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TRANSIT
TCRP REPORT 104
COOPERATIVE
RESEARCH
PROGRAM
Sponsored by
the Federal
Transit Administration
Public Transportation
Board Effectiveness:
A Self-Assessment Handbook
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TCRP OVERSIGHT AND PROJECT TRANSPORTATION RESEARCH BOARD EXECUTIVE COMMITTEE 2004 (Membership as of July 2004)
SELECTION COMMITTEE
(as of June 2004) OFFICERS
CHAIR Chair: Michael S. Townes, President and CEO, Hampton Roads Transit, Hampton, VA
SHARON GREENE Vice Chair: Joseph H. Boardman, Commissioner, New York State DOT
Sharon Greene & Associates Executive Director: Robert E. Skinner, Jr., Transportation Research Board
MEMBERS MEMBERS
KAREN ANTION
Karen Antion Consulting MICHAEL W. BEHRENS, Executive Director, Texas DOT
LINDA J. BOHLINGER SARAH C. CAMPBELL, President, TransManagement, Inc., Washington, DC
HNTB Corp. E. DEAN CARLSON, Director, Carlson Associates, Topeka, KS
ROBERT I. BROWNSTEIN JOHN L. CRAIG, Director, Nebraska Department of Roads
Parsons Brinckerhoff Quade & Douglas, Inc. DOUGLAS G. DUNCAN, President and CEO, FedEx Freight, Memphis, TN
PETER A. CANNITO GENEVIEVE GIULIANO, Director, Metrans Transportation Center and Professor, School of Policy,
Metropolitan Transit Authority--Metro-North Planning, and Development, USC, Los Angeles
Railroad
GREGORY COOK BERNARD S. GROSECLOSE, JR., President and CEO, South Carolina State Ports Authority
Ann Arbor Transportation Authority SUSAN HANSON, Landry University Prof. of Geography, Graduate School of Geography, Clark University
JENNIFER L. DORN JAMES R. HERTWIG, President, CSX Intermodal, Jacksonville, FL
FTA GLORIA J. JEFF, Director, Michigan DOT
NATHANIEL P. FORD, SR. ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley
Metropolitan Atlanta RTA RONALD F. KIRBY, Director of Transportation Planning, Metropolitan Washington Council of Governments
RONALD L. FREELAND HERBERT S. LEVINSON, Principal, Herbert S. Levinson Transportation Consultant, New Haven, CT
Parsons Transportation Group SUE MCNEIL, Director, Urban Transportation Center and Professor, College of Urban Planning and
FRED M. GILLIAM Public Affairs and Department of Civil and Material Engineering, University of Illinois, Chicago
Capital Metropolitan Transportation Authority
MICHAEL D. MEYER, Professor, School of Civil and Environmental Engineering, Georgia Institute
KIM R. GREEN
GFI GENFARE of Technology
JILL A. HOUGH CAROL A. MURRAY, Commissioner, New Hampshire DOT
North Dakota State University JOHN E. NJORD, Executive Director, Utah DOT
ROBERT H. IRWIN DAVID PLAVIN, President, Airports Council International, Washington, DC
British Columbia Transit JOHN H. REBENSDORF, Vice Pres., Network Planning and Operations, Union Pacific Railroad Co.,
JEANNE W. KRIEG Omaha, NE
Eastern Contra Costa Transit Authority PHILIP A. SHUCET, Commissioner, Virginia DOT
CELIA G. KUPERSMITH C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin
Golden Gate Bridge, Highway and
LINDA S. WATSON, Executive Director, LYNX--Central Florida Regional Transportation Authority,
Transportation District
PAUL J. LARROUSSE Orlando, FL
National Transit Institute
DAVID A. LEE EX OFFICIO MEMBERS
Connecticut Transit MARION C. BLAKEY, Federal Aviation Administrator, U.S.DOT
CLARENCE W. MARSELLA SAMUEL G. BONASSO, Acting Administrator, Research and Special Programs Administration, U.S.DOT
Denver Regional Transportation District REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA
FAYE L. M. MOORE
Southeastern Pennsylvania Transportation GEORGE BUGLIARELLO, Chancellor, Polytechnic University and Foreign Secretary, National Academy
Authority of Engineering
MICHAEL H. MULHERN THOMAS H. COLLINS (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard
Massachusetts Bay Transportation Authority JENNIFER L. DORN, Federal Transit Administrator, U.S.DOT
STEPHANIE L. PINSON EDWARD R. HAMBERGER, President and CEO, Association of American Railroads
Gilbert Tweed Associates, Inc. JOHN C. HORSLEY, Exec. Dir., American Association of State Highway and Transportation Officials
ROBERT H. PRINCE, JR. RICK KOWALEWSKI, Deputy Director, Bureau of Transportation Statistics, U.S.DOT
DMJM+Harris WILLIAM W. MILLAR, President, American Public Transportation Association
JEFFREY M. ROSENBERG BETTY MONRO, Acting Administrator, Federal Railroad Administration, U.S.DOT
Amalgamated Transit Union
MARY E. PETERS, Federal Highway Administrator, U.S.DOT
BEVERLY A. SCOTT
Sacramento Regional Transit District SUZANNE RUDZINSKI, Director, Transportation and Regional Programs, U.S. EPA
PAUL P. SKOUTELAS JEFFREY W. RUNGE, National Highway Traffic Safety Administrator, U.S.DOT
Port Authority of Allegheny County ANNETTE M. SANDBERG, Federal Motor Carrier Safety Administrator, U.S.DOT
KATHRYN D. WATERS WILLIAM G. SCHUBERT, Maritime Administrator, U.S.DOT
Dallas Area Rapid Transit JEFFREY N. SHANE, Under Secretary for Policy, U.S.DOT
CARL A. STROCK (Maj. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps
EX OFFICIO MEMBERS of Engineers
WILLIAM W. MILLAR
ROBERT A. VENEZIA, Program Manager of Public Health Applications, National Aeronautics and Space
APTA
MARY E. PETERS Administration
FHWA
JOHN C. HORSLEY TRANSIT COOPERATIVE RESEARCH PROGRAM
AASHTO Transportation Research Board Executive Committee Subcommittee for TCRP
ROBERT E. SKINNER, JR.
TRB MICHAEL S. TOWNES, Hampton Roads Transit, Hampton, VA (Chair)
JOSEPH H. BOARDMAN, New York State DOT
TDC EXECUTIVE DIRECTOR JENNIFER L. DORN, Federal Transit Administration, U.S.DOT
LOUIS F. SANDERS GENEVIEVE GIULIANO, University of Southern California, Los Angeles
APTA
WILLIAM W. MILLAR, American Public Transportation Association
SECRETARY ROBERT E. SKINNER, JR., Transportation Research Board
ROBERT J. REILLY C. MICHAEL WALTON, University of Texas, Austin
TRB LINDA S. WATSON, LYNX--Central Florida Regional Transportation Authority, Orlando, FL
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TRANSIT COOPERATIVE RESEARCH PROGRAM
TCRP REPORT 104
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
S UBJECT A REAS
Planning and Administration · Public Transit
Research Sponsored by the Federal Transit Administration in Cooperation with the Transit Development Corporation
TRANSPORTATION RESEARCH BOARD
WASHINGTON, D.C.
2004
www.TRB.org
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TRANSIT COOPERATIVE RESEARCH PROGRAM TCRP REPORT 104
The nation's growth and the need to meet mobility, Project H-24A FY 2001
environmental, and energy objectives place demands on public ISSN 1073-4872
transit systems. Current systems, some of which are old and in need ISBN 0-309-08802-X
of upgrading, must expand service area, increase service frequency, Library of Congress Control Number 2004110967
and improve efficiency to serve these demands. Research is
© 2004 Transportation Research Board
necessary to solve operating problems, to adapt appropriate new
technologies from other industries, and to introduce innovations into Price $19.00
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 NOTICE
Association (APTA), Transportation 2000, also recognized the need The project that is the subject of this report was a part of the Transit Cooperative
for local, problem-solving research. TCRP, modeled after the Research Program conducted by the Transportation Research Board with the
longstanding and successful National Cooperative Highway approval of the Governing Board of the National Research Council. Such
Research Program, undertakes research and other technical activities approval reflects the Governing Board's judgment that the project concerned is
in response to the needs of transit service providers. The scope of appropriate with respect to both the purposes and resources of the National
TCRP includes a variety of transit research fields including plan- Research Council.
ning, service configuration, equipment, facilities, operations, human The members of the technical advisory panel selected to monitor this project and
resources, maintenance, policy, and administrative practices. to review this report were chosen for recognized scholarly competence and with
TCRP was established under FTA sponsorship in July 1992. due consideration for the balance of disciplines appropriate to the project. The
Proposed by the U.S. Department of Transportation, TCRP was opinions and conclusions expressed or implied are those of the research agency
authorized as part of the Intermodal Surface Transportation that performed the research, and while they have been accepted as appropriate
Efficiency Act of 1991 (ISTEA). On May 13, 1992, a memorandum by the technical panel, they are not necessarily those of the Transportation
agreement outlining TCRP operating procedures was executed by Research Board, the National Research Council, the Transit Development
the three cooperating organizations: FTA, The National Academies, Corporation, or the Federal Transit Administration of the U.S. Department of
acting through the Transportation Research Board (TRB); and Transportation.
the Transit Development Corporation, Inc. (TDC), a nonprofit Each report is reviewed and accepted for publication by the technical panel
educational and research organization established by APTA. according to procedures established and monitored by the Transportation
TDC is responsible for forming the independent governing board, Research Board Executive Committee and the Governing Board of the National
designated as the TCRP Oversight and Project Selection (TOPS) Research Council.
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 Special Notice
program by identifying the highest priority projects. As part of the
The Transportation Research Board of The National Academies, the National
evaluation, the TOPS Committee defines funding levels and
Research Council, the Transit Development Corporation, and the Federal Transit
expected products. Administration (sponsor of the Transit Cooperative Research Program) do not
Once selected, each project is assigned to an expert panel, endorse products or manufacturers. Trade or manufacturers' names appear herein
appointed by the Transportation Research Board. The panels prepare solely because they are considered essential to the clarity and completeness of the
project statements (requests for proposals), select contractors, and project reporting.
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 Published reports of the
to reach the intended audience, special emphasis is placed on
disseminating TCRP results to the intended end users of the TRANSIT COOPERATIVE RESEARCH PROGRAM
research: transit agencies, service providers, and suppliers. TRB are available from:
provides a series of research reports, syntheses of transit practice,
and other supporting material developed by TCRP research. APTA Transportation Research Board
Business Office
will arrange for workshops, training aids, field visits, and other
500 Fifth Street, NW
activities to ensure that results are implemented by urban and rural
Washington, DC 20001
transit industry practitioners.
The TCRP provides a forum where transit agencies can and can be ordered through the Internet at
cooperatively address common operational problems. The TCRP http://www.national-academies.org/trb/bookstore
results support and complement other ongoing transit research and
training programs. Printed in the United States of America
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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
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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 Mattie P. Carter
H-24A, "Assessing the Effectiveness of Public Transportation Memphis Area Transit Authority
Boards," by AECOM Consult, Inc., in conjunction with the Mineta Flora Castillo
Transportation Institute (MTI); Will Scott & Company, LLC; New Jersey Transit
Howard/Stein-Hudson; and Robert Prince of DMJM+HARRIS.
Richard DeRock
Scott Baker, a senior manager with AECOM Consult, Inc., was
Link Transit, Wenatchee, Washington
the principal investigator. The other authors of this report are Kevin
Horn, senior manager; Peter Barr, senior consultant; Jennifer Claryce Gibbons-Allen
Binder, consultant; and Vi Truong, consultant; all with AECOM Detroit Department of Transportation
Consult, Inc. Peter Haas of MTI conducted the field tests and pre- Kenneth Gregor
pared the field test report. Will Scott and Robert Prangley of Metropolitan Atlanta Regional Transit Authority
Will Scott & Company, LLC, along with Robert Prince of Sharon McBride
DMJM+HARRIS, facilitated the expert workshop. Greater Peoria Mass Transit District
Other contributors include the Chittenden County Transit
Michael Scanlon
Authority (CCTA), who provided (as an example) the CCTA board
San Mateo County Transit District
goals for Fiscal Year 2003, and Dr. Edgar Schein, a professor of
management at MIT, who provided the Behavioral Assessment Michael Setzer
Tool. Metropolitan Council Transit Operations
Finally, a particularly constructive role was played by the panel (Minneapolis--St. Paul, Minnesota)
of experts who selected the board assessment criteria that form the Peter Snyder
basis of the assessment tool in the Handbook. That panel consisted Bay Area Rapid Transit District
of the following participants: (Oakland--San Francisco, California)
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TCRP Report 104: Public Transportation Board Effectiveness: A Self-Assessment
FOREWORD Handbook provides a self-assessment process and tools to measure public transporta-
By Gwen Chisholm-Smith tion board effectiveness and provides references on how board characteristics can be
Staff Officer changed to improve board effectiveness in various areas. The Handbook also identifies
Transportation Research the characteristics of public transportation boards that influence transit system perfor-
Board 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.
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CONTENTS 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
