From Handshake to Compact: Guidance to Foster Collaborative, Multimodal Decision Making (2005)

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A Practitioner’s Handbook FROM HANDSHAKE TO COMPACT: GUIDANCE TO FOSTER COLLABORATIVE, MULTIMODAL DECISION MAKING This handbook is the result of a body of research initiated by the Transit Cooperative Research Program and the National Cooperative Highway Research Program to iden- tify and document examples of collaboration in multimodal decision making. It marks the first time these entities have come together to jointly fund a major research project. The research has resulted in three companion products designed to be complementary to each other. These include a joint Research Results Digest (TCRP 65/NCHRP 288: A New Vision of Mobility: Guidance to Foster Collaborative Multimodal Decision Making), giving a brief overview of the research and findings; a Compendium on the enclosed CD-ROM, providing a detailed set of case examples and research methodology; and this handbook, which is designed to provide practical advice to those transportation professionals interested in identifying, implementing, and sustaining collaborative activities. 1.0 INTRODUCTION The first question in considering the role of collaboration in transportation today is “Why is collaboration so important to transportation officials?” As part of this research, this ques- tion was posed to a wide range of transportation professionals in state, regional, and local transportation agencies; local transit operators; car-sharing firms; and full-service transporta- tion management organizations. While the answers varied, the message was consistent: build- ing successful alliances with other organizations, both public and private, is essential to “get the job done.” Clearly, “the job” of most transportation managers has changed. For many years, it was the public sector’s job to provide basic transportation infrastructure—roads, transit, and air- ports. Today, transportation is considered part of larger societal strategies to improve air qual- ity, provide access to jobs, stimulate economic growth, and enhance quality of life. As such, the public is demanding solutions that go beyond the ability of any one agency, or mode, to solve. This expansion of purpose requires a new approach, a new “vision of mobility,” namely management of the transportation network as a mobility “system.” Today’s challenge for transportation managers is to manage the transportation system better. That means maximizing opportunities and dollars; making a commitment to seam- less operation of transportation services; examining capacity investments from the per- spective of mobility enhancement; and tapping into information systems designed to pro- mote access to, and knowledge of, transportation services. Transportation managers must find creative ways to share ideas, information, funding, facilities, and even staff. This has led many 1

Words of Wisdom on Collaboration from Focus Group Participants • Customers and the general public are not focused on individual agency missions but are often more concerned about the services being provided (e.g., express bus service on a region’s freeway system) that often require joint action. Collaboration is essential to delivering such transportation services. • Collaboration fosters creative thinking and responses that may be beyond professional disciplines, employee backgrounds, and organizational missions. It also can lead to sub- stantial expansion of problem-solving and communication skills on the part of the par- ticipants involved. • Taking the first step toward collaboration, that is, deciding that participating in a col- laborative undertaking is to the benefit of an organization, is often the most critical hur- dle to overcome. • Operations staff in one organization often establish informal coordination and collabo- ration mechanisms with the operating staff in other organizations. As you move up the hierarchy in an organization, however, collaborative efforts become more formalized and often more difficult. • Public agencies may need to be more flexible in becoming effective partners in collab- orative initiatives. • Sharing goals was emphasized as an essential starting point in building trust, which often requires educating intended partners on the benefits of the collaboration. Thus, collaboration often does not start out as something everyone agrees to; but, as the ben- efits of such effort become clear over time, the participants become more willing to con- tribute to joint action. • The collaboration journey can be very uneven; you will likely experience successes and setbacks. However, this uneven journey becomes easier if the need for the collabora- tion is clearly established at the beginning. The purpose of this handbook is to provide overall guidance on the characteristics of suc- cessful collaboration and on the steps that can be taken to enhance the probability of success. A method for assessing the health of an existing collaboration is proposed that allows you to identify areas of weakness and thus areas where improvement can occur. For those wanting to develop a collaboration from the very beginning, or for those already in a collaborative effort who want to reach a more involved level of collaboration, a multistep strategy is described. This strategy is portrayed as a ladder representing the often difficult need to under- take multiple efforts to reach the level of collaboration necessary to achieve an original pur- pose, or, if you will, the need to climb a ladder to reach the height necessary to accomplish some task. The research for this guidebook consisted of case studies of collaborative efforts in sev- eral policy/planning areas. Collaborations were examined relating to efforts in transportation 2 agencies to identify partners and to realign roles based on who can best deliver a given ser- vice or function.

systems management and operations, responding to disruptions caused by unexpected or unusual events, managing transportation assets across modal boundaries, integrated traveler information systems, and integrating transportation and land use strategies. True to the spirit of collaboration in developing this handbook, focus groups were also convened at national transportation conferences in 2003 to solicit input from those who have “seen it, done it, and been there.”1 (Some observations made by members of the focus groups are given in the accompanying boxes, “Words of Wisdom on Collaboration from Focus Group Participants” and “Further Words of Wisdom on Collaboration from Focus Group Participants.”) While there was considerable agreement about the factors that motivate and challenge collaborations, there were no simple answers when it came to implementing and sustaining collaborative activities. Indeed, numerous case studies of transportation collaborations in the U.S. and Europe found in the Compendium, on the enclosed CD-ROM, show a range of factors that led to overall success. (For more details on the research methodology or individual case exam- ples, please refer to the Compendium.) The audience for this handbook consists principally of two groups. The first includes trans- portation professionals who realize that collaborative efforts are necessary to accomplish their mission, but who do not know how to organize such collaboration. This group might include transit operators, metropolitan planning organization (MPO) planners, state department of transportation (DOT) officials, rideshare coordinators, transportation management association (TMA) staff, and local transportation professionals. The second group consists of organiza- tions, groups, and individuals who do not have transportation expertise, but who want to work together with transportation organizations to achieve some common goal. Given this dual audience, the language in this handbook is purposely kept nontechnical and jargon free. Symbols are used throughout the text to convey the aspects of collaboration that are important to overall success. “Road signs” provide special warnings as to the level and type of effort that might be required to best utilize this guidance (see Figure 1). “There is a tremendous value in pulling groups together from across various disciplines and backgrounds, both within agencies and among agencies. This sparks improved communication, learning, and creativity.” —Brad Mueller, Douglas County Community Development (Colorado) 3 1 These focus groups were held in conjunction with the Rail-Volution Conference (a conference dedicated to the latest developments in rail transit), and the annual meetings of APTA, AASHTO, the Association of Metropolitan Planning Organizations (AMPO), and TRB’s Committee on Regional Transportation Operations Collaboration. Please see Appen- dix A for a complete listing of participants.

4! Key concept that provides an important guiding principle for successful collaborative efforts that are effective and credible. Steps that can be taken to deal with more complex (i.e., higher on the ladder) environments for collaboration. The higher the step, the more complex the organizational and personal interaction strategies that might have to be considered. Tools that can be used to conduct collaborative actions. These include specific strategies for bringing people together, as well as strategies for institutionalizing collaborative efforts. Key finding of this research on what makes collaborative efforts successful. These findings together present an overall strategy of implementing collaborative efforts. Benefits, outcomes, or products of collaborative efforts. These will vary by types of collaboration and the aim or goal of joint activities. The use of this guidance material should be undertaken with great caution and foresight as to the likely steps that will be necessary for success. Stop to consider what has happened and to determine the best strategy for future activities. Figure 1: Symbols Indicating Important Characteristics of Collaborative Decision Making