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美国交通运输战略计划2006-2011

来源：筏尚旅游网

\"New Ideas for a Nation on the Move\"Fiscal Years

2006 – 2011

THE SECRETARYOF TRANSPORTATIONWASHINGTON, D.C. 20590September 2006My fellow employees:I am pleased to present the United States Department of Transportation’s Strategic Plan for Fiscal Years 2006 – 2011. This Plan builds upon our progress in improving transportation in the United States and shows howwe will work together to lay the foundation for a new transportation model that will be needed to supportAmerica’s economy in future years. President George W. Bush and I recognize that transportation improves our quality of life and fuels the engine ofeconomic growth. We understand the nexus between continued investment in infrastructure and our Nation’sprosperity. But today this connection is compromised by challenges facing our transportation system, and there isa gap between the demand for transportation services and investments to meet that demand. Although theeconomy is robust and jobs are being created, this growth cannot be sustained without a safe, reliable andefficient transportation system.When implemented, this Strategic Plan will place America’s transportation sector on a trajectory leading to amore technologically sophisticated network capable of moving larger volumes of people and goods with higherlevels of safety, more reliably, and more efficiently than we have today. We start this journey by reaffirming ourcommitment to improved transportation safety — the Department’s premier goal. This Strategic Plan describeshow we will target our safety initiatives to improve safety levels and take advantage of technological advances. For the first time in our history, we have made congestion reduction a strategic goal. We launched the NationalStrategy to Reduce Congestion on America’s Transportation Network, to signal a new era of Federal leadership inthe transportation sector. We will integrate congestion reduction as a priority throughout our programs and applyour expertise and resources to help our partners throughout the sector utilize their existing networks better andadd capacity where it can reduce congestion. We recognize that our international work contributes to America’s prosperity by enabling access to foreignmarkets. This Strategic Plan addresses global connectivity where transportation plays a central role. We willliberalize transportation markets, expand the capacity of freight and passenger transportation systems, andpractice positive engagements with foreign partners to improve system linkages on both the foreign and domesticsectors of the transportation chain. We will work to achieve a balance between environmental challenges and a safe and efficient transportationnetwork. Current data reveal that transportation is exerting pressure on the environment world-wide, andcommercial and personal transportation are projected to increase in the future. This Strategic Plan describes howwe will reduce pollution and other adverse effects from transportation to protect the environment. We have introduced a new area of strategic interest comprising issues that have become salient in the post-9/11,post-Hurricane Katrina era — Security, Preparedness and Response. It is critical for all transportation providersto define their roles in preparation for emergencies that may affect the viability of the transportation sector. Finally, we cannot achieve our strategic goals without vision, leadership, customer focus and a culture that valuesteamwork, innovation and continuous improvement. This is an era when partnerships between government andindustry will be needed to achieve our goals. By working together we will achieve results that benefit taxpayersand the Nation. I appreciate your work in developing this Strategic Plan and urge you to put it into actionbuilding on the substantial progress we have made in improving transportation in the United States.Maria Cino Acting SecretaryDOT Strategic Plan 2006-2011

TABLE OF CONTENTS

DOT Strategic Plan 2006-2011

INTRODUCTION

“NEW IDEAS FOR A NATION ON THE MOVE”

As President George W. Bush has clearly recognized, safe, efficient transportation

systems are essential to America's continued economic vitality, our ability to compete ina global economy, and most importantly, to the quality of life of all Americans. TheUnited States’ economy out-paced the economies of other major industrialized nations in2005. During the latest quarter, the economy grew at an impressive 4.8 percent and nosector of the economy experienced more robust growth than the transportation sector.But that sustained growth requires some serious rethinking about the way that we build,finance, manage, and maintain the transportation systems that move our people and oureconomy. In celebrating the 50th Anniversary of the Interstate Highway System, werecognize that the transportation networks that have served our Nation very well in thepast must rise to even greater challenges in the future.

Today, our vital transportation infrastructure is showing signs of aging. We are

experiencing increasing congestion on our highways, railways, airports and seaports. Weare robbing our economy of productivity and our citizens of quality time with their

families. In some cases, this is the result of systems and structures that are more suited toa bygone era than to the 21st century. Our mission can still be described by the words ofPresident Dwight D. Eisenhower 50 years ago. He said that building the system wouldbe “a journey, not a destination.” Now that journey is more complex. It takes us aroundthe globe moving people and goods 24/7, and linking us to distant places in real timethrough the Internet. It is clearly time for \"New Ideas for a Nation on the Move.\"This Strategic Plan describes the Department of Transportation’s new ideas throughgoals, strategies and the results we will achieve to improve the United States

transportation sector. We have set policy goals in five strategic areas: Safety, ReducedCongestion, Global Connectivity, Environmental Stewardship, and Security,

Preparedness and Response. We describe our goals for making DOT a more effectiveFederal agency in our chapter on Organizational Excellence.

SAFETY

Improving safety throughout the transportation network remains DOT’s premier goal.We are making significant strides to reduce transportation-related fatalities and injuries,despite increasing exposure to safety risk from demographics, globalization andeconomic activity. This Strategic Plan outlines the steps we will take to raise safetylevels throughout the Nation and internationally.

REDUCED CONGESTION

In May 2006, the Department announced an innovative National Strategy to ReduceCongestion on America’s Transportation Network. This initiative signals a new era ofFederal leadership in the transportation sector and, for the first time in DOT’s history,makes congestion reduction a strategic goal. DOT’s National Strategy to ReduceCongestion provides a framework for dramatically improving the performance of

DOT Strategic Plan 2006-2011

America’s transportation system, and introduces new approaches to fund and manage thesystem in the years ahead.

GLOBAL CONNECTIVITY

The globalization of the American economy has put pressure on our ports, borders, andairports. Our Global Connectivity goal addresses international transportation issues withtwo synergistic strategies. One strategy is directed toward opening internationaltransportation markets; the other is directed toward improving essential, intermodal

transportation linkages. Both are needed to achieve outcomes that will yield better globalconnectivity and a more competitive and efficient global marketplace.

ENVIRONMENTAL STEWARDSHIP

We will continue to work toward a balance between environmental challenges and theneed for a safe and efficient transportation network. Current data reveal thattransportation is exerting significant pressure on the environment world-wide.

Commercial and personal transportation have grown substantially in recent years and areprojected to increase in the future despite higher prices for petroleum and warnings aboutclimate change. Our Environmental Stewardship goal describes how we will reducepollution and other adverse effects from transportation to protect the environment.SECURITY PREPAREDNESS AND RESPONSE

This Strategic Plan introduces an area of strategic interest comprising transportationissues that have become more acute in the post-9/11, post-Hurricane Katrina era —Security, Preparedness and Response. We believe it is essential for all transportationservice providers to consider their future roles and responsibilities in emergencies thataffect the viability of the transportation sector. We recognize that the first element offacing a challenge is to prepare for it, and preparing involves many different activities:policymaking, reviewing and validating intelligence, planning, building capabilities,training, and exercising scenarios. Our Security, Preparedness and Response goal putsthose elements in place to prepare us to deal with both expected and unexpected futureemergencies.

ORGANIZATIONAL EXCELLENCE

Finally, we cannot achieve our strategic goals without vision, leadership and a culture ofteamwork, collaboration and continuous improvement. We resolve to be leaders inpursuing best practices and achieving results that benefit taxpayers and the Nation. Ourcentral management strategy for achieving organizational improvement will be deliveringthe results described in this Strategic Plan and full implementation of the President'sManagement Agenda (PMA).

The Department of Transportation looks forward to working with the Congress and withour public and private sector partners to facilitate a transportation system that isunparalleled in its safety and in its contributions to America's economic vitality andquality of life through “New Ideas for a Nation on the Move.”

DOT Strategic Plan 2006-2011

DOT VALUES

PROFESSIONALISMAs accountable public servants, we exemplify the highest standards of excellence,integrity, and respect in the work environment.TEAMWORKWe support each other, respect differences in people and ideas and work together inONE DOT fashion.CUSTOMER FOCUSWe strive to understand and meet the needs of our customers through service, innovationand creativity. We are dedicated to delivering results that matter to the American people.

DOT Strategic Plan 2006-2011

THE DOT MISSION

“The national objectives of general welfare, economic growth and stability, and thesecurity of the United States require the development of transportation policies andprograms that contribute to providing fast, safe, efficient, and convenient transportationat the lowest cost consistent with those and other national objectives, including the

efficient use and conservation of the resources of the United States.”1THE UNITED STATES DEPARTMENT OF TRANSPORTATION

DOT occupies a leadership role in global transportation. With 53,500 employeesstationed in the U.S. and around the world, the Department is dedicated to improvingtransportation by making it safer, less congested, better connected, environmentally

friendly and fully operational in all conditions. Since its first official day of operation in1967, DOT’s transportation programs have evolved to meet the economic demands of theNation.2

The Bush Administration has proposed $65.6 billion in budgetary resources for fiscalyear 2007 to support major investments in transportation that are vital to the health of oureconomy and the American way of life. These resources will address the needs of ourcurrent system in a responsible way, while laying the groundwork for America's

transportation in the future. As transportation needs grow and change, we will work withour partners to provide safe and reliable transportation services that are innovative, thatwork better and that cost less.

Today, DOT is comprised of the Office of the Secretary, the Surface TransportationBoard,3 the Office of the Inspector General and 10 operating administrations.- Federal Aviation Administration- Federal Highway Administration

- Federal Motor Carrier Safety Administration- Federal Railroad Administration- Federal Transit Administration- Maritime Administration

- National Highway Traffic Safety Administration- Saint Lawrence Seaway Development Corporation

- Pipeline and Hazardous Materials Safety Administration- Research and Innovative Technology Administration

Section 101 of Title 49, United States Code.

A summary of the legislative authorities that direct DOT’s various missions and programs appears in thechapter “Overview of DOT Legislative Authorities.”3

With passage of the Interstate Commerce Commission Termination Act of 1995 (P.L. 104-88, December29, 1995), Congress established the Surface Transportation Board within DOT, effective January 1, 1996.While formally part of DOT, the Board is decisionally independent of DOT and by law “…shall not beresponsible to or subject to the supervision or direction…of any other part of the Department ofTransportation.” (49 U.S.C. 703(c).

DOT Strategic Plan 2006-2011

OVERVIEW OF THE DOT STRATEGIC PLAN

MISSIONThe national objectives of general welfare, economic growth and stability, and thesecurity of the United States require the development of transportation policiesand programs that contribute to providing fast, safe, efficient, and convenienttransportation at the lowest cost consistent with those and other national

objectives, including the efficient use and conservation of the resources of theUnited States.

STRATEGIC GOALSSAFETY:

Enhance public health and safety by working toward the elimination oftransportation-related deaths and injuries.

REDUCED CONGESTION: Reduce congestion and other impediments to using the

Nation’s transportation system.GLOBAL CONNECTIVITY: Facilitate an international transportation system that promotes

economic growth and development.ENVIRONMENTAL STEWARDSHIP: Promote transportation solutions that enhance

communities and protect the natural and built environment.SECURITY, PREPAREDNESS AND RESPONSE: Balance transportation security

requirements with the safety, mobility and economic needs of the Nationand be prepared to respond to emergencies that affect the viability of thetransportation sector.

ORGANIZATIONAL GOALORGANIZATIONAL EXCELLENCE: Advance the Department's ability to manage for

results and achieve the goals of the President's Management Agenda.

DOT Strategic Plan 2006-2011

SAFETY STRATEGIC GOAL

“Enhance public health and safety by working toward the elimination of

transportation-related deaths and injuries”

OUTCOMES

1. Reduction in transportation-related deaths2. Reduction in transportation-related injuries

STRATEGIES

Improving safety throughout the transportation network is the premier goal of the

Department of Transportation and we are making significant strides in each mode. Thestory of improvements in transportation safety can be told as a story of technology

reducing the opportunity for human error. For example, with airline simulator training,pilots gain ‘real’ experience flying through and out of wind shear in a risk-free

environment. Below we present discussions of our central safety strategies by mode.HIGHWAY SAFETY

Signed on August 10, 2005, the Safe, Accountable, Flexible, Efficient TransportationEquity Act: A Legacy for Users (SAFETEA-LU) provided the groundwork for new,innovative activities to support highway traffic safety. Our ability to work with States todevelop and implement data-driven, workable, and self-sustaining highway safetyprograms is key to the overall success in achieving a reduction in highway safetyfatalities.

To accomplish these reductions, DOT provides grants to States and local communitiesand supports research, demonstrations and countermeasure programs designed to preventmotor vehicle crashes and reduce their associated economic costs. While these programshave saved tens of thousands of lives, projections for highway fatalities and injuries showus that much more needs to be done in behavioral and vehicle safety to improve safety onour roads.

As part of a comprehensive highway safety program, we will assist States with the

development of Strategic Highway Safety Plans (SHSP). SAFETEA-LU provides Stateswith added flexibility to use safety program funds for projects on all public roads andpublicly owned pedestrian and bicycle paths, as well as to focus efforts on

implementation of a State SHSP. States are required to collect data, analyze highwaysafety problems and produce a list of projects to be funded based upon the data analysis.We will also concentrate efforts on reducing the severity of crashes through roadwayinfrastructure and operational improvements. Planned activities include fundingimprovements to the national infrastructure and promoting better geometric design,utilizing more durable pavement markings, installing more visible roadside signs, andincreasing skid-resistant roadway surfaces to enhance safety. The continued use of Road

DOT Strategic Plan 2006-2011

Safety Audits assists communities with safety improvements during the construction ofnew roadways and reconstruction of existing roadways.

In the behavioral area, we will focus on the delivery of data-driven countermeasures,

public information and education materials and activities, and State grant programs aimedat:

- increasing occupant protection use;

- reducing alcohol and drug-related fatalities;- reducing motorcycle fatalities;

- promoting effective speed management;

- prolonging older driver mobility as long as medically practicable;- promoting parental roles in effective driver education curricula; and,- maintaining the integrity of driver licensing processes.

As these behavioral programs mature, we are faced with the challenge of reachingaudiences that are more resistant to safety messages. Our future behavioral efforts willtherefore focus on harder-to-reach and under-served populations.

With respect to vehicle safety, the introduction of technology into motor vehicles isoccurring at an ever-increasing rate, providing consumers with more choices in safety,ease-of-use, and entertainment. In addition to its traditional vehicle research, rulemaking,enforcement, and safety defect investigations, DOT will assess the lifesaving benefits ofemerging technologies as they enter the vehicle fleet. In fiscal year 2008, DOT willpromulgate a final rule to include New Car Assessment Program (NCAP) ratings on thesales stickers of new vehicles, as mandated by SAFETEA-LU, providing consumers withmore information on the safety of new vehicles at the point of sale.

TRUCK SAFETY

About 12 percent of all motor vehicle fatalities in the U.S. involve crashes with largetrucks – nearly 5,000 of the 42,800 highway fatalities involved commercial vehicles in2005. It is particularly challenging to bring down the number of fatalities for these motorcarriers, because truck miles traveled are increasing faster than vehicle miles.

DOT is committed to reducing the number of crashes and to saving more lives throughprograms and partnerships with other government agencies, industry and the public.Aggressive enforcement of Federal Motor Carrier Safety Regulations is our primarystrategy for improving truck safety levels. We target high risk carriers through field

activities such as compliance reviews, safety audits, and roadside inspections. One of themost important strategies is increased focus on the role of drivers in preventing crashes.The Large Truck Causation Study and other analyses show that influencing driverbehavior is the biggest factor in crash prevention. While our traditional focus has beenon improving the safety of motor carrier companies, this research shows that there aregains to be had from an increased focus on drivers. Therefore this is one of the primaryareas where DOT seeks future improvements in truck safety. We will also conducteducational programs by partnering with States and other agencies to heighten publicawareness of best highway safety practices for commercial motor vehicles and passengervehicles.

DOT Strategic Plan 2006-2011

TRANSIT SAFETY

Public transportation is the safest mode of surface transportation. Nationwide, in 2004,there were only 168 transit-caused fatalities, and according to the National Safety

Council, riding a bus is 47 times safer than traveling by car, and traveling by train is 23times safer than traveling by car. The challenge for DOT is to reduce still further thenumber of transit-related fatalities and injuries even as the total number of people usingtransit increases.

Our central strategy to accomplish this goal is to integrate safety and security throughoutevery aspect of public transit. This broad strategy includes: planning, design, operationand maintenance; effective and responsive training for transit personnel; technicalassistance and oversight for transit operators; safety research and technology

development; supporting effective drug and alcohol programs; and working with States toimplement State safety oversight of rail fixed route systems.

AVIATION SAFETY

The safety of commercial aviation remains a high priority. In the last three years, therewere only 0.017 fatal accidents per hundred thousand takeoffs – the equivalent of onefatal accident per 5.9 million flights. The number of serious runway incursions, instanceswhere a plane comes too close to another plane or vehicle on the ground, has also

decreased. However, the fatal accident rate for general aviation, especially for Alaska,remains a concern. To address this, we continue education of the pilot community anddeploy new technologies. Further, mistakes made when directing air traffic – also knownas operational errors – remain a concern. We will work to improve aviation safety bysystematically addressing operational vulnerabilities to reduce risk and improve airportinfrastructure, safety management program awareness, runway safety training and newprocedures.

RAILROAD SAFETY

Every day, trains in America travel more than 1.5 million miles to transport passengers totheir destinations and deliver goods to the marketplace. America’s rail system is a vastnetwork of over 233,000 miles of track that serve as arteries for commerce and

connections for local communities. To support America’s economic growth, increaseddemands are being placed on our rails – in the form of more trains on our tracks than everbefore. Amid a strong economy and increased demand for rail services, in 2005, the trainaccident rate declined. Data comparing 2005 with 2004 show that the number of trainaccidents per million train miles decreased 2.1 percent, while rail-related casualtiesdecreased by 1.9 percent. The total number of highway-rail grade crossing fatalitiesdeclined 8.5 percent and the grade crossing collision rate reached an all-time record lowof 3.76 per million train-miles.

Preliminary data also reveal that human-factors – the leading cause of all train accidents –decreased 3.4 percent in 2005. Trespassing remains the largest single cause of rail-related fatalities accounting for 55 percent of the total that same year.

Our strategy for improving rail safety is to continue to implement the National Rail

Safety Action Plan that was launched in 2005 to target the most frequent and highest-riskcauses of train accidents and accelerate research into new technologies that can improverail safety levels. Many elements of the plan have been implemented, including pilotprojects to test technology to identify small cracks in rail joints, monitor track switch

DOT Strategic Plan 2006-2011

positions in nonsignaled or dark territory, and provide timely hazardous materialsinformation to emergency responders.

Federal inspectors will study data to identify potential problem areas that need moreattention before an accident occurs, and DOT will launch two new automated track

inspection vehicles, tripling the number of track miles inspected annually. In addition, aproposed Federal rule to reduce the most common human errors that lead to train

accidents will be issued. For economic progress to continue, safety must remain the coreprinciple that guides operations on our Nation’s rail system.

PIPELINE SAFETY

Pipelines transport and supply almost two-thirds of the fuel to heat, cool, and operateAmerica’s homes, cars, and businesses through a network of nearly 2.3 million miles ofpipes, most of which are buried underground. While serious pipeline incidents — thosecausing death or injury — have declined by more than 50 percent over the past 20 years,several challenges remain.

To continue improving pipeline safety levels, we are targeting three main strategicinitiatives: managing risk and integrity, sharing responsibility, and providing effectivestewardship. Our entire regulatory approach is focused on integrity management:driving defects out of the system before they become failures. DOT is partnering withorganizations like the Common Ground Alliance and the National Association of StateFire Marshalls to identify and promote best practices for damage prevention, one of themajor causes of serious pipeline incidents. Working with Federal and State partners, weplay a key stewardship role in assuring high national safety standards and helping toguide permitting for energy facilities.

RESOURCES

The human resources, programs, capital assets, information technology and otherresources described in DOT's Annual Performance Budgets are needed to achieve oursafety outcomes and to execute the specific strategies presented below. The schedule forexecuting our safety strategies extends from fiscal year 2006 through fiscal year 2011.All strategies presented below support both safety outcomes.SAFETY STRATEGIES FOR ALL MODES

1. Sponsor and conduct research to address the causal factors and risks in accidents,to anticipate future safety risks, and to determine the most effective ways ofmitigating the consequences of transportation accidents in all modes.2. Promote voluntary information sharing on accident causes, precursors, and

mitigation strategies among the people in government and industry best able to acton that information.3. Support safety rulemaking by assessing the potential safety impacts of newtransportation technologies, vehicles, infrastructure, concepts, designs, andoperational procedures in all modes.4. Sponsor and participate in conferences, seminars and meetings at which

transportation consumers and providers can share advances in safety technology,regulation, and procedures.

DOT Strategic Plan 2006-2011

5. Use DOT web sites to communicate information on best safety practices,educational materials, consumer information and other materials relating tosafety.6. Improve safety in all modes through outreach, education, enforcement,

collaboration with public and industry safety partners, demonstration programs,consumer information, and strategic media usage.7. Provide and collaborate in safety training for transportation professionals,

continuously updating the training to reflect advances in the state-of-the-art andstate-of-the-practice and to meet changing training needs.8. Develop and utilize comprehensive programs that make use of safety-related datato evaluate the impact of new vehicle and infrastructure technologies, focusinspection activities, prioritize and address risks, and assess enforcementtechniques.9. Optimize DOT’s operational effectiveness through continuous implementation ofbest practices and innovations in enforcement in all modes.10. Assess the benefits of crash avoidance and crashworthiness capabilities, upgradestandards, use consumer information to improve safety performance and increasethe proper use of crash avoidance and protection equipment.11. Support the deployment of enhanced emergency medical and 9-1-1 systems.MODE-SPECIFIC SAFETY STRATEGIES

12. Conduct a comprehensive compliance enforcement program to assure that

vehicles and equipment comply with Federal motor vehicle safety standards, andconduct a comprehensive defects investigation and recall program to assure thatsafety defects for motor vehicles and equipment are identified and corrected orkept off the road.13. Improve motor carrier driver credentialing and licensing systems by enforcingstandards for commercial drivers’ licenses and establishing connectivity and datasharing of commercial driver records across all States.14. Accelerate research on rail tank-car structural integrity and on fatigue in the railindustry and identify promising technologies for reducing the risk of trainaccidents in ‘dark’ or nonsignaled territory where hazardous materials aretransported.15. Provide guidance and technical assistance to the State agencies responsible forsafety oversight of rail transit systems, monitor the compliance with therequirements of the State Safety Oversight Rule for Rail Fixed Guideway

Systems, and encourage a collaborative approach between the Federal and Stateagencies and rail transit system operators.16. Test materials used in transit vehicles for fire/life safety and update guidelines toreflect advances.17. Continue the evolution toward a performance-based National Aerospace Systemby using a space-based navigation system and on-board technologies that allowaircraft greater flexibility in navigating airspace more safely and efficiently.

DOT Strategic Plan 2006-2011

18. Design, develop and implement a Safety Management System for the delivery ofair traffic services that complies with the International Civil AviationOrganization’s requirements.19. Protect pipelines from excavation damage – the leading cause of all seriousincidents – through stronger State and national damage prevention programs, anational 811 system for notifications, new technology, and collaboration with theCommon Ground Alliance to develop best practices for damage prevention and totoughen State laws to provide for enforcement against violators.20. Implement integrity management practices to identify and repair corrosion andother defects in pipeline systems before failure, and extend integrity managementto gas distribution systems where four out of every five serious pipeline incidentsoccur.PERFORMANCE MEASURES

Table 1 depicts the relationship between DOT’s safety outcomes and the performancemeasures that will show our progress in achieving them.

TABLE 1. SAFETY OUTCOMES AND PERFORMANCE MEASURES

OUTCOMES

1. Reduction in transportation-related deaths2. Reduction in transportation-related injuries

PERFORMANCE MEASURES

- Highway fatalities per 100 million vehicle miles traveled(VMT). 2011 Target is 1.0 highway fatalities per 100million VMT.

- Highway fatalities involving large trucks per 100 milliontruck vehicle miles traveled (TVMT). 2011 Target is 1.65fatalities per 100 million TVMT.

- U.S. commercial air carrier fatal accident rate. 2011 Targetis to reduce the three year rolling average fatal accident ratebelow 0.010 per 100,000 departures.

- Number of fatal general aviation accidents. 2009 Target is319. 2011 Target TBD.

- Rail-related accidents and incidents per million train miles.2011 Target is 17.84 per million train miles.

- Transit fatalities per 100 million passenger-miles traveled.2011 Target is 0.448 per 100 million passenger milestraveled.

- Number of serious incidents for natural gas and hazardousliquid pipelines. 2011 Target is 36 serious incidents.- Number of serious hazardous materials transportationincidents. 2011 Target is 448.

- Number of serious HAZMAT incidents involvingcommercial motor vehicles. 2011 Target is 436.

DOT Strategic Plan 2006-2011

EXTERNAL FACTORS

Several external factors could significantly affect our ability to achieve our safety goals.Although it is impossible to predict which of these factors, or which combination of

factors, will tip the balance in our ability to produce results, we present both negative andpositive factors we believe will play an important role in the years covered by thisStrategic Plan.

DEMOGRAPHIC TRENDS

Demographic trends work against our ability to achieve our safety goals. Most

transportation-related fatalities and injuries occur on the Nation's roads and highways anddemographic trends make it increasingly difficult to reduce these fatalities and injuries.Within the next 25 years, the U.S. population is estimated to grow to 364 million, upfrom 282 million in 2000. Vehicle miles of travel (VMT) is projected to increase by

approximately 60 percent from 2000 to 2030 leading to much higher numbers of highwaycrashes and fatalities. Protecting segments of the population who remain at heightenedrisk – including teenage and older drivers, pickup drivers and rural residents – willrequire targeted safety programs. Significant increases in the older population – thenumber of people between the ages of 65 and 84 will increase by 114 percent from 2000to 2050 – will pose highway and motor vehicle safety challenges, whether olderAmericans are drivers or passengers. Finally, the steady influx of immigrants fromaround the world will also add complexity to the traffic safety challenge requiring us tobe innovative in adapting our safety strategies, materials and approaches to reach thesecultures.

GROWTH IN THE MOTOR CARRIER INDUSTRY

Truck traffic has been growing at a faster rate than overall vehicle traffic. Currently,trucks carry 75 percent of the Nation's commerce based on the value of the goods andmore than two-thirds of these goods based on weight. In the future, large trucks willlikely be an increasing part of the traffic stream and will make a greater contribution tosafety problems. An increase in truck traffic is an external factor that will challenge thesafety goal of reducing large-truck related fatalities and injuries.

DRIVER SHORTAGES

Approximately 2.5 million truck drivers worked in the U.S. during 2004. However,demand for truck and bus drivers is growing and potential driver shortages in the motorcarrier industry may tempt some companies to use a higher percentage of new or

unskilled drivers to meet increasing demands. Lack of qualified drivers is an externalfactor that may adversely impact efforts to reduce large truck and bus-related crashes.ECONOMIC CYCLES

Economic cycles are external factors that can increase pipeline safety risk. Economicgrowth normally brings an increase in commercial and residential development, whichincreases the probability of excavation or outside force damage to pipelines – a majorfactor in pipeline safety. On the other hand, economic and budget pressures cannegatively influence the priorities of pipeline safety partners – the States – forimplementing and enforcing pipeline safety measures. Financial pressures on thepipeline industry can diminish the resources available to support safe operating andmaintenance practices.

DOT Strategic Plan 2006-2011

TECHNOLOGY

Current and emerging technologies are external factors that can significantly help usachieve our safety goals. New technologies add additional layers of safety that can helpavoid and mitigate crashes. In 2005, for example, new technology allowed the FAAsafely to cut in half required vertical separations between aircraft thereby increasingairspace capacity and reducing the risk of collision.

Technologies improve levels of highway safety. These include adaptive cruise control,brake assist, anti-lock braking systems, advanced airbags, backing up warning sensors,drowsy driver monitoring, warning devices for specific types of impending crashes (rear-end, lane/road departure, intersection), and systems that take control of the vehicle suchas electronic stability control, rollover prevention and alcohol detection.

Additional occupant protection improvements, including advanced vehicle structures,safety belt/ignition-interlock systems, airbags and other interior protection features willreduce injuries and fatalities when crashes do occur. Immediately after impact, onboardcommunications could automatically notify rescue services of a crash, its location, andprobable extent of injuries based on onboard sensors. The proliferation of traffic videosurveillance in urban areas and mobile telephone communications could increase thechance of a 9-1-1 call, and possibly reduce response time by emergency personnel.

Enhanced 9-1-1 technologies could also spur similar improvements in rural and suburbancommunities.

Technologies will play expanded roles in managing primary crash incidents and

preventing avoidable secondary crashes. Devices that record onboard sensor data aboutcrash circumstances and the behaviors of each involved vehicle help experts understandwhat happened and lead to vehicle, roadway design, and driver/operator trainingimprovements. Other technologies that could help improve safety include computersimulators, biometrics, smart card driver licenses, and vehicle performance diagnostics.Current developments in licensing car and truck drivers may also improve our ability toreduce transportation-related fatalities and injuries. Licensing is undergoing scrutinybecause of traffic safety and homeland security issues. Recognition that the driver'slicense not only allows one to drive, but also provides a means for identifying an

individual, has led to debate on the role of the license and licensing bodies in the U.S.Data exchange between State and Federal law enforcement agencies may reduce the largenumbers of suspended, unlicensed, and uninsured motorists who are disproportionatelyinvolved in crashes. The AAA Foundation for Traffic Safety reported that 20 percent ofall fatal crashes involved at least one driver who did not have a license.4 Of those withinvalid licenses, 28 percent had received three or more suspensions or revocations beforetheir crashes.5

Unlicensed to Kill: The Sequel. AAA Foundation for Traffic Safety. Washington, D.C. January 2003.http://www.aaafoundation.org/pdf/UnlicensedToKill2.pdf5

Ibid.

DOT Strategic Plan 2006-2011

REDUCED CONGESTION STRATEGIC GOAL

“Reduce congestion and other impediments to using

the Nation’s transportation system”

OUTCOMES

1. Reduction in urban congestion

2. Increased transportation capacity resulting from public private transportationpartnerships3. Increased use of integrated Intelligent Transportation System (ITS) networks andnew incident management approaches4. Reduced impediments to the efficient movement of freight over the transportationnetwork, especially at key freight gateways5. Meet new and growing demands for air transportation services through 2011 andbeyond6. Increased access for all Americans

7. Longer lasting, high performance transportation infrastructure

STRATEGIES

Whether it takes the form of commuters and trucks stalled in traffic, cargo on the docks atoverwhelmed seaports, or airplanes circling crowded airports, congestion is costingAmerica an estimated $200 billion a year.6 Americans spend 3.7 billion hours and 2.3billion gallons of fuel each year in traffic jams and waste $9.4 billion as a result of airlinedelays. Even worse, congestion takes valuable time out of every day – time that could bespent with families, friends, and neighbors.

To address this situation, the Department has adopted The National Strategy to ReduceCongestion on America’s Transportation Network. This initiative has made congestionrelief a top priority and directed the following actions.

First, DOT will focus on our largest metropolitan areas and seek ‘Urban Partnership

Agreements’ with as many cities as are willing to participate. These agreements will callfor new variable pricing programs designed to spread traffic flows throughout the dayand to get more throughput from existing highways. The agreements will also providefor more efficient and responsive bus systems that tailor services specifically for rush-hour commuters; speed up the review process for highway projects underway; and seekcommitments from major employers in the region to allow more of their employees toadopt flexible schedules and telecommute. All of these measures are designed toimprove traffic flow and thus reduce congestion.

Excerpts from former Transportation Secretary Norman Y. Mineta’s May 16, 2006 address to theNational Retail Federation.

DOT Strategic Plan 2006-2011

Second, DOT will encourage more States to find ways to open their transportationinfrastructure to private investment opportunities. State budgets are stretched thin, andgasoline taxes are becoming untenable as long-term sources of funding. At the sametime, major financial institutions and their clients are expressing their willingness toinvest billions of dollars in roads and airports. DOT will begin discussions with localofficials and transportation consumers about the growing role that the private sector canand should play in transportation decision-making and investment. Our goal will be toexpand the list of States that have flexible laws to permit greater private-sector

involvement in transportation projects to meet the growing demand for infrastructure andultimately to reduce congestion.

Third, DOT will focus the Intelligent Transportation Systems (ITS) program to encouragemore communities to adopt technologies and practices designed to help drivers avoidbackups and cut the traffic tie-ups caused by construction and fender benders. Almosthalf of all traffic congestion is caused by construction and crash incidents. DOT willinvite the country’s technology leaders to join a new Transportation Technology Forum.This forum will bring innovation and energy to build the world’s most technologicallysophisticated transportation system. DOT will promote effective traffic incident

management approaches such as full service patrols, quick clearance policies, and quickclearance laws. DOT will also encourage the use of improved highway design and

construction procedures, innovative quality assurance practices, innovative materials, andasset management practices to reduce onsite repairs, rehabilitation, and reconstruction,thus reducing non-recurring congestion created by construction work zones.

These steps will improve the performance of our existing systems by providing additionalcapacity during peak traffic periods and better traffic management. But there is still aneed for large-scale investments in physical infrastructure to address growing demand.These investments must be targeted to areas where they are needed most – includingmajor, multi-State, multi-use trade and travel corridors. Therefore, DOT will embarkupon a competitive process to select three to five ‘Corridors of the Future’7 projects thathave the greatest potential to relieve traffic, based on projected growth patterns.These projects face enormous organizational and funding challenges. We will set

ambitious permitting schedules for these projects, identify new financing options to fundthem, and fast-track these projects for Federal dollars to get them moving from the

drawing board to completion faster than ever before – without sacrificing environmentalprotections. We will work to expedite completion of the most significant highwaycapacity projects currently underway that hold the greatest potential for reducingcongestion and bottlenecks. To the maximum extent possible, the Department willcommit discretionary resources and expertise to support these actions, potentially

including the Open Roads Pilot Program funds if appropriated in Fiscal Year 2007. Inaddition we will utilize existing Federal program authorities such as the authority underSAFETEA-LU that established a Surface Transportation Policy and Revenue Corridors of the Future: A transportation corridor is defined as a geographic area between two pointslinking multiple centers, and moving people and freight. This definition includes both the transportationinfrastructure and the new and existing development that surrounds the infrastructure. DOT will run acorridor competition to select three-five major corridors in need of long-term investment and will convenea multi-state process to advance project development. Source: Congestion Work Group Action Plan.

DOT Strategic Plan 2006-2011

Commission tasked with finding solutions that not only raise revenue for highway andtransit projects, but also reduce the costs of congestion.

Fourth, we will deploy even more Departmental resources into Southern California tobring together State, local, and private-sector officials to relieve bottlenecks affectingfreight coming from and heading to every corner of the country. We will convene a jointborder transportation task force with the Department of Homeland Security (DHS) toaccelerate some of the most significant transportation investments at our borders. Wewill work with our partners on the Committee on the Marine Transportation System(CMTS) to implement the President’s Ocean Action Plan to improve Federal marinetransportation system coordination and policy development. We will engage America’smajor companies in a sustained dialogue about the future of our transportation system.Finally, we will take steps to improve aviation capacity by modernizing the aviationsystem and we will propose new ways to support the Airport and Airway Trust Fund tomatch funding for aviation services to the demand.

DOT will implement the National Strategy to target congestion. We will use our people,our resources, and our expertise to help our partners at the State and local levels use theirexisting transportation networks better and to add capacity where it makes the mostsense, developing better policy choices to reduce congestion. We will fully integratecongestion reduction as a priority in SAFETEA-LU, rulemaking and guidance issued bythe Department.

RESOURCES

The human resources, programs, capital assets, information technology and otherresources described in DOT's Annual Performance Budgets are needed to achieve ouroutcomes for reducing congestion and to execute the strategies presented below. Theschedule for executing our Reduced Congestion strategies extends from fiscal year 2006through fiscal year 2011.

DOT NATIONAL STRATEGY

1. National Strategy to Reduce Congestion (Supports all outcomes)

a. Relieve urban congestion in model cities by implementing a broad

congestion pricing or variable toll demonstration; creating or expandingexpress bus service; securing agreements from major area employers toestablish or expand telecommuting and flex scheduling programs; andexpediting completion of the most significant highway capacity programsthat hold the greatest potential for reducing congestion and bottlenecks.b. Unleash private sector investment resources by encouraging States toenact legislation enabling them to enter into infrastructure agreementswith the private sector; overcoming institutional resistance to reformthrough education, demonstrations and relationship building with Stateagencies and private investors/developers; and utilizing existing Federalprogram authorities, including the major surface transportation law,SAFTEA-LU, to encourage formation of public-private partnerships.c. Advance low-cost operational and technological improvements that

increase information dissemination and incident response capabilities by:encouraging States to utilize their Federal-aid formula funds to improve

DOT Strategic Plan 2006-2011

operational performance, including providing better real-time trafficinformation; emphasizing congestion reducing technologies in theimplementation of the ITS program; promoting best practices; andidentifying private sector partnering and financing opportunities toimprove incident and intersection management.

d. Accelerate the development of multi-State, multi-use transportationcorridors – ‘Corridors of the Future’ by holding a competition to selectthree to five major growth corridors in need of long-term investment;convening a multi-State process to advance project development and seekalternative financial opportunities; and fast-tracking major congestionreducing corridor projects that received funding in SAFETEA-LU.e. Target major freight bottlenecks and expand freight policy outreach by:transforming DOT’s Gateway Team in Southern California into a largerIntermodal Team to convene the region’s diverse freight stakeholdercommunity to forge consensus on immediate and longer-term solutions;engaging shippers from the retail, manufacturing, agricultural and

technology sectors, as well as freight carriers and logistics firms, through aseries of ‘CEO Summits’ structured around DOT’s National FreightPolicy Framework; and, establishing a senior-level DHS-DOT bordercongestion team to prioritize operational and infrastructure improvementsat the Nation’s most congested border crossings.f. Improve and provide a future funding framework by: designing and

deploying the Next Generation Air Transportation System – a modernizedaviation system with greater capacity and less congestion.

RESEARCH STRATEGIES

2. Conduct and sponsor research to relieve congestion in urban, metropolitan andsuburban areas, at freight gateways and in aviation systems and to developworkable solutions to recurring causes of congestion. (Supports outcomes 1through 6)3. Conduct and sponsor research to extend the life of existing transportation

infrastructure, advance the use of next generation technologies and make effectiveuse of combinations of modes in moving people and goods. (Supports alloutcomes)4. Conduct and sponsor research to improve the planning, operation, maintenanceand management of transportation services and assets and to improve

transportation services for underserved areas and populations. (Supports alloutcomes)5. Collaborate with industry, State DOTs, and academicians to develop valid andreliable data concerning all aspects of congestion. (Supports all outcomes)6. Advance the Nation’s transportation research capabilities through fellowships,grants and cooperative research with other Federal agencies, universities, theprivate sector, and State and local government. (Supports all outcomes)

DOT Strategic Plan 2006-2011

CAPACITY MANAGEMENT STRATEGIES

7. Provide outreach, training and technical assistance to encourage partner agenciesto apply asset (i.e., pavements, runways, bridges, tunnels, roadway safety

hardware) management systems, principles and techniques along with economicevaluation and tradeoff analysis to improve decision-making from the planningphase through the engineering, operations and maintenance phases. (Supportsoutcomes 1,5, and 7)8. Advocate and encourage the design, construction, preservation, and rehabilitationof highway structures with standards, materials, and practices that provide longerand more reliable performance, through programs such as Accelerated

Construction Technology Transfer and Highways for Life. (Supports outcomes1,4, and7)9. Modify aircraft separation standards to increase airspace capacity and allow moreefficient use of airspace. (Supports outcomes 5 and 6)10. Proactively ensure that partner organizations are effectively integrating systemmanagement and operations into project and program delivery decisions by

encouraging the adoption of best practices and the systematic use of performancemeasures to monitor and improve transportation system performance. (Supportsall outcomes)11. Promote the enforcement of size and weight requirements on the NationalHighway System (NHS), and the assessment of heavy vehicle impacts on theNHS. (Supports outcomes 1, 4 and 7)12. Collaborate with partner organizations to explore use of public private

partnerships and non-traditional revenue sources for the delivery of transportationfacilities and promote greater use of tolling, pricing and related innovative financemechanisms, and reduce highway use tax evasion. (Supports outcomes 2, 4, and7)13. Promote the use of automated systems that provide more accurate and timelyinformation for all aviation users. (Supports outcomes 5 and 6)14. Work with State and local government, and others within DOT to plan andimplement cost-shared port development projects to optimize the efficientmovement of cargo through ports, similar to the port expansion project inAnchorage, Alaska and planned projects in Hawaii. (Supports outcome 4)

DOT Strategic Plan 2006-2011

PERFORMANCE MEASURES

Table 2 presents the relationship between the outcomes we will achieve in reducingcongestion as well as the performance measures and milestones that will show ourprogress.

TABLE 2. REDUCED CONGESTION OUTCOMES, PERFORMANCE MEASURES AND MILESTONES

OUTCOMES

PERFORMANCE MEASURES AND

MILESTONES

Urban Congestion Milestones- Urban Partnership agreements implemented.- FY 07 Open Roads Proposal passed in DOTbudget.

Corridors of the Future Milestones- Competition announced.- Winners announced.

- Budget and legislative proposals approved.Urban Congestion Performance Measures- Percent of urban travel nationwide that is undercongested conditions. 2011 Target is to reducecongested travel to 31.0 percent or lessnationwide.

1. Reduction in urban congestion

- Transit Ridership – Average percent change in

transit boardings per transit market (150 largesttransit agencies), adjusted for changes in

employment levels. 2011 Target is a 2 percentincrease per year.

2. Increased transportation capacityresulting from public privatetransportation partnerships3. Increased use of integrated ITSnetworks and new incidentmanagement approaches

Increased Transportation Capacity Milestone- Number of States enacting Public/Private

Partnership laws where PPP authority is lacking.2011 Target TBD.

Operations Performance Measures - Percent of top 40 metropolitan areas with fullservice patrols, quick clearance policies, andquick clearance laws. 2011 Target will bedetermined in FY 2007. - Percent of population with access to 511. 2011Target is 95 percent of the U.S. population.

DOT Strategic Plan 2006-2011

TABLE 2. REDUCED CONGESTION OUTCOMES, PERFORMANCE MEASURES AND MILESTONES (CONTINUED)

OUTCOMES

PERFORMANCE MEASURES AND

MILESTONES

Freight Milestones- Key gateways named.

- Agreements on needed gateway improvementscompleted.

- Fulfill the President’s Ocean Action Plan for theComprehensive Marine Transportation System .- National Freight Policy Frameworkimplemented.

Freight Performance Measure- Pipeline system capacity lost due to incidents,corrective action orders and other issues. 2011Target TBD.

Meet Air Transportation Demand PerformanceMeasures- Through FY 2011, achieve an 88.76 percent on-time arrival for all flights arriving at the 35

Operational Evolution Plan (OEP) airports, equalto no more than 15 minutes late due to NationalAirspace System (NAS) related delays.- Achieve an average daily airport capacity of104,338 arrivals and departures per day by FY2008 and maintain through FY 2011 at the 35Operational Evolution Plan (OEP) airports.

4. Reduced impediments to the efficientmovement of freight over the

transportation network, especially atkey freight gateways

5. Meet new and growing demands forair transportation services through2025 and beyond

6. Increased access for all Americans

Increased Access Performance Measures- Percent of bus fleets compliant with the ADA.2011 Target is 100 percent.

- Percent of key rail stations compliant with theADA. 2011 Target is 100 percent.

- Number of employment sites that are made

accessible by Job Access and Reverse Commutetransportation services. 2011 Target TBD.- Average time to respond to household goodsmover complaints from consumers. 2011 Targetis less than 24 hours.

High Performance Transportation InfrastructurePerformance Measures- Percent of travel on the National HighwaySystem (NHS) meeting pavement performancestandards for good ride. 2011 Target is 62percent.

- Percent of deck area on NHS bridges rated

deficient, adjusted for average daily traffic. 2011Target is 19 percent

7. Longer lasting, high performancetransportation infrastructure

DOT Strategic Plan 2006-2011

EXTERNAL FACTORS

Several external factors could significantly affect our ability to reduce congestion.Although it is impossible to predict which of these factors, or which combination offactors, will tip the balance in our ability to produce results, we present those we believewill play an important role in the years covered by this Strategic Plan.

GLOBALIZATION

Globalization generally refers to the expansion of global linkages, the organization ofsocial life on a global scale, and the growth of a global consciousness. People around theworld are more connected to each other than ever before. Information and money flowmore quickly than ever. International travel is more frequent and international

communication is commonplace. Goods and services produced in one part of the worldare increasingly available in all parts of the world. Although these links are not new, theyare more pervasive than in the past.

As an external factor, globalization reinforces the need for highly efficient connectionswhere the U.S. and international transportation networks meet. Where connections areinefficient congestion develops. As traditional low-cost manufacturing countries increasetheir standards of living, manufacturing may switch to other parts of the world. Thesechanging trade patterns often lead to congestion because of shifts in the use of U.S. portsand inland distribution systems. As a result, existing ports and intermodal facilities arebypassed, while underutilized ports and systems suddenly need significant expansion.Globalization demands flexibility in the transportation network and flexibility demandsinvestment in infrastructure. Pressures on transportation services and infrastructure fromglobalization will affect our ability to reduce congestion.

THE ECONOMY

Cyclical and long-term changes in economic activity have a strong impact on

discretionary personal travel and shipment of goods, affecting demand for transportationinfrastructure and services. Economic growth spurs new commercial and residentialdevelopments, increases travel and trade, creates bottlenecks and strains the capacity ofthe infrastructure. Conversely, economic stagnation reduces development, travel, andtrade. Economic stagnation also shifts demand for transportation from higher cost tolower cost services.

Economic growth shifts the pattern of transportation in important ways. As incomes

grow, people tend to buy more expensive goods, with a higher value per unit weight. Thehigher value of these goods means that the time they spend in transit is more costly to theshipper, so the shipper is more willing to pay extra for more expedited forms oftransportation. As a result, air freight has been the fastest growing form of freighttransportation over the past decade, with trucking close behind. Even in rail

transportation, the most rapidly growing cargo has been high-value, expedited intermodalfreight.

Truck traffic as well has been growing at a faster rate than overall vehicle traffic.Currently, trucks carry 75 percent of the Nation's commerce based on the value of thegoods and more than two-thirds of these goods based on weight. An expanding economywith the resultant increase in port, air, rail and truck traffic is an external factor that willchallenge the goal of reducing traffic congestion.

DOT Strategic Plan 2006-2011

The increase in high-value cargoes means that transportation costs are a smallerpercentage of the overall delivered cost of the product. Consequently, shippers can

afford to locate their production at a greater distance from the ultimate consumer, to saveon production costs. The result has been the growth of global outsourcing that hascharacterized the U.S. economy for the past quarter-century. This in turn has hadtremendous effects on the transportation system, placing a greater burden on the

international supply chain – marine carriers, ports, and intermodal rail – to deliver thegoods. The nodal points in this supply chain have become increasingly congested.Economic growth has also changed the nature of demand for passenger travel. As

people’s incomes have grown, they have traveled more, but their choice of mode of travelhas shifted increasingly to air travel. Air passenger travel is a service with a highincome-elasticity of demand – people buy proportionately more of it as their incomesgrow. Over the past 20 years, as real incomes have risen by roughly 100 percent, airlinepassenger-miles have increased by 146 percent, highway passenger travel has grown by49 percent, and population has grown by 28 percent. Thus, the economy is an externalfactor that can significantly affect our ability to achieve our goal to reduce congestion inmany ways.

DEMOGRAPHIC TRENDS

Demographic trends work against our ability to reduce congestion. Within the next 25years, the U.S. population is estimated to grow to 364 million, up from 282 million in2000. Vehicle miles of travel (VMT) is projected to increase by approximately 60percent from 2000 to 2030 leading to increased congestion as passenger vehicles andtrucks compete for space on our roads and highways. Significant increases in the olderpopulation – the number of people between the ages of 65 and 84 will increase by 114percent from 2000 to 2050 – will pose highway congestion challenges as retirees take tothe road for recreation and travel.

OBSTACLES TO INTERMODALISM

Persistent obstacles to efficient intermodal connections in the U.S. such as the high costof intermodal infrastructure projects, localized opposition to new transportation

development, and the stovepipe organizational structure of public transportation agenciesimpede our ability to improve U.S. connection points to the global transportationnetwork. If this situation persists, the intermodal network will continue to experienceerratic service reliability. Intermodal congestion will get worse and capacity constraintswill slow the ability of the transportation network to recover from any adverse events –such as Hurricane Katrina. Unless addressed, obstacles to intermodalism could affect ourability to achieve our reduced congestion goal.

TECHNOLOGY

Deployment of technologies such as vehicle performance diagnostics, automated tolling,driver warnings about weather, road hazards and bottlenecks, vehicle self-help measures,511 traveler telephone information, and GPS systems including wireless notifications torepair services should reduce dangerous highway breakdowns and help relieve

congestion. Widespread deployment of ITS and other related technologies will not onlyrelieve congestion, but also make travel on the highway system more reliable and

predictable. In short, transportation technology is a positive external factor that is likelyto help reduce congestion.

DOT Strategic Plan 2006-2011

GLOBAL CONNECTIVITY STRATEGIC GOAL

“Facilitate an international transportation systemthat promotes economic growth and development”

OUTCOMES

1. Reduced barriers to trade in transportation goods and services

2. Safer, more efficient and cost effective movement of passengers and cargothroughout international and domestic transportation systems, including U.S.ports of entry, modal and intermodal supply chains3. Sustained international leadership in promoting U.S. transportation policies4. Enhanced competitiveness of U.S. transport providers and manufacturers in theglobal marketplace5. Harmonized and standardized regulatory and facilitation requirements in theinternational arena6. Expanded opportunities for all businesses in the transportation sector, especiallysmall, women-owned and disadvantaged businesses.STRATEGIES

International trade in transportation goods and services plays an important role in theNation’s economic well-being. In 2004, the U.S. traded $329.9 billion in transportationgoods and $133.5 billion in transportation services. Over 1.9 billion tons of internationalfreight, valued at $2.3 trillion, moved to and from the U.S. in 2004. Over 24 millioncontainers were transported into the U.S. in 2004 — 10 million by ocean vessels and 14million by truck and rail from Canada and Mexico, illustrating the challenge of

maintaining transportation security while facilitating efficient freight flows. Further, 338million inbound and outbound trips were made between the U.S. and other countries in2004, compared to 315 million trips in 1990, with same-day travel between the U.S. andCanada or Mexico accounting for the majority of these trips. International freightvolumes at these levels represent a significant source of stress on our domestictransportation system.

The globalization of the American economy has put pressure on our ports, borders, andairports. Many of the Nation’s most important infrastructure facilities (truck terminals,port facilities, rail yards, and airports) are located in major urban areas. When combinedwith increasing local traffic, greater volumes of international freight and passenger trafficwill result in more congestion and delay and, as a result, higher shipping and travel costs.Continued restrictions that prevent access to foreign markets for transportation servicesare harmful to U.S. commercial interests. Unless new technologies and operating

procedures are adopted, heightened security requirements will increase transit times forpassenger and freight movements, which would result in higher operating costs for

DOT Strategic Plan 2006-2011

transportation operators and higher costs for U.S. shippers and the traveling public.Higher transportation costs would make it more difficult for U.S. businesses to competein international markets.

We will undertake several tasks to improve the safety, security, and efficiency ofinternational transportation systems and the Nation’s gateways. We will liberalizeinternational transportation markets; expand the capacity of our freight and passengertransportation systems; improve intermodal connections; and ensure the adoption of newtechnologies, procedures, and infrastructure improvements. We will also improve

Federal marine transportation system coordination and policy development, and practicepositive engagement with foreign partners to improve system linkages on both the foreignand domestic sectors of the transportation chain.

Our strategies to address international transportation issues and networks in the globaleconomy have two synergistic thrusts. One is directed toward opening internationaltransportation markets; the other is directed toward improving essential, intermodal

transportation linkages. Both are needed to achieve outcomes that will yield better globalconnectivity and a more competitive and efficient global marketplace. Adopting acoordinated and strategic domestic and international intermodal approach is central toDOT’s role of promoting more efficient international transportation systems andimproved global connectivity.

RESOURCES

The human resources, programs, capital assets, information technology and otherresources described in DOT's Annual Performance Budgets are needed to achieve ouroutcomes for global connectivity and to execute the strategies presented below. Theschedule for executing our global connectivity strategies extends from fiscal year 2006through fiscal year 2011.

STRATEGIES FOR OPENING INTERNATIONAL MARKETS

1. Through negotiations and other means work with our trading partners to seekfurther liberalization of international transportation markets. (Supports outcomes1,4 and 6)2. Participate bilaterally, regionally or in international organizations at the

ministerial and working levels to advocate worldwide adoption of harmonizedstandards and regulations and to promote improved global safety levels andregulatory oversight. (Supports all outcomes)3. Support Presidential initiatives that seek to achieve greater international outreachfor transportation programs. (Supports outcome 3)4. Invest in the capabilities of the Department’s international program staff byrecruiting a multilingual transportation workforce and developing core

competencies in subjects related to international transportation. (Supports alloutcomes)5. Work with international development agencies to provide technical assistance,training, and support for technology transfer to foreign transportation stakeholderssuch as the Safe Skies for Africa and Third Border initiatives and the Iraq andAfghanistan assistance programs. (Supports outcomes 1, 3, 4 and 6)

DOT Strategic Plan 2006-2011

6. Develop and engage in international science and technology activities andexchanges, such as those led by the Departments of State and Commerce andbilateral cooperative activities such as those with Japan and South Korea.(Supports outcomes 3, 4, and 6)7. Conduct and sponsor research leading to harmonized international standards,

improved cross-border collaboration, and global leadership for U.S. transportationproviders. (Supports all outcomes)8. Provide technical assistance, implement technology exchange, encourage

collaboration and capacity building, and identify opportunities to share resourcesamong border agencies, other key U.S. and international partners and inestablished and emerging markets (i.e., Latin America, China, India, Japan,Europe, Russia, Kuwait, Iraq and Afghanistan). (Supports all outcomes)9. Foster the continued development of competent civil aviation authorities

worldwide that meet international safety oversight standards. (Supports outcomes2, 3, and 5)10. Work with key international partners to implement safety enhancements that willimprove world-wide aviation safety while enabling the transfer of aeronauticalproducts, technologies and services. (Supports all outcomes)STRATEGIES FOR IMPROVING ESSENTIAL INTERMODAL TRANSPORTATION LINKAGES

11. Promote global interoperable seamless operations in cooperation withinternational partners. (Supports outcome 2)

12. Support and conduct research on issues concerning intermodal and internationaltransportation. (Supports outcome 2)13. Accelerate the use of technologies such as ITS and space-based applications atintermodal connectors, international border crossings and gateways to reducecongestion and streamline freight and passenger movements. (Supports outcome2)14. Assure the Department’s effective participation in the Administration’s

Automated Commercial Environment and International Trade Data System toimprove safety and security and to reduce congestion at ports of entry. (Supportsoutcome 2)

DOT Strategic Plan 2006-2011

PERFORMANCE MEASURES

Table 3 presents the relationship between our Global Connectivity outcomes and theperformance measures that will track our progress toward that goal.

TABLE 3. GLOBAL CONNECTIVITY OUTCOMES AND PERFORMANCE MEASURES

OUTCOMES

PERFORMANCE MEASURES

Reduced Barriers to Trade- Number of international negotiations conductedannually to remove market distorting barriers totrade in air transportation. Target is 10/year or 50by 2011.

- Number of new or expanded bilateral andmultilateral aviation agreements completed.Target is 3/year or 15 by 2011.

1. Reduced barriers to trade in

transportation goods and services

- Number of potential air transportation consumers

(in billions) in international markets between theU.S. and countries with open skies agreements.2011 Target is 3.11 billion.

- Number of proceedings to award U.S. carriersnewly available international route rights. 2011Target is 13.

2. Safer, more efficient and cost effectiveEfficient Movement of Passengers and Cargomovement of passengers and cargo- Through 2011, maintain the U.S. St. Lawrencethroughout international and domesticSeaway system and lock availability at 99 percenttransportation systems, including U.S.- Number of freight corridors with an annualports of entry, modal and intermodaldecrease in the average buffer index rating. 2011supply chainstarget will be determined in 2007

- Travel time reliability at NHS border crossings.

Baselines and 2011 targets to be determined in FY2007.

- Conclude at least eight (new or expanded) bilateral

safety agreements that will facilitate an increase inthe ability to exchange aviation products andservices by 2011.

3. Sustained international leadership inpromoting U.S. transportation policies

Sustained International Leadership- Secure a yearly increase of 20 percent inintellectual and financial assistance for

international aviation activities from the UnitedStates and international government organizations,multilateral banks and industry. Annual Target is$2.4M.

DOT Strategic Plan 2006-2011

TABLE 3. GLOBAL CONNECTIVITY OUTCOMES AND PERFORMANCE MEASURES

(CONTINUED)

OUTCOMES

4. Enhanced competitiveness of U.S.transport providers and manufacturers,in the global marketplace

PERFORMANCE MEASURES

Enhanced Competitiveness- Number of technology/information exchangeagreements that promote the U.S. highway

transportation industry. 2011 Target is three newor expanded agreements.

- Dollar value of overseas contracts awarded to U.S.companies as a result of FTA’s promotionalactivities. 2011 Target is $50M.

5. Harmonized and standardized

regulatory and facilitation requirementsin the international arena

Regulatory and Facilitation Requirements- Number of countries with improved safety regimesachieved through well targeted U.S. technicalassistance. 2011 Target is five countries.- By 2011, expand the use of Next Generation AirTransport System (NGATS) performance basedsystems or concepts to five priority countries.

- Percent of hazmat proposals in which the U.S.

prevails in international organizations. 2011Target is 65 percent.

6. Expanded opportunities for all

businesses in the transportation sector,especially small, women-owned anddisadvantaged businesses

Business Opportunity- Percent of total dollar value of DOT direct

contracts awarded to women owned businesses.2011 Target is 5.1 percent of total DOT

Contracting Dollars or exceed government-wideachievement by at least 25 percent.

- Percent of total dollar value of DOT directcontracts awarded to small disadvantagedbusinesses. 2011 Target is 14 percent of totalDOT Contracting Dollars or exceed government-wide achievements by at least 25 percent.

EXTERNAL FACTORS

Globalization and economic cycles are external factors that could significantly affect ourability to achieve our global connectivity goal.

GLOBALIZATION

DOT Strategic Plan 2006-2011

In the United States, international trade represents a significant share of GDP. The

\"World Fact Book” published by the Central Intelligence Agency ranks the United Statesfirst in the world in imports and fourth in exports. While international trade is usually theprimary meaning of globalization, personal international travel for business and leisure isa significant trend in the globalization of transportation.

As an external factor, globalization reinforces the need for opening international

transportation markets and for highly efficient intermodal connections where the U.S. andinternational transportation networks meet. Continued growth in demand for port

throughput – around 10 percent a year – and an increase in new vessel capacity as carriersrespond to growing demand are expected. Globalization demands flexibility in the

transportation network and flexibility demands investment in infrastructure. Pressures ontransportation services and infrastructure from globalization may affect our ability toachieve our global connectivity goals.

THE ECONOMY

Cyclical and long-term changes in domestic and international economic activity have astrong impact on discretionary personal travel and shipment of goods, affecting demandfor transportation infrastructure and services. Economic growth spurs commercialdevelopment, increases travel and trade, creates bottlenecks and strains the capacity ofthe infrastructure. Conversely, economic stagnation reduces development, travel, andtrade. Economic stagnation also shifts demand for transportation from higher cost tolower cost services.

Economic growth shifts the pattern of transportation in important ways. As people’sincomes grow, they tend to buy more expensive goods, with a higher value per unit

weight. The higher value of these goods means that the time they spend in transit is morecostly to the shipper, so the shipper is more willing to pay extra for more expedited formsof transportation. As a result, air freight has been the fastest growing form of freighttransportation over the past decade, with trucking close behind.

The increase in high-value cargoes means that transportation costs are a smallerpercentage of the overall delivered cost of the product. Consequently, shippers can

international supply chain – marine carriers, ports, and intermodal rail – to deliver thegoods.

Economic growth has changed the nature of demand for passenger travel. As people’sincomes have grown, they have traveled more, but their choice of mode of travel hasshifted to air travel with both domestic and international destinations. Air passengertravel is a service with a high income-elasticity of demand – people buy proportionatelymore of it as their incomes grow. Over the past 20 years, as real incomes have risen byroughly 100 percent, airline passenger-miles have increased by 146 percent, highwaypassenger travel has grown by 49 percent, and population has grown by 28 percent.

Thus, the economy is a significant external factor that can affect our ability to achieve ourglobal connectivity goal.

DOT Strategic Plan 2006-2011

ENVIRONMENTAL STEWARDSHIP STRATEGIC GOAL

“Promote transportation solutions that enhance communities

and protect the natural and built environment”

OUTCOMES

1. Reduction in pollution and other adverse environmental effects from transportation and transportation facilities2. Streamlined environmental review of transportation infrastructure projectsSTRATEGIES

Current data reveal that transportation is exerting significant pressure on the environmentworldwide. Commercial and personal transportation have grown substantially in recentyears and are projected to increase in the future despite higher prices for petroleum andwarnings about climate change. Over the past 20 years however, contributions ofemissions from on-road mobile sources relative to all emissions have been rapidlydeclining. The downward trend in on-road mobile source emissions is expected tocontinue through 2030 as a result of the introduction of cleaner engines and fuels.

Though solid progress has been made to reduce airborne threats, more needs to be doneto improve air quality. At the current rate of growth, transportation’s share of human-produced greenhouse gas (GHG) emissions in the U.S. is projected to increase from 28percent currently to 36 percent by 2020.

DOT is working to achieve a balance between environmental challenges and the need fora safe and efficient transportation network. DOT’s National Strategy to Reduce

Congestion on America’s Transportation Network recognized the environmental impactof congestion. The Strategy cited emissions from trucks stalled in traffic and from

airplanes circling over crowded airports as adverse environmental effects resulting fromcongestion.

In 2006, the Department asked the Congress to take prompt action to authorize the reformof fuel economy standards for passenger automobiles for the first time. The

Administration has shown strong leadership on fuel economy. The Department raised thelight truck and sport utility vehicle standards twice in the last four years, including arulemaking that will save nearly 11 billion gallons of gasoline, eliminate incentives tomake lighter, and therefore more dangerous vehicles, and encourage all manufacturers todeploy fuel saving technologies.

DOT established the Center for Climate Change and Environmental Forecasting (theCenter) in 1999 to be the focal point within DOT for information and technical expertiseon transportation and climate change, and for coordinating related research, policies, andactions. The Center promotes comprehensive multimodal approaches to reduce GHGemissions and to prepare for the effects of climate change on the transportation system.

DOT Strategic Plan 2006-2011

DOT also participates in the Administration’s Climate Change Science Program (CCSP)and Climate Change Technology Initiative. One of DOT’s efforts is focused on how tobest provide climate science information to transportation decision makers. DOT’sClimate Center is conducting one of the 21 synthesis and assessment projects under theCCSP: Impacts of Climate Variability and Change on Transportation Systems andInfrastructure - Gulf Coast Study. This work, which has three phases, will also fulfill arequirement of Section 106 of the Global Climate Research Act. Phase I will becompleted by the fourth quarter of fiscal year 2007.

RESOURCES

Below we present our strategies for achieving our environmental stewardship goals. Thehuman resources, programs, capital assets, information technology and other resourcesdescribed in DOT's Annual Performance Budgets are needed to achieve our outcomes forenvironmental stewardship and to execute the strategies presented below. The schedulefor executing these strategies extends from fiscal year 2006 through fiscal year 2011.STRATEGIES TO IMPROVE TRANSPORTATION INFRASTRUCTURE REVIEWS

1. Exercise leadership in implementing President Bush’s Executive Order 13274,Environmental Stewardship and Transportation Infrastructure Project Reviewsby:

- Expediting environmental reviews of high-priority transportationinfrastructure projects;

- Closely linking implementation of the Executive Order with congestionreduction initiatives; and

- Advancing environmental stewardship through cooperative actions withproject sponsors to promote protection and enhancement of the natural andhuman environment in the planning, development, operation, andmaintenance of transportation facilities and services. (Supports bothoutcomes)2. Use constructive and timely approaches to resolving conflicts when they ariseover the use, conservation, and restoration of the environment, natural resourcesand public lands consistent with the August 2004, Executive Order onCooperative Conservation and the accompanying Memorandum onEnvironmental Conflict Resolution. (Supports outcome 2)3. Conduct and support research on ways to improve the environmental reviewprocess to achieve the timely delivery of transportation infrastructure projects.(Supports outcome 2)4. Provide guidance, training, and assistance to ensure that State and MetropolitanPlanning Organizations (MPO) are equipped to meet transportation conformityrequirements, especially in newly designated non-attainment areas. (Supportsoutcome 2)5. Encourage State departments of transportation to reinforce Context SensitiveSolutions (CSS) policy, facilitate training in CSS, and promote visibility for StateCSS projects. (Supports both outcomes)

DOT Strategic Plan 2006-2011

6. Provide guidance and technical assistance to demonstrate the benefits of includingecosystem-based measures and approaches in transportation development.(Supports both outcomes)7. Develop and meet schedules for Environment Impact Statements (EIS) andEnvironmental Assessments (EA) for Federal-aid projects; work with Statesaggressively to reduce delays linked to State actions and non-actions; andimprove planning-National Environmental Policy Act (NEPA) linkages viapolicies, training and workshops. (Supports outcome 2)8. Work proactively with Tribes, States, local governments, industry and othertransportation stakeholders to seek integrated approaches to resolving

transportation issues, support community needs and give full consideration tolocal environmental conditions. (Supports both outcomes)9. Facilitate streamlined processes for environmental permits to enable pipelineoperators to make critical repairs in their systems. (Supports both outcomes)STRATEGIES TO REDUCE ADVERSE ENVIRONMENTAL EFFECTS FROM THETRANSPORTATION SECTOR

10. Identify and address disproportionately high and adverse human health andenvironmental effects of transportation policies and programs on minority andlow-income populations. (Supports both outcomes)11. Work with Congress to reform fuel economy standards for passenger automobilesthat are cost effective, based upon sound science, and safeguard vehicleoccupants. (Supports outcome 1)12. Provide funding, guidance and information to State and local transportationagencies and other stakeholders on topics such as: diesel engine retrofits, idle-reduction technologies, congestion mitigation projects, and other cost-effectivemeasures that reduce emissions; improve storm water mitigation and control;preserve and bank wetlands and habitats; and link the planning process withenvironmental review processes; wildlife protection; noise mitigation andcontrols; and historic preservation. (Supports outcome 1)13. Focus on climate change initiatives with State and local transportation planningagencies through outreach, information sharing, capacity building, and othercollaborative efforts. (Supports outcome 1)14. Conduct and support research to understand the various impacts of transportationinfrastructure and services on the natural and built environment. (Supports bothoutcomes)15. Support the President’s Hydrogen Fuel Initiative through research on fueldistribution and delivery infrastructure, transportation of associated hazardousmaterials, and vehicle safety. (Supports outcome 1)16. Create incentives to avoid, reduce or mitigate the adverse environmental effectsthat can accompany transportation services and facilities. (Supports outcome 1)17. Foster dialogue, education and communication about transportation alternativesand choices that improve compatibility between transportation and communities

DOT Strategic Plan 2006-2011

and encourage consideration of the full range of transportation options, includingnon-motorized transportation such as pedestrian and bicycle travel, to addressmobility and environmental challenges. (Supports both outcomes)

18. Publish timely information on best practices in mitigating transportation’s impacton communities and the natural environment using secure Web-basedtechnologies. (Supports both outcomes)19. Collaborate with State and local emergency responders to simulate or exerciseemergency response plans concerning environmental incidents in transportation.(Supports outcome 1)20. Invest in the capabilities of the DOT workforce by hiring individuals witheducation and experience related to the nexus of transportation, energy and theenvironment such as urban and regional planning, economic development,environmental sciences and environmental law. (Supports both outcomes)21. Improve DOT-owned or controlled facilities for the benefit of host communitiesby energy conservation, preventing pollution, recycling, using recycled products,and cleaning up contaminated facilities. (Supports outcome 1)22. Develop better technologies and analytical tools to evaluate and reduce aircraftnoise and emissions. (Supports outcome 1)23. Work at the International Civil Aviation Organization (ICAO) to foster

international aviation environmental standards; and to recommend practices andguidance materials that are technically feasible, economically reasonable, providemeasurable benefits and take interdependencies between emissions and noise intoaccount. (Supports outcome 1)24. Implement integrity management practices in hazardous liquid pipelines toidentify and repair corrosion and material/weld defects—the leading causes ofspills in high consequence areas—before the pipe fails. (Supports outcome 1)

DOT Strategic Plan 2006-2011

PERFORMANCE MEASURES

Table 4 presents the relationship between our Environmental Stewardship outcomes andthe performance measures that we will use to measure our progress toward that goal.TABLE 4. ENVIRONMENTAL STEWARDSHIP OUTCOMES AND PERFORMANCE MEASURES

OUTCOMES

1.Reduction in pollution and otheradverse environmental effectsfrom transportation andtransportation facilities

PERFORMANCE MEASURES

Reduction in Pollution- Percent of DOT facilities characterized as ‘NoFurther Remedial Action’ under the SuperfundAmendments Reauthorization Act. 2011 Target is94 percent.

- Minimize the number of areas in a transportationconformity lapse. 2011 Target is 6 or fewer areas.- Number of exemplary ecosystem initiatives (EEI).2011 Target is 70 EEI in at least 20 areas.- Number of hazardous liquid pipeline spills in highconsequence areas. 2011 Target is 46.

- Percent reduction in the number of people in theU.S. who are exposed to significant aircraft noiselevels. 2011 Target is -9 percent.

2.Streamlined environmental reviewof transportation infrastructureprojects

Streamlined Review- Median completion time for all EnvironmentalImpact Statements (EIS) and EnvironmentalAssessments (EA). 2011 Target TBD.

EXTERNAL FACTORS

Both demographic trends and obstacles to intermodalism could affect our ability toachieve our environmental stewardship goal in the years covered by this Strategic Plan.DEMOGRAPHIC TRENDS

Demographic trends work against our ability to achieve our environmental goal of

reducing pollution and other adverse environmental effects from transportation. Withinthe next 25 years, the U.S. population is estimated to grow to 364 million, up from 282million in 2000. Vehicle miles of travel (VMT) is projected to increase by approximately60 percent from 2000 to 2030 leading to more emissions even with vehicles that areincreasingly fuel efficient. Travel by air for leisure and business purposes is also

expected to increase with resulting pollution from aircraft emissions and noise. Becauseof demographic pressures, trucks will be an increasing part of the traffic stream and willmake a greater contribution to environmental problems.

DOT Strategic Plan 2006-2011

OBSTACLES TO INTERMODALISM

Persistent obstacles to efficient intermodal connections in the U.S. such as the high costof intermodal infrastructure projects, localized opposition to new transportation

development, and the stovepipe organizational structure of public transportation agenciesimpede our ability to improve connection points within the U.S. and to the global

transportation network. If this situation persists, intermodal congestion, which increasesair pollution from transportation sources, will get worse.

DOT Strategic Plan 2006-2011

SECURITY, PREPAREDNESS AND RESPONSESTRATEGIC GOAL

“Balance transportation security requirements with the safety, mobility andeconomic needs of the Nation and be prepared to respond to emergencies that

affect the viability of the transportation sector”

OUTCOMES

1. Expert transportation sector intelligence

2. Preparedness for emergencies affecting the transportation sector3. Effective response to emergencies affecting the transportation sectorSTRATEGIES

We have defined our Security, Preparedness and Response Strategic Goal to addresschallenges that seem greater than any we have faced in our history – challenges fromterrorism and challenges from nature.

We address Security against the background of 9/11. Modern weapons give terrorists atremendous amount of leverage in wreaking damage and havoc throughout thetransportation network. In the London attack on July 7, 2005, just a handful of

individuals disrupted one of the world's great metropolitan transit systems. Our securitystrategies recognize that the transportation network must not only move millions ofpeople and tons of cargo daily but also must remain a vital link for Department of

Defense mobilization requirements. In this regard, we will continue to work closely withthe Department of Homeland Security to assess and reduce the vulnerabilities of

transportation services and infrastructure to terrorist or criminal attacks while ensuringthe mobility needs of the Nation for personal travel and commerce.

We address Preparedness and Response against the background of one of the mostcatastrophic natural disasters in American history – Hurricane Katrina. Transportationwas critical in the Katrina evacuation considering the fact that well over a million peoplehad to move out of the area rapidly. More people migrated after Katrina than in any otherprevious mass migration in American history except for the Dust Bowl, which took placeover a period of decades and not over a period of a few days.

Against this backdrop, our Security, Preparedness and Response strategies address thechallenges we anticipate in coming years. We recognize that the first element of facing achallenge is to prepare for it, and preparing involves many different activities – policymaking, reviewing and validating intelligence, planning, building capacity, training, andexercising scenarios. Our strategies put those elements in place to prepare us to deal withboth expected and unexpected emergencies.

Our emphasis on planning is well founded: experience tells us that if you do not have aproper plan, improvisation is not going to provide the answer that you need when you arein the middle of the catastrophe. From the same standpoint, our strategies integrate our

DOT Strategic Plan 2006-2011

authorities and capabilities across the Department. A mode by mode, or stovepiperesponse would produce far less than a totality of effort.

Having a good plan, however, is no guarantee that evacuations, for example, will becarried out smoothly, particularly mass evacuations that involve many different agenciesat all levels of government. Our strategies call for joint exercises in which plans aretested against different scenarios to determine if cooperating agencies can becomeaccustomed to working together and can assess how their plans address variouscontingencies. Our strategies address security, preparedness, and response in acomprehensive, coordinated, multi-modal approach.

RESOURCES

The human resources, programs, capital assets, information technology and otherresources described in DOT's Annual Performance Budgets are needed to achieve ouroutcomes for Security, Preparedness and Response and to execute the strategies presentedbelow. The schedule for executing these strategies extends from fiscal year 2006 throughfiscal year 2011.

SECURITY STRATEGIES

1. Work with the Operating Administrations to communicate and validate timely,relevant, expert intelligence analysis that focuses preparedness efforts, supportsoperational response, supports international programs, and informs technicalrequests from the Intelligence and Law Enforcement Communities. (Supportsoutcomes 1 and 2)2. Work with the Operating Administrations to develop a security policy frameworkthat will ensure preparedness, mitigate the consequences of transportation sectoremergencies, and support the Department's mission. (Supports outcomes 1 and 2)3. Fulfill DOT commitments to international partners and agreements, such as theSecurity and Prosperity Partnership for North America, and the North AtlanticTreaty Organization (NATO). (Supports all outcomes)4. Maintain DOT responsibility for oversight of national security initiatives affectingthe maritime transportation system within the Maritime Administration. (Supportsall outcomes)5. Maintain government-owned sealift assets and provide assured access to

commercial sealift and related commercial intermodal assets for use in defensemobilizations and national emergencies. (Supports all outcomes)6. Develop and implement actions to work aggressively on closing identifiedsecurity program gaps and emergency operation gaps throughout thetransportation system. (Supports all outcomes)7. Work with the States, the Department of Defense, Surface Deployment andDistribution Command, State military offices, and applicable military units toidentify and address the highway infrastructure and operational requirements thatsupport National defense and deployment needs. (Supports outcomes 1 and 2)8. Represent government and industry stakeholders within the civil community inthe identification of U.S. Space-Based Position, Navigation, and Timing (PNT)needs and requirements, the promotion, coordination and leveraging of PNT

DOT Strategic Plan 2006-2011

capabilities across the civil community, and in the development of backup

position and timing capabilities that can support critical infrastructure applicationswithin the U.S. (Supports all outcomes)

9. Develop, promote and enforce performance-based national and internationalhazardous materials security standards. (Supports outcomes 1 and 2)CYBER SECURITY STRATEGIES

10. Make information technology (IT) a strategic enabler for the Department toprovide critical capabilities for secure, efficient storage and transfer ofinformation. (Supports outcome 2)11. Evolve and mature the DOT Information Assurance Program to comply fully withthe Federal Information Security Management Act. (Supports outcome 2)12. Begin a phased integration of logical access controls into DOT processes throughDOT Common Identity Standards in support of Homeland Security PresidentialDirective (HSPD)-12. (Supports outcome 2)13. Integrate effective IT security programs with critical business functions and

systems to protect the confidentiality, integrity and availability of mission criticalinformation. (Supports all outcomes)PREPAREDNESS STRATEGIES

14. Work with the Office of the Secretary and Operating Administrations to:

a. Develop multi-modal metrics to measure progress against each of the threenew outcomes under this strategic goal by October 1, 2008. (Supports alloutcomes)b. Establish and maintain emergency operations staffing, special teams andcapabilities to respond effectively to incidents and fulfill our commitmentsunder Homeland and National Security Presidential Directives and theNational Response Plan. (Supports all outcomes)c. Provide complete, consolidated and accurate information about theimpacts of incidents on the transportation system, for distribution tostakeholders and other government agencies. (Supports all outcomes)d. Assure continuity of operations, support continuity of government, andmaintain emergency operations surge staffing and response capabilities torespond effectively to incidents and fulfill our commitments under

Homeland and National Security Presidential Directives and the NationalResponse Plan. (Supports all outcomes)15. Regularly review hazmat transportation security measures using risk-based

analyses to determine whether additional requirements are necessary and whetherthere are opportunities to moderate our regulatory posture wherever possible.(Supports all outcomes)16. Conduct hazmat field inspections, research, partnerships, and education through acoordinated approach that ensures the security of the transportation sector.(Supports all outcomes)

DOT Strategic Plan 2006-2011

17. Conduct and support research to reduce the vulnerability of transportation systemsand to improve their ability to prepare for and recover from attacks, naturaldisasters, and emergencies. (Supports all outcomes)18. Provide security training for transportation professionals, continuously updatingthe training to reflect advances in the state-of-the-art and state-of-the-practice andto meet changing training needs. (Supports outcomes 2 and 3)RESPONSE STRATEGIES

19. Develop and maintain plans, procedures, training and exercises that prepare theDepartment to respond to incidents whether security related or natural disasters.(Supports outcomes 2 and 3)20. Provide transportation assistance during disasters to other Federal agencies, Statesand local governments under the National Response Plan to reduce loss of life,suffering and property damage. (Supports outcome 3)21. Implement the public transit emergency management program in coordinationwith other DOT elements and other Federal agencies to ensure responsiveness toemergency transportation needs. (Supports outcomes 2 and 3)22. Sponsor programs which ensure that local emergency responders have timelyaccess to hazardous materials information carried by all modes, and providetraining and tools to help responders react effectively. (Supports outcome 3)

DOT Strategic Plan 2006-2011

PERFORMANCE MEASURES

Table 5 shows the relationship between our Security, Preparedness and Response

outcomes and the milestones and performance measures that will measure our progresstoward that goal.

TABLE 5. SECURITY, PREPAREDNESS AND RESPONSE OUTCOMES, PERFORMANCE AND

MEASURES MILESTONES

OUTCOMES

1. Expert transportation sectorintelligence

2. Preparedness for response toemergencies affecting thetransportation sector

3. Effective response to emergenciesaffecting the transportation sector

PERFORMANCE MEASURES

Target: DOT will develop quantitative performancemeasures for each of the three outcomes by October1, 2008. DOT has set milestones for developingthese measures as follows:

- Develop multi-modal performance measures foreach of the four outcomes by September 30, 2007 -Conduct a trial performance period to field testand calibrate the performance measures betweenOctober 1, 2007 and September 30, 2008- Implement final performance measures for each ofthe four outcomes October 1, 2008

Hazmat Emergency Response Measures- Number of Emergency Response Guidebooksdistributed. 2008 Quadrennial Target is 2.4M- Number of first responders trained - Annual targetis 180,000.

- Number of emergency response plans completed.Annual target is 5,000.

- Number of hazmat employees trained. Annualtarget is 100,000.

Defense Mobilization MeasuresPercentage of DoD required shipping capacitycomplete with crews available with mobilizationtimelines. Target: through 2011, maintain thetimely availability of DoD required shippingcapacity at 94 percent.

Percentage of DoD designated commercial portsavailable for military use within DoD establishedreadiness timelines. Target: through 2011,

maintain the timely availability of DOD requiredcommercial strategic port facilities at 93 percent.

DOT Strategic Plan 2006-2011

EXTERNAL FACTORS

The most significant external factors that could affect our ability to achieve our security,preparedness and response strategic goal are an Asian Flu Pandemic or major disruptionsto transportation caused by natural disasters, terrorists or criminals.

FLU PANDEMIC

Globalization and the resulting highly integrated transportation networks make it possiblefor infectious diseases to spread rapidly from one region of the world to another. Theoutbreak of an infectious disease in one part of the world may have serious economic andfinancial consequences for transportation firms operating in the region. While the spreadof any infectious disease would cause a serious disruption in world commerce and travel,concern is now focused on an Avian Flu Pandemic. The outbreak of a highly infectiousdisease such as the Avian Flu could strain all segments of our economy and all modes oftransportation.

DOT has plans in place to sustain its critical business operations through a combinationof teleworking (to promote social distancing) and working on-site for those functions thatcannot be performed via telework. DOT will work with the Departments of State andHomeland Security as well as with State and local governments for prioritized delivery ofcritical system and services nationwide. Nevertheless, a flu pandemic is an externalfactor that could impact our ability to achieve our strategic goals.

DISRUPTIONS FROM NATURAL DISASTERS, TERRORISTS AND CRIMINAL ATTACKS

Natural disasters such as hurricanes, tornados, earthquakes and floods demonstrate thatthe government needs to be ready to collaborate and cooperate in new and innovativeways to cope with such events effectively. Similarly, terrorist and criminal attacks ontransportation systems can disrupt passenger transportation and the flow of cargo,

particularly vital commodities such as food, medicines and petroleum products. Majortransportation fuel supply disruptions could occur in pumping or transporting crude oil, inrefining crude oil and in the distribution and delivery of fuels. Damage to large segmentsof roadway, tunnels, or bridges, as well as to waterway transport, rail freight movement,and transit services are all plausible risks. Electricity supply disruptions, such as majorblackouts or brownouts, could sharply affect the operation of certain transport sectors,particularly aviation, rail, and transit. Reliance on information technology makes theDepartment itself, and thus its ability direct recovery efforts, more vulnerable whenblackouts occur. The 2005 hurricane season dramatically revealed how enormous peakburdens were placed on the nation’s transportation system when millions of peopleattempted to vacate or relocate in a narrow window of time. Primarily the roadway

system, but also mass transit, rail, air and other modes can be severely burdened by suchevents. Disruptions from natural disasters, terrorists and criminal attacks will challengeour ability to achieve our goals.

DOT Strategic Plan 2006-2011

ORGANIZATIONAL EXCELLENCE GOAL

“Advance the Department's ability to manage for results and achieve the goals of the President's Management Agenda”

OUTCOMES

1. Achieved strategic management of human capital goals2. Achieved competitive sourcing goals3. Achieved financial performance goals

4. Achieved budget and performance integration goals5. Achieved E-government goals6. Achieved Real property goals

STRATEGIES

We cannot achieve our strategic goals without vision, leadership and a culture of

teamwork, collaboration and continuous improvement. We shall be leaders in pursuingbest practices and achieving results that benefit taxpayers and the Nation. Our centralmanagement strategy for achieving organizational improvement will be delivering theresults described in this Strategic Plan and full implementation of the President'sManagement Agenda (PMA).

Program oversight and stewardship are critical and ongoing objectives for DOT. We willcontinue to focus resources on activities that ensure that every Federal dollar is well spentand that program operations and processes are efficient and streamlined. For example,monitoring the cost, schedule, and performance of Federal-aid transportation

infrastructure projects, especially major projects costing over $500 million, are critical toidentify problems and initiate action to mitigate risks. The monetary threshold waslowered by SAFETEA-LU, which had the immediate effect of increasing the number ofMajor Projects requiring Project Management and Financial Plans from 21 to 37. Inaddition, more than 80 potential major projects are currently in the environmental reviewstage.

To make DOT the most desirable place to work in the Federal Government and the

internationally recognized focal point for transportation core competencies, we must faceand address a number of challenges in the years ahead. Most critically, we must attractthe best, the brightest and the most diverse workforce and inspire a new generation ofinnovators in transportation. Each of us has the responsibility to help DOT become theemployer of choice not only within the transportation sector but also within the FederalGovernment.

DOT Strategic Plan 2006-2011

RESOURCES

The human resources, programs, capital assets, information technology and otherresources described in DOT's Annual Performance Budgets are needed to achieve ouroutcomes for Organizational Excellence and to execute the strategies presented below.The schedule for executing our organizational strategies extends from fiscal year 2006through fiscal year 2011.

LEADERSHIP STRATEGIES

1. Exert leadership throughout the Department by setting clear strategic goals, beingaccountable for achieving results, and maintaining a strong customer focus.(Supports all outcomes)2. Identify critical customer and partner satisfaction issues and develop specificactions to address these issues. (Supports all outcomes)3. Continuously assess and improve the leadership competencies of DOT executivesand managers at all levels to maximize program effectiveness. (Supports alloutcomes)4. Coordinate, prioritize and manage the Department's research portfolio andexpedite implementation of cross-cutting innovative technologies through theDepartment's RD&T Planning Council. (Supports all outcomes)5. Consistently apply the President’s R&D Investment Criteria—relevance, quality,and performance – to all DOT-sponsored and in-house research. (Supports alloutcomes)6. Avoid undue delay in rulemaking proceedings by establishing Department-widepriorities and schedules, coordinating rulemaking actions, providing rulemakingprocess training, and adopting best practices. (Supports all outcomes)7. Develop and execute plans to improve the protection of DOT people, facilities,information, and equipment from intentional harm and to perform the essentialfunctions of the Department even when key facilities are temporarily unavailableor unusable due to natural disasters or intentional harm. (Supports all outcomes)HUMAN CAPITAL AND WORKFORCE DIVERSITY STRATEGIES

8. Sustain a work environment free from discrimination by identifying and enforcingequal employment and diversity performance standards at the management leveland enforcing disciplinary measure towards any employee that violates equalemployment opportunity laws. (Supports all outcomes)9. Conduct workforce planning to identify both mission and workforce trends, assessmission-critical core competencies, and implement plans to close gaps throughvigorous learning and knowledge management approaches, targeted recruitment,and succession planning. (Supports outcome 1)10. Improve the quality, timeliness and availability of workforce information andimplement the workforce development plan established under the Department'sManagement Directive 715 Program that will result in a workforce of highlyqualified individuals from diverse race/national origin/gender groups andindividuals with disabilities. (Supports all outcomes)

DOT Strategic Plan 2006-2011

11. Identify and utilize opportunities for career development, conduct and analyzeemployee satisfaction surveys, and target specific strategies to address theseissues. (Supports outcome 1)12. Sustain a learning environment that drives continuous improvement in

performance through knowledge management, training, performance evaluation,coaching and mentoring. (Supports outcome 1)13. Increase awareness and use of Alternative Dispute Resolution (ADR) to resolveconflicts by providing training on the benefits of such programs, creating

incentives for the use of ADR by impacted parties, and requiring its use, wherepossible and appropriate. (Supports outcome 1)COMPETITIVE SOURCING STRATEGIES

14. Achieve organizational and economic efficiencies by competing commercialfunctions between public and private entities. (Supports outcome 2)15. Find the best business solutions to accomplish the Department's mission throughworld-class acquisition and grants business processes. (Supports outcomes 2, 4,and 5)FINANCIAL, BUDGET AND PERFORMANCE INTEGRATION STRATEGIES

16. Foster a results-oriented workforce through performance management and awardssystems that link individual/team/unit performance to organizational goals andresults through meaningful measures, and that make appropriate distinctions onthe basis of contribution. (Supports outcomes 1 and 4)17. Provide relevant and reliable financial information that links resources and resultsto program managers for their use in improving performance and accountability.(Supports outcomes 3 and 4)18. Work closely with partner organizations to measure and improve programdelivery capability at State and National levels, with a focus on improvingprogram risk assessment, fiscal constraint, financial stewardship and oversightresponsibilities.(Supports outcomes 3 and 4)INFORMATION TECHNOLOGY STRATEGIES

19. Mature, institutionalize and operationalize Enterprise Architecture Processes

throughout the Department to improve operational efficiency, information sharingand utilization of information resources. (Supports all outcomes)20. Implement E-government initiatives and lines of business such as BusinessGateway, Grants.gov, Geospatial One-Stop, E-Rulemaking, and the financialmanagement line of business to enable faster, simpler and more efficient ways forcitizens, States, local governments, industry and other stakeholders to transactbusiness with DOT. (Supports outcome 5)21. Undertake a rigorous analysis of the contribution of IT to each strategic goal toidentify opportunities to support mission performance and demonstrate how ITcontributes to program productivity. (Supports all outcomes)PRIVACY OF PERSONALLY IDENTIFIABLE INFORMATION (PII) STRATEGIES

DOT Strategic Plan 2006-2011

22. Review technical, administrative and physical security safeguards for systems thatcontain PII, and develop remediation plans to mitigate risks determined duringannual safeguards review. (Supports all outcomes)23. Work closely with other agencies to share ideas and resources for managing andprotecting PII, increase user awareness of responsibilities for protecting theDepartment’s PII data assets, and incorporate government best practices.(Supports all outcomes)24. Institutionalize strong data protection practices throughout the Department byproviding business owners and those responsible for privacy and security with thetools and knowledge necessary to protect PII. (Supports all outcomes)REAL PROPERTY ASSET MANAGEMENT STRATEGIES

25. Develop and execute plans to ensure real property assets are accurately accounted,maintained, and managed. (Supports outcome 6)26. Ensure property inventories are maintained at the right size, cost, and condition tosupport agency missions and objectives. (Supports outcome 6)

DOT Strategic Plan 2006-2011

PERFORMANCE MEASURES

Table 6 depicts the relationship between our Organizational Excellence outcomes and theperformance measures that will measure our progress toward that goal.

TABLE 6. ORGANIZATIONAL EXCELLENCE OUTCOMES AND PERFORMANCE MEASURES

OUTCOMES

1. Achieved strategic management ofhuman capital goals

2. Achieved competitive sourcinggoals

3. Achieved financial performancegoals

4. Achieved budget and performanceintegration goals

5. Achieved E-government goals6. Achieved Real property goals

PERFORMANCE MEASURES

Performance for outcomes 1-6 will be based uponPMA Scorecard Standards for Success.

Percent of major Federally funded transportationinfrastructure projects with less than 2 percentannual growth in the project completion milestoneas reported in the finance plan. 2011 Target is 90percent.

Percent of finance plan cost estimates for majorFederally funded transportation infrastructureprojects with less than 2 percent annual growth.2011 Target is 90 percent.

For major DOT systems, the percentage of cost

goals established in the acquisition project baselinesthat are met. 2011 Target is 90 percent.

For major DOT systems, the percentage of

scheduled milestones established in the acquisitionproject baselines that are met. 2011 Target is 90percent.

EXTERNAL FACTORS

DOT workforce departures are the primary external factors that could affect our ability toachieve our organizational goal. Anticipated retirements and the move to a new

headquarters building may have a significant impact within DOT’s management levelsduring the next few years. Many employees are now eligible to retire, especially in theFederal Highway Administration, which has the largest concentration of retirement-agemanagers. The pending retirements will affect institutional knowledge and memory.Moreover, the aging workforce may require retraining to close the skills gap to functionsuccessfully in a future environment with advanced management tools, new hardware andsoftware platforms, and networking capabilities. Aggressive marketing, outreach andrecruitment initiatives will be necessary to attract highly skilled and diverse candidates tofill the next generation of DOT employees and managers.

DOT Strategic Plan 2006-2011

PROGRAM EVALUATION

Program evaluation is one of the three major elements of the Government Performanceand Results Act (GPRA). The statute calls for agencies to use program evaluations toassess the manner and extent to which Federal programs achieve intended objectives.The statute further calls for an agency's Performance Plan to include a summary of thefindings of program evaluations completed in the fiscal year covered in the report.Finally, GPRA calls for a schedule for future program evaluations to be presented inStrategic Plans.

In response to these mandates, DOT reports its completed program evaluations annuallyin “The Department of Transportation Performance and Accountability Reports.”8 Tothe extent that the results of completed program evaluations, Program Assessment RatingTool (PART) reviews, and the reports of the DOT Office of the Inspector General and theGeneral Accountability Office illuminate how we might achieve results more effectivelyor address future conditions, we considered these in writing the strategies presented inthis Strategic Plan.

Table 7 below presents the schedule for future DOT program evaluations. These

evaluations represent a cross-section of DOT programs that must be well-managed in fullsupport of budget-performance integration. DOT defines the methodologies used inTable 7 program evaluations as follows.

Impact Evaluations use empirical data to compare measurable program outcomeswith what would have happened in the absence of the program. These representthe highest standard of program evaluations and are often the most difficult andexpensive to construct and interpret.

Outcome Evaluations assess the extent to which programs achieve their outcome-oriented objectives. Outcome evaluations use quantitative methods to assessprogram effectiveness.

Process Evaluations assess the extent to which a program is operating as

intended. While a true process evaluation will use objective measurement andanalysis, it does not address the causal links between intervention and outcome.Cost-Benefit and Cost-Effectiveness Analyses compare a program's outputs oroutcomes with the costs to produce them. This type of analysis conforms toprogram evaluation when applied systematically to existing programs and whenmeasurable outputs and outcomes are monetized.

www.dot.gov

DOT Strategic Plan 2006-2011

TABLE 7. PROGRAM EVALUATIONS FOR FISCAL YEARS 2006-2011

AgencyRITA

Strategic Goals9SRGEP

OEX

MethodologyProcess -NRC Reviewand

GAO StudyOutcome -conducted byan independentauditorProcess -conducted byan independentauditorOutcomeTitle

RD&T Strategic Plan

FYCompleted2006

FMCSAX

Commercial Driver'sLicense ProgramPerformance Linkages

2006

FMCSAXXXXX2006

FAAXFacility SecurityProgram

Retrospectiveassessment of benefitsand impacts of the

pipeline safety operatorqualificationregulations.

Assess the currentinformation technology(IT) program to identifyoverlapping andredundant IT

investments, systemsand services.Safer Skies

2006PHMSAXXOutcome2007PHMSAXXXProcess -conducted byan independentauditor

2007FAAXXOutcome2007

MARADX

FAAX

Impact

assessment -conducted byan independentauditorOutcome

Maritime SecurityProgram

2007

Operational ErrorProgram

2008

Throughout Table 7, the Strategic Goals are abbreviated as follows: S for Safety, R for Reduced

Congestion, G for Global Connectivity, E for Environmental Stewardship, P for Security, Preparedness andResponse, and OE for Organizational Excellence.

DOT Strategic Plan 2006-2011

TABLE 7. PROGRAM EVALUATIONS FOR FISCAL YEARS 2006-2011 (CONTINUED)

Agency

Strategic GoalsSRGEPX

Methodology

Title

FYCompleted200620072008Annually2006through2011Annually2006through2011Annually2006through2011Biennially2006through201120062007

NHTSA

FMCSAX

Outcome -conducted byan independentauditorOutcome -conducted byan independentauditorOutcome -conducted byan independentauditor

Process -conducted byan independentauditorCostEffectiveness

Evaluation of NationalMobilizationsCompliance Review(CR) Effectiveness

FMCSAXRoadside Inspectionand TrafficEnforcementEffectiveness

Review of FRA's

Research, Developmentand DemonstrationPrograms

InfrastructureInvestment Needs

Report (Conditions andPerformance Report)Railroad SafetyEnforcement

FRAXX

FTA/FHWAXXXXFRAXXOutcome -conductedby an

independentauditorOutcome

NHTSAX

Side Impact Protectionand Side Air BagsSafeStat Program2007

FMCSAXProcess -conductedby an

independentauditorProcess -conductedby an

independentauditor

2007FMCSAX

Alternative InspectionRegimes

2007

DOT Strategic Plan 2006-2011

TABLE 7. PROGRAM EVALUATIONS FOR FISCAL YEARS 2006-2011 (CONTINUED)

AgencyFTA

Strategic GoalsSRGEP

MethodologyCost Benefit

Scope

Public/Private

Partnership ProgramEvaluation of outreachand training programsState DivisionEffectiveness

FYCompleted2007

PHMSAXXXProcess2008

FMCSAXXX

Process/costeffectiveness -conductedby an

independentauditorProcess/costeffectiveness -conductedby an

independentauditorCost

effectivenessProcess

2008

FMCSAXX

Motor Carrier SafetyAssistance Program(MCSAP)

2008

FHWA/FTAX

InfrastructureInvestment NeedsReport

Aircraft Delay

Reduction ProgramQuality AssuranceReview – GrantsManagement

Job Access and ReverseCommute FormulaGrant ProgramMaritime EducationPrograms

2008

FAAX2008

FMCSAXFTAX

Process –conducted byan independentauditorOutcome

20082008

MARADX

PHMSAXX

Impact

assessment -conducted byan independentauditorOutcomeProcessProcess

2008

Evaluation of thepipeline safety Stategrants programEvaluation of

processing pipeline andhazmat enforcementcases

2009

PHMSAX2009

DOT Strategic Plan 2006-2011

TABLE 7. PROGRAM EVALUATIONS FOR FISCAL YEARS 2006-2011 (CONTINUED)

AgencyPHMSA

Strategic GoalsSRGEPX

MethodologyProcess

Title

Evaluation of readinessamong emergencyrespondersUTC Program

FYCompleted2009

RITAX

FAAX

Process -conducted byan independentauditorOutcome

2009

Strategic Sourcing2009

FMCSAXFMCSAX

FTAXOutcome –conducted byan independentauditorCost

effectiveness –conducted byan independentauditorOutcomeNew Entrant SafetyAudits

Information

Management Program

20092009

Contracted Para-transitPilot ProgramShip Disposal

2009MARADX

FMCSAX

RITAXXProcess –conducted byan independentauditorOutcome -conducted byan independentauditor

Cost Benefit2009

Motor CoachOperations

BTS – Airline ProgramWeb Filing Assurance Review –ment ActivitiesStrategic HighwayResearch ProgramII—Report onImplementation ofResults

2010

2010FMCSAXProcess2010

FHWAXXXXXOutcome2010

DOT Strategic Plan 2006-2011

TABLE 7. PROGRAM EVALUATIONS FOR FISCAL YEARS 2006-2011 (CONTINUED)

AgencyFHWA

Strategic GoalsSRGEPXX

MethodologyProcess

Title

Strategic HighwayResearch ProgramII—ProgrammaticEvaluation

StreamlinedEnvironmental ImpactStatement ProcessCargo Preference –Food Aid CargoesEffectiveness of thepipeline safety integritymanagement programRunway SafetyProgram

FYCompleted2010

FAAXProcess2010MARAD

PHMSA

Outcome -conducted byan independentauditorImpact

2010

2011

FAAXOutcome201158

DOT Strategic Plan 2006-2011

OVERVIEW OF DOT LEGISLATIVE AUTHORITIES

The Secretary of Transportation, under the direction of the President, exercises leadershipin transportation matters. Section 101 of Title 49 United States Code describes theUnited States Department of Transportation (DOT) purpose as follows:

\"(a) The national objectives of general welfare, economic growth and stability, andsecurity of the United States require the development of transportation policies and

programs that contribute to providing fast, safe, efficient, and convenient transportation atthe lowest cost consistent with those and other national objectives, including the efficientuse and conservation of the resources of the United States.

(b) A Department of Transportation is necessary in the public interest and to –

(1) ensure the coordinated and effective administration of the transportation programs ofthe United States Government;

(2) make easier the development and improvement of coordinated transportation serviceto be provided by private enterprise to the greatest extent feasible;

(3) encourage cooperation of Federal, State and local governments, carriers, labor andother interested persons to achieve transportation objectives;

(4) stimulate technological advances in transportation, through research and developmentor otherwise;

(5) provide general leadership in identifying and solving transportation problems; and(6) develop and recommend to the President and Congress transportation policies andprograms to achieve transportation objectives considering the needs of the public, users,carriers, industry, labor and national defense.\"OFFICE OF THE SECRETARY (OST)

• •

•

Oversees formulation of national transportation policy and promotes intermodaltransportation.

Negotiates and implements international trade and aviation economic agreementsas part of U.S. Delegations chaired by the U.S. Trade Representative and theDepartment of State.

Provides oversight, coordination, and policy guidance on a variety of cross-cutting subject areas, such as global position satellite systems, transportationindustry drug and alcohol testing, small and disadvantaged business enterprises,and access to transportation services for Americans with disabilities.

Investigates and decides whether an air carrier, foreign air carrier, or ticket agenthas been or is engaged in an unfair or deceptive practice or unfair method ofcompetition.

Implements aviation economic regulatory requirements, including the prohibitionon air carriers, foreign air carriers, or ticket agents from engaging in unfair ordeceptive practices or unfair methods of competition.

DOT Strategic Plan 2006-2011

•

• • •

• •

Administers the Essential Air Services program, which subsidizes air carriersproviding service to small communities that otherwise would lose commercial airservices and the Small Community Air Service Development Program, whichgives grants to small communities to enhance their air service.

Issues licenses to U.S. air carriers and to foreign air carriers, which are requiredfor their operations under the applicable transportation statutes.Participates as a member of the AMTRAK Reform Board.

Oversees and coordinates intelligence, security matters, and emergency

preparedness and response relating to transportation matters, including national orregional emergencies.

Participates and cooperates in international activities to enhance its statutorymission.

Participates in intergovernmental efforts concerning transportation security anddrug control matters.

THE FEDERAL AVIATION ADMINISTRATION (FAA)

• The Administrator is appointed by the President for a five-year term and reportsdirectly to the Secretary.

• The FAA promotes safe flight of civil aircraft in air commerce by prescribingstandards for the operation, maintenance, design, material, construction, andperformance of aircraft, aircraft engines, and propellers.

• The FAA issues airman certificates, type certificates, production certificates,airworthiness certificates, air carrier operating certificates, airport operatingcertificates, air agency certificates, and air navigation facility certificates.

• The FAA helps develop and maintain a safe and efficient nationwide system ofpublic-use airports that meets the present and future needs of civil aeronautics.• The FAA licenses commercial space launches of launch vehicles and theoperation of non-Federal launch sites within the United States and by U.S.citizens abroad.FEDERAL HIGHWAY ADMINISTRATION (FHWA)

• The Administrator is appointed by the President and reports directly to theSecretary.

• The Federal-aid Highway Program provides Federal financial resources and

technical assistance to States and local governments for constructing, preserving,and improving the National Highway System (NHS). The program also providesresources for urban and rural roads that are not the NHS, but are eligible forFederal-aid based on the function they serve, and for safety improvements to allpublic roads.

• The Federal Lands Highway Program provides funding for public roads andhighways within Federally owned lands and tribal lands that are not a State orlocal government responsibility. Through the Federal Lands Highway Program,the FHWA works with other Federal agencies to plan and construct public landshighways, park roads and parkways, wildlife refuge roads and Indian reservationroads.FEDERAL RAILROAD ADMINISTRATION (FRA)

DOT Strategic Plan 2006-2011

•

The Administrator is appointed by the President and reports directly to theSecretary.

• FRA oversees our Nation’s railroads, funds the rehabilitation of rail lines, andcarries out the Federal railroad safety laws and regulations.

NATIONAL HIGHWAY TRAFFIC SAFETY ADMINISTRATION (NHTSA)

• The Administrator is appointed by the President and reports directly to theSecretary.

• NHTSA establishes and enforces automobile safety regulations, including crashavoidance and crashworthiness standards, and consumer protection standards,including fuel efficiency standards, bumper standards, and regulations relating toodometer tampering and domestic content labeling. • NHTSA investigates safety defects.

• NHTSA carries out the duties and the powers of DOT to provide for aspects ofhighway safety, such as driver performance, other than highway safety design.FEDERAL TRANSIT ADMINISTRATION (FTA)

• The Administrator is appointed by the President and reports directly to theSecretary.

• FTA assists in the development, improvement and funding of public

transportation systems, equipment, facilities, techniques, and methods with thecooperation of public and private mass transportation entities.SAINT LAWRENCE SEAWAY DEVELOPMENT CORPORATION (SLSDC)

• The Administrator is appointed by the President for a seven year term and reportsdirectly to the Secretary.

• SLSDC is authorized to operate and maintain the St. Lawrence Seaway incoordination with the St. Lawrence Management Corporation of Canada.MARITIME ADMINISTRATION (MARAD)

• The Administrator is appointed by the President and reports directly to theSecretary.

• MARAD carries forth the congressional finding that it is necessary for the

national defense and development of its foreign and domestic commerce that theUnited States shall have a merchant marine sufficient to carry its domestic water-borne commerce and a substantial portion of the waterborne export and importforeign commerce of the United States and to provide shipping service essentialfor maintaining the flow of such domestic and foreign waterborne commerce at alltimes, and capable of serving as a naval and military auxiliary in time of war ornational emergency.

DOT Strategic Plan 2006-2011

PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION (PHMSA)

• The Administrator is appointed by the President and reports directly to theSecretary.

• PHMSA regulates and enforces the safe and secure transportation of hazardousmaterials.

• PHMSA regulates and enforces the safety and environmental protection ofpipeline transportation.RESEARCH AND INNOVATIVE TECHNOLOGY ADMINISTRATION (RITA)

• The Administrator is appointed by the President and reports directly to theSecretary.

• RITA coordinates, facilitates, and reviews the Department’s research and

development programs and activities, and advises the Secretary on scientific andtechnological matters.

• RITA conducts comprehensive transportation statistics research, analysis, andreporting through the Bureau of Transportation Statistics.FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION (FMCSA)

• The Administrator is appointed by the President, and reports directly to theSecretary.

• FMCSA carries out duties and powers of DOT to provide for motor carrier safety.• FMCSA manages program and regulatory activities, including administering lawsand promulgating and enforcing regulations relating to motor carrier safety.

• FMCSA carries out motor carrier registration and has limited authority to regulatehousehold goods transportation.

• FMCSA inspects records and equipment of commercial motor carriers,

investigates accidents and reports violations of motor carrier safety regulations.• FMCSA carries out research, development and technology transfer activities topromote safety of operation and equipment of motor vehicles for the motor carriertransportation program.

• FMCSA provides grants to States that agree to adopt and enforce commercialmotor vehicle safety laws and regulations compatible with the Federalregulations.

DOT Strategic Plan 2006-2011

SCHEDULE FOR MAJOR PROGRAMAUTHORIZATIONS

[1] With passage of the Interstate Commerce Commission Termination Act of 1995 (P.L. 104-88, Dcember29, 1995), Congress established the Surface Transportation Board within DOT, effective January 1, 1996. While formally part of DOT, the Board is decisionally independent of DOT and by law \"… shall not beresponsible to or subject to the supervision or direction…of any other part of the Department ofTransportation.\" (49 U.S.C. 703(c)).

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