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Linking Community Visioning and Highway Capacity Planning (2012)

Chapter: Chapter 9 Conclusion

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Suggested Citation:"Chapter 9 Conclusion." National Academies of Sciences, Engineering, and Medicine. 2012. Linking Community Visioning and Highway Capacity Planning. Washington, DC: The National Academies Press. doi: 10.17226/14580.
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Suggested Citation:"Chapter 9 Conclusion." National Academies of Sciences, Engineering, and Medicine. 2012. Linking Community Visioning and Highway Capacity Planning. Washington, DC: The National Academies Press. doi: 10.17226/14580.
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Suggested Citation:"Chapter 9 Conclusion." National Academies of Sciences, Engineering, and Medicine. 2012. Linking Community Visioning and Highway Capacity Planning. Washington, DC: The National Academies Press. doi: 10.17226/14580.
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Suggested Citation:"Chapter 9 Conclusion." National Academies of Sciences, Engineering, and Medicine. 2012. Linking Community Visioning and Highway Capacity Planning. Washington, DC: The National Academies Press. doi: 10.17226/14580.
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Suggested Citation:"Chapter 9 Conclusion." National Academies of Sciences, Engineering, and Medicine. 2012. Linking Community Visioning and Highway Capacity Planning. Washington, DC: The National Academies Press. doi: 10.17226/14580.
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Suggested Citation:"Chapter 9 Conclusion." National Academies of Sciences, Engineering, and Medicine. 2012. Linking Community Visioning and Highway Capacity Planning. Washington, DC: The National Academies Press. doi: 10.17226/14580.
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Suggested Citation:"Chapter 9 Conclusion." National Academies of Sciences, Engineering, and Medicine. 2012. Linking Community Visioning and Highway Capacity Planning. Washington, DC: The National Academies Press. doi: 10.17226/14580.
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Suggested Citation:"Chapter 9 Conclusion." National Academies of Sciences, Engineering, and Medicine. 2012. Linking Community Visioning and Highway Capacity Planning. Washington, DC: The National Academies Press. doi: 10.17226/14580.
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Suggested Citation:"Chapter 9 Conclusion." National Academies of Sciences, Engineering, and Medicine. 2012. Linking Community Visioning and Highway Capacity Planning. Washington, DC: The National Academies Press. doi: 10.17226/14580.
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66 C h a p t e r 9 Visioning in Support of the Collaborative Decision-Making Framework This project’s objective is to develop a model visioning pro- cess that produces outcomes that support the transportation planning processes within the TCAPP Decision Guide. As the research documented throughout this report supports, visioning processes provide a framework for the identifica- tion, analysis, integration, and implementation of commu- nity concerns, the needs of a transportation system, or the alternatives of a highway capacity project. The Vision Guide, based on case studies, literature reviews, and other background research, supports a range of applica- tions and provides outputs that flow easily into the TCAPP Decision Guide structure. Whether an agency is undergoing a long-range transportation plan, corridor planning, or envi- ronmental review process, the decision points included in the Vision Guide can be applied to collaborative decision-making processes. In addition, collaboration is a key component of visioning, and agencies can leverage many aspects of a vision- ing process within related transportation decision-making processes. Carrying visions forward within complex agencies is challenging. Often, a vision developed at the local or regional level is not communicated to the state level or even shared within departments of the same agency. For example, improv- ing communication between planning staff and engineering and design staff is key to ensuring implementation and trans- fer of the vision. The TCAPP Decision Guide structure pro- vides a means and structured process to link processes better. The following section discusses the relationship between visioning and collaborative decision making, and outlines possible direct links and practical examples of these links between the Vision Guide and the Decision Guide. Additional information about how the Vision Guide can support the Decision Guide is included in the Visioning and Transporta- tion application on the TCAPP website. the Collaborative Decision-Making Framework Collaboration is a key aspect of successful visioning. Visioning offers an opportunity for communities to look past current challenges and consider tomorrow’s opportunities. Chapter 5, Considering Communities, reflects on the complex set of characteristics and considerations documented and measured through diverse perspectives, voices, and data. The chapters Forming Partnerships and Reaching Stakeholders describe the complexity and importance of bringing together those diverse perspectives to reach consensus on a shared vision for a com- munity’s future. This chapter illustrates practical conclusions to build on a successful visioning effort by integrating vision outcomes into transportation decision-making processes. This Vision Guide was developed to support Capacity Proj- ect C01, A Framework for Collaborative Decision Making on Additions to Highway Capacity. The major product of the C01 project is the Transportation for Communities: Advancing Projects through Partnerships model framework and Deci- sion Guide. This resource provides a systematic approach for reaching collaborative transportation decisions that enhance the environment, the economy, and the community. The Decision Guide, pictured in Figure 9.1, is constructed of many individual key decisions that together represent a best practice approach to collaborative decision making. The guide identifies key decisions in four phases of transportation decision making: long-range transportation planning, corri- dor planning, programming, and environmental review and permitting. This structure of key decisions common to all Conclusion Color versions of the figures in this chapter are available online: www.trb.org/Main/Blurbs/166047.aspx.

67 transportation agencies contains data to support an under- standing of collaboration, and each key decision provides information on how to implement collaboration fully. Trans- portation decision making does not occur unilaterally; often, public as well as private agencies invest in data-driven com- munity or regional planning. The resulting plans represent a substantial asset and data source for better transportation decision making. TCAPP provides information for integrat- ing external processes with transportation decision making, and ensures that important values and goals are recognized and accommodated early in transportation decision making. One of the identified external processes is visioning. Visioning is a relevant and useful tool that lends itself to collaborative decision making. A visioning process can establish necessary partnerships and stakeholder involve- ment, which can then translate into the processes defined in TCAPP. The Vision Guide process developed under this project exists outside of the TCAPP framework, and can be used independently. However, the two processes are read- ily integrated. Figure 9.1. Processes of the TCAPP Decision Guide.

68 Linking Decision Points of the Vision Guide and Decision Guide There are two basic models for how a vision process can relate to one of the TCAPP decision-making processes. In the first, a vision process can be integrated within a concurrent transportation planning process, and the decision points can effectively be joined. In the second, the outcomes of a com- pleted vision process (e.g., goals and indicators) may directly support the TCAPP decision points in a later transportation- planning process. Table 9.1 provides an overview of the linkage between the decision points included with the Vision Guide and those decision points within the TCAPP Decision Guide processes. Vision Guide decision points inform the inputs and outputs of relevant Decision Guide key decisions. The following sections provide an overview of how each Vision Guide decision point supports the Decision Guide key decisions. Vision Guide: Approve Scope This decision point provides a road map for the vision process. Preparing visioning activities, seeking approval of the project scope from a lead committee, sponsoring organization, or funding partners at this point in a visioning process assists practitioners in effectively planning visioning activities and managing expectations. A scope of work should establish a detailed, phased approach that allows for reassessments at critical junctures in the process. A scope may be approved and committed to by the leadership of a sponsoring organization, but it also should be clearly documented and communicated to a broader audience to help manage expectations of the purpose of the process. The scope for a visioning process may also provide impor- tant links to parallel planning efforts by transportation or resource agencies. A scope may define the geographical boundaries of a community or establish the range of issues to be addressed, which may in turn inform partner efforts. Establishing the scope also represents a commitment by the sponsoring organization to complete a visioning process under a certain time frame or to include certain activities, and can be linked to future progress reporting efforts. This decision point marks the transition from the preparation phase to activities linked directly with creating the vision. This decision point supports the following: • Decision Guide: Approve Scope of Long-Range Transportation Plan (LRP-1). The scoping key decision involves a broad assessment of the data, decisions, and relationships to con- sider, acquire, or make throughout the entire long-range transportation plan (LRTP) process. Decisions made at the scoping key decision in long-range planning inform both corridor planning and environmental review, by estab- lishing the baseline information that will dictate those subsequent processes. This is a key point to form new or acknowledge existing relationships with partners in trans- portation and other decision-making processes, such as land use, natural environment, human environment, cap- ital improvement, and safety and security. If a vision is part of the LRTP process, this decision point will be merged with the Approve Scope decision. If the processes exist Table 9.1. Linkages Between the Vision Guide Decision Points and Long Range Transportation Planning Vision Guide TCAPP Decision Guide Process Decision Points Long-Range Transportation Planning Programming Corridor Planning Environmental Review/NEPA Merged with Permitting Approve Scope LRP-1 NA COR-1 ENV-1 Approve Goals LRP-2 NA COR-2 ENV-3/PER-1 LRP-6 COR-3 Adopt Future(s) LRP-8 NA COR-7 ENV-9 COR-9 Approve Indicators and Commitments LRP-3 PRO-2 COR-5 ENV-5LRP-7 COR-8 LRP-10 Adopt Update Process NA NA NA NA

69 separately, the outputs from the Approve Scope decision should be integrated here. • Decision Guide: Approve Scope of Corridor Planning Process (COR-1). This is a crucial first step of corridor planning. It involves a process of assessing what data, decisions, and relationships need to be considered, acquired, or made throughout corridor planning. The corridor planning scope is informed by long-range transportation planning and informs environmental review. This is a key point to form or acknowledge existing relationships with partners in transportation and other decision-making processes. If a vision is part of the LRTP process, this decision point will be merged with the Approve Scope decision. If the processes exist separately, the outputs from the Approve Scope deci- sion should be integrated here. • Decision Guide: Reach Consensus Scope of Environmental Review (ENV-1). The scoping key decision is a crucial first step of the environmental review phase. Consensus is reached on the data, decisions, and relationships to be considered, acquired, or made throughout environmental review and permitting. The scope is informed by the adopted long-range transportation plan and corridor plans, as well as current information being developed from plans in process. Relationships with planning partners are formed. NEPA and Permitting are environmental processes that describe how the natural and human environments are affected by transportation decisions. Consequently, the decision- making process is an environmental process. A visioning process is not typically merged with an environmental review process, but the outputs from the Approve Scope decision point can provide support here. Vision Guide: Approve Goals Reaching consensus on community goals is a key milestone in a visioning process and substantially informs many future activities. Approval of goal statements by stakeholders or sponsors provides an early opportunity to establish a shared identity, create a sense of purpose for the vision, or identify common values. Goal statements are important outcomes that are continu- ally transferred through the visioning process. Community goals are often used as a basis to assess the merits of alternative futures, to organize task forces or issue area working groups, or to inform the principles, indicators, or other outcomes of a visioning process. Goals also may be used as inputs to the planning efforts of partners, by helping establish the scope and goals of a long-range transportation plan, for example. This decision point supports the following: • Decision Guide: Approve Vision and Goals (LRP-2). At this key decision, the community’s values, whether stated as a vision and goals or simply agreed upon by the stakeholders for the planning area, are used to guide the transportation- specific vision and goals. This decision is the first opportu- nity for public stakeholders to inform the process or provide their input. Linkages also are established with the scoping and goal-setting key decisions in corridor planning and environmental review, so the vision and goals approved at this key decision point should eventually influence what transportation projects are built. To facilitate collabora- tion, partnerships with other planning processes are estab- lished at this key decision. If a vision is part of the LRTP process, this decision point will be merged with the Approve Goals decision point. If the processes exist separately, the goals generated during the Approve Goals decision should be integrated here and can provide an excellent foundation from which to start the discussion. • Decision Guide: Approve Problem Statements and Opportu- nities (COR-2). The full range of deficiencies and opportu- nities within a corridor are defined at this key decision. Deficiencies and opportunities extend beyond transporta- tion; for this reason, the key decision is integrated with other planning processes such as land use planning and natural environment planning. Input from stakeholders also informs the key decision. The problem statements and opportunities resulting from this key decision are informed by the transportation deficiencies identified in long-range planning, and inform the purpose and need during envi- ronmental review. The goals identified in the Vision Guide Approve Goals decision point can be considered to high- light both the deficiencies and opportunities. • Decision Guide: Approve Goals for the Corridor (COR-3). At this key decision a broad range of transportation, commu- nity, and environmental goals are considered that are spe- cific to the corridor. The key decision is informed by the goals approved during long-range transportation planning and informs the purpose and need for projects in environ- mental review. To facilitate collaboration, the goals from other plans, including those established during a related or integrated vision process, are rationalized with transporta- tion goals in the corridor. • Decision Guide: Approve Purpose and Need/Reach Consen- sus on Project Purpose (ENV-3/PER-1). This key decision documents the agreed-upon purpose and need for both NEPA and the Section 404 permitting process. Integration with land use partners is important at this step to substan- tiate the project purpose and need. Stakeholder input also is important both to gauge the public reaction to the purpose and need and to identify any missing aspects of the purpose and need. A visioning process is not typically merged with an environmental review process, but the out- puts from the Approve Goals decision point can provide

70 support here. In addition, the stakeholder input and out- reach in a vision process can be leveraged and integrated at this decision point. Vision Guide: Adopt Future(s) Common to any visioning processes are the creation and selection of a preferred future. This may be accomplished through scenario-planning activities and the involvement of stakeholders in judging alternatives and selecting a pre- ferred future. This important decision point, in which con- sensus is reached on a preferred course, is an explicit objective of visioning. Adopting a preferred future is often accomplished first by soliciting the approval of stakeholders in town hall meetings, regional summits, online polling, or other involvement tech- niques, followed by more formal adoption by leadership of the sponsoring agency, the pledge of elected officials, or rec- ognition by public agencies. It is this formal adoption step that enables transfer of the vision’s preferred future into related strategic planning efforts. Formal recognition of a preferred future can directly inform the TCAPP decision processes. For example, visioning pro- cesses that produce preferred future land use maps may readily transfer to the LRTP processes, or inform the scope of future planning processes by helping agencies determine commu- nity context, locate environmental assets, or define conserva- tion areas. Additionally, maps may help agencies determine the selection of preferred alignments during environmental reviews. This decision point supports the following: • Decision Guide: Adopt Preferred Plan Scenario (LRP-8). At this key decision, a preferred plan scenario is adopted for inclusion in the Draft LRTP. A comparison of the plan scenarios using the evaluation criteria, methodology, and performance measures is the basis for the selection of the preferred scenario. This represents the conclusion of the iterative process to evaluate and refine scenarios. If a vision is part of the LRTP process, this decision point will be merged with the Approve Futures decision point. If the processes exist separately, the goals generated during the Approve Futures decision should be integrated here and can provide an excellent foundation from which to start the discussion. • Decision Guide: Adopt Priorities for Implementation (COR-9). Individual projects within the adopted preferred solu- tion set are ranked to identify the appropriate sequencing for implementation. Prioritization supports both program- ming and environmental review by ensuring that identi- fied projects are ready for implementation when funding is provided. This also allows other implementation actions, such as land use changes, to be made in support of the pri- orities. The information used in the Vision Guide to reach the Adopt Futures decision should be applied to the project prioritization process. • Decision Guide: Approve Preferred Alternative (ENV-9). Decision makers approve a preferred project alternative using input from stakeholders and planning partners and detailed information about potential impacts. A checkpoint is included to ensure that the preferred alter- native is consistent with the LRTP, Transportation Improvement Program (TIP), and State Transportation Improvement Program (STIP). The adopted future result- ing from a vision process can be compared to and inform this project-level selection. Vision Guide: Approve Indicators and Commitments This decision point moves the vision into the implementa- tion and monitoring stage. Two critical tools for advancing implementation efforts include the application of indicators and the tracking of commitments. Reaching a point of con- sensus approval for either of these tools provides a frame- work for embarking, monitoring, measuring, communicating, and revisiting the outcomes of a visioning process. This decision point is applicable both as a support for implementation of plans, and for use in evaluation and assess- ment. The performance indicators that are adopted and mon- itored during the final phase of a vision process can be fed directly into establishment of performance measures for an LRTP, or the evaluation criteria and a project prioritization process. This decision point supports the following: • Decision Guide: Approve Evaluation Criteria, Methodology and Performance Measures (LRP-3). At this key decision, the evaluation criteria, methodology, and performance measures are approved that will allow decision makers to compare scenarios to the vision and goals and to one another. The evaluation criteria, methodology, and per- formance measures are developed with input and data from both partners of other planning processes and stake- holders. The evaluation criteria, methodology, and perfor- mance measures used in long-range transportation planning inform those used in both corridor planning and environ- mental review to ensure consistency across the entire trans- portation decision-making process. The goals and objectives measured through performance indicators in a vision pro- cess can be leveraged easily here. • Decision Guide: Approve Plan Scenarios (LRP-7). Scenarios are based on approved strategies and are compared using

71 the evaluation criteria, methodology, and performance measures. Collaboration with partners from other planning processes is important at this stage because scenarios could involve strategies that encompass land use, infrastructure, or other components. This step begins the iterative pro- cess of refining scenarios to select the preferred scenario. The vision performance indicators can provide necessary data to evaluate potential scenarios. • Decision Guide: Approve Methodology for Identifying Proj- ect Costs and Criteria for Allocating Revenue (PRO-2). This key decision establishes a consistent methodology for estimating project costs for both the long-range transportation plan and the TIP. It also documents the specific requirements and restrictions associated with each funding source. The vision performance indicators can provide necessary data to establish project prioriti- zation criteria. • Decision Guide: Approve Evaluation Criteria, Methodol- ogy, and Performance Measures (COR-5). At this key deci- sion, evaluation criteria, methodology, and performance measures are approved that will allow decision makers to compare solutions that address the corridor’s opportuni- ties and problems and are consistent with the approved corridor goals. The evaluation criteria, methodology, and performance measures are developed in consideration of transportation, community, and environment. They are informed by the evaluation criteria, methodology, and performance measures used in long-range transportation planning and are considered during environmental review to ensure consistency across the entire transportation decision-making process. Vision performance indicators can provide necessary data to establish solutions prioriti- zation criteria. • Decision Guide: Approve Evaluation Criteria and Methodol- ogy for Prioritization (COR-8). At this key decision, priori- ties are established for implementing individual solutions. A second set of evaluation criteria, methodology, and per- formance measures is used for this purpose. The vision per- formance indicators can provide necessary data to establish solutions prioritization criteria. • Decision Guide: Approve Evaluation Criteria, Methodology and Performance Measures (ENV-5). Evaluation criteria, methodology, and performance measures are used to com- pare how alternatives meet the purpose and need. The crite- ria used in long-range planning and corridor planning may influence those used in environmental review. Land use and capital improvement planning data also are analyzed so that the criteria and measures incorporated will ensure the alter- natives are consistent with these plans. The vision perfor- mance indicators can provide necessary data to evaluate alternative scenarios. To support this integration, the TCAPP website includes an application called Visioning and Transportation, which serves as a filter through which a practitioner can view the elements of the Decision Guide that relate specifically to visioning. Practical Integration of Visioning in Transportation Planning Processes This final section provides several practical examples of integrating a visioning process with the related transporta- tion decision points in the Decision Guide. The examples included here are intended to assist the practitioner in imagining practical linkages between visioning and trans- portation decisions. The example provided in Figure 9.2 illustrates a hypotheti- cal scenario in which a visioning process is used by a transpor- tation agency within a corridor planning effort to design transportation improvements that best meet established com- munity goals and objectives. In this example (moving from top left to bottom right), a community vision explored alter- native designs and accompanying policies for a new highway interchange. The design proposal for the facility is vetted with intensive public involvement and scenario visualizations, and DOT staff assist community members in understanding criti- cal design considerations. The preferred solution is chosen that best matches the community’s values and goals, and the agency’s requirements, as established in a parallel community visioning process. The interchange selected meets safety and engineering considerations, but it also supports community goals to minimize disruption to sensitive lands near the river and to improve connectivity for local businesses and resi- dents. Within the Vision Guide, the decision point Adopt Future(s) represents this consensus agreement on a preferred future scenario. The outcomes of the vision were adopted by resolution in the City Council, and the DOT committed to honor the community’s proposed alignment. The adopted outcome and commitment may then be readily accepted by a transportation agency as guidance to the key decision point Adopt a Preferred Solution Set within the corridor planning process of the Decision Guide. In this case, the DOT agreed to a commitment to fast-track the preferred option through development and engineering phases. The example in Figure 9.3 illustrates the linkage between a strategic regional growth and development vision and a regional long-range transportation plan. At top left, a regional vision might produce a conceptual map of future regional population and economic growth centers, linked by multi- modal corridors, and coordinated with desired conservation lands. At center, an MPO may then use this future growth sce- nario to guide future regional transportation investments con- sistent with the vision. The vision may provide information

72 Figure 9.2. Example of adoption of Vision Outcomes into corridor planning: Integrating the Decision Guide and the Vision Guide. Figure 9.3. Example of adoption of Vision Outcomes into long-range planning: Integrating the Decision Guide and the Vision Guide.

73 the MPO did not previously have, such as residents’ prefer- ences for which conservation and recreation areas need greater access, and which areas should be avoided. Or the goals enumerated in the vision may provide the MPO with an indication of strong public support for the development of an integrated, multimodal transportation system, which was not previously evident in smaller-scale, project-focused public input processes. Incorporating a vision into a later or concurrent transportation plan is represented by the Vision Guide’s decision point Approve Goals. This approval and integration process then relates to the TCAPP key decision point of Approve Vision and Goals, which is used to guide the transportation vision identified in the region’s long-range transportation plan. This is one example of a how a regional vision may link to a regional long-range transportation plan. The example in Figure 9.4 describes a hypothetical vision- ing process integrated with an environmental review pro- cess. In this case, the vision’s values and principles emphasize a strong commitment to conservation of open spaces and preservation of biodiversity and ecosystems. These com- munity values may then influence the commitments made by an agency when scoping and evaluating alternatives within the NEPA environmental review process. At center in this example, the DOT is aware of the community’s emphasis on conservation values through involvement in a previous cor- ridor visioning effort, and the alternatives evaluated include an emphasis on wildlife crossings and other considerations for the natural environment. Within the Vision Guide process, the Approve Indicators and Commitments decision point is the point at which the vision’s outcomes are linked to the commitments of partner agencies. In turn, this decision point links to the environ- mental review process and key decision point Approve Alter- natives to be Carried Forward, as described in the TCAPP Decision Guide. Visioning in Support of Collaborative transportation Decision Making The above examples illustrate the unique nature of the rela- tionship between visioning and collaborative transportation decision making. That is, a visioning process may be com- pleted well before a transportation process, may occur in par- allel to a transportation effort, or may be integrated within a transportation process to solve a specific challenge. The value Figure 9.4. Example of adoption of Vision Outcomes into environmental review: Integrating the Decision Guide and the Vision Guide.

74 of visioning lies in its flexibility, interdisciplinary, consensus- based approach, which ultimately leads to collaborative pro- cesses that produce responsible decisions. Visioning can play an important role in the support of the TCAPP Decision Guide’s collaborative decision-making process. To fulfill the research aims of this project, the Vision Guide was designed to support directly the information needed at many of the Decision Guide’s key decision points. However, because of the nature of visioning, these linkages remain at a relatively broad level. Through further work with TCAPP’s interactive website and leveraging the application Visioning and Transportation, the integration of these two processes to provide specific data transfer and collaboration points could provide an invaluable tool to practitioners. It also may encourage those interested in visioning to adapt the TCAPP model for use in other trans- portation processes, as well as illustrate the value of vision- ing to transportation practitioners pursuing a collaborative decision-making model. Tools and resources such as those developed through SHRP 2 will serve a critical role as trans- portation agencies, regional planning councils, civic groups, and others are tasked increasingly with coordinating around and planning within the complex interlay of social, economic, and environmental issues.

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TRB’s second Strategic Highway Research Program (SHRP 2) Report S2-C08-RR-1: Linking Community Visioning and Highway Capacity Planning explores community visioning efforts, identifies steps and activities that might be considered when engaging in visioning, and highlights the links between vision outcomes and transportation planning and project development processes.

The report also presents a model—the Vision Guide—that is a blueprint for preparing, creating, and implementing a visioning process. As part of the project that produced Report S2-C08-RR-1, a companion web tool was also developed. The web tool, Transportation—Visioning for Communities (T-VIZ), is the interactive version of the Vision Guide.

Appendixes to the report, which are available only in electronic format, are as follows:

• Appendix A: Case Study Summaries

• Appendix B: Considering Communities

• Appendix C: Stakeholder Outreach Resources

• Appendix D: Commitment Tracking

An e-book version of this report is available for purchase at Google, iTunes, and Amazon.

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