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TRANSIT
TCRP
SYNTHESIS 59
COOPERATIVE
RESEARCH
PROGRAM
Sponsored by
the Federal
Transit Administration
Strategic Planning
and Management
in Transit Agencies
A Synthesis of Transit Practice
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TCRP OVERSIGHT AND PROJECT TRANSPORTATION RESEARCH BOARD EXECUTIVE COMMITTEE 2005 (Membership as of February 2005)
SELECTION COMMITTEE
(as of February 2005) OFFICERS
CHAIR Chair: Joseph H. Boardman, Commissioner, New York State DOT
SHARON GREENE Vice Chair: Michael D. Meyer, Professor, School of Civil and Environmental Engineering,
Sharon Greene & Associates Georgia Institute of Technology
Executive Director: Robert E. Skinner, Jr., Transportation Research Board
MEMBERS
LINDA J. BOHLINGER MEMBERS
HNTB Corp.
ROBERT I. BROWNSTEIN MICHAEL W. BEHRENS, Executive Director, Texas DOT
Parsons Brinckerhoff Quade & Douglas, Inc. LARRY L. BROWN, SR., Executive Director, Mississippi DOT
PETER CANNITO DEBORAH H. BUTLER, Vice Pres., Customer Service, Norfolk Southern Corporation and Subsidiaries,
Metropolitan Transit Authority--Metro North Atlanta, GA
Railroad ANNE P. CANBY, President, Surface Transportation Policy Project, Washington, DC
GREGORY COOK JOHN L. CRAIG, Director, Nebraska Department of Roads
Ann Arbor Transportation Authority
JENNIFER L. DORN DOUGLAS G. DUNCAN, President and CEO, FedEx Freight, Memphis, TN
FTA NICHOLAS J. GARBER, Professor of Civil Engineering, University of Virginia, Charlottesville
NATHANIEL P. FORD ANGELA GITTENS, Consultant, Miami, FL
Metropolitan Atlanta RTA GENEVIEVE GIULIANO, Director, Metrans Transportation Center, and Professor, School of Policy,
RONALD L. FREELAND Planning, and Development, USC, Los Angeles
Parsons Transportation Group BERNARD S. GROSECLOSE, JR., President and CEO, South Carolina State Ports Authority
FRED M. GILLIAM SUSAN HANSON, Landry University Professor of Geography, Graduate School of Geography, Clark University
Capital Metropolitan Transportation Authority JAMES R. HERTWIG, President, CSX Intermodal, Jacksonville, FL
KIM R. GREEN GLORIA J. JEFF, Director, Michigan DOT
GFI GENFARE
JILL A. HOUGH ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley
North Dakota State University HERBERT S. LEVINSON, Principal, Herbert S. Levinson Transportation Consultant, New Haven, CT
JOHN INGLISH SUE MCNEIL, Director and Professor, Urban Transportation Center, University of Illinois, Chicago
Utah Transit Authority MICHAEL MORRIS, Director of Transportation, North Central Texas Council of Governments
ROBERT H. IRWIN CAROL A. MURRAY, Commissioner, New Hampshire DOT
British Columbia Transit JOHN E. NJORD, Executive Director, Utah DOT
JEANNE W. KRIEG PHILIP A. SHUCET, Commissioner, Virginia DOT
Eastern Contra Costa Transit Authority MICHAEL S. TOWNES, President and CEO, Hampton Roads Transit, Hampton, VA
CELIA G. KUPERSMITH C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin
Golden Gate Bridge, Highway
LINDA S. WATSON, Executive Director, LYNX--Central Florida Regional Transportation Authority
and Transportation District
PAUL J. LARROUSSE
National Transit Institute EX OFFICIO MEMBERS
DAVID A. LEE MARION C. BLAKEY, Federal Aviation Administrator, U.S.DOT
Connecticut Transit SAMUEL G. BONASSO, Acting Administrator, Research and Special Programs Administration, U.S.DOT
CLARENCE W. MARSELLA REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA
Denver Regional Transportation District
GEORGE BUGLIARELLO, Chancellor, Polytechnic University, and Foreign Secretary, National Academy
FAYE L. M. MOORE
Southeastern Pennsylvania Transportation of Engineering
Authority THOMAS H. COLLINS (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard
MICHAEL H. MULHERN JENNIFER L. DORN, Federal Transit Administrator, U.S.DOT
Massachusetts Bay Transportation Authority JAMES J. EBERHARDT, Chief Scientist, Office of FreedomCAR and Vehicle Technologies,
STEPHANIE L. PINSON U.S. Department of Energy
Gilbert Tweed Associates, Inc. EDWARD R. HAMBERGER, President and CEO, Association of American Railroads
ROBERT H. PRINCE, JR. JOHN C. HORSLEY, Exec. Dir., American Association of State Highway and Transportation Officials
DMJM+Harris ROBERT D. JAMISON, Acting Administrator, Federal Railroad Administration, U.S. DOT
JEFFREY M. ROSENBERG
EDWARD JOHNSON, Director, Applied Science Directorate, National Aeronautics and Space Administration
Amalgamated Transit Union
BEVERLY SCOTT RICK KOWALEWSKI, Deputy Director, Bureau of Transportation Statistics, U.S.DOT
Sacramento Regional Transit District WILLIAM W. MILLAR, President, American Public Transportation Association
PAUL P. SKOUTELAS MARY E. PETERS, Federal Highway Administrator, U.S.DOT
Port Authority of Allegheny County SUZANNE RUDZINSKI, Director, Transportation and Regional Programs, U.S. EPA
KATHRYN D. WATERS JEFFREY W. RUNGE, National Highway Traffic Safety Administrator, U.S.DOT
Dallas Area Rapid Transit ANNETTE M. SANDBERG, Federal Motor Carrier Safety Administrator, U.S.DOT
WILLIAM G. SCHUBERT, Maritime Administrator, U.S.DOT
EX OFFICIO MEMBERS
JEFFREY N. SHANE, Under Secretary for Policy, U.S.DOT
WILLIAM W. MILLAR
APTA CARL A. STROCK (Maj. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps
ROBERT E. SKINNER, JR. of Engineers
TRB
JOHN C. HORSLEY TRANSIT COOPERATIVE RESEARCH PROGRAM
AASHTO Transportation Research Board Executive Committee Subcommittee for TCRP
MARY E. PETERS
FHWA JOSEPH H. BOARDMAN, New York State DOT (Chair)
JENNIFER L. DORN, Federal Transit Administration, U.S.DOT
TDC EXECUTIVE DIRECTOR MICHAEL D. MEYER, Georgia Institute of Technology
LOUIS SANDERS WILLIAM W. MILLAR, American Public Transportation Association
APTA
ROBERT E. SKINNER, JR., Transportation Research Board
SECRETARY MICHAEL S. TOWNES, Hampton Roads Transit, Hampton, VA
ROBERT J. REILLY C. MICHAEL WALTON, University of Texas, Austin
TRB LINDA S. WATSON, LYNX--Central Florida Regional Transportation Authority
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TRANSIT COOPERATIVE RESEARCH PROGRAM
TCRP SYNTHESIS 59
Strategic Planning
and Management
in Transit Agencies
A Synthesis of Transit Practice
CONSULTANT
JUDSON J. LAWRIE
Institute for Transportation Research and Education
North Carolina State University
TOPIC PANEL
MARION COLSTON, Los Angeles County Metropolitan Transportation Authority
IRENE G. DeMERS, Dallas Area Rapid Transit
CLAIRE FELBINGER, Transportation Research Board
DWIGHT FERRELL, The Ferrell Group
GRACE GALLUCCI, Greater Cleveland Regional Transit Authority
BRENDON HEMILY, Brendon Hemily Consulting
ROSS A. KAPILIAN, New York City Transit
EDWARD L. THOMAS, Washington Metropolitan Area Transit Authority
TERRY ROSAPEP, Federal Transit Administration (Liaison)
S UBJECT A REAS
Public Transit
Research Sponsored by the Federal Transit Administration in Cooperation with
the Transit Development Corporation
TRANSPORTATION RESEARCH BOARD
WASHINGTON, D.C.
2005
www.TRB.org
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TRANSIT COOPERATIVE RESEARCH PROGRAM TCRP SYNTHESIS 59
The nation's growth and the need to meet mobility, environ- Project J-7, Topic SH-04
mental, and energy objectives place demands on public transit ISSN 1073-4880
systems. Current systems, some of which are old and in need of ISBN 0-309-09746-0
upgrading, must expand service area, increase service frequency, Library of Congress Control Number 2005922238
and improve efficiency to serve these demands. Research is nec-
essary to solve operating problems, to adapt appropriate new © Transportation Research Board
technologies from other industries, and to introduce innovations
into the transit industry. The Transit Cooperative Research Pro- Price $15.00
gram (TCRP) serves as one of the principal means by which the
transit industry can develop innovative near-term solutions to NOTICE
meet demands placed on it.
The need for TCRP was originally identified in TRB Special The project that is the subject of this report was a part of the Transit
Report 213--Research for Public Transit: New Directions, pub- Cooperative Research Program conducted by the Transportation Re-
lished in 1987 and based on a study sponsored by the Federal search Board with the approval of the Governing Board of the Na-
Transit Administration (FTA). A report by the American Public tional Research Council. Such approval reflects the Governing
Transportation Association (APTA), Transportation 2000, also Board's judgment that the project concerned is appropriate with re-
recognized the need for local, problem-solving research. TCRP, spect to both the purposes and resources of the National Research
modeled after the longstanding and successful National Coopera- Council.
tive Highway Research Program, undertakes research and other The members of the technical advisory panel selected to monitor
technical activities in response to the needs of transit service provid- this project and to review this report were chosen for recognized
ers. The scope of TCRP includes a variety of transit research scholarly competence and with due consideration for the balance of
fields including planning, service configuration, equipment, fa- disciplines appropriate to the project. The opinions and conclusions
cilities, operations, human resources, maintenance, policy, and ad- expressed or implied are those of the research agency that performed
ministrative practices. the research, and while they have been accepted as appropriate by
TCRP was established under FTA sponsorship in July 1992. the technical panel, they are not necessarily those of the Transporta-
Proposed by the U.S. Department of Transportation, TCRP was tion Research Board, the Transit Development Corporation, the Na-
authorized as part of the Intermodal Surface Transportation Effi- tional Research Council, or the Federal Transit Administration of the
ciency Act of 1991 (ISTEA). On May 13, 1992, a memorandum U.S. Department of Transportation.
agreement outlining TCRP operating procedures was executed by Each report is reviewed and accepted for publication by the tech-
the three cooperating organizations: FTA; the National Academy of nical panel according to procedures established and monitored by
Sciences, acting through the Transportation Research Board the Transportation Research Board Executive Committee and the
(TRB); and the Transit Development Corporation, Inc. (TDC), a Governing Board of the National Research Council.
nonprofit educational and research organization established by
APTA. TDC is responsible for forming the independent govern-
ing board, designated as the TCRP Oversight and Project Selec-
tion (TOPS) Committee. Special Notice
Research problem statements for TCRP are solicited periodi-
cally but may be submitted to TRB by anyone at any time. It is The Transportation Research Board of The National Academies,
the responsibility of the TOPS Committee to formulate the re- the Transit Development Corporation, the National Research Coun-
search program by identifying the highest priority projects. As cil, and the Federal Transit Administration (sponsor of the Transit
part of the evaluation, the TOPS Committee defines funding Cooperative Research Program) do not endorse products or manu-
levels and expected products. facturers. Trade or manufacturers' names appear herein solely be-
Once selected, each project is assigned to an expert panel, ap- cause they are considered essential to the clarity and complete-
pointed by TRB. The panels prepare project statements (requests ness of the project reporting.
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 re-
search programs since 1962. As in other TRB activities, TCRP Published reports of the
project panels serve voluntarily without compensation. TRANSIT COOPERATIVE RESEARCH PROGRAM
Because research cannot have the desired impact if products
fail to reach the intended audience, special emphasis is placed on are available from:
disseminating TCRP results to the intended end users of the re-
search: transit agencies, service providers, and suppliers. TRB Transportation Research Board
provides a series of research reports, syntheses of transit practice, Business Office
and other supporting material developed by TCRP research. 500 Fifth Street, NW
APTA will arrange for workshops, training aids, field visits, and Washington, DC 20001
other activities to ensure that results are implemented by urban
and rural transit industry practitioners.
The TCRP provides a forum where transit agencies can coop- and can be ordered through the Internet at
eratively address common operational problems. The TCRP results http://www.national-academies.org/trb/bookstore
support and complement other ongoing transit research and train-
ing 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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TCRP COMMITTEE FOR PROJECT J-7 COOPERATIVE RESEARCH PROGRAM STAFF
ROBERT J. REILLY, Director, Cooperative Research Programs
CHAIR CHRISTOPHER W. JENKS, Manager, TCRP
FRANK T. MARTIN EILEEN DELANEY, Director of Publications
PBS&J, Tallahassee, FL
TCRP SYNTHESIS STAFF
MEMBERS STEPHEN R. GODWIN, Director for Studies
DEBRA W. ALEXANDER and Information Services
Capital Area Transportation Authority, Lansing, MI JON WILLIAMS, Manager, Synthesis Studies
DWIGHT FERRELL DONNA L. VLASAK, Senior Program Officer
The Ferrell Group, Richardson, TX DON TIPPMAN, Editor
MARK W. FURHMANN CHERYL Y. KEITH, Senior Secretary
Metro Transit, Minneapolis, MN
ROBERT H. IRWIN
British Columbia Transit, Victoria, BC
PAUL J. LARROUSSE
National Transit Institute, New Brunswick, NJ
WADE LAWSON
South Jersey Transportation Authority, Atlantic City, NJ
DAVID A. LEE
Connecticut Transit, Hartford, CT
DAVID PHELPS
Consultant, Moneta, VA
HAYWARD M. SEYMORE, III
Laidlaw Transit Services, Inc., University Place, WA
PAM WARD
Ottumwa Transit Authority, Ottumwa, IA
JOEL R. WASHINGTON
Washington Metropolitan Area Transit Authority, DC
FTA LIAISON
KAREN FACEN
Federal Transit Administration
TRB LIAISON
PETER L. SHAW
Transportation Research Board
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FOREWORD Transit administrators, engineers, and researchers often face problems for which infor-
By Staff mation already exists, either in documented form or as undocumented experience and prac-
Transportation tice. This information may be fragmented, scattered, and unevaluated. As a consequence,
Research Board full knowledge of what has been learned about a problem may not be brought to bear on its
solution. Costly research findings may go unused, valuable experience may be overlooked,
and due consideration may not be given to recommended practices for solving or alleviat-
ing the problem.
There is information on nearly every subject of concern to the transit industry. Much of
it derives from research or from the work of practitioners faced with problems in their day-
to-day work. To provide a systematic means for assembling and evaluating such useful
information and to make it available to the entire transit community, the Transit Coopera-
tive Research Program Oversight and Project Selection (TOPS) Committee authorized the
Transportation Research Board to undertake a continuing study. This study, TCRP Project
J-7, "Synthesis of Information Related to Transit Problems," searches out and synthesizes
useful knowledge from all available sources and prepares concise, documented reports on
specific topics. Reports from this endeavor constitute a TCRP report series, Synthesis of
Transit Practice.
This synthesis series reports on current knowledge and practice, in a compact format,
without the detailed directions usually found in handbooks or design manuals. Each report
in the series provides a compendium of the best knowledge available on those measures
found to be the most successful in resolving specific problems.
PREFACE This synthesis provides information for transit and transportation professionals who seek
to address planning and management issues in the transit industry. This document is
intended for internal management decision makers--general managers and agency board
members. It might offer external stakeholders such as local governments and businesses, as
well as the public, increased awareness in helping define a transit agency's role and respon-
sibilities to the community, thus aiding the development of outside support for an agency's
mission.
This synthesis of the Transportation Research Board offers insight into current practices
determined by a review of relevant literature combined with two agency surveys--one, to
determine the prevalence of the practice, and the second, to examine the specific details of
practice. The study reports that some form of strategic planning and management has been
found to provide real value at a majority of responding agencies and it identifies a number
of the benefits. This report also provides case studies from five transit agencies based on
the comprehensiveness of process or presence of innovative or noteworthy practices.
A panel of experts in the subject area guided the work of organizing and evaluating the
collected data and reviewed the final synthesis report. A consultant was engaged to collect
and synthesize the information and to write the report. Both the consultant and members of
the oversight panel are acknowledged on the title page. This synthesis is an immediately
useful document that records the practices that were acceptable within the limitations of the
knowledge available at the time of its preparation. As progress in research and practice con-
tinues, new knowledge will be added to that now at hand.
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CONTENTS
1 SUMMARY
3 CHAPTER ONE INTRODUCTION
Background, 3
Technical Approach, 3
Organization of the Report, 3
4 CHAPTER TWO LITERATURE REVIEW
Overview, 4
Introduction, 4
History, 4
Strategic Planning in General, 4
Strategic Planning in the Public Sector, 6
Strategic Planning in Public-Sector Transportation, 7
Strategic Planning and Performance Measurement, 9
Strategic Planning and Organization Development, 10
New Paradigms in Public Transportation, 10
12 CHAPTER THREE SURVEYS--METHODOLOGY AND RESULTS
Overview, 12
Methodology, 12
Results--Random Survey, 12
Results--Selective Survey, 14
20 CHAPTER FOUR CASE STUDIES
Overview, 20
Ann Arbor Transportation Authority, 20
Dallas Area Rapid Transit, 22
Los Angeles County Metropolitan Transportation Authority, 24
MTA New York City Transit, 27
Transit Authority of River City, 28
31 CHAPTER FIVE CONCLUSIONS
34 REFERENCES
35 BIBLIOGRAPHY
36 APPENDIX A SURVEY RESPONDENTS--RANDOM SURVEY
37 APPENDIX B SURVEY RESPONDENTS--SELECTIVE SURVEY
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38 APPENDIX C RANDOM SURVEY QUESTIONNAIRE
39 APPENDIX D SELECTIVE SURVEY QUESTIONNAIRE
44 APPENDIX E STRATEGIC PLAN EXAMPLES
