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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