PERFORMANCE FRAMEWORK

INTRODUCTION

The Department of Transportation's overarching mission is:

To develop and administer policies and programs that contribute to providing fast, safe, efficient, and convenient transportation at the lowest cost consistent with the national objectives of general welfare, economic growth and stability, the national security, and the efficient use and conservation of the resources of the United States.

Everything we do at DOT is aimed toward meeting this mission statement and making measurable improvements in our transportation system, the security of our nation, and the quality of American life. In the Performance and Accountability Report we hold ourselves accountable to the public for effectively bringing to bear the Department's energy and resources in improving the nation's transportation system. We use these results to improve our strategies and resource decisions.

DOT's performance framework is as follows:

• The DOT Strategic Plan provides a comprehensive vision for improving the nation's complex and vital transportation system. DOT's 2003 - 2008 Strategic Plan outlines five strategic goals in the areas of safety, mobility, global connectivity, security and the environment that articulate the longer term focus of the Department. In addition to the broad goals; the plan targets specific outcomes we want to achieve, and identifies key challenges.
• The DOT Performance Budget operationalizes the Strategic Plan, and provides direct linkages between DOT's budget request and the results the public can expect for programs within each of our Operating Administrations. The performance budget defines the performance goals and measures used to manage progress toward our strategic goals. It describes in detail one fiscal year's resources and programmatic effort within a strategic context. The performance budget also aligns each dollar requested to one of our strategic objectives.
• This DOT Performance and Accountability Report provides a public accounting of our FY 2007 performance results.

Performance accountability for DOT organizations, executives, and employees embed the philosophy of managing for performance into the Department's culture and daily practices. Performance accountability within the Department is accomplished through the following mechanisms:

• Organizational Accountability Contracts - Prepared at the beginning of each fiscal year, these agreements between the Secretary of Transportation and each modal Administrator document expected levels of organizational performance for the upcoming year.
• DOT Organizational Assessments of Performance - A review of each Operating Administration's performance is done at the end of the fiscal year to assess the organization's success in the following areas: meeting Department-wide performance targets; results of Office of Management and Budget Program Assessments using the Program Assessment Rating Tool; President's Management Agenda initiative ratings; and efforts associated with addressing any management challenges or material weaknesses identified by DOT's Office of Inspector General. The results of these assessments are then factored into the personal performance evaluations of our senior executives.
• Employee Performance Plans - Prepared early in the fiscal year, these plans document expected levels of employee performance that clearly link to our strategic goals through the performance framework.

The following graphic (figure 1) describes how DOT plans, measures, manages, and reports on performance:

Figure 1

How DOT Works to Achieve Its Strategic and Performance Goals

The Department achieves its goals through its leadership role in U.S. transportation policy, operations, investment, and research. To influence results, DOT programs rely on a number of common interventions and actions. These include:

• Direct operations and investment in DOT capital assets that provide capability, such as air traffic control and the Saint Lawrence Seaway operations;
• Infrastructure investments and other grants, such as investment in highway, rail, transit, airport, and Amtrak capital infrastructure, and grants for safety, job access, or other important transportation programs;
• Innovative financial tools and credit programs, such as those provided for by the Transportation Infrastructure Finance and Innovation Act, and the Railroad Rehabilitation and Improvement Financing Program;
• Rulemaking, in areas such as equipment, vehicle, or operator standards; for improving safety; and for fostering competition in the transportation sector of the U.S. economy;
• State/local organizational capacity building, through training, best practices, peer-to-peer exchanges and other activities that strengthen the capability of State Departments of Transportation, Metropolitan Planning Organizations, and local governments to play their essential front-line role in planning, investing in, and operating highway and transit systems;
• Enforcement to ensure compliance, including inspections, investigations, and penalty action;
• Research and technology development and application, such as fostering new materials and technologies in transportation, and transportation related research;
• Education and outreach, such as consumer awareness, and campaigns to influence personal behavior; and,
• Public Information, such as that provided by the Bureau of Transportation Statistics, and each DOT Operating Administration, so that States, localities, regions, and private sector entities can better plan their activities.

Some of these interventions and actions reside entirely within the Federal Government, but most involve significant partnering with State and local authorities and with the transportation industry. These are the broad areas of action that DOT - and State and local governments - commonly use to bring about desired results.