FY 2021-22 Performance Plan and FY 2020 Performance Report

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FY 2021-22 Performance Plan and FY 2020 Performance Report

Transcript Of FY 2021-22 Performance Plan and FY 2020 Performance Report

Annual Performance Report for Fiscal Year 2020
and Annual Performance Plan for Fiscal Years 2021 and 2022

Budgeted Resources by Objective
($ in thousands)

Strategic Goal 1: Prevent fraud, deception, and unfair business practices in the marketplace.
Objective 1.1: Identify and take actions to address deceptive or unfair practices that harm consumers.
Objective 1.2: Provide the public with knowledge and tools to prevent harm to consumers.
Objective 1.3: Collaborate with domestic and international partners to enhance consumer protection.
Total

FY 2020 FTE
512
73
27 612

FY 2020 Amount
$164,143
24,213
8,234 $196,590

FY 2021 FTE
552
73
28 653

FY 2021 Amount
$175,494
24,452
8,659 $208,605

Strategic Goal 2: Prevent anticompetitive mergers and other anticompetitive business practices in the marketplace.
Objective 2.1: Identify and take actions to address anticompetitive mergers and practices that cause harm to consumers.
Objective 2.2: Engage in effective research and stakeholder outreach to promote competition, advance its understanding, and create awareness of its benefits to consumers.
Objective 2.3: Collaborate with domestic and international partners to preserve and promote competition.
Total

FY 2020 FTE
453
53 22 528

FY 2020 Amount
$132,027
15,447 6,936
$154,410

FY 2021 FTE
518
56 23 597

FY 2021 Amount
$157,163
16,740 7,292
$181,195

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Annual Performance Report for FY 2020 and Annual Performance Plan for FYs 2021 and 2022

FTE by Objective
($ in thousands)

Protecting Consumers
Privacy and Identity Protection Financial Practices Marketing Practices Advertising Practices Enforcement Consumer Response and Operations Litigation Technology and Analysis Consumer and Business Education Economic and Consumer Policy Analysis Management Support
Total

Fiscal Year 2020

Objective Number

1

2

3

Total FTE

50

8

3 61

61

6

4 71

108

5

9 122

51

5

3 59

52

1

1 54

24

1 --- 25

36

1 --- 37

--- 21 --- 21

2

5

1

8

9

3 --- 12

119 17

6 142

512 73 27 612

Fiscal Year 2021

Objective Number

1

2

3

Total FTE

52

8

3 63

63

6

4 73

114

5

9 128

52

5

3 60

55

1

1 57

25

1 --- 26

40

1 --- 41

--- 22 --- 22

7

3

1 11

9

3 --- 12

135 18

7 160

552 73 28 653

Promoting Competition
Premerger Notification Merger and Joint Venture Enforcement Merger and Joint Venture Compliance Nonmerger Enforcement Nonmerger Compliance Antitrust Policy Analysis Other Direct Support
Total

Fiscal Year 2020

Objective Number

1

2

3

Total FTE

15

3 --- 18

187 10

5 202

9

2 --- 11

116

6

5 127

1 --- ---

1

3 16

7 26

16

4 --- 20

106 12

5 123

453 53 22 528

Fiscal Year 2021

Objective Number

1

2

3

Total FTE

16

3 --- 19

209 10

5 224

9

2 --- 11

132

6

5 143

1 --- ---

1

8 17

7 32

16

4 --- 20

127 14

6 147

518 56 23 597

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About This Report

The following document is the Annual Performance Report for fiscal year (FY) 2020 and Annual Performance Plan for FY 2021 and 2022 for the Federal Trade Commission (“FTC” or “Commission”). The performance report is structured around three strategic goals and their supporting objectives as established in the FTC Strategic Plan for FY 2018-2022. The FTC’s strategic goals, objectives, and performance measures articulate what the agency intends to accomplish to meet its mandated mission (Goals 1 and 2), support and improve the management functions vital to core mission success (Goal 3), and demonstrate the highest standards of stewardship.
• Strategic Goal 1: Protect consumers from unfair and deceptive practices in the marketplace
• Strategic Goal 2: Maintain competition to promote a marketplace free from anticompetitive mergers, business practices, or public policy outcomes
• Strategic Goal 3: Advance the FTC’s performance through excellence in managing resources, human capital, and information technology
To see more of the FTC’s performance and budget documents, please visit the agency’s website.
Agency and Mission Information
The FTC works to protect and strengthen free and open markets and to promote informed consumer choice, both in the United States and around the world. While the FTC is primarily a law enforcement agency, the FTC also uses a variety of other tools to fulfill its mission, including rulemaking, research, studies on marketplace trends and legal developments, and consumer and business education.
Our Mission Protecting consumers and competition by preventing anticompetitive, deceptive, and unfair business practices through law enforcement, advocacy, and education without unduly burdening legitimate business activity.
Our Vision A vibrant economy characterized by vigorous competition and consumer access to accurate information.
Our History and Organization The FTC is an independent agency that reports to the President and to Congress on its mission to protect consumers and promote competition. This work includes pursuing

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Annual Performance Report for FY 2020 and Annual Performance Plan for FYs 2021 and 2022

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vigorous and effective law enforcement; advancing consumers’ interests by sharing its expertise with Congress, state legislatures, and U.S. and international agencies; developing policy and research tools through hearings, workshops, and conferences; and creating practical and plain-language educational programs and materials for consumers and businesses in a global marketplace with constantly changing technologies.
The FTC has a long tradition of maintaining a competitive marketplace for both consumers and businesses. In 1914, President Woodrow Wilson signed the Federal Trade Commission Act into law, creating the FTC, which then absorbed its predecessor, the Bureau of Corporations, in 1915. When the FTC was created in 1914, its purpose was to prevent unfair methods of competition in commerce as part of the battle to “bust the trusts.” Over the years, Congress passed additional laws giving the agency greater authority over anticompetitive practices.
Recognizing that unfair and deceptive practices can also distort a competitive marketplace and cause harm to consumers, in 1938 Congress amended the FTC Act and granted the FTC authority to stop “unfair or deceptive acts or practices in or affecting commerce.” Since then, the FTC also has been directed to enforce a wide variety of other consumer protection laws and regulations. In total, the Commission has enforcement or administrative responsibilities under more than 70 laws. In addition, the agency maintains a website at www.ftc.gov that provides information for consumers and businesses, as well as online forms to file complaints.
Organizational Structure The FTC is headed by a Commission, consisting of five members; each is nominated by the President, confirmed by the Senate, and serves a staggered seven-year term. The President chooses one commissioner to act as Chair. No more than three commissioners may be from the same political party. The FTC accomplishes its mission through three bureaus: the Bureau of Consumer Protection (BCP), the Bureau of Competition (BC), and the Bureau of Economics (BE). Their work is aided by the Office of the General Counsel (OGC), the Office of International Affairs (OIA), the Office of Policy Planning (OPP), the Office of the Secretary (OS), the Office of the Executive Director (OED), the Office of Congressional Relations (OCR), the Office of Public Affairs (OPA), the Office of Administrative Law Judges (ALJ), the Office of Equal Employment Opportunity and Workplace Inclusion (EEOWI), the Office of the Chief Privacy Officer (OCPO), and the Office of the Inspector General (OIG). For more information about the agency’s components, visit its organizational structure webpage.
The agency’s headquarters are located in Washington, D.C. with eight regional offices across the United States. The agency had 1160 staff on board at the end of FY 2020. The total new budget authority for FY 2020 was $331.0 million.

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Annual Performance Report for FY 2020 and Annual Performance Plan for FYs 2021 and 2022

Performance Measurement Reporting Process
Bureau and Office representatives serve as the Performance Measure Reporting Officials (PMRO), who act as data stewards for each of the agency’s publicly-reported performance goals. The PMROs report performance data to the Performance Improvement Officer on a quarterly or annual basis via an internal data reporting tool. The Financial Management Office (FMO) also leads periodic performance goal reviews in coordination with budget execution reviews. Quarterly reports are sent to senior managers throughout the agency, allowing for adjustments to agency strategies based on the interim results.
Verification and Validation of Performance Data The following outlines how the agency ensures the performance information it reports is complete, reliable, and accurate:
• The FTC has adopted a central internal repository for performance data entry, reporting, and review. The electronic data tool reduces human error, increases transparency, and facilitates review of the agency’s performance information.
• Each PMRO is responsible for updating the data quality appendix (DQA) at least once per year. The DQA serves as a process document, laying out data sources, and collection methods for performance information, as well as how metrics are calculated.
• PMROs must provide all supporting documentation for their performance results at both the midpoint and end of the fiscal year. This allows FMO Performance Staff to “dig beneath the surface” and see the data underlying the metrics.
• After reviewing the underlying data, several measures are selected each year to investigate more thoroughly, including interviewing the staff responsible for data collection, asking about alternative methods, and comparing data collection and calculations to those reported in the DQA.

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Annual Performance Report for FY 2020 and Annual Performance Plan for FYs 2021 and 2022

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Annual Performance Goals: Fiscal Years 2016 to 2022
Performance results avalable at http://www.ftc.gov/about-ftc/performance.

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2020 FY 2021 FY 2022 Actual Actual Actual Actual Actual Target Target Target

Goal 1: Protect consumers from unfair and deceptive practices in the marketplace.

Objective 1.1: Identify and take actions to address deceptive or unfair practices that harm consumers.

Performance Goal 1.1.1 Percentage of the FTC’s consumer protection law enforcement actions that targeted the subject of consumer complaints to the FTC.

91.2%

94.4%

89.6%

87.8%

90.5%

80.0%

80.0%

Performance Goal 1.1.2 Rate of customer satisfaction with the FTC’s
Consumer Response Center.
(A) Website (B) Call Center
³Key Performance Goal 1.1.3
Total consumer savings compared
to the amount of FTC resources
allocated to consumer protection
law enforcement. (New 3 yr. rolling average)
³Key Performance Goal
1.1.4 Amount of money returned to consumers or forwarded to the
U.S. Treasury resulting from FTC
enforcement action.

(A) 81 (B) 83
$8.80 in consumer savings per $1 spent
$95.2 million

(A) 80 (B) 84
$35.20 in consumer savings per $1 spent
$2.69 billion

(A) 80.3 (B) 85
$39.00 in consumer savings per $1 spent
$3.25 billion

(A) 81.2 (B) 84
$38.60 in consumer savings per $1 spent
$3.52 billion

(A) 82.5 (B) 84
$14.40 in consumer
savings per $1 spent
$2.79 billion

(A) 75 (B) 64
$7.00 in consumer
savings per $1 spent
$65 million

average satisfaction rate for websites/
call centers
$7.00 in consumer savings per $1 spent
$65 million

Objective 1.2 Provide consumers and businesses with knowledge and tools that provide guidance

and prevent harm.

³Rate oKfecyonPseurmfoerrmsaatnicsefaGctoioanl 1w.2it.h1 76.0 77.0 77.0 77.7 76.2 75.5 average satisfaction

FTC consumer education websites.

rate for websites

Performance Goal 1.2.2 Number of

workshops and conferences the FTC 12

19

11

12

13

10

10

convened that address consumer

protection issues.

Performance Goal 1.2.3 Number

of consumer protection reports the

8

10

18

11

23

10

10

FTC released.

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Annual Performance Report for FY 2020 and Annual Performance Plan for FYs 2021 and 2022

FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2020 FY 2021 FY 2022 Actual Actual Actual Actual Actual Target Target Target

Objective 1.3 Collaborate with domestic and international partners to enhance consumer protection.

Performance Goal 1.3.1 Number

of investigations or cases in which

the FTC and other U.S. federal, state,

and local government agencies

387

359

369

453

551

375

375

shared evidence or information that

contributed to FTC law enforcement

actions or enhanced consumer

protection..

Performance Goal 1.3.2 Number

of investigations or cases in which

the FTC obtained foreign-based

evidence or information or engaged

in other mutual assistance that

53

50

43

48

42

40

32

35

contributed to FTC law enforcement

actions, or in which the FTC

cooperated with foreign agencies

and/or multilateral organizations

on enforcement matters.

Performance Goal 1.3.3 Number

of instances of policy advice or

technical assistance provided to

66

66

64

71

60

60

60

foreign consumer protection and

privacy agencies, directly and

through international organizations.

Performance Goal 1.3.4

Percentage of consumer protection

advocacy matters filed with

85.7% 85.7%

*

*

*

60.0%

60.0%

entities including federal and state

legislatures, agencies, or courts that

were successful, in whole or in part.

Goal 2: Maintain competition to promote a marketplace free from anticompetitive mergers, business practices, or public policy outcomes

Objective 2.1 Identify and take actions to address anticompetitive mergers and practices.

³Key Performance Goal 2.1.1
Percentage of full merger and nonmerger investigations in which the FTC takes action to maintain competition.

54.6%

49.1%

67.9%

62.9%

77.1%

Between 40.0%
and 70.0%

Between 50.0% and 80.0%

Performance Goal 2.1.2 Consumer savings through merger actions taken to maintain competition.

$2.59 billion

$2.59 billion

$2.66 billion

$3.09 billion

$1.78 billion

$2.10 billion

$1.5 billion

* Results not available at time of publication.

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Annual Performance Report for FY 2020 and Annual Performance Plan for FYs 2021 and 2022

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³Key Performance Goal 2.1.3
Total consumer savings compared to the amount of FTC resources allocated to the merger program.

FY 2016 Actual
$46.40 in consumer
savings per $1 spent

FY 2017 FY 2018 FY 2019 Actual Actual Actual

$55.60 in consumer savings per $1 spent

$50.30 in consumer savings per $1 spent

$65.90 in consumer savings per $1 spent

FY 2020 Actual
$25.70 in consumer
savings per $1 spent

FY 2020 Target
$42.00 in consumer
savings per $1 spent

FY 2021 FY 2022 Target Target
$35.00 in consumer savings per $1 spent

Performance Goal 2.1.4 Consumer savings through nonmerger actions taken to maintain competition.
³Key Performance Goal 2.1.5
Total consumer savings compared to the amount of FTC resources allocated to the nonmerger program.

$1.02 billion

$1.12 billion

$1.10 billion

$52.30 in consumer
savings per $1 spent

$39.60 in consumer savings per $1 spent

$40.10 in consumer
savings per $1 spent

$1.77 billion
$75.80 in consumer
savings per $1 spent

$901 million
$45.95 in consumer
savings per $1 spent

$900 million
$40.00 in consumer
savings per $1 spent

$900 million
$35.00 in consumer savings per $1 spent

Objective 2.2 Engage in effective research, advocacy, and stakeholder outreach to promote competition and advance its understanding.

Performance Goal 2.2.1 Number of

workshops, seminars, conferences,

and hearings convened or co-

3

3

7

11

4

3

3

sponsored that involve significant

competition-related issues.

Performance Goal 2.2.2 Number of

reports and studies the FTC issued

9

11

9

4

7

8

8

on key competition-related topics.

Performance Goal 2.2.3

Percentage of competition advocacy

comments and amicus briefs filed

with entities including federal

64.7% 58.6%

*

*

*

60.0%

60.0%

and state legislatures, agencies,

or courts that were successful, in

whole or in part.

Objective 2.3 Collaborate with domestic and international partners to preserve and promote competition.

³Key Performance Goal 2.3.1
Percentage of FTC cases involving

at least one substantive contact

with a foreign antitrust authority 100% 96%

98% 100% 100% 95%

95%

in which the agencies followed

consistent analytical approaches

and reached compatible outcomes.

Performance Goal 2.3.2 Number of

instances in which the FTC provided

policy advice or technical assistance 171

160

151

165

155

130

130

to foreign competition agencies or

government.

* Results not available at time of publication.

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Annual Performance Report for FY 2020 and Annual Performance Plan for FYs 2021 and 2022
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