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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2005. From Handshake to Compact: Guidance to Foster Collaborative, Multimodal Decision Making. Washington, DC: The National Academies Press. doi: 10.17226/13799.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2005. From Handshake to Compact: Guidance to Foster Collaborative, Multimodal Decision Making. Washington, DC: The National Academies Press. doi: 10.17226/13799.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2005. From Handshake to Compact: Guidance to Foster Collaborative, Multimodal Decision Making. Washington, DC: The National Academies Press. doi: 10.17226/13799.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2005. From Handshake to Compact: Guidance to Foster Collaborative, Multimodal Decision Making. Washington, DC: The National Academies Press. doi: 10.17226/13799.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2005. From Handshake to Compact: Guidance to Foster Collaborative, Multimodal Decision Making. Washington, DC: The National Academies Press. doi: 10.17226/13799.
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T R A N S P O R T A T I O N R E S E A R C H B O A R D WASHINGTON, D.C. 2005 www.TRB.org 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 a n d N a t i o n a l C o o p e r a t i v e H i g h w a y R e s e a r c h P r o g r a m TCRP REPORT 106/NCHRP REPORT 536 Research Sponsored by the Federal Transit Administration in Cooperation with the Transit Development Corporation and by the American Association of State Highway and Transportation Officials in Cooperation with the Federal Highway Administration SUBJECT AREAS Planning and Administration • Public Transit PRACTITIONER’S HANDBOOK From Handshake to Compact: Guidance to Foster Collaborative, Multimodal Decision Making Sarah Campbell Dennis Leach Kate Valentine TransManagement, Inc. In association with Matthew Coogan Michael Meyer Christina Casgar

TRANSIT COOPERATIVE RESEARCH PROGRAM The nation’s growth and the need to meet mobility, environmental, and energy objectives place demands on public transit systems. Current 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 problems, to adapt appropriate new technologies from other industries, and to introduce innovations into the transit industry. The Transit Cooperative 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 213—Research for Public Transit: New Directions, published in 1987 and based on a study sponsored by the Urban Mass Transportation Administration—now the Federal Transit Admin- istration (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 longstanding and successful National Cooperative Highway Research Program, undertakes research and other technical activities in response to the needs of transit service providers. The scope of TCRP includes a variety of transit research fields including plan- ning, 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 organizations: FTA, The National Academies, 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 identifying 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 the Transportation Research Board. The panels prepare project statements (requests 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 research programs since 1962. As in other TRB activ- ities, TCRP project panels serve voluntarily without compensation. Because research cannot have the desired impact if products fail to reach the intended audience, special emphasis is placed on disseminating TCRP results to the intended end users of the research: transit agencies, 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, training aids, field visits, and other activities to ensure that results are implemented by urban and rural transit industry practitioners. The TCRP provides a forum where transit agencies can cooperatively address common operational problems. The TCRP results support and complement other ongoing transit research and training programs. TCRP REPORT 106 Project H-29A FY’01 ISSN 1073-4872 ISBN 0-309-08817-8 Library of Congress Control Number 2004117942 © 2005 Transportation Research Board Price $20.00 NOTICE The project that is the subject of this report was a part of the Transit Cooperative Research Program conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. Such approval reflects the Governing Board’s judgment that the project concerned is appropriate with respect to both the purposes and resources of the National Research Council. The members of the technical advisory panel selected to monitor this project and to review this report were chosen for recognized scholarly competence and with due consideration for the balance of disciplines appropriate to the project. The opinions and conclusions expressed or implied are those of the research agency that performed the research, and while they have been accepted as appropriate by the technical panel, they are not necessarily those of the Transportation Research Board, the National Research Council, the Transit Development Corporation, or the Federal Transit Administration of the U.S. Department of Transportation. Each report is reviewed and accepted for publication by the technical panel according to procedures established and monitored by the Transportation Research Board Executive Committee and the Governing Board of the National Research Council. Special Notice The Transportation Research Board of The National Academies, the National Research Council, the Transit Development Corporation, and the Federal Transit Administration (sponsor of the Transit Cooperative Research Program) do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the clarity and completeness of the project reporting. Published 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 at http://www.national-academies.org/trb/bookstore Printed in the United States of America

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed research provides the most effective approach to the solution of many problems facing highway administrators and engineers. Often, highway problems are of local interest and can best be studied by highway departments individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of cooperative research. In recognition of these needs, the highway administrators of the American Association of State Highway and Transportation Officials initiated in 1962 an objective national highway research program employing modern scientific techniques. This program is supported on a continuing basis by funds from participating member states of the Association and it receives the full cooperation and support of the Federal Highway Administration, United States Department of Transportation. The Transportation Research Board of the National Academies was requested by the Association to administer the research program because of the Board’s recognized objectivity and understanding of modern research practices. The Board is uniquely suited for this purpose as it maintains an extensive committee structure from which authorities on any highway transportation subject may be drawn; it possesses avenues of communications and cooperation with federal, state and local governmental agencies, universities, and industry; its relationship to the National Research Council is an insurance of objectivity; it maintains a full-time research correlation staff of specialists in highway transportation matters to bring the findings of research directly to those who are in a position to use them. The program is developed on the basis of research needs identified by chief administrators of the highway and transportation departments and by committees of AASHTO. Each year, specific areas of research needs to be included in the program are proposed to the National Research Council and the Board by the American Association of State Highway and Transportation Officials. Research projects to fulfill these needs are defined by the Board, and qualified research agencies are selected from those that have submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Research Council and the Transportation Research Board. The needs for highway research are many, and the National Cooperative Highway Research Program can make significant contributions to the solution of highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement rather than to substitute for or duplicate other highway research programs. Note: The Transportation Research Board of the National Academies, the National Research Council, the Federal Highway Administration, the American Association of State Highway and Transportation Officials, and the individual states participating in the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of this report. Published reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at: http://www.national-academies.org/trb/bookstore Printed in the United States of America NCHRP REPORT 536 Project 8-45 FY’01 ISSN 0077-5614 ISBN 0-309-08818-6 Library of Congress Control Number 2004117943 © 2005 Transportation Research Board Price $20.00 NOTICE The project that is the subject of this report was a part of the National Cooperative Highway Research Program conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. Such approval reflects the Governing Board’s judgment that the program concerned is of national importance and appropriate with respect to both the purposes and resources of the National Research Council. The members of the technical committee selected to monitor this project and to review this report were chosen for recognized scholarly competence and with due consideration for the balance of disciplines appropriate to the project. The opinions and conclusions expressed or implied are those of the research agency that performed the research, and, while they have been accepted as appropriate by the technical committee, they are not necessarily those of the Transportation Research Board, the National Research Council, the American Association of State Highway and Transportation Officials, or the Federal Highway Administration, U.S. Department of Transportation. Each report is reviewed and accepted for publication by the technical committee according to procedures established and monitored by the Transportation Research Board Executive Committee and the Governing Board of the National Research Council.

COOPERATIVE RESEARCH PROGRAMS STAFF ROBERT J. REILLY, Director, Cooperative Research Programs CHRISTOPHER W. JENKS, TCRP Manager CRAWFORD F. JENCKS, NCHRP Manager DIANNE S. SCHWAGER, Senior Program Officer EILEEN P. DELANEY, Director of Publications HILARY FREER, Editor NEALE BAXTER, Contributing Editor PROJECT PANEL (TCRP Project H-29A and NCHRP Project 8-45) GREGORY COOK, Ann Arbor Transportation Authority, Ann Arbor, MI (Chair) MARILYN ABABIO, Paragon Global, Oakland, CA DIANE DAVIDSON, TMA Group, Franklin, TN RICHARD EASLEY, E-SquaredEngineering, Ashburn, VA ROB GREGG, University of South Florida, Tampa, FL JOHN A. HUBBELL, Calgary Transit, Calgary, Alberta, Canada JAMES M. PARAL, Wilbur Smith Associates, Lisle, IL DAVID C. ROBINSON, North Carolina State University, Raleigh, NC G. ALEXANDER “ALEX” TAFT, Missoula, MT JOHN WHALEY, Houston Transtar, Houston, TX WAYNE BERMAN, FHWA Liaison Representative LEWIS P. CLOPTON, FTA Liaison Representative JAMES RYAN, FTA Liaison Representative ARTHUR L. GUZZETTI, APTA Liaison Representative MARK R. NORMAN, TRB Liaison Representative TRB Executive Committee Subcommittee for TCRP MICHAEL S. TOWNES, Hampton Roads Transit, Hampton, VA (Chair) JOSEPH H. BOARDMAN, New York State DOT JENNIFER L. DORN, Federal Transit Administration, U.S.DOT GENEVIEVE GIULIANO, University of Southern California, Los Angeles WILLIAM W. MILLAR, American Public Transportation Association ROBERT E. SKINNER, JR., Transportation Research Board C. MICHAEL WALTON, University of Texas, Austin LINDA S. WATSON, LYNX—Central Florida Regional Transportation Authority, Orlando, FL TRB Executive Committee Subcommittee for NCHRP MICHAEL S. TOWNES, Hampton Roads Transit, Hampton, VA (Chair) JOSEPH H. BOARDMAN, New York State DOT GENEVIEVE GIULIANO, University of Southern California, Los Angeles JOHN C. HORSLEY, American Association of State Highway and Transportation Officials MARY E. PETERS, Federal Highway Administration ROBERT E. SKINNER, JR., Transportation Research Board C. MICHAEL WALTON, University of Texas, Austin

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

FOREWORD By Dianne Schwager Staff Officer Transportation Research Board TCRP Report 106/NCHRP Report 536: From Handshake to Compact: Guidance to Foster Collaborative, Multimodal Decision Making, A Practitioner’s Handbook is the result of a research project initiated by the Transit Cooperative Research Program and the National Cooperative Highway Research Program to identify and document examples of collaboration in multimodal decision making. The research has resulted in three companion products designed to be complementary to each other. These include a Research Results Digest (TCRP RRD 65/NCHRP RRD 288: A New Vision of Mobility: Guidance to Foster Collaborative Multimodal Decision Making), giv- ing a brief overview of the research and findings; a Compendium on the enclosed CD-ROM (CRP-CD-52), providing a detailed set of case examples and research methodology; and this handbook, which is designed to provide practical advice to transportation professionals interested in identifying, implementing, and sustaining collaborative activities. Transportation managers are challenged to manage the transportation system better. That means maximizing opportunities and resources; making a commitment to seamless operation of transportation services; examining capacity investments from the perspective of mobility enhancement; and tapping into information systems designed to promote access to, and knowledge of, transportation services. Trans- portation managers must find creative ways to share ideas, information, funding, facilities, and even staff. This has led many agencies to identify partners and to realign roles based on who can best deliver a given service or function. The purpose of this handbook is to provide overall guidance on the characteristics of successful collaboration and on the steps that can be taken to enhance the probabil- ity of success. A method for assessing the health of an existing collaboration is pro- posed that allows one to identify areas of weakness and areas where improvement can occur. For those wanting to start a collaboration initiative, or for those already in a col- laborative effort who want to reach a more involved level of collaboration, a multistep strategy is described. This strategy is portrayed as a ladder representing the often difficult need to undertake multiple efforts to reach the level of collaboration necessary to achieve an original purpose. The research for this handbook consisted of case studies of collaborative efforts in several policy/planning areas. Collaborations were examined relating to efforts in transportation-systems management and operations, responding to disruptions caused by unexpected or unusual events, managing transportation assets across modal bound- aries, integrating traveler information systems, and integrating transportation and land use strategies. True to the spirit of collaboration in developing this handbook, focus groups were also convened at national transportation conferences in 2003 to solicit input from those who have “seen it, done it, and been there.” While there was consid- erable agreement about the factors that motivate and challenge collaborations, there

were no simple answers when it came to implementing and sustaining collaborative activities. Indeed, numerous case studies of transportation collaborations in the United States and Europe found in the Compendium, on the enclosed CD-ROM, show a range of factors that led to overall success. TCRP Report 106/NCHRP 536 Report: From Handshake to Compact: Guidance to Foster Collaborative, Multimodal Decision Making, A Practitioner’s Handbook will be of interest to two groups. The first group includes transportation professionals who want to use collaborative efforts to accomplish their mission. This group might include transit operators, metropolitan planning organization (MPO) planners, state department of transportation (DOT) officials, rideshare coordinators, transportation management association (TMA) staff, and local transportation professionals. The sec- ond group consists of organizations and individuals, who may have limited experience in transportation but want to work together with transportation organizations to achieve some common goal.

CONTENTS Page Chapters 1. Introduction 1–4 2. Basic Foundations 5–19 Defining Collaboration 5 Benefits of Collaboration 8 Challenges to Successful Collaboration 10 Collaboration as a Process of Climbing a Ladder 13 Assessing an Existing Collaboration—How Steady Is the Collaboration’s Position on the Ladder? 16 3. The Evolution of Collaborative Relationships—Moving Up the Ladder 20–37 Observations in Advancing Collaborative Relationships 20 Step 1: Sizing up and making the ascent 23 Step 2: Scaling the first rungs 26 Step 3: Establishing a firm footing 27 Step 4: Stepping up to the challenge 29 Step 5: Establishing communication capabilities among those on the ladder 30 Step 6: Starting to climb higher 31 Step 7: Making the ascent 32 Step 8: Maintaining the momentum 33 Step 9: Extending the ladder 35 Step 10: The view from here 36 4. Strategies and Tools for Collaboration 38–53 Purpose and Needs Statement 38 Agreement on Language and Terms 39 Ad Hoc Planning and Decision Structures 40 Task Forces/Committees 41 Common Work/Activities Program 43 Staff Assignment/Rotation 45 Staff Training 46 Third-Party Facilitation 47 Memorandum of Understanding/Agreement 48 Collaboration Technology 50 Co-Location 51 Forming a New Organization 52

5. Bringing It All Together 54–56 Organizing the Toolbox 54 Applying the Toolbox 55 Summary 56 6. Bibliography 57 Appendix A: List of Focus Group Participants 58–59 Appendix B: Self-Assessment Tool for Existing Collaborations 60–61 Appendix C: Changing the Score Ranges in the Self-Assessment Scorecard 62 Appendix D: Self-Assessment Questions for Different Levels of Collaboration 63–67

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TRB’s Transit Cooperative Research Program (TCRP) and the National Cooperative Highway Research Program have jointly produced and published From Handshake to Compact: Guidance to Foster Collaborative, Multimodal Decision Making. The product, which can be referred to as TCRP Report 106 or NCHRP Report 536, provides examples of collaboration in multimodal decision making. The report is designed to provide practical advice to transportation professionals interested in identifying, implementing, and sustaining collaborative activities. Included with report is a CD-ROM (CRP-CD-52) that provides a detailed set of case examples and describes the research methodology. A companion product, available separately but designed to complement the report and CD-ROM, is TCRP Research Results Digest 65/NCHRP Research Results Digest 288: A New Vision of Mobility: Guidance to Foster Collaborative, Multimodal Decision Making that provides a brief overview of the research and findings used in developing the reports.

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