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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2004. Public Transportation Board Effectiveness: A Self-Assessment Handbook. Washington, DC: The National Academies Press. doi: 10.17226/13765.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2004. Public Transportation Board Effectiveness: A Self-Assessment Handbook. Washington, DC: The National Academies Press. doi: 10.17226/13765.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2004. Public Transportation Board Effectiveness: A Self-Assessment Handbook. Washington, DC: The National Academies Press. doi: 10.17226/13765.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2004. Public Transportation Board Effectiveness: A Self-Assessment Handbook. Washington, DC: The National Academies Press. doi: 10.17226/13765.
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T R A N S P O R T A T I O N R E S E A R C H B O A R D WASHINGTON, D.C. 2004 www.TRB.org T R A N S I T C O O P E R A T I V E R E S E A R C H P R O G R A M TCRP REPORT 104 Research Sponsored by the Federal Transit Administration in Cooperation with the Transit Development Corporation SUBJECT AREAS Planning and Administration • Public Transit Public Transportation Board Effectiveness: A Self-Assessment Handbook AECOM CONSULT, INC. Fairfax, VA THE MINETA TRANSPORTATION INSTITUTE San Jose, CA AND WILL SCOTT & COMPANY, LLC Cincinnati, OH

TRANSIT COOPERATIVE RESEARCH PROGRAM The nation’s growth and the need to meet mobility, environmental, and energy objectives place demands on public transit systems. Current systems, some of which are old and in need of upgrading, must expand service area, increase service frequency, and improve efficiency to serve these demands. Research is necessary to solve operating problems, to adapt appropriate new technologies from other industries, and to introduce innovations into the transit industry. The Transit Cooperative Research Program (TCRP) serves as one of the principal means by which the transit industry can develop innovative near-term solutions to meet demands placed on it. The need for TCRP was originally identified in TRB Special Report 213—Research for Public Transit: New Directions, published in 1987 and based on a study sponsored by the Urban Mass Transportation Administration—now the Federal Transit Admin- istration (FTA). A report by the American Public Transportation Association (APTA), Transportation 2000, also recognized the need for local, problem-solving research. TCRP, modeled after the longstanding and successful National Cooperative Highway Research Program, undertakes research and other technical activities in response to the needs of transit service providers. The scope of TCRP includes a variety of transit research fields including plan- ning, service configuration, equipment, facilities, operations, human resources, maintenance, policy, and administrative practices. TCRP was established under FTA sponsorship in July 1992. Proposed by the U.S. Department of Transportation, TCRP was authorized as part of the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA). On May 13, 1992, a memorandum agreement outlining TCRP operating procedures was executed by the three cooperating organizations: FTA, The National Academies, acting through the Transportation Research Board (TRB); and the Transit Development Corporation, Inc. (TDC), a nonprofit educational and research organization established by APTA. TDC is responsible for forming the independent governing board, designated as the TCRP Oversight and Project Selection (TOPS) Committee. Research problem statements for TCRP are solicited periodically but may be submitted to TRB by anyone at any time. It is the responsibility of the TOPS Committee to formulate the research program by identifying the highest priority projects. As part of the evaluation, the TOPS Committee defines funding levels and expected products. Once selected, each project is assigned to an expert panel, appointed by the Transportation Research Board. The panels prepare project statements (requests for proposals), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and selecting research agencies has been used by TRB in managing cooperative research programs since 1962. As in other TRB activ- ities, TCRP project panels serve voluntarily without compensation. Because research cannot have the desired impact if products fail to reach the intended audience, special emphasis is placed on disseminating TCRP results to the intended end users of the research: transit agencies, service providers, and suppliers. TRB provides a series of research reports, syntheses of transit practice, and other supporting material developed by TCRP research. APTA will arrange for workshops, training aids, field visits, and other activities to ensure that results are implemented by urban and rural transit industry practitioners. The TCRP provides a forum where transit agencies can cooperatively address common operational problems. The TCRP results support and complement other ongoing transit research and training programs. TCRP REPORT 104 Project H-24A FY 2001 ISSN 1073-4872 ISBN 0-309-08802-X Library of Congress Control Number 2004110967 © 2004 Transportation Research Board Price $19.00 NOTICE The project that is the subject of this report was a part of the Transit Cooperative Research Program conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. Such approval reflects the Governing Board’s judgment that the project concerned is appropriate with respect to both the purposes and resources of the National Research Council. The members of the technical advisory panel selected to monitor this project and to review this report were chosen for recognized scholarly competence and with due consideration for the balance of disciplines appropriate to the project. The opinions and conclusions expressed or implied are those of the research agency that performed the research, and while they have been accepted as appropriate by the technical panel, they are not necessarily those of the Transportation Research Board, the National Research Council, the Transit Development Corporation, or the Federal Transit Administration of the U.S. Department of Transportation. Each report is reviewed and accepted for publication by the technical panel according to procedures established and monitored by the Transportation Research Board Executive Committee and the Governing Board of the National Research Council. Special Notice The Transportation Research Board of The National Academies, the National Research Council, the Transit Development Corporation, and the Federal Transit Administration (sponsor of the Transit Cooperative Research Program) do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the clarity and completeness of the project reporting. Published reports of the TRANSIT COOPERATIVE RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at http://www.national-academies.org/trb/bookstore Printed in the United States of America

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. William A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both the Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is a division of the National Research Council, which serves the National Academy of Sciences and the National Academy of Engineering. The Board’s mission is to promote innovation and progress in transportation through research. In an objective and interdisciplinary setting, the Board facilitates the sharing of information on transportation practice and policy by researchers and practitioners; stimulates research and offers research management services that promote technical excellence; provides expert advice on transportation policy and programs; and disseminates research results broadly and encourages their implementation. The Board’s varied activities annually engage more than 5,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

COOPERATIVE RESEARCH PROGRAMS STAFF FOR TCRP REPORT 104 ROBERT J. REILLY, Director, Cooperative Research Programs CHRISTOPHER W. JENKS, TCRP Manager GWEN CHISHOLM-SMITH, Senior Program Officer EILEEN P. DELANEY, Director of Publications ELLEN M. CHAFEE, Assistant Editor PROJECT PANEL H-24A Field of Policy and Planning GEORGE F. DIXON III, Greater Cleveland Regional Transit Authority (Chair) JOSEPH ALEXANDER, The Washington Group, Arlington, VA LORA GRAVES-MAYO, Washington Metropolitan Area Transit Authority NANCY K. JOHNSON, Dallas Area Rapid Transit WADE LAWSON, South Jersey Transportation Authority PATRISHA PIRAS, AC Transit, San Lorenzo, CA JOE RIVERS, Chatham Area Transit Authority, Savannah, GA HOWARD SILVER, Golden Empire Transit District, Bakersfield, CA RICHARD J. SIMONETTA, Valley Metro Rail, Inc., Phoenix, AZ PAUL A. TOLIVER, Computer Intelligence Squared (CI2), Seattle, WA RICHARD P. STEINMANN, FTA Liaison Representative LYNNE MORSEN, APTA Liaison Representative PETER SHAW, TRB Liaison Representative AUTHOR ACKNOWLEDGMENTS The research reported herein was performed under TCRP Project H-24A, “Assessing the Effectiveness of Public Transportation Boards,” by AECOM Consult, Inc., in conjunction with the Mineta Transportation Institute (MTI); Will Scott & Company, LLC; Howard/Stein-Hudson; and Robert Prince of DMJM+HARRIS. Scott Baker, a senior manager with AECOM Consult, Inc., was the principal investigator. The other authors of this report are Kevin Horn, senior manager; Peter Barr, senior consultant; Jennifer Binder, consultant; and Vi Truong, consultant; all with AECOM Consult, Inc. Peter Haas of MTI conducted the field tests and pre- pared the field test report. Will Scott and Robert Prangley of Will Scott & Company, LLC, along with Robert Prince of DMJM+HARRIS, facilitated the expert workshop. Other contributors include the Chittenden County Transit Authority (CCTA), who provided (as an example) the CCTA board goals for Fiscal Year 2003, and Dr. Edgar Schein, a professor of management at MIT, who provided the Behavioral Assessment Tool. Finally, a particularly constructive role was played by the panel of experts who selected the board assessment criteria that form the basis of the assessment tool in the Handbook. That panel consisted of the following participants: Mattie P. Carter Memphis Area Transit Authority Flora Castillo New Jersey Transit Richard DeRock Link Transit, Wenatchee, Washington Claryce Gibbons-Allen Detroit Department of Transportation Kenneth Gregor Metropolitan Atlanta Regional Transit Authority Sharon McBride Greater Peoria Mass Transit District Michael Scanlon San Mateo County Transit District Michael Setzer Metropolitan Council Transit Operations (Minneapolis—St. Paul, Minnesota) Peter Snyder Bay Area Rapid Transit District (Oakland—San Francisco, California)

FOREWORD By Gwen Chisholm-Smith Staff Officer Transportation Research Board TCRP Report 104: Public Transportation Board Effectiveness: A Self-Assessment Handbook provides a self-assessment process and tools to measure public transporta- tion board effectiveness and provides references on how board characteristics can be changed to improve board effectiveness in various areas. The Handbook also identifies the characteristics of public transportation boards that influence transit system perfor- mance. The Handbook may be used by policymakers, transit chief executive officers, appointing bodies, and legal advisors. The companion document to the Handbook is the TCRP Project H-24A final report, The Public Transportation Board Effectiveness Study, which focuses on the findings of the research. The report describes the two major phases of the study: the expert work- shop, which resulted in the board performance measures, and the Handbook field test results, which include participant comments and suggestions. In addition, the report offers a complete list of transportation board performance measures. This report is published as TCRP Web Document 24, available at www4.trb.org/trb/onlinepubs.nsf. This research builds on prior work done under TCRP Project H-24, which is pub- lished in TCRP Report 85: Public Transit Board Governance Guidebook. The purpose of TCRP Project H-24 was to develop a reference document that provides guidance to public transportation board members, general managers, and appointing bodies with respect to board powers, role, responsibilities, size, structure, organization, and com- position. TCRP Report 85 includes information on method of selection, compensation, term length, and committee structure of public transportation boards to define their organization and characteristics. It also is a “snapshot” of board organizational char- acteristics, with broad qualitative indicators of effectiveness, rather than a comprehen- sive analytical document. Results of the prior study indicate that the development of an objective self- assessment process and tools that measure the effectiveness of a public transportation board would be useful. Such an assessment process and tools would provide informa- tion that could be used by boards of directors, appointing organizations/officials, and other entities to objectively assess public transportation board effectiveness. AECOM Consult, Inc., in conjunction with the Mineta Transportation Institute and Will Scott & Co., LLC, conducted the research for TCRP Project H-24A. To achieve the project’s objective of developing a public transportation board self-assessment process and tool, (1) a literature review was completed to identify the range of board assessment tools, (2) an expert workshop comprised of diverse transit board members and transit chief executive officers was held to select board performance measures, and (3) field tests were conducted to validate the Handbook. Based on the results of the expert workshop, performance measures were selected, and the Handbook was drafted and field tested by a cross section of U.S. transit agencies. Information, comments, and suggestions gathered from the expert workshop and field tests were incorporated into the Handbook.

1 SUMMARY 3 SECTION 1 Introduction—Effectiveness of Boards of Directors 5 SECTION 2 The Purpose of and Need for Board Self-Assessment Who Should Use the Assessment? 5 Why Should a Board Assess Its Performance? 5 When Should the Assessment Be Initiated, and Should It Be Repeated? 7 What Are the Expected Results of the Assessment? 7 What About Follow-Up to the Assessment? 8 10 SECTION 3 Decisions Necessary to Implement Board Self-Assessment To Whom Should the Assessment Be Disclosed? 10 Who Should Administer the Assessment? 11 What Level of Detail of Board Self-Assessment Should Be Used? 12 14 SECTION 4 Administration of Self-Assessment 16 SECTION 5 Assessment Instructions for the Administrator(s) 18 SECTION 6 Transit Board Self-Assessment Tools A-1 APPENDIX A Chittenden County Transportation Authority Board Goals for FY 2003 B-1 APPENDIX B Annotated Bibliography of Potential Remedial Action Sources CONTENTS

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TRB’s Transit Cooperative Research Program (TCRP) Report 104: Public Transportation Board Effectiveness: A Self-Assessment Handbook provides a self-assessment process and tools to measure public transportation board effectiveness and provides references on how board characteristics can be changed to improve effectiveness in various areas. The Handbook also identifies the characteristics of public transportation boards that influence transit system performance.

TRB’s Transit Cooperative Research Program (TCRP) Web Document 24: The Public Transportation Board Effectiveness Study describes the process used to develop the Public Transit Board Self-Assessment Handbook.

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