and physically counting the number of cases resolved. The inventory is 

maintained for case load management, and monthly and quarterly reporting 

purposes. The data is constantly under review and frequently updated.

Performance Measure: After pre-enforcement contact and education from an Area 

Representative, percentage of contacted unlicensed OTIs that submit license 

applications in response.

Validation: This outcome goal is measured by correlating Area Representatives 

approved pre-enforcement case inventory with the data and notices on the status of 

Ocean Transportation Intermediary (OTI) licenses. This data is collected and 

maintained by the Bureau of Certification and Licensing on the Regulated Persons 

Index (RPI) and the list of FMC Licensed & Bonded OTIs. The data is constantly 

under review and frequently updated.

Objective 2.2: Prevent public harm through licensing and financial responsibility 

requirements.

Performance Measure: Percentage of decisions on completed OTI license 

applications rendered within 60 calendar days of receipt, facilitating lawful 

operation of OTIs with appropriate character and experience requirements.

Validation: This outcome goal is measured by comparing the total number of OTI 

applications assigned to an analyst (X) and the number of renewals completed by 
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an analyst on or before the 60th calendar day following assignment (Y) during a 

specific time period. The outcome goal is calculated as (Y / X) x 100 = %

Performance Measure: Percentage of license renewals completed on or prior to the 

3-year renewal deadlines to timely verify regulatory compliance.

Validation: The Completion Status Report, generated in the license renewal 

system, provides the total number of renewals completed (X) and the number of 

renewals completed on or before the renewal deadline (Y) during a specific time 

period. The outcome goal is calculated as (Y / X) x 100 = %

Performance Measure: Percentage of PVOs examined during the year that have the 

full financial coverage required by regulation to protect against loss from nonperformance or casualty.

Validation: This outcome goal is measured by comparing reported financial 

coverage amounts against required coverage amounts. Approximately 200 cruise 

vessels are registered in and monitored by the Commission’s Passenger Vessel 

(Cruise) Operator program. Operators covered by this program file semi-annual, 

monthly, and weekly unearned passenger revenue reports. This information is used 

to compare reported coverage against required coverage amounts.

Objective 2.3: Enhance public awareness of agency resources, remedies, and regulatory 

requirements through education and outreach.

Performance Measure: Percentage of Commission issuances, orders, and reports 

available through the Commission’s website within 5 working days of receipt.

Validation: This outcome goal is measured by reviewing the workflow processes for 

posting documents to the Commission’s website docket activity logs. The date that 

each docket activity log is updated with new filings or issuances is compared to the 

date the document is filed with or issued by the Commission in a particular 

proceeding. The case logs are used on a daily basis by agency staff and by the 

public, and as such, any discrepancies are discovered and remedied quickly.
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Objective 2.4: Impartially and timely resolve international shipping disputes through 

alternative dispute resolution and adjudication.

Performance Measure: Percentage of dispute resolution matters closed within 6 

months of request for assistance.

Validation: This outcome goal is measured using data maintained by the 

Commission on each dispute resolution matter opened. Cases are opened upon the 

request of the public for assistance and are subject to the normal fluctuations in 

businesses and consumers seeking help from the Commission. Cases are closed 

upon resolution, voluntary termination by the parties, refusal to participate or 

failure to respond by a party or when the CADRS mediator determines that 

particular issues prevent the possibility for successful resolution.

Performance Measure: Percentage of formal complaints or Commission-initiated 

orders of investigation completed within 2 years of filing or Commission initiation.

Validation: This outcome goal is measured by using docket activity logs maintained 

by the Commission and used for docket management, and monthly and annual 

reporting purposes. The docket logs are used on a daily basis by agency staff and by 

the public, and as such, any discrepancies are discovered and remedied quickly.
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Draft Stewardship Objective

Stewardship Objective: Advance the FMC’s mission through organizational excellence 

and efficiency. 

Stewardship Sub-objective 1: Strengthen infrastructure and effective resource 

management. 

S.1.1. Manage risks and continue mission essential operations. 

Performance Measure: COOP activities, including annual training, quarterly 

notification exercises, and an annual COOP exercise conducted throughout 

the year consistent with the FMC COOP Plan.

Validation: Complete and document all activities between July 1 and June 

30. Sources include annual training materials and sign-in 

sheets/confirmation emails and after-action reports. 

S.1.2. FMC’s financial management systems and practices demonstrate fiscal 

responsibility and proper accounting. 

Performance Measure: Achieve an ‘unmodified (clean) opinion’ from the 

Independent Auditors on the Commission’s fiscal year’s end financial 

statements. (Data: Office Inspector General Independent Auditor’s Report) 

Validation: This outcome goal is a ‘unmodified (clean) opinion’ by the Office 

of the Inspector General’s Report on findings from the independent auditor’s 

review of the FMC’s annual financial statements and internal controls over 

financial reporting. Each year, the independent auditors review 

approximately seventy-five processes, documents, procedures, checklists, 

transaction types, reports, etc. that are all considered as part of the overall 

final assessment. 

S.1.3 Information Technology is optimized and IT systems are protected.

Performance Measure: Percentage of the overall cybersecurity compliance 

with mandates that are issued.

Validation: This objective is measured through the report card from the 

Cybersecurity and Infrastructure Security Agency (CISA) report card.
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S.1.4 Maintain the Commission’s cloud-based website to allow industry access to 

FMC resources and applications. 

Performance Measure: FMC website uptime percentage.

Validation: This objective is measured through the Commission’s Azure 

server uptime report.

Stewardship Sub-objective 2: Foster a high performing, engaged, and diverse workforce 

where staff understand how their efforts contribute to the goals of the Commission.

S.2.1 Management promotes a culture that is open, diverse, and inclusive.

Performance Measure: Benchmarking EEI index is above the average for 

Small Agencies; no more than 10% drop from the prior year.

Validation: Annual employee responses from the Federal Employee 

Viewpoint Survey (FEVS) and employee feedback received from exit 

interviews.

S.2.2 Management promotes a results-oriented performance culture. 

Performance Measure: Staffing levels within 5% (above or below) the 

beginning of FY planned FTE as measured at the end of the FY.

Validation: End of year staffing data; quarterly reports to the Office of the 

Managing Director.

Performance Measure: Percent of staff with the majority of (3 or more 

expectations per performance element) performance goals rated as meeting 

the characteristics of a SMART goal. Targets are for non-SES/supervisor staff. 

SES and supervisor targets exceed listed staff targets. 

Validation: Review of Performance Plans each performance year.