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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