FEDERAL MARITIME COMMISSION

FINAL ANNUAL PERFORMANCE PLAN

FOR FY 2005

February 2004
LIST OF ACRONYMS

1984 Act Shipping Act of 1984

ADR Alternative Dispute Resolution

ALJ Administrative Law Judge

BCCL Bureau of Consumer Complaints &

Licensing

BOE Bureau of Enforcement

BTA Bureau of Trade Analysis

CIO Chief Information Officer

DHS Department of Homeland Security

DOT Department of Transportation

FAQ Frequently Asked Questions

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 andResults

Act

IG Inspector General
2

IT Information Technology

ITMRA InformationTechnology Management

Reform Act

NOI Notice of Inquiry

NPRM Notice of Proposed Rulemaking

OGC Office of General Counsel

OMB Office of Management and Budget

OSRA Ocean Shipping Reform Act of 1998

OTI Ocean Transportation Intermediary

POA&M Plan of Action and Milestones

PVO Passenger Vessel Operator

SDLC Systems Development Life Cycle

SERVCON Service Contract Filing System

SOP Standard Operating Procedure

VOCC Vessel-Operating Common Carrier
INTRODUCTION

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

set forth in 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 planis closely linked to the agency’s Strategic Plan,

although its content is more detailed and specific as opposed to the generaland 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.

For FY 2005, our Plan focuses on strategic human capital management, specifically on

howwe develop and evaluate our workforce. This effort dovetails with a primary initiative

of the President’s Management Agenda. Several performance goals were created to

improve succession planning and to develop more comprehensive skills in newer

employees, as well as to improve efficiencies in the workforce through improvements in

processes and programs.

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

Agenda initiative to expand electronic government. Several performance goals were

formulated toimprove the management ofinformationbyutilizingtechnology, to streamline

and simplifythe deliveryofservices and informationtoregulated entities, other government

agencies and the public, and to create more sophisticated databases whichwill allowstaff

to more effectively identify and targetregulatedactivities,complaints,and potentialabuses.

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-drivenand our goals essentiallyarebaseduponlegislative mandates whichare 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

informationclearly and concisely, and strivesto be as detailed as necessarywhile 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 eachofthe five ProgramActivitiesreflected inour budget.
2

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 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. 

Budget Program Activity - The FMC’s Program Activities aslisted 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 formeasuring results(the quantifier or

qualifier of performance).

Processes/Activities - The processes, skills, or resourcesthat 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 ifprograms 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 via regular and continuing

contacts at all levels of the agency. We have used rulemakings and formal inquiries to

solicit industry views on particular issues. And 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. We continue to obtain industry feedback on specific

areas of relevance that need to be addressed, and ensure that all appropriate channels of

communicationare utilized effectively. To this end, the Commission has instituted regular

seminars conducted by agency staff at various locations around the country to provide a

valuable forum for the exchange of information with, and obtain relevant input from, the
3

industry and the shipping public. The opinions and comments we received 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 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 allparties withwhomit 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

accomplishits performance goals. We have provided anFTE 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 notreflect the fullFTE and funding levels ofour FY2005

budget. Naturally, the Commission performs significant duties beyond those reflected in

our performance goals, and alsoaccomplishesa host ofday-to-dayresponsibilitiesthat 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. 

The Commissionwillpost 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. 
4

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

transportationsystem. 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

harmonywithand responsive to internationalshipping practices, and permitsfair and open

commerce. We must focus our energies and efforts on this mission, and assure that the

agency is organized and managed in amanner bestsuited to accomplishit witha 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. 
5

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 securitybyadministeringU.S.shipping statutesin 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 hasthe appropriate organizational

framework and management systems to carry out its statutory mandates.
6

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

timelyand decisive regulatoryprocesses, and providingvarious disputeresolutionservices.

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

discriminationor preclude industryefficiency, 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

technologicalchanges,eachofwhichcanfoster a more economicaloceanshippingsystem.

Our second strategic goalcenters onachieving compliance withthe substantive provisions

of the shipping statutesthe FMC administers, and protecting those involved inU.S. ocean

commerce fromunfair practices. We will address this goal particularly byinteracting with

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

Accomplishing this goalshould minimize the unjust discriminationand undue preference or

prejudice that precludescertainshippinginterestsfromobtaining rates orservice levelsthat

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

should enable stakeholdersto concentrate onfair and legalmeans of enhancing operational

efficiency, secure in the knowledge that competitors are not engaging inwidespread illegal

actions aimed at improving short-term profits. The agency’sfocus onthe qualifications of

intermediaries operating in the U.S. trades will afford greater protection to our

stakeholders and contribute to nationalmaritime 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 onmarketplace factors, and redress excessive anticompetitive

practices harmfulto internationalcommerce. This is a direct link to our mission statement’s

call for an efficient, secure, competitive,market-drivenoceantransportationsystem. Our

continuing efforts to address the actions offoreign governmentsthat adversely affect U.S.

interests and our foreign trade comport with that aspect of our mission aimed at creating
7

anenvironment “free ofunfair foreignmaritime trade practices.” Our focus oncommercial

malpractices enhances our objective of limiting unlawful activities. 

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

advancementsinIT to improve the efficiencyofour operations and enhance our exchange

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

budgetarylimitations dictatesthatweappropriately 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 ofinformation. We intend to perform the research and analysis

necessaryto identify the best options forimplementing technicalenhancementsto 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

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

goalserves asthe internal underpinning that enables usto accomplishthe policyobjectives

set forth in our mission statement. This goalalso ensures continuationof a comprehensive

approach to the strategic management of our human capital.

Achieving these mission-drivengoals will enable ustoaddressthe externalfactors 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. 
8

Budget Program Activity:

Related Strategic Goals:

Formal Proceedings - 13.7 FTEs and $2,233,278 will be required to accomplish the goals under this Program Activity.

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. 

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.

Performance Goal Outcome Performance Indicator Process/Activity Performance

Measure/Evaluation

1. Update, organize and centralize

database for efficient use by the

attorneys and staff. 

Develop a comprehensive,

searchable electronic index of the

OGC paper files.

- Easy accessibility to all

OGC information for

attorneys and staff.

- Efficient facilitation of

information-sharing for

individual and group

projects.

- Centralized institutional

knowledge and reference

file.

- Effective management of

ongoing OGC reporting

functions.

- Up-to-date record of OGC

information inventory.

- All relevant information is

maintained in systematic

manner under proper headings

to allow for efficiency and

continuity.

- Integrated, searchable index of

all files is in place.

- 100% of attorneys’ work

product has been backed-up to

shared work area under

appropriate headings.

- Out-of-date information is

purged and associated paper

files are sent to archives, as

appropriate.

- Staff creates subject categories

and relevant folders within the

file. Attorneys/staff forward all

written work to office

coordinator to organize under

appropriate categories/subject

headings within the folders.

- For the index, a

comprehensive list of all paper

files is created under relevant

headings and subjects. OGC

will work in conjunction with

the IT office in the creation of

the index.

-Attorneys are well-versed in

usage and function of

centralized database.

-Attorneys and staff are using

the index and updating it, as

necessary.

-Assess feedback from users.

-Progress achieved and

feedback dictate how to proceed

with long-range automation

plan.
Performance Goal Outcome Performance Indicator Process/Activity Performance

Measure/Evaluation

9

2. Develop additional relationships

with other agencies with

responsibilities related to maritime

security, including DHS, DOT, and

intelligence agencies.

- Increased interagency

communications and

information-sharing

regarding national security

as it applies to the maritime

industry.

- Positive relations among

relevant agencies and

enhanced understanding of

the FMC’s role in maritime

security issues. 

- Continued FMC

contribution to inter-agency

efforts to identify potential

security threats.

- Coordinated, efficient

approach to maritime

security challenges.

- FMC continues to be

represented at interagency

meetings of the Container

Working Group and other

relevant interagency groups or

task forces.

- FMC views and participation

are reflected in appropriate

reports and communications

memorializing meetings or

consultations concerning

maritime security.

- Cohesive relationships

continue to be formed.

- Concerted information-sharing

and coordination of agency

activities have been

accomplished.

- Chairman provides policy

direction to OGC.

- OGC continues to serve as

liaison and coordinates with

Commission bureaus.

- Regular meetings with

relevant agencies are attended

or initiated by FMC liaison.

- Communications are

submitted to agencies to

memorialize meetings and

conversations or to report recent

developments in maritime

security issues.

-Feedback on Commission

representatives’ participation in

activities and meetings.

-Number of meetings, contacts

and interagency activities.

3. Develop options for updating and

modernizing the Commission’s

Rules of Practice & Procedure,

including exploring the ability to

utilize technology for electronic

filing.

-Definitive analysis of effect

of prospective changes on

the regulatory process, and

whether Commission action

is warranted. Such actions

could include NOI or

NPRM to solicit public

comment.

-Plan of action to eliminate

barriers to greater utilization

of electronic business

processes.

Report to Commission with

analysis of options and

recommendations on what

changes are warranted.

- Meetings are scheduled to

present ideas, gather

information and study options.

- Report to be filed with

Commission with findings.

-Task force co-chaired by GC

and Secretary, with legal input

from ALJ and technical input

from CIO, and participation by

program bureaus.

-If public comment is solicited,

assess comments received from

industry and public.

-Final Commission

determination of staff

recommendation.

-Assess impact of any proposals

finalized.
Performance Goal Outcome Performance Indicator Process/Activity Performance

Measure/Evaluation

10

4. By 9/30/05, make selected

Opening/Reply Briefs and

Exceptions and Replies in docketed

proceedings available to the public

through the Commission’s website.

- Reduce duplicating costs

and costs associated with

responding to public

requests for copies of

filings.

- Provide for quicker access

to such document filings.

- Improve efficiency of

providing Commission staff

with access to public

filings.

-Selected Opening Briefs and

Reply Briefs and Exceptions

and Replies, if any, are made

available through the website.

-Filings and proceedings are

placed on the homepage and are

readily accessible in electronic

format.

Office of the Secretary requests

litigants to submit filings in

electronic form or scans filings

which are received in hard-copy

form.

-Office of the Secretary reviews

the number of briefs, exceptions

and replies available to the

public.

-Assess feedback from external

and internal users.
11

Budget Program Activity:

Related Strategic Goals:

Operational and Administrative - 12.1 FTEs and $1,772,696 will be required to accomplish the goals under this Program Activity.

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. 

Performance Goal Outcome Performance Indicator Process/Activity Performance

Measure/Evaluation

1. Prepare and institute individual

development plans on at least 75%

of agency managers in furtherance

of agency mission, workforce/

succession planning and expected

shortfalls in agency skill sets. 

Significant strides in

training and developing

agency managers in spite of

attrition losses, in

furtherance of agency

mission and strategic goals.

- No discernible shortfalls in

required employee skill sets.

- Ability of agency to absorb

expected attrition and meet

current and ongoing mission

needs.

- Individual development plans

in place.

- Training/development

pursuant to individual

development plans.

-Office of Human Resources, in

conjunction with program

managers, prepares individual

development plans and relevant

development/training

assignments.

-Bureau/office heads actively

involved in development of

individual development plans

and determination of

appropriate

development/training

assignments.

-Executive Director’s Office

assesses a sampling of

individual development plans.

-Evaluation of efficacy of

training/developmental

assignments by senior

management.

2. Implement an IT Capital

Planning Investment Control

Process for the Commission’s major

IT investments. 

-Commission’s IT

expenditure decisions make

the best use of scarce

agency resources

- Complying with OMB

guidance under ITMRA and

GPRA,.

- New IT systems will be

developed to support multiprogram requirements. 

- New IT systems will share data

across the Commission and

externally, as required.

-Commission will provide solid

business cases for projects that

request funds to support IT

investments.

-Formal IT CPIC issued in

fourth quarter of FY2005.

-Bureau/office heads ensure

staff follows policy guidelines

when developing proposals for

applications.

-Requests for IT project funding

according to OMB guidelines. 

- IG audits will identify minimal

corrective action findings for

improvement in IT program

management.
Performance Goal Outcome Performance Indicator Process/Activity Performance

Measure/Evaluation

12

3. Assure that 95% of the security

on agency systems and facilities is

in conformance with Administration

and Congressional mandates. 

-More secure IT systems in

furtherance of agency

mission. 

-Provide users with a more

stable working environment

to allow for more efficient

business processes.

-Enhance safety of data.

 -Complying with OMB

guidance under FISMA and

GPEA

- No IT systems reported to have

unauthorized access. 

- No, or minimal, viruses

reported that have impact on

network operation or

performance. 

- New IT systems will

incorporate security plans.

- All systems report latest

security and virus detection tool

installed.

- IT office will work with

program offices to ensure

system development will follow

SDLC and include required

plans.

-IT office applies FISMA

guidelines to IT investments.

- IT office will work with

program offices and provide

feedback on security matters

and implement controls.

- POA&Ms for FISMA report to

OMB. 

- Forms collections pursuant to

e-filing processes. 

- Receive minimal corrective

action findings on IG

independent audit. 
13

Budget Program Activity:

Related Strategic Goals:

Consumer Complaints & Licensing - 13.7 FTEs and $1,909,306 will be required to accomplish the goals under this Program Activity.

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. 

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. 

Performance Goal Outcome Performance Indicator Process/Activity Performance

Measure/Evaluation

1. Revise internal procedures as a

result of implementing the PVO

final rule by 9/30/05.

-Standardized procedures

for reviewing and

processing applications. 

-Facilitate more efficient

business processes.

-Compliance with

regulatory intent.

-Issue written SOP. 

-Implementation of procedural

changes necessary to enhance

the effectiveness of the rule.

- Discussion with staff and

industry experts.

- Review of standard procedures

and systems. 

-Determine procedural changes

necessary.

-Develop methodology.

-Bureau Director oversees staff

efforts.

-Bureau Director evaluates

revised SOP.

-Executive Director reviews

final draft.

2. By 9/30/05, redesign BCCL’s

section on the FMC Homepage to

facilitate awareness of services and

assistance provided. 

- Increased public awareness

through an interactive,

updated website including

FAQs, current information,

general advice, and

complaint filing procedures.

- Assist the public with

compliance. 

-Website up and running.

-Activation of new web page. 

- Visits to relevant section of

website.

- Gather together information

for website (e.g., cruise

bankruptcy procedures,

information on other helpful

agencies such as Customs,

passenger ticket contracts,

demurrage laws, OTI

information and ADR options).

- Update periodically.

-Assess comments from internal

and external users on the

usefulness of the redesigned

page.

-Greater amount of interaction

with public.
Performance Goal Outcome Performance Indicator Process/Activity Performance

Measure/Evaluation

14

3. Evaluate OTI rules and suggest

changes, if necessary, to address

industry and agency concerns.

-Recommendations for upto-date rules that reflect

current industry

environment.

-Improved compliance with

regulations.

-Less uncertainty among

regulated entities regarding

requirements.

-Recommendation to

Commission.

-Positive feedback from

stakeholders and the public.

- Discussion with staff and

industry experts.

- Internal analysis of

rulemaking.

-Final Commission

determination on staff

recommendations.

-Assess impact of any proposals

finalized.
15

Budget Program Activity:

Related Strategic Goals:

Trade Analysis - 12.8 FTEs and $1,904,008 will be required to accomplish the goals under this Program Activity.

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. 

Performance Goal Outcome Performance Indicator Process/Activity Performance

Measure/Evaluation

1. Enhance the reliability and

efficiency of SERVCON, the

confidential service contract filing

system, by ensuring that filers use

proper electronic service contract

document file names to identify

each service contract submission.

- All new service contracts

filed in SERVCON have

proper document file names. 

- Eliminate targeted service

contracts that are unnamed

in SERVCON and 

unretrievable by the FMC’s

search engine.

- All targeted service contracts

are retrievable through the

FMC’s electronic search engine.

- No omission of critical

information that is obtainable

only in confidential contracts is

detected. 

- Audit existing contracts

incorrectly named.

- Develop approach to ensure

proper service contract file

name. 

- Determine process for

eliminating improperly named

service contacts.

- Identify targeted service

contracts to be corrected. 

- Reports/studies based on

information contained in

service contract filings are

reliable due to appropriate

naming of unique electronic

document files.

-Problems associated with

random searches to identify

improper file names are

eliminated. 
Performance Goal Outcome Performance Indicator Process/Activity Performance

Measure/Evaluation

16

2. By 6/30/05, redesign internal

agreement database to enable more

efficient oversight of agreement

activities.

- Identification of

agreements that have the

potential for unreasonable

market distortions.

- Shifting of resources from

those agreements that have

little or no competitive

impact to focus on those

which possibly could

distort the market. 

- More in-depth analyses of

potentially problematic

agreements resulting in a

greater incidence of

Commission agreement

initiatives to address

possible abuses.

- Fewer instances of marketdistorting activities

adversely affecting the

shipping public.

- Quicker agency response

to potential problems.

- Ability to identify readily

agreements for specific

monitoring.

- Number of shipper complaints.

- Number of Commission

agreement initiatives.

- Number of requests for specific

database reports from agency

components.

- Number of agency inquiries to

agreement parties regarding

their activities.

- Review current agreement

elements to determine which are

outdated and what new ones

should be added. 

- Confer with other agency

components for their input on

what current elements are still

useful and what additional

elements would better support

their program goals and

objectives.

- Review effective agreements

to ensure accurate coding of

agreement authorities into the

database.

- Design database reports to

meet the needs of various

agency components. 

- Fewer shipper complaints

regarding agreement activities.

- Feedback from users of the

database reports on the

effectiveness and efficacy of

such information in support of

their program goals and

objectives.

- Instances of agency

interventions to address

potential abuses. 
Performance Goal Outcome Performance Indicator Process/Activity Performance

Measure/Evaluation

17

3. Improve staff understanding of

the shipping industry relating to

activities of carriers agreements,

tariffs, service contracts and marine

terminal operators.

- Ongoing industry outreach

program.

 - More accurate and

comprehensive analysis of

related industry

developments and

conditions. 

 - Better staff access to

industry data sources.

 - Work products that reflect a

more comprehensive

understanding of the industry.

- Positive feedback internally

and from the industry on

effectiveness of outreach

program.

- Establish contact list of

representatives from the

shipping industry.

- Conduct interviews with

representatives from industry

segments, e.g., carriers, shippers,

OTIs, ports.

- Attend relevant industry

conferences and seminars.

- Visit certain ports.

- Organize in-house briefings by

industry experts.

- Determine whether improved

understanding of the shipping

industry is reflected in work

products.

- Review agency cost/benefits

of outreach/training program.

 - Feedback from industry on

agency issuances.
18

Budget Program Activity:

Related Strategic Goals:

Enforcement - 9.5 FTEs and $1,475,530 will be required to accomplish the goals under this Program Activity.

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.

Performance Goal Outcome Performance Indicator Process/Activity Performance

Measure/Evaluation

1. Review results of major

enforcement actions (e.g., those

targeted at anticompetitive

practices of ports and ocean

common carriers) during the past

three years to assess effectiveness of

remedies. 

- Assure practices of carriers

or ports are not unlawfully

anticompetitive. 

- Assure Commission

vigilance in monitoring use

of antitrust immunity.

-Remedies of past enforcement

and compliance efforts have

been properly implemented.

-How effectively compliance

directives have been

implemented.

-In coordination with BTA and

BCCL, review reports, minutes

and current activities of entities

previously subject to

enforcement actions.

-Director, BOE ensures

appropriate parameters for

review and assessment are in

place.

Remedial actions taken and

currently effective in addressing

anticompetitive activities.
Performance Goal Outcome Performance Indicator Process/Activity Performance

Measure/Evaluation

19

2. Contact and educate consumer

protection agencies on the State and

local government level regarding

Commission programs and remedies

to protect and assist the public from

the unlawful activities of

transportation providers and

intermediaries.

- Commission can provide

assistance to consumer

protection agencies in

redressing transportation

complaints.

- Agencies can direct the

Commission to entities

unlawfully providing

transportation services.

Number of agencies contacted

and identification of

information provided and

educational programs

conducted.

- BOE and BCCL coordinate

and conduct outreach, and

educational efforts reach

agencies and entities most

likely to address ocean

transportation concerns.

-Disseminate materials

discussing FMC and its

functions for distribution by

other agencies and entities.

-Appear at seminars and

meetings to discuss FMC and its

functions. 

- Number of agencies contacted

and educational program

conducted.

- Feedback from consumer

agencies and the public with

regard to Commission efforts.

3. Provide opportunity for VOCCs

to establish a “best practices”

program to limit participation of

unlawful entities in ocean

transportation.

- Promote equitable

competition among entities

acting as OTI service

providers.

- Promote voluntary

compliance by vessel

operators with regard to

statutory requirements to

provide transportation

services and service

contracts to lawful OTI

entities.

- Improve maritime security

by curtailing unlawful

participation in the ocean

transportation system.

- VOCCs advised of opportunity

to adopt “best practices”

program.

- Reduction in number of

unlawful OTIs receiving ocean

transportation services.

- Use educational programs and

public notice to advise VOCCs

of “best practices” opportunity.

- Give appropriate “mitigation”

recognition to entities with

“best practices” programs in

enforcement actions.

- Review of outreach and

educational efforts and

materials developed to advise

industry of “best practices”

opportunity.

- Number of entities adopting

“best practices” programs for

voluntary compliance efforts.

- Usage of “best practices” in

mitigation of enforcement

actions.