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2017 T R A N S I T C O O P E R A T I V E R E S E A R C H P R O G R A M TCRP RESEARCH REPORT 191 Research sponsored by the Federal Transit Administration in cooperation with the Transit Development Corporation Subject Areas Finance â¢ Public Transportation Public Transportation Guidebook for Small- and Medium-Sized Public-Private Partnerships (P3s) Nathan M. Macek Ella C. Claney WSP Washington, DC Elizabeth G. Neely WSP Denver, CO Marking 25 Years of Service through Research
TCRP RESEARCH REPORT 191 Project G-15 ISSN 2572-3782 ISBN 978-0-309-44644-0 Â© 2017 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FRA, FTA, Office of the Assistant Secretary for Research and Technology, PHMSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the Transit Cooperative Research Program do not endorse products or manufacturers. Trade or manufacturersâ names appear herein solely because they are considered essential to the object of the report. TRANSIT COOPERATIVE RESEARCH PROGRAM The nationâs growth and the need to meet mobility, environmental, and energy objectives place demands on public transit systems. Cur- rent systems, some of which are old and in need of upgrading, must expand service area, increase service frequency, and improve efficiency to serve these demands. Research is necessary to solve operating prob- lems, adapt appropriate new technologies from other industries, and introduce innovations into the transit industry. The Transit Coopera- tive 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 213âResearch for Public Transit: New Directions, published in 1987 and based on a study sponsored by the Urban Mass Transportation Administrationânow the Federal Transit Administration (FTA). A report by the American Public Transportation Association (APTA), Transportation 2000, also recognized the need for local, problem- solving research. TCRP, modeled after the successful National Coop- erative Highway Research Program (NCHRP), undertakes research and other technical activities in response to the needs of transit ser- vice providers. The scope of TCRP includes various transit research fields including planning, service configuration, equipment, facilities, operations, human resources, maintenance, policy, and administrative practices. TCRP was established under FTA sponsorship in July 1992. Proposed by the U.S. Department of Transportation, TCRP was authorized as part of the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA). On May 13, 1992, a memorandum agreement outlining TCRP operating procedures was executed by the three cooperating organi- zations: FTA; the National Academies of Sciences, Engineering, and Medicine, acting through the Transportation Research Board (TRB); and the Transit Development Corporation, Inc. (TDC), a nonprofit educational and research organization established by APTA. TDC is responsible for forming the independent governing board, designated as the TCRP Oversight and Project Selection (TOPS) 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 program by identi- fying the highest priority projects. As part of the evaluation, the TOPS Committee defines funding levels and expected products. Once selected, each project is assigned to an expert panel appointed by TRB. The panels prepare project statements (requests for propos- als), 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 research programs since 1962. As in other TRB activities, TCRP project panels serve voluntarily without compensation. Because research cannot have the desired effect if products fail to reach the intended audience, special emphasis is placed on disseminat- ing TCRP results to the intended users of the research: transit agen- cies, service providers, and suppliers. TRB provides a series of research reports, syntheses of transit practice, and other supporting material developed by TCRP research. APTA will arrange for workshops, train- ing aids, field visits, and other activities to ensure that results are imple- mented by urban and rural transit industry practitioners. TCRP provides a forum where transit agencies can cooperatively address common operational problems. TCRP results support and complement other ongoing transit research and training programs. Published research reports of the TRANSIT COOPERATIVE RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to http://www.national-academies.org and then searching for TRB Printed in the United States of America
The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Boardâs varied committees, task forces, and panels annually engage about 7,000 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. Learn more about the Transportation Research Board at www.TRB.org.
C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR TCRP RESEARCH REPORT 191 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Gwen Chisholm Smith, Manager, Transit Cooperative Research Program Dianne S. Schwager, Senior Program Officer Daniel J. Magnolia, Senior Program Assistant Eileen P. Delaney, Director of Publications Sreyashi Roy, Editor TCRP PROJECT G-15 PANEL Field of Administration Janice Pepper, Metropolitan Transit Authority, New York, NY (Chair) Peter A. Angelides, Econsult Solutions, Inc., Philadelphia, PA Kimberly B. Fragola, Centre Area Transportation Authority, State College, PA Andrew Gena, Amalgamated Transit Union, Silver Spring, MD Sharon Greene, HRD, Irvine, CA Sarah B. Rios, NY MTA Capital Construction, New York, NY Eliane Wilson, San Luis Obispo Council of Governments, San Luis Obispo, CA Tom Yedinak, FTA Liaison Stephen J. Andrle, TRB Liaison Claire E. Randall, TRB Liaison
TCRP Research Report 191 is a resource for public transportation agencies, local govern- ments, the private sector, and others interested in small- and medium-sized P3s for public transportation projects. The guidebook is relevant to all public transportation modes. A public-private partnership (P3) is defined as a contractual agreement formed between a transit agency and a private sector entity that provides a service to the transit agency and transfers some level of risk associated with the activities of the transit agency to the private sector. Small- and medium-sized P3s may involve a public transit agency working collab- oratively with, or contracting to, a private entity to renovate, construct, operate, maintain, finance, or manage a transit facility or system. Prior to this project, research on P3s for public transportation largely focused on large- scale P3 initiatives. Little information was available on small- and medium-sized P3s asso- ciated with public transportation. In an effort to fill this gap, this guidebook offers practi- cal approaches and best practices for identifying, planning, and implementing small- to medium-sized P3 initiatives associated with public transportation. This guidebook addresses the following pertaining to small- and medium-sized P3 initiatives associated with public transportation: â¢ Defines different types of small- and medium-sized P3 initiatives; â¢ Identifies potential benefits and risks of different types of small- and medium-sized P3 initiatives; â¢ Assists public transit agencies in identifying, evaluating, and screening opportunities for small- and medium-sized P3 initiatives; and â¢ Identifies barriers and challenges to planning and implementing P3 initiatives and how they may be overcome. Eight case studies on small- and medium-sized P3s from across the United States were conducted and are presented in the report. They address P3s for capital improvements, operations and maintenance, real estate, marketing agreements, and innovative technology. A P3 Project Screening Checklist accompanies the guidebook and can be found on the TRB website by searching on TCRP Research Report 191. It is an interactive Excel tool devel- oped through interviews with public transit agencies and private entities. The research team used the lessons learned through the study to design a tool to present the user, the public transit agency, with an overall screening and evaluation of a P3 initiative. F O R E W O R D By Dianne S. Schwager Staff Officer Transportation Research Board
1 Summary 5 Chapter 1 Introduction 5 1.1 Purpose of the Guidebook 6 1.2 P3 Project Screening Checklist 6 1.3 Research Methodology 7 1.4 Organization of the Guidebook 9 Chapter 2 Defining P3 Opportunities 9 2.1 P3s Defined 13 2.2 P3 Options to Transit Agencies 15 2.3 Capital Improvements 17 2.4 Operations and Maintenance 19 2.5 Real Estate Development 22 2.6 Marketing Agreements 23 2.7 Innovative Technology 26 Chapter 3 Case Studies 28 3.1 MBTA Boston Landing Station 32 3.2 MARTA Dunwoody Station Extension 39 3.3 PSTA Direct Connect Pilot Program 44 3.4 O&M: International and Domestic Perspective Profiles 48 3.5 ARTIC Concession Management 53 3.6 RTD Depot Square Bus Station 59 3.7 HART Advertising Technology 65 3.8 TRAX Sponsorship 72 3.9 New York MTA Wi-Fi and Wireless Service 78 Chapter 4 Evaluating and Executing a P3 78 4.1 Understanding the Checklist 86 4.2 Summary and Review 87 Chapter 5 Best Practices 87 5.1 Methodology 87 5.2 Best Practices Identified 93 5.3 Applying Lessons Learned 94 Chapter 6 Conclusions 94 6.1 All-Inclusive Resource 95 6.2 Future Research 97 Bibliography C O N T E N T S