PERFORMANCE MANAGEMENT IN THE USA

**PENNSYLVANIA DEPARTMENT OF TRANSPORTATION (PennDOT)**

A CASE STUDY

##### Prepared by:

CONNIE YEW, P.E.

HIGHWAY ENGINEER

U.S. DEPARTMENT OF TRANSPORTATION

FEDERAL HIGHWAY ADMINISTRATION

1.  **SUMMARY**

> This case study will explore how the Pennsylvania Department of
> Transportation (PennDOT), under the leadership of Secretary Bradley L.
> Mallory, set forth an action-oriented strategic agenda to improve
> business results. PennDOT owns and operates more than 40,000 linear
> miles (64,372 kilometers) of highways, employs about 12,000 people,
> and administers an annual budget exceeding \$4 billion.
>
> Secretary Mallory observes, "The precarious fate of leaders in today's
> fast-paced world is a great motivator to transform your organization."
> The key to transforming PennDOT was the establishment of an effective
> performance management with a clear focus on business results.
>
> PennDOT's performance management is driven by performance measures.
> Performance measures are now part of an annual cycle to create clear
> expectations and to ensure accountability for PennDOT organizations,
> work units, and individuals. Today, as a result of its quality effort,
> PennDOT has vastly improved its transportation system and customer
> service.

2.  **BACKGROUND**

> ![](media/image1.wmf){width="2.1458333333333335in"
> height="1.4625in"}PennDOT is one of the United State's leading public
> works organization. It owns and operates more than 40,000 linear miles
> (64,372 kilometers) of highways, the nation's fifth largest
> state-owned highway system, as well as administers one of the nation's
> largest grant programs for mass transit, rail freight and aviation.
> PennDOT employs about 12,000 people with an annual budget exceeding
> \$4 billion.
>
> The highest decision-making body within PennDOT is the Strategic
> Management Committee (SMC). The SMC provides leadership, addresses
> enterprise-wide issues, and sets strategic direction for PennDOT. In
> essence, the SMC functions much like the Board of Directors in a
> private corporation. The SMC is composed of the Secretary of
> Transportation, the six Deputy Secretaries, Executive Officers, and
> the process owners of primary business areas within PennDOT.

3.  **PURPOSE OF PERFORMANCE MANAGEMENT**

> The purpose of PennDOT performance management is to improve business
> results. Critical to improving business results are tracking and
> reporting on performance measures that truly "make a difference" to
> customers and stakeholders, drive behavior throughout PennDOT, and are
> used in evaluation and decision-making.

4.  **METHODOLOGY**

> In 1997, PennDOT embraced the national Malcolm Baldrige quality award
> criteria and has since received three regional business quality
> awards. Subsequently, PennDOT launched a multi-year phased effort to:

-   Develop a strategic agenda based on customer, stakeholder, and
    partner input;

-   Align organization business plans with the agency agenda; and

-   Manage the organization business plans with performance measures.

> A consistent theme throughout these phases has been the Baldrige
> emphasis on measurement and analysis of performance. A series of
> workshops was conducted to help PennDOT leadership teams to:

-   Use data to develop their strategic plans;

-   Create scorecards for alignment of goals and objectives; and

-   Manage operations with scorecard and dashboard measures.

> A variety of performance measurement reports are now part of an annual
> cycle to create clear expectations and ensure accountability for
> organizations, work units, and individuals. PennDOT is moving toward
> measurement alignment and business effectiveness from the strategic
> level (PENNDOT Balanced Scorecard) through the operational level (Work
> Unit performance reports). (See Attachment 1 for PennDOT Performance
> Management Framework, and Attachment 2 for PennDOT Vision, Mission,
> Values, Strategic Focus Areas, High Level Goals, and Strategic
> Objectives.)

######## Secretary's Monthly Report Card (monthly reporting)

> Of special interest is the Secretary's Monthly Report Card. The Report
> Card is a monthly release of one performance measure, chosen by
> PennDOT Secretary, which addresses an issue considered important to
> the public. The Press Office reports a new measure each month.
> Examples of these types of issues or measures are: road smoothness,
> customer-friendly driver license and vehicle registration processes,
> prudent management of taxpayer dollars, minimizing potholes, and
> efficient snow removal. Attachment 3 presents an example of PennDOT
> (Secretary's) Monthly Report Card.

######## PennDOT Balanced Scorecard (biannual reporting)

> At the strategic level is PennDOT's Balanced Scorecard. The Scorecard
> contains 8 main strategic focus areas with 14 high level goals and 23
> strategic objectives. Each high level goal and strategic objective
> includes one or more measures. The Scorecard will target performance
> effectiveness for the next 3 to 5 years. Individuals and/or teams of
> mid- to upper-management staff act as "leads" in tracking and
> reporting progress on Scorecard measures once every 6 months to the
> SMC. (See Attachment 4.)

######## SMC Dashboard (monthly reporting)

> At the tactical level is the SMC Dashboard. The Dashboard contains 14
> measures with 84 support measures. The Dashboard is a monthly
> performance report to help SMC in their decision-making. The measures
> will focus on core business areas and target performance effectiveness
> for the next 1 to 3 years. Some measures reported in the Dashboard
> will also be aligned with the eight strategic focus areas. (See
> Attachment 5.)

######## Statistical Digest, Organizational and Work Unit Performance Reports (daily tracking)

> At the operational level are the Statistical Digest, Organizational,
> and Work Unit performance reports. The Statistical Digest is a 60-page
> compilation of select fiscal measures, strategy-related measures, and
> Deputy/Executive Office and Bureau/District focused objectives.
> Organizational and Work Unit performance reports are developed,
> maintained, and distributed to appropriate staff within each
> organization. Operational level measures are targeting performance for
> the next year or less and may be directly or indirectly aligned with
> the PennDOT Scorecard, SMC Dashboard, core business issues, special
> fiscal focuses, and organization specific measures. These measures are
> those that mid/upper management deems necessary for tracking "daily
> business." For PennDOT organization chart, see Attachment 6.
>
> [Organizational Performance Review (biennial reporting)]{.underline}
>
> In the effort to measure success against the PennDOT Performance
> Excellence Criteria (PPEC - PennDOT's agency-specific criteria modeled
> after the Malcolm Baldrige criteria), each Bureau and District
> prepares an Organizational Performance Review (ORP) package every 2
> years. This document contains the organization's description of how
> well they have succeeded against the 7 major criteria categories of
> Leadership, Strategic Planning, Customer and Market Focus, Information
> and Analysis, Human Resource Development and Management, Process
> Management, and Business Results. A panel of trained, internal PPEC
> examiners reviews the ORP. A formal feedback report is provided to the
> organization that includes a score of how well the organization
> compares to the criteria and a description of the strengths and
> opportunities for improvement. Each Bureau or District works on
> improving their opportunities as they prepare for the next ORP review.
>
> [Self-Assessment Gap Analysis (ongoing)]{.underline}
>
> County Maintenance offices in PennDOT are located under the
> organizational management of an Engineering District Office. These
> offices, comprised of approximately two-thirds of the total PennDOT
> workforce, have the major focus of maintaining Pennsylvania's highway
> and bridge transportation system The Self-Assessment Gap Analysis
> (SAGA) tool is being used to bring the PennDOT Performance Excellence
> Criteria principles into the day-to-day activities of the PennDOT's
> maintenance activities. Utilizing the concepts of continuing quality
> improvement, county employees identify and prioritize subjects
> requiring improvement (gaps) within their span of control and work in
> teams to solve these issues. Emphasis is placed on resolving these
> gaps within 90 days.

5.  **BENEFITS FROM PERFORMANCE MANAGEMENT**

> At the macro level, the ultimate beneficiaries of PennDOT's
> performance management effort are the PennDOT customers and end users
> of the transportation system. Because of its unyielding commitment to
> quality, PennDOT has become a customer-driven government organization
> which dramatically improved the condition of Pennsylvania highways,
> reversed years of decline in transit ridership, doubled the level of
> investment in rail freight facilities, reengineered almost 30 core
> business activities, and slashed red tape to merge service delivery by
> state and local governments.

6.  **FUTURE DEVELOPMENTS**

> With an eye toward improving business results and customer
> satisfaction, PennDOT plans to continue to refine and strengthen its
> overall performance measurement system. For example, one of the areas
> for improvement is to ensure that working units are using performance
> measures to run their day-to-day operations. Action is also underway
> to establish a formal "strengths, weaknesses, opportunities, and
> challenges" update process and create an Advisory Group to review and
> analyze results from the various feedback loops.

7.  **TOP TEN LESSONS LEARNED**

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1.  Adapt, don't adopt.

2.  User involvement adds time but also valuable buy-in.

3.  Beware of organization stovepipes and personal agendas.

4.  Market effective business practices, not management theory.

5.  In change management, you never communicate enough.

6.  The fundamentals of measuring are not common knowledge.

7.  Even information overload doesn't deter some from refusing to
    delegate less critical data.

8.  There is an organizational bias toward internal control measures.

9.  Be prepared for different central office and field perspectives.

10. To be accepted, measures must be relevant, understandable,
    obtainable, valid, credible, timely, and user-friendly.

    **8.0 CONCLUSIONS**

    PennDOT has built an action-oriented Strategic Agenda---Driving
    Change with Performance Measures. This has taken an extraordinary
    level of commitment---already a 4-year long effort:

-   Determining the approach (1998)

-   Developing the strategic agenda (1999)

-   Aligning business plan (2000)

-   Establishing scorecard and dashboard reporting (2001)

    PennDOT's progress has been possible through a systematic approach
    that links tools, training, and transformation.

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-   Tools: 5-step strategic planning methodology.

-   Training: meetings and workshops.

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-   Transformation: involvement and accountability.

    Based on PennDOT's experience, successful strategic management takes
    an extraordinary level of top leadership commitment. Success depends
    upon leadership's ability to conceptualize, develop, and implement a
    performance measurement system and to set clear expectations and
    accountability for organizations, work units, and individuals.
    Secretary Mallory observes, "The precarious fate of leaders in
    today's fast-paced world is a great motivator to transform your
    organization." PennDOT has clearly demonstrated its commitment to
    transform itself by focusing on improving business results.

9.  **REFERENCES**

-   *Performance Measurement: PennDOT's Strategic Management
    Perspective*, a Powerpoint presentation by PennDOT Secretary
    Bradley L. Mallory at the Transportation Research Board Joint Summer
    Meeting, July 21, 2001.

-   *Managing the Strategic Plan with Measures*, a Powerpoint
    presentation by PennDOT Secretary Bradley L. Mallory at the
    Transportation Research Board Annual Meeting, January 14, 2002.

-   *Moving Pennsylvania Forward* -- The Transportation Strategy

-   *Performance Measures Overview*, a white paper written by Bonny
    Barry of PennDOT's Center for Performance Excellence, August 24,
    2001.

-   PennDOT Web site which is available at:
    <http://www.dot.state.pa.us/>

-   Special thanks and acknowledgement to the following individuals at
    PennDOT for their contributions to this case study: Michael Ryan,
    Gary Hoffman, Earl Neiderhiser, Rick Hogg, Mark Lingenfelter, Sara
    Carothers Peter Tartline, David Margolis, Richard Harris, Joseph
    Robinson, and Bonny Barry.

Attachment 1 -- PENNDOT Performance Management Framework

![](media/image2.wmf){width="6.970833333333333in"
height="5.554861111111111in"}

Attachment 2 -- PennDOT Vision, Mission, Values, Strategic Focus Areas,
High Level Goals, and Strategic Objectives

**PENNSYLVANIA DEPARTMENT OF TRANSPORTATION**

VISION

A transportation system and services exceeding customer expectations.

MISSION

> Through the active involvement of customers, employees and partners,
> PennDOT provides a transportation system and services that exceed the
> expectations of those who use them.

VALUES

Service -- We are committed to providing the best possible service to
every customer.

Integrity -- We conduct ourselves responsibly and honestly to earn the
public's trust every day.

People -- We value and respect each other. We promote continual learning
and individual growth.

Performance -- We work each day to improve our individual and collective
performance.

+-----------------+-----------------+---------------------------------+
| **Strategic     | **High Level    | **Strategic Objective**         |
| Focus Area**    | Goal**          |                                 |
+=================+=================+=================================+
| **[Maintenance  | Smoother roads  | Improve ride quality by         |
| First           |                 | incorporating smooth road       |
| ]{.underline}** |                 | strategies into a comprehensive |
|                 |                 | pavement program.               |
| A \"maintenance |                 |                                 |
| first\" policy  |                 |                                 |
| is reflected    |                 |                                 |
| through the     |                 |                                 |
| prioritization  |                 |                                 |
| of funding and  |                 |                                 |
| resources for   |                 |                                 |
| all systems and |                 |                                 |
| services.       |                 |                                 |
+-----------------+-----------------+---------------------------------+
|                 | Cost effective  | Refine winter services          |
|                 | highway         | practices to achieve more       |
|                 | maintenance     | timely and efficient responses. |
|                 | investment      |                                 |
+-----------------+-----------------+---------------------------------+
|                 |                 | Use life cycle criteria as a    |
|                 |                 | tool for asset management and   |
|                 |                 | investment to reduce            |
|                 |                 | outstanding maintenance needs.  |
+-----------------+-----------------+---------------------------------+
| **[Quality of   | Balance social, | Improve customer's experiences  |
| Life            | economic, and   | of our facilities by enhancing  |
| ]{.underline}** | environmental   | beautification efforts and      |
|                 | concerns        | reducing roadside debris        |
| Transportation, |                 |                                 |
| social and      |                 |                                 |
| environmental   |                 |                                 |
| concerns need   |                 |                                 |
| to be balanced, |                 |                                 |
| improving the   |                 |                                 |
| quality of life |                 |                                 |
| in              |                 |                                 |
| Pennsylvania.   |                 |                                 |
+-----------------+-----------------+---------------------------------+
|                 |                 | Develop timely transportation   |
|                 |                 | plans, programs and projects    |
|                 |                 | that balance social, economic,  |
|                 |                 | and environmental concerns.     |
+-----------------+-----------------+---------------------------------+
|                 | Demonstrate     | Implement a strategic           |
|                 | sound           | environmental management        |
|                 | environmental   | program that adopts best        |
|                 | practices       | practices as our way of doing   |
|                 |                 | business.                       |
+-----------------+-----------------+---------------------------------+
| Mobility and    | Delivery of     | Meet project schedules and      |
| Access          | transportation  | complete work within budgeted   |
|                 | products and    | cost.                           |
| The innovative  | services        |                                 |
| management of   |                 |                                 |
| our             |                 |                                 |
| transportation  |                 |                                 |
| system &        |                 |                                 |
| services        |                 |                                 |
| improves access |                 |                                 |
| & mobility,     |                 |                                 |
| ensuring that   |                 |                                 |
| people & goods  |                 |                                 |
| can move        |                 |                                 |
| efficiently.    |                 |                                 |
+-----------------+-----------------+---------------------------------+
|                 | Efficient       | Implement congestion management |
|                 | movement of     | strategies that limit work zone |
|                 | people and      | restrictions, address incident  |
|                 | goods           | management, and reduce corridor |
|                 |                 | travel delays.                  |
+-----------------+-----------------+---------------------------------+
|                 |                 | Implement Keystone Corridor     |
|                 |                 | rail passenger improvements as  |
|                 |                 | a pilot multi-modal initiative. |
+-----------------+-----------------+---------------------------------+
| **[Customer     | Improve         | Implement a systematic process  |
| Focus           | customer        | that further involves customers |
| ]{.underline}** | satisfaction    | in identifying requirements for |
|                 |                 | more responsive products and    |
| Customers are   |                 | services.                       |
| involved with   |                 |                                 |
| tailoring our   |                 |                                 |
| services to     |                 |                                 |
| their needs.    |                 |                                 |
| Customers drive |                 |                                 |
| direction and   |                 |                                 |
| measure Dept    |                 |                                 |
| performance.    |                 |                                 |
+-----------------+-----------------+---------------------------------+
|                 | Improve         | Improve information access by   |
|                 | customer access | providing quality customer      |
|                 | to information  | contacts across the             |
|                 |                 | organization with special       |
|                 |                 | attention to driver and vehicle |
|                 |                 | inquiries.                      |
+-----------------+-----------------+---------------------------------+
| **[Innovation   | World class     | Map key processes and improve   |
| and             | process and     | those with the most strategic   |
| Technology      | product         | impact on business results.     |
| ]{.underline}** | performance     |                                 |
|                 |                 |                                 |
| Technology and  |                 |                                 |
| technical       |                 |                                 |
| expertise are   |                 |                                 |
| harnessed to    |                 |                                 |
| provide better  |                 |                                 |
| service to      |                 |                                 |
| customers.      |                 |                                 |
+-----------------+-----------------+---------------------------------+
|                 |                 | Deliver business results        |
|                 |                 | through planned,                |
|                 |                 | enterprise-focused information  |
|                 |                 | technology.                     |
+-----------------+-----------------+---------------------------------+
| **[Safety and   | Safer travel    | Implement cost-effective        |
| Security        |                 | highway safety improvements at  |
| ]{.underline}** |                 | targeted high crash/fatality    |
|                 |                 | locations.                      |
| Safety is       |                 |                                 |
| maximized for   |                 |                                 |
| customers and   |                 |                                 |
| employees       |                 |                                 |
| through         |                 |                                 |
| educational     |                 |                                 |
| activities,     |                 |                                 |
| improved design |                 |                                 |
| and             |                 |                                 |
| enforcement.    |                 |                                 |
+-----------------+-----------------+---------------------------------+
|                 |                 | Upgrade safe driving            |
|                 |                 | performance through education   |
|                 |                 | and enforcement initiatives.    |
+-----------------+-----------------+---------------------------------+
|                 | Safer working   | Implement prevention strategies |
|                 | conditions      | to reduce the employee injury   |
|                 |                 | rate.                           |
+-----------------+-----------------+---------------------------------+
|                 |                 | Implement prevention strategies |
|                 |                 | to reduce the vehicle accident  |
|                 |                 | rate.                           |
+-----------------+-----------------+---------------------------------+
|                 | Improve         | Develop a transportation        |
|                 | transportation  | security plan.                  |
|                 | security        |                                 |
+-----------------+-----------------+---------------------------------+
|                 |                 | Implement security related      |
|                 |                 | action items.                   |
+-----------------+-----------------+---------------------------------+
| **[Leadership   | Improve         | Provide employees with the      |
| at All          | leadership      | tools and expectations to       |
| Levels          | capabilities    | communicate effectively in      |
| ]{.underline}** | and work        | order to facilitate leadership  |
|                 | environment     | at all levels                   |
| Leadership is   |                 |                                 |
| in every work   |                 |                                 |
| unit. All       |                 |                                 |
| employees use   |                 |                                 |
| their skills to |                 |                                 |
| build stronger  |                 |                                 |
| teams and make  |                 |                                 |
| our common      |                 |                                 |
| vision a        |                 |                                 |
| reality.        |                 |                                 |
+-----------------+-----------------+---------------------------------+
|                 |                 | Develop employees' skills and   |
|                 |                 | capabilities through a          |
|                 |                 | structured process of           |
|                 |                 | instruction, practice, and      |
|                 |                 | leadership opportunities.       |
+-----------------+-----------------+---------------------------------+
| **[Relationship | Cultivate       | Implement a methodology to      |
| Building        | effective       | involve partners and            |
| ]{.underline}** | relationships   | stakeholders more meaningful in |
|                 |                 | PennDOT activities.             |
| Mutual success  |                 |                                 |
| is achieved     |                 |                                 |
| through         |                 |                                 |
| improved        |                 |                                 |
| relationships   |                 |                                 |
| with partners,  |                 |                                 |
| customers,      |                 |                                 |
| suppliers and   |                 |                                 |
| each other.     |                 |                                 |
+-----------------+-----------------+---------------------------------+
|                 |                 | Strengthen the efficiency and   |
|                 |                 | effectiveness of transportation |
|                 |                 | grant programs utilizing the    |
|                 |                 | methodology for partners and    |
|                 |                 | stakeholders.                   |
+-----------------+-----------------+---------------------------------+

![](media/image3.png){width="6.645833333333333in"
height="9.020833333333334in"}Attachment 3 -- Example of PennDOT
(Secretary's) Monthly Report Card

Attachment 4 -- PennDOT Balanced Scorecard

+--------------+----------+-----------+---+---+--------+------+-----+
| **Strategic  | **Hi     | **How     | * |   | *      | **   |     |
| Focus        | gh-Level | Success** | * |   | *Measu | Targ |     |
| Areas**      | Goals**  |           | C |   | rement | et** |     |
|              |          |           | u |   | Tool** |      |     |
|              |          |           | s |   |        |      |     |
|              |          |           | t |   |        |      |     |
|              |          |           | o |   |        |      |     |
|              |          |           | m |   |        |      |     |
|              |          |           | e |   |        |      |     |
|              |          |           | r |   |        |      |     |
|              |          |           | S |   |        |      |     |
|              |          |           | u |   |        |      |     |
|              |          |           | p |   |        |      |     |
|              |          |           | p |   |        |      |     |
|              |          |           | o |   |        |      |     |
|              |          |           | r |   |        |      |     |
|              |          |           | t |   |        |      |     |
|              |          |           | * |   |        |      |     |
|              |          |           | * |   |        |      |     |
+==============+==========+===========+===+===+========+======+=====+
| (SFAs)       | (HLGs)   | **M       | e | i |        | 2002 | 2   |
|              |          | easured** | x | n |        |      | 005 |
|              |          |           | t | t |        |      |     |
|              |          |           | e | e |        |      |     |
|              |          |           | r | r |        |      |     |
|              |          |           | n | n |        |      |     |
|              |          |           | a | a |        |      |     |
|              |          |           | l | l |        |      |     |
+--------------+----------+-----------+---+---+--------+------+-----+
| **           | smoother | better    | X |   | In     | 104  | 99  |
| [Maintenance | roads    | ride      |   |   | ternal | for  | for |
| First]{.     |          | c         |   |   | Rou    | NHS  | NHS |
| underline}** |          | onditions |   |   | ghness | r    | ro  |
|              |          | on major  |   |   | Index  | oads | ads |
| A            |          | National  |   |   | (IRI)  |      |     |
| \            |          | Highway   |   |   |        |      |     |
| "maintenance |          | System    |   |   |        |      |     |
| first\"      |          | (NHS)     |   |   |        |      |     |
| policy is    |          | highways  |   |   |        |      |     |
| reflected    |          |           |   |   |        |      |     |
| through the  |          |           |   |   |        |      |     |
| pr           |          |           |   |   |        |      |     |
| ioritization |          |           |   |   |        |      |     |
| of funding   |          |           |   |   |        |      |     |
| and          |          |           |   |   |        |      |     |
| resources    |          |           |   |   |        |      |     |
| for all      |          |           |   |   |        |      |     |
| systems and  |          |           |   |   |        |      |     |
| services.    |          |           |   |   |        |      |     |
+--------------+----------+-----------+---+---+--------+------+-----+
|              | cost-e   | reduction |   | X | con    | comp | m   |
|              | ffective | in        |   |   | dition | lete | eet |
|              | highway  | ou        |   |   | asse   | a    | tar |
|              | mai      | tstanding |   |   | ssment | sset | get |
|              | ntenance | ma        |   |   | for    | ma   | es  |
|              | in       | intenance |   |   | hi     | nage | tab |
|              | vestment | needs     |   |   | ghways | ment | lis |
|              |          |           |   |   | and    | sy   | hed |
|              |          |           |   |   | b      | stem | in  |
|              |          |           |   |   | ridges |      | 2   |
|              |          |           |   |   |        |      | 002 |
+--------------+----------+-----------+---+---+--------+------+-----+
| **[Quality   | balance  | timely    | X |   | h      | 75%  | 90% |
| of           | social,  | decisions |   |   | ighway | mee  | m   |
| Life]{.      | economic | based on  |   |   | p      | ting | eet |
| underline}** | and      | public    |   |   | roject | ta   | ing |
|              | envir    | and       |   |   | e      | rget | tar |
| Tra          | onmental | technical |   |   | nviron | d    | get |
| nsportation, | concerns | input on  |   |   | mental | ates | da  |
| social and   |          | project   |   |   | app    |      | tes |
| e            |          | impacts   |   |   | rovals |      |     |
| nvironmental |          |           |   |   | m      |      |     |
| concerns     |          |           |   |   | eeting |      |     |
| need to be   |          |           |   |   | target |      |     |
| balanced,    |          |           |   |   | dates  |      |     |
| improving    |          |           |   |   |        |      |     |
| the quality  |          |           |   |   |        |      |     |
| of life in   |          |           |   |   |        |      |     |
| P            |          |           |   |   |        |      |     |
| ennsylvania. |          |           |   |   |        |      |     |
+--------------+----------+-----------+---+---+--------+------+-----+
|              | dem      | attaining |   | X | ISO    | i    | m   |
|              | onstrate | wo        |   |   | 14001  | mple | eet |
|              | sound    | rld-class |   |   | e      | ment | ISO |
|              | envir    | envi      |   |   | nviron | a    | sta |
|              | onmental | ronmental |   |   | mental | p    | nda |
|              | p        | status    |   |   | cr     | ilot | rds |
|              | ractices |           |   |   | iteria | pro  |     |
|              |          |           |   |   |        | gram |     |
+--------------+----------+-----------+---+---+--------+------+-----+
| **[Mobility  | delivery | honoring  | X |   | dollar | 1.3  | 1.4 |
| and          | of       | co        |   |   | value  | bil  | b   |
| Access]{.    | transp   | mmitments |   |   | of     | lion | ill |
| underline}** | ortation | on        |   |   | 12 -   | per  | ion |
|              | products | scheduled |   |   | year   | year | per |
| The          | and      | trans     |   |   | p      |      | y   |
| innovative   | services | portation |   |   | rogram |      | ear |
| management   |          | projects  |   |   | constr |      |     |
| of our       |          |           |   |   | uction |      |     |
| tr           |          |           |   |   | con    |      |     |
| ansportation |          |           |   |   | tracts |      |     |
| system &     |          |           |   |   | ini    |      |     |
| services     |          |           |   |   | tiated |      |     |
| improves     |          |           |   |   |        |      |     |
| access &     |          |           |   |   |        |      |     |
| mobility,    |          |           |   |   |        |      |     |
| ensuring     |          |           |   |   |        |      |     |
| that people  |          |           |   |   |        |      |     |
| & goods can  |          |           |   |   |        |      |     |
| move         |          |           |   |   |        |      |     |
| efficiently. |          |           |   |   |        |      |     |
+--------------+----------+-----------+---+---+--------+------+-----+
|              | e        | reduce    | X |   | 2002-  | set  | m   |
|              | fficient | travel    |   |   | peak   | base | eet |
|              | movement | delays    |   |   | period | line | tar |
|              | of       |           |   |   | work   | in   | get |
|              | people   |           |   |   | zone   | 2000 | set |
|              | and      |           |   |   | lane   | for  | in  |
|              | goods    |           |   |   | restri | red  | 2   |
|              |          |           |   |   | ctions | uced | 002 |
|              |          |           |   |   | 2005-  | 2002 | to  |
|              |          |           |   |   | travel | lane | red |
|              |          |           |   |   | delays | rest | uce |
|              |          |           |   |   | on     | rict | co  |
|              |          |           |   |   | se     | ions | rri |
|              |          |           |   |   | lected |      | dor |
|              |          |           |   |   | cor    |      | tra |
|              |          |           |   |   | ridors |      | vel |
|              |          |           |   |   |        |      | del |
|              |          |           |   |   |        |      | ays |
+--------------+----------+-----------+---+---+--------+------+-----+
| **[Customer  | improve  | compet    | X | X | Ba     | 80   | 100 |
| Focus]{.     | customer | itiveness |   |   | ldrige | De   | D   |
| underline}** | sati     | on the    |   |   | or     | part | epa |
|              | sfaction | Malcolm   |   |   | ganiza | ment | rtm |
| Customers    |          | Baldrige  |   |   | tional | ave  | ent |
| are involved |          | Criteria  |   |   | review | rage | a   |
| with         |          | for       |   |   | p      |      | ver |
| tailoring    |          | E         |   |   | ackage |      | age |
| our services |          | xcellence |   |   | scores |      |     |
| to their     |          |           |   |   | cu     |      |     |
| needs.       |          |           |   |   | stomer |      |     |
| Customers    |          |           |   |   | cr     |      |     |
| drive        |          |           |   |   | iteria |      |     |
| direction    |          |           |   |   |        |      |     |
| and measure  |          |           |   |   |        |      |     |
| Dept         |          |           |   |   |        |      |     |
| performance. |          |           |   |   |        |      |     |
+--------------+----------+-----------+---+---+--------+------+-----+
|              | improve  | prompt    | X |   | answer | 94%  | 94% |
|              | customer | answers   |   |   | rate   | of   | of  |
|              | access   | to        |   |   | of     | c    | ca  |
|              | to       | telephone |   |   | calls  | alls | lls |
|              | inf      | inquiries |   |   | to the | answ | an  |
|              | ormation |           |   |   | Cu     | ered | swe |
|              |          |           |   |   | stomer |      | red |
|              |          |           |   |   | Call   |      |     |
|              |          |           |   |   | Center |      |     |
+--------------+----------+-----------+---+---+--------+------+-----+
| *            | wor      | compet    | X | X | Ba     | 500  | 600 |
| *[Innovation | ld-class | itiveness |   |   | ldrige | l    | le  |
| and          | process  | and the   |   |   | or     | evel | vel |
| T            | and      | Malcolm   |   |   | ganiza | met  | met |
| echnology]{. | product  | Baldrige  |   |   | tional | by   | by  |
| underline}** | per      | Criteria  |   |   | review | lead | l   |
|              | formance | for       |   |   | p      | o    | ead |
| Technology   |          | E         |   |   | ackage | rgan | o   |
| and          |          | xcellence |   |   | scores | izat | rga |
| technical    |          |           |   |   | all    | ions | niz |
| expertise    |          |           |   |   | cr     |      | ati |
| are          |          |           |   |   | iteria |      | ons |
| harnessed to |          |           |   |   |        |      |     |
| provide      |          |           |   |   |        |      |     |
| better       |          |           |   |   |        |      |     |
| service to   |          |           |   |   |        |      |     |
| customers.   |          |           |   |   |        |      |     |
+--------------+----------+-----------+---+---+--------+------+-----+
| **[Safety]{. | safer    | fewer     | X |   | number | 5%   | 10% |
| underline}** | travel   | f         |   |   | of     | r    | red |
|              |          | atalities |   |   | fata   | educ | uct |
| Safety is    |          | from      |   |   | lities | tion | ion |
| maximized    |          | highway   |   |   | per    | in   | in  |
| for          |          | crashes   |   |   | year   | fa   | f   |
| customers    |          |           |   |   |        | tali | ata |
| and          |          |           |   |   |        | ties | lit |
| employees    |          |           |   |   |        |      | ies |
| through      |          |           |   |   |        |      |     |
| educational  |          |           |   |   |        |      |     |
| activities,  |          |           |   |   |        |      |     |
| improved     |          |           |   |   |        |      |     |
| design and   |          |           |   |   |        |      |     |
| enforcement. |          |           |   |   |        |      |     |
|              |          |           |   |   |        |      |     |
|              |          |           |   |   |        |      |     |
+--------------+----------+-----------+---+---+--------+------+-----+
|              | safer    | fewer     |   | X | injury | 8    | 7   |
|              | working  | wor       |   |   | rate   | .25% | .5% |
|              | co       | k-related |   |   | per    | in   | inj |
|              | nditions | injuries  |   |   | 100    | jury | ury |
|              |          |           |   |   | emp    | rate | r   |
|              |          |           |   |   | loyees |      | ate |
|              |          |           |   |   | w      |      |     |
|              |          |           |   |   | orking |      |     |
|              |          |           |   |   | on     |      |     |
|              |          |           |   |   | year   |      |     |
+--------------+----------+-----------+---+---+--------+------+-----+
|              | improve  |           |   |   | sta    |      |     |
|              | transp   |           |   |   | tewide |      |     |
|              | ortation |           |   |   | se     |      |     |
|              | security |           |   |   | curity |      |     |
|              | (added:  |           |   |   | plan   |      |     |
|              | April    |           |   |   | and    |      |     |
|              | 2002)    |           |   |   | action |      |     |
|              |          |           |   |   | items  |      |     |
+--------------+----------+-----------+---+---+--------+------+-----+
| *            | improve  | positive  |   | X | or     | 48%  | 54% |
| *[Leadership | le       | trends in |   |   | ganiza | posi | po  |
| at all       | adership | employee  |   |   | tional | tive | sit |
| levels]{.    | capa     | feedback  |   |   | c      | ra   | ive |
| underline}** | bilities | on        |   |   | limate | ting | rat |
|              | and work | jo        |   |   | survey |      | ing |
| Leadership   | env      | b-related |   |   | se     |      |     |
| is in every  | ironment | factors   |   |   | lected |      |     |
| work unit.   |          |           |   |   | items  |      |     |
| All          |          |           |   |   |        |      |     |
| employees    |          |           |   |   |        |      |     |
| use their    |          |           |   |   |        |      |     |
| skills to    |          |           |   |   |        |      |     |
| build        |          |           |   |   |        |      |     |
| stronger     |          |           |   |   |        |      |     |
| teams and    |          |           |   |   |        |      |     |
| make our     |          |           |   |   |        |      |     |
| common       |          |           |   |   |        |      |     |
| vision a     |          |           |   |   |        |      |     |
| reality.     |          |           |   |   |        |      |     |
+--------------+----------+-----------+---+---+--------+------+-----+
| **[          | c        | effe      | X | X | P      | e    | m   |
| Relationship | ultivate | ctiveness |   |   | ENNDOT | stab | eet |
| Building]{.  | e        | of        |   |   | p      | lish | tar |
| underline}** | ffective | pa        |   |   | artner | mea  | get |
|              | rela     | rtnership |   |   | bu     | sure | es  |
| Mutual       | tionship | to        |   |   | siness | base | tab |
| success is   |          | achieve   |   |   | e      | line | lis |
| achieved     |          | business  |   |   | ffecti | and  | hed |
| through      |          | results   |   |   | veness | ta   | in  |
| improved     |          |           |   |   | survey | rget | 2   |
| r            |          |           |   |   | scores |      | 002 |
| elationships |          |           |   |   |        |      |     |
| with         |          |           |   |   |        |      |     |
| partners,    |          |           |   |   |        |      |     |
| customers,   |          |           |   |   |        |      |     |
| suppliers    |          |           |   |   |        |      |     |
| and each     |          |           |   |   |        |      |     |
| other.       |          |           |   |   |        |      |     |
+--------------+----------+-----------+---+---+--------+------+-----+

Attachment 5 -- SMC Dashboard

  -----------------------------------------------------------------------
  KEY MEASURES
  -----------------------------------------------------------------------
  SUPPORT MEASURES

  AGILITY (5)

  \% AGILITY WORK PLANS THAT SUPPORT

  \# CUSTOMER BUDDIES ENROLLED IN PROF DEV INIT (CENTRAL)

  \# CUSTOMER BUDDIES ENROLLED IN PROF DEV INIT (DISTS)

  \% LOCAL GOV\'T PARTNERS W/AGILITY AGREEMENTS

  \# NON-TRADITIONAL PARTNERS W/AGREEMENTS

  PERMIT CYCLE TIME (2)

  PROCESSING TIME - EXCEEDS 24 HRS

  AVG PERMIT PROCESSING TIME

  CUSTOMER SATISFACTION (20)

  ADMIN DEPUTATE -- CUST OMER SERVICE INDEX (CSI)

  PLANNING AND RESEARCH -- CSI

  MAINTENANCE & OPERATIONS -- CSI

  CONSTRUCTION & MATERIALS -- CSI

  DESIGN -- CSI

  ENVIRONMENTAL QUALITY -- CSI

  HWY SAFETY & TRAFFIC ENGINEERING -- CSI

  OFFICE OF CHIEF COUNSEL (OCC) -- CSI

  COMMUNICAT'N/CUSTOMER RELATION (OCCR) - WELCOME CTRS

  MAINTENANCE & OPERATIONS - PERMIT CYCLE

  PRGM DEV & MGT CTR - PLANNING DOLLARS

  CALL CTR - 800# BUSY SIGNALS (#/%)

  OCCR - QUIK SURVEY RESULTS

  MUNI SVCS / AGILITY -- CSI

  RAIL FREIGHT -- SURVEY

  DRIVER LICENSE WAIT TIME

  COUNTY CSI SURVEY RESULTS

  SNOW & ICE (WINTR SVCS + COUNTY CSI)

  AVIATION - AIRPORT MGRS SURVEY

  HWY: ROADSIDE RESTS

  INT\'L ROUGHNESS INDEX (IRI) (3)

  INTERSTATE

  NHS NON-INTERSTATE

  NON-NHS RTES & OTHERS W/ADT [\>]{.underline} 2,000

  PROGRAM DELIVERY (11)

  AVIATION - GRANTS ENCUMBERED - AVIATN DEVELOPMENT PRGM

  AVIATION - \" \" - FED BLOCK GRANT PRGM

  AVIATION - PROJECTS RELEASED - AVIATN DEVELOPMENT PRGM

  AVIATION - \" \" - FED BLOCK GRANT PRGM

  RAIL FREIGHT ASSISTANCE PROGRAM

  PUBLIC TRANSPORT FINANCIAL ASSIST

  LIQUID FUEL REIMBURSEMENTS

  HWY & BRIDGE LETTS - LOW BID PROJ \$\$ (TARGET)

  \" \" \" \" \" \" \" (PROGRAM COSTS)

  \" \" \" \" \" \" \" (PS & ESTIMATES)

  \# COMMITTED PROJECTS -VS- ACTUAL LETTINGS

  BRIDGES (3)

  POSTED BRIDGES

  CLOSED BRIDGES

  WEAK LINK BRIDGS

  FATALITIES (3)

  TOTAL FATALITIES

  FATALITY RATE (FATAL PER 100 MILLION VMT)

  FATAL IN CRASHES (W/16-17 YR OLD DRIVERS)

  SURFACE IMPROVE MAINT (5)

  BETTERMENT

  RESURFACING

  LEVEL AND SEAL

  SURFACE REPAIR

  PAVEMENT WIDENING

  WORKFORCE (8)

  IN SVC TRAINING \$\$

  OUT SVC TRAINING \$\$

  TOTAL [DEPT]{.underline} TRAINING \$\$

  IN SVC TRAINING HRS

  OUT SVC TRAINING HRS

  TOTAL [DEPT]{.underline} TRAINING HRS

  MINORITY EMPLOYEE %

  FILLED COMPLEMENT %

  BALDRIGE (ORGANIZATION REVIEW PACKAGE (ORP)-SCORES) (8)

  LEADERSHIP (CATEGORY 1)

  STRATEGIC PLANNING (CAT 2)

  CUSTOMER & MARKET FOCUS (CAT 3)

  INFORMATION & ANALYSIS (CAT 4)

  HUMAN RESOURCE DEVEL & MGMT (CAT 5)

  PROCESS MANAGEMENT (CAT 6)

  BUSINESS RESULTS (CAT 7)

  TOTAL (ALL CATEGORIES)

  BALDRIGE ([LINK]{.underline} TO SCORECARD) (6)

  CUSTOMER & MKT FOCUS - [DIST 1-0]{.underline} AVERAGE (CAT 3..0+7.1)

  \" \" \" \" - [SAFETY]{.underline} [ADMIN]{.underline} AVERAGE

  \" \" \" \" - [DEPT]{.underline} AVERAGE

  [DIST 1-0]{.underline} - TOTAL ORP SCORE (LEAD ORG #1) (INNOVATION)

  [SAFETY]{.underline} - \" \" \" (LEAD ORG #2) (TECHNOLOGY)

  [DEPT]{.underline} - \" \" \"

  GAP CLOSURE (AGED GAPS) (8)

  DEPUTATE -- ADMINISTRATION

  DEPUTATE -- AVIATION

  EXECUTIVE OFFICES - OCCR / OCC

  DEPUTATE - HWY ADMIN (W/11 DISTRICTS / 67 COUNTIES)

  DEPUTATE - LOCAL & AREA TRANSPORT

  DEPUTATE -- PLANNING

  DEPUTATE - SAFETY ADMIN

  TOTAL DEPT \"AGED\" GAPS \< 90, 90-120, \> 90 DAYS

  DRIVER LICENSING (1)

  DRIVER LICENSING - CUSTOMER SVC INDEX (CSI)

  VEHICLE REGISTRATION (1)

  MOTOR VEHICLES - REGISTRATION RENEWAL

  -----------------------------------------------------------------------

Attachment 6 -- PennDOT Organization Chart

![](media/image4.png){width="9.25in" height="6.486111111111111in"}