Executive Decision Making for Transportation Capacity: The Multiagency Context (2014)

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5C h a p t e r 2 Shrp 2 Capacity program The SHRP 2 Capacity program is founded in the desire to deliver highway capacity projects faster and in a more envi- ronmentally beneficial way. Congress’s charge to the SHRP 2 Capacity program was to “develop approaches and tools for systematically integrating environmental, economic, and com- munity requirements into the analysis, planning, and design of new highway capacity” (2). To accomplish this aim, the SHRP 2 Capacity program has developed Transportation for Communities—Advancing Projects through Partnerships (TCAPP). While much of the projected expansion of highways involves widening and upgrades, the public expects that transportation professionals first will pursue operations management strategies to opti- mize facility performance and second will be stewards of the environment and their communities. This broadening of goals (beyond simply constructing a highway system) involves many perspectives and interests, and makes collaborative deci- sion making, or interest-based problem solving, a critical path for finding the most appropriate solution. tCapp Objectives TCAPP is the product of SHRP 2 Capacity Project C01, A Framework for Collaborative Decision Making on Additions to Highway Capacity. TCAPP is a decision support tool that provides how-to information for advancing highway capacity projects through long-range planning, corridor planning, pro- gramming, and environmental review. TCAPP is built from the experiences of transportation partners and stakeholders, and it can improve how decisions are made to develop, prioritize, and inform transportation plans and projects. The aim of this web-based resource is to enhance collabora- tion in transportation decision making. In order for transpor- tation agencies to speed project delivery and have flexibility to consider nontraditional solutions, a systematic approach to collaboration is needed. This ensures that the right people are engaged at the right time. TCAPP outlines approaches for inte- grating environmental, economic, and community require- ments into the analysis, planning, and design of new highway capacity. TCAPP is based on the premise that users will benefit from detailed information that supports their current needs. One does not need to understand the entire transportation plan- ning and project delivery process to benefit from TCAPP’s resources. It does not have to be used all at once, but rather can be used to obtain resources and tools at each key decision point (KDP), and only those that are relevant. TCAPP contains user portals for both partners and stake- holders. Partners are the four groups who make decisions affecting transportation: the Federal Highway Administration (FHWA), state departments of transportation (DOTs), metro- politan planning organizations (MPOs), and resource agen- cies. Stakeholders are anyone with an interest in transportation but without authority to make decisions. These user portals contain assessment tools and identify steps to improve one’s ability to engage collaboratively. In addition to providing collaborative tools, information, and resources, TCAPP also will integrate web resources devel- oped through other SHRP 2 capacity projects, including Capac- ity Project C02, Performance Measurement Framework for Highway Capacity Decision Making, and Capacity Project C03, Interactions between Transportation Capacity, Economic Systems, and Land Use. Summary of Key Features TCAPP is divided into five sections: Collaboration Assess- ment, Decision Guide, My Agency Is, Practical Applications, and a Library. Links to additional research topics used to enhance TCAPP also are provided. Each section is briefly described. (Note: This summary represents TCAPP as it existed in the fall of 2011, when the outreach interviews commenced. The Product

6Refinements and changes have been made since this time in response to user feedback.) Collaboration Assessment The Collaboration Assessment portion of TCAPP helps to highlight specific ways in which collaboration can assist in scoping a plan or project, engaging stakeholders, and gaining consensus. The assessment consists of a survey geared toward either practitioners or stakeholders and designed to identify areas where the individual process or team dynamics are not supportive of collaboration and where miscommunication, misunderstanding, or infrequent participation has become a barrier for stakeholders. The assessment also provides some strategies to address these issues. General advice also is offered, providing definitions, potential risks, questions to consider, and reference links. The survey asks users to respond to a series of statements in order to evaluate how well things are working in key areas. Results are provided on a 5-point scale from weak to strong, indicating areas that currently represent the greatest challenge to collaboration. Also included are strategies that one may con- sider to improve collaborative efforts as well as recommenda- tions for using the Decision Guide to identify changes that will support greater collaboration. Collaboration assessment areas are earmarked as important to either practitioner assessment or stakeholder assessment. Practitioner assessment areas include process steps, data and information, operational structure, tools and technology, decision-making authority, participant stability, role clarity, shared goals, sense of ownership, and practitioner communi- cation. Stakeholder assessment areas include stakeholder communication, stakeholder understanding, and stakeholder commitment. Decision Guide The Decision Guide is the foundation of TCAPP (see Fig- ure 2.1). It is an extensive web-based tool, with several key features. The Decision Guide has been created to build col- laboration into transportation decision making systemati- cally by allowing the right people to be at the table at the right time with the right information to make good choices that will stand up to scrutiny. At its core, the Decision Guide outlines KDPs as required by the current legally mandated process within the four phases of transportation decision making: long-range planning, corri- dor planning, programming, and environmental review and permitting. Each KDP is outlined with information related to purpose and outcome, roles of partners, integration with other processes and decision points, questions that policy makers must consider, case study examples, technical support, and special topics. The guide is kept at a relatively high level in order to remain applicable to all transportation agencies and is accompanied by a glossary of relevant terms as well as TCAPP Connect, an online forum where people can post questions, comments, and replies to each other. Based on the principles of context sensitive solutions (CSS), the Decision Guide takes into consideration the transporta- tion network as a whole, as well as its relationship with the community, environment, and economy. This approach to decision making has significant implications for the relation- ships and processes that support transportation decision making. The foundation of CSS and project management ensures that stakeholder concerns are addressed continuously during decision making, thus creating greater transparency and accountability. KDPs are those points in the planning process that require approval from a high level or authority, need consensus among decision makers, or are required by law or regulation. Forty- two key decision points are outlined in the Decision Guide as common to all transportation agencies. The final key decision represented in the Decision Guide is the approval of the Record of Decision and the rendering of permits required to implement a transportation improvement. TCAPP supports the integration of six specific external pro- cesses within transportation decision making: air quality con- formity, land use, natural environment, human environment, capital improvement, and safety/security. The Decision Guide identifies the data, analysis, or decision from these external processes that should be considered at each key decision. My Agency Is TCAPP recognizes four decision-making partners in the trans- portation planning process: FHWA, state DOTs, MPOs, and resource agencies. In addition to these partners, TCAPP also provides information related to stakeholders, those with no decision-making authority who are affected or interested in the outcome of the process. The My Agency Is portion of TCAPP outlines each agency’s interests in order for all part- ners to gain an understanding of what other partners care about. This section also assists in accessing the information in TCAPP tailored toward each agency. The role of each partner depends on the decision being addressed, with the guide assigning one of the following roles to each of the agencies at each key decision point: • Decision Maker: Acts as the lead agency or is required to take legal action at the key decision. May not be required to take legal action, but must agree to the decision before the process can move forward. • Advisor: Provides feedback as to whether the decision is supported or opposed and whether there are particular

7issues of concern. Does not need to agree to the decision for the process to move forward, but may have decision- making power in subsequent key decisions or phases; thus, agreement is preferable. • Observer: Limited involvement. Provides no input or direc- tion in the decision, but is kept informed. • No Role: No participation in the key decision. TCAPP also assists stakeholders in identifying KDPs where there should be a flow of information between decision makers and stakeholders in order to ensure decisions incorporate the interests of those stakeholders. Lastly, the My Agency Is section identifies key steps necessary in adding a new partner to the decision-making framework by using TCAPP. Practical Applications Any transportation project needs to move through the four stages of the decision-making process before it becomes a Figure 2.1. The Decision Guide.

8viable project for construction. The Practical Applications section provides information on how to use the Decision Guide to tackle relevant interest areas or challenges through- out these four stages. More specifically, this section assists in showing how to apply collaboration or interest-based prob- lem solving to a subset of decision points in order to meet a specific challenge. Collaboration can help to overcome chal- lenges that arise within each of these stages. Current topics include • Long-range transportation planning; • Corridor planning studies; • Integrated programming and fiscal constraint; • Environmental review mixed with permitting; • Stakeholder collaboration; • Integrated planning; • Linking MPO planning and the National Environmental Policy Act of 1969 (NEPA); • Streamlining a bottleneck project; • Performance measures; • Cumulative effects assessment and alternatives; and • Visioning and transportation. A summary of each of these topic areas is provided, includ- ing relevant reference links. Additionally, the Decision Guide is provided, with only those KDPs highlighted that are rele- vant to the topic at hand. This helps to identify those sections in the planning process that are affected by the topic being discussed. Library TCAPP’s Library includes resources to assist in collaborative decision making, including case studies and reports. Case stud- ies include a number of studies developed as part of TCAPP and related SHRP 2 projects. These studies provide real-world examples of successful practices, pitfalls, and lessons learned. The Reports section contains a variety of reports that also have been developed as part of TCAPP and related SHRP 2 projects. These reports provide detailed information on specific proj- ects, including those associated with Project C06, Integration of Conservation, Highway Planning, and Environmental Per- mitting Using an Outcome-Based Ecosystem Approach, and a variety of others related to resource agency collaboration. The case study portion of the Library section is divided into the following categories: • Long-range transportation planning; • Corridor planning studies; • Integrated programming and fiscal constraint; • Environmental review merged with permitting; • Natural environment; • Stakeholder collaboration; • Integrated planning; • Linking MPO planning and NEPA; • Streamlining a bottleneck project; • Performance measures; • Land use and economic impacts of transportation projects; • Cumulative effects assessment and alternative (CEAA); • Visioning and transportation; and • Miscellaneous. tCapp and Shrp 2 C22 As of the writing of this report, TCAPP is a work in progress. It is still growing with new research being added as it is com- pleted. It also is evolving in the sense that pilot test projects are providing an important feedback loop to assess user needs and preferences. Changes are made in direct response to pilot project input, and are still under way. The current site is a beta site, meaning that it will continue to change and evolve over time. However, the central concept of collaboration to sup- port decision making among transportation agencies and their partners will remain. It is this concept that was empha- sized during the course of the interviews conducted for this SHRP 2 C22 research. During the course of the SHRP 2 C22 research, TCAPP was presented to decision makers to get their reactions and feed- back on its benefits of TCAPP and how best to communicate its value to others, including other executives and the staff within their organizations. It is anticipated that TCAPP will be finalized as the SHRP 2 Capacity research program winds down. It will be completed and turned over to FHWA for ongo- ing upkeep and long-term residency. As additional research is added, more pilot tests are executed, and TCAPP gets out on the street, there will be additional feedback opportunities for the SHRP 2 implementation team, and it is anticipated that this feedback will ensure that TCAPP is kept current.