Chapter 5: How to Coordinate the Planning Process

Successful coordination depends on effective planning. To start the coordinated planning process, review the sequence of transportation planning steps outlined in the checklist below. Pay close attention to the following section about working through specific goals and objectives, because establishing these goals and objectives early in the planning process will greatly increase your chances of success. Finally, if you run into problems, ask for help. Technical assistance resources are listed in the Resource Guide for Coordinated Transportation Planning of the Transportation Coordination Toolkit.

The coordination planning checklist below provides a representative synthesis of a coordinated guidance from states and localities around the country. In recognition of these guidelines and the wide variation of needs from community to community, DOT and HHS recommend that the checklist outlined in the next section be used as an overall framework. Those who are interested in implementing or enhancing coordination in states and communities would be well advised to review the list and the resource guide included in the Transportation Coordination Toolkit to fine tune their approaches.

CHECKLIST OF TRANSPORTATION PLANNING STEPS

Following the 11 steps below can help create successfully coordinated transportation services. It is important to remember that coordination takes place at both the state and local level. Use this checklist to make sure that you have covered all the bases. Come back and review it from time to time for a clear perspective on the planning process and its linkage to operations. Remember that the best plans for coordinated transportation services will be closely tailored to each community's unique needs, skills, and resources.

DOT and HHS encourage communities to include the following steps in coordinating their specialized transportation planning activities:

• 1. IDENTIFY STAKEHOLDERS

At each of these steps, it is vital to include as broad a range of participants as possible, such as the different transportation operators in the community, agencies that have responsibility for assisting clients with special needs in employment, education, health care, and a variety of other human services, members of the general public, members of the local political establishment (the representatives of the general public), and representatives of the local, State, and federal funding sources for transportation and human services.

All of these planning steps are crucial to success in the operational phases of transportation service. The planning process needs to be seen as continuous and iterative: plans are made, tested, refined, and retested in a repetitive cycle until they meet the systems goals and objectives in an efficient manner before operations begin. Nevertheless, operating procedures may need to be evaluated and modified several times before goals and objectives can be met most effectively.

Transportation systems must continuously plan for the efficient and effective delivery of services. Existing systems must decide whether services should remain the same or whether new or adjusted services will be offered. New systems must determine what services will be provided, how they will be delivered, when services will be offered, and what price will be charged to passengers or their sponsors. Service planning determines the operations, maintenance, administrative, and capital requirements of the transportation system according to the system's adopted goals and objectives. The seven key elements of a transportation service plan are:

• Service modes,
• Service availability,
• Organizational and institutional context,
• Service pricing,
• Personnel and labor requirements,
• Rolling stock, and
• Other capital requirements.

Coordination is applicable to all of these key elements. Sharing information, facilities, and resources across this broad spectrum of activities can lead to the kinds of coordination benefits described in Chapter 2, including access to more funding sources, higher quality and more cost-effective transportation services, and transportation services that are more visible to consumers.

The Transportation Planning Checklist in Detail

1. IDENTIFY STAKEHOLDERS

The first step in coordinating specialized transportation service planning is to identify which individuals and organizations should be represented in the activity. Whether the coordination effort is to take place at the State or local level, it is important to reach across a broad spectrum of the relevant stakeholders. These stakeholders should include, but not be limited, to representatives of:

• Transportation consumers,
• Transportation disadvantaged constituencies,
• Public transit providers,
• ADA paratransit providers,
• State and local human services transportation providers,
• Private transportation providers,
• State and local human service agencies,
• Tribal representatives
• State and local welfare and workforce development agencies,
• State and local transportation planning agencies,
• Community-based organizations,
• Business community,
• Economic development agencies,
• Elected officials

These organizations represent different existing services, service providers, needed services and strategies to deliver and pay for coordinated specialized transportation services. Additional participants should include organizations responsible for regional planning functions. Participants may include local units of government or state agencies if they have responsibility for transportation service delivery or financial assistance.

2. ORGANIZE INITIAL MEETING

Once the stakeholders have been identified, the second step in the coordination process is to organize the initial meeting and establish open lines of communication. While this may seem all too obvious, many transportation professionals feel that this step is the most critical. In fact, prior to efforts at coordination, many transit and health and human service agency officials may never have had contact with one another.

Communities come together around transportation for different reasons. It could be that several agencies or consumer groups are experiencing a similar problem and in the course of trying to solve it discover that others are encountering comparable experiences. In other cases, agencies may come together to mutually maximize the use of constrained separate financial resources or under utilized equipment. Getting different service providers together could be the result of an effort at regional coordination, as led by either a regional body like an MPO or regional planning agency; or it could be the result of interagency coordination at the statewide level, as led by a state body.

Whatever the reason for initial contact, it is important to bring a comprehensive group of transportation service providers and consumers together so that all services and resources can be identified at the same time that the full dimensions of service needs are being considered.

3. ESTABLISH COMMITMENTS AND FORM PARTNERSHIPS

A key element to successful stakeholder participation is the level of interest and commitment of each stakeholder. Forming partnerships is a primary step in the development of a cooperative relationship and in the maintenance of an effective team. Partnerships contribute to a coordinated approach to transportation service delivery in a number of ways. Members should be focused on identifying specific transportation challenges and finding solutions to those challenges. Without the establishment of working partnerships, none of the planning steps discussed would be possible because these steps depend on staff working together, sharing information and resources, and developing cooperative agreements. Consequently, the key stakeholders often lack a complete understanding of the current transportation services provided by their counterparts and opportunities to enhance services to their clients and the possibilities of realizing operating efficiencies through collaboration.

The formation of a coordinating forum can be such a step. Planning coordination forums should include the following agencies:

• Transportation brokerage agencies
• Area transportation planning and funding agencies
• Public transit and paratransit operators
• Human service transportation providers
• Private for profit transportation operators
• Tribal organizations
• Medicaid agencies
• Head Start agencies
• Area Agencies on Aging
• Developmental Disability Agencies
• Citizens
• Appropriate local officials
• Non-profit organizations
• Business representatives
• Civic organizations.

One key to these new partnerships is the establishment of a Memorandum of Understanding (MOU) or similar formal agreement among participants. MOUs help to define the roles and responsibilities of each participating organizations.

It is important to note that coordination is a primary role of the MPO. If the MPO resources are available, the coordination process can be conducted jointly with other agencies. If not, an organization can undertake the coordination project using these guidelines and available staff resources, technical assistance, and transportation data available from the MPO.

In some states, such as California for example, MPOs provide technical assistance to small urbanized areas. In other small urbanized and rural areas, technical assistance may not be available from an MPO. In these areas, assistance may be available from one of the following:

• Existing Section 5311 (FTA's Non-urbanized Formula Grant Program) providers
• Regional planning agencies
• Economic development districts
• County government
• Local Temporary Assistance For Needy Families (TANF) agencies
• State and local HHS agencies

In rural and small urban areas, the State DOT is the often the provider of technical assistance.

The Section 5311 public transportation provider, which is required to make coordination efforts a part of that program, may be a primary source of technical assistance. In rural areas, the coordinated planning effort will likely be the result of cooperative efforts between local human service agencies and this provider. Essentially, the planning process itself is similar to that required in an urban area, but it may be simpler because of fewer participants.

4. SPECIFY GOALS, OBJECTIVES, AND CONSTRAINTS

Goal setting is the process of establishing priorities for transportation service in the community. Specific goals and objectives permit informed decisions about the most appropriate use of transportation resources. Desired changes in current transportation services should be discussed with local stakeholders up front, prior to developing alternatives to the existing services. Once set, the goals will be used in developing and assessing the possible options for improvements. This step should include an open discussion among all stakeholders of both the goals and constraints that will apply to the transportation issues being examined. Both goals for the current transportation improvement process and for overall transportation conditions in the community need to be reviewed.

Transportation goals and objectives will usually be expressed in terms of service priorities in three areas of emphasis; service levels and types of trips (which are critical, serious, and optional travel needs), geographic areas within the community, and types of users/passengers/population deserving priority treatment. Other typical goals often include how services should be funded and priced to riders and how to involve the entire community in the transportation improvement process.

Transportation coordination is conducted on a community-wide, metropolitan, or statewide basis and should consider the needs of an entire region within the context of the area's overall mobility needs. Coordinated planning should be a part of the multi-modal, intergovernmental plan and program development decision-making process. Effective coordination planning yields consensus-based strategies for near and long-term transportation investments. Any agency or operator may initiate service coordination efforts, but it is important that their work be coordinated with overall community-wide transportation planning processes.

Constraints, including fiscal, political, administrative, and even "people" aspects, need to be understood at the very beginning of the process: there is no point planning a system that cannot be implemented. Potential constraints on transportation services often focus on funding and existing institutional structures.

5. JOINTLY IDENTIFY CLIENT NEEDS

A coordinated transportation system will seek to maximize the efficiency of operations. To realize these efficiencies, participating agencies need to examine the passenger base of the coordinated transportation system as a whole. This examination can be achieved through the joint identification of the participating agencies' client needs. This process is an outcome of transit and health and human service agencies coming together to share planning resources.

The joint identification of client needs could contribute to a coordinated approach to transportation service delivery in a number of ways. When each agency's client needs are regarded collectively, the participants are then able to take the first step in scoping the size and breadth of the coordinated system. The client needs include the type of transportation needed, the origins and destinations of trips, and the timing and frequency of required trips. After participating agencies have this information, they will be able to adjust existing paratransit services or create new services as needed while achieving efficiencies through co-mingling of clientele or coordinated dispatching of services. These improvements would not be possible without coordination.

6. IDENTIFY TRANSPORTATION RESOURCES

The sharing of transportation resources can contribute to a coordinated approach to transportation service delivery in a number of ways. Many agencies possess transportation resources that can be contributed to a coordination effort. Transportation and human services agencies may have vehicles, maintenance facilities, dispatching capabilities, drivers, planning staff and facilities. Coordinated planning maximizes planning staff, tools, and data from various agencies. Through sharing expertise, individual agencies can leverage other agency's insight, data, and experience in solving transportation challenges. Working with shared information, planners can develop more responsive yet less redundant transportation systems, identify and fill service gaps, and maximize the number of constituents served in a cost-effective manner. Coordinated planning can also lead to implementation of standardized dispatch and other technologies used in delivering transportation services that could enable agencies to integrate and expand services through enhanced communications.

The mechanisms for sharing resources can take any number of approaches-- sharing staff, analytical tools, technical capabilities, hardware and software, or facilities. In areas where transportation coordinating councils have been established, member agencies typically make technical staff available to work together for the council or at a more detailed sub-group level. Each staff person's knowledge of their own organization, its existing transportation resources and services, and the clientele they serve is brought to the table. This allows the first and most vital step to occur: information exchange. Staff from transit and health and human service agencies reported that once they were brought together with other agency staff, solutions to individual transportation problems were often rapidly addressed when staff from one agency discovered that another agency has a service in place to meet their needs.

7. DESIGN DETAILED SERVICE AND FINANCIAL OPTIONS

Several alternative service improvements should be designed, and their financial consequences identified. These options should specifically address the local goals, the understanding of unmet needs, and the detailed knowledge of the community’s transportation resources. The alternatives developed for consideration should also reflect Federal and state policy guidelines, including improved resource use through enhanced coordination and other means. Each detailed service design should specify:

• Service characteristics directly related to users, such as type of service (door-to-door; door-thru-door, fixed route, etc.), method of user activation (demand responsive, fixed schedule), assistance on vehicles, reservation time, routes, headways (if fixed routes), special equipment on vehicles, hours of operation, and fares.
• Operational system characteristics, such as number of vehicles and their condition, age or number of miles on each, radio dispatched, vehicle miles, passengers carried (including any data on the number with specific handicaps), and number of personnel, including paid transportation personnel, paid staff used primarily for other duties, and volunteers.
• Administrative features, such as asking who will manage the service, who will supervise the manager, and how services will be funded.

The product of this task should be a set of service options for consideration by the coordination forum. One objective in laying out the proposed options is to have enough information for subsequent predictions of impacts on ridership, revenues, and costs. The alternatives to be developed should reflect several possible levels of revenue. For example, they may include alternative systems of different sizes with and without state funding and with or without additional local funds.

8. SELECT AND RECOMMEND A PLAN OF ACTION

One service plan needs to be selected from among the alternative service improvements designed in the previous task. This selection and decision process can be accomplished by general consensus, by detailed mathematical evaluations, or through a combination of these techniques. Of key importance is the participation of a comprehensive cross section of the community, its leaders and representatives in the decision-making process, such as through an advisory group. Government agencies, service organizations, citizens groups, and the business community should be represented.

To evaluate the potential options, it is necessary to specify a set of evaluation criteria for choosing the best service design. These evaluation criteria can vary from community to community, but they will probably include:

• the numbers and types of riders served,
• the extent to which local goals and objectives are achieved by each service option,
• the operating, capital, and administrative costs of each option,
• the anticipated revenues associated with each option and their sources, and
• particular implementation issues associated with each option (if any).

These factors can be weighted based on the local determination of service needs and resources. Each member of the advisory committee should make their own assessments using criteria such as those mentioned above, and then the results could be combined to create a consensus among all parties.

It is possible that some service options may have superior program effectiveness but will be too expensive to fund, while others might fall within budget guidelines but not serve many community travel needs. These discrepancies should be adjusted: the community may have to reassess its goals and objectives to make them more realistic; alternatively, a more realistic approach to funding the actual costs of transportation services may be needed.

Lastly, if the coordination planning project is in a metropolitan area, the transportation service plan should be included in the MPO’s project prioritization process or Transportation Improvement Program (TIP). If the coordination planning program is not in a metropolitan area it should be included in the Statewide Transportation Improvement Program (STIP).

9. CONFIRM AGENCY AND COMMUNITY COMMITMENTS

Local decision-makers should have been kept aware of the deliberations throughout the planning process so that the recommended plan presented to them at this time is not a surprise. Having created a recommendation, it is now time to explain its benefits to garner as much community support as possible. Work on this task will build on earlier efforts that identified coordinated transportation proponents within the community and their reasons for support, assessed the support of local media and key political and business leaders, and identified individuals that might not support expanded transportation services.

A steering or citizens advisory committee of local elected officials, service agency representatives, transportation providers, and the general public should make presentations to local decision-makers and the general public. Public meetings can be useful at this point in time. It will also be useful to begin drafting formal agreements (contracts) for funding and cost sharing among various parties.

10. DEVELOP IMPLEMENTATION AND FUNDING PLAN FOR SELECTED ALTERNATIVE

An implementation and funding plan will be needed to ensure a smooth transition to the new service program and to enhance agency and consumer acceptance. The implementation plan will involve:

• detailing service, operational, and administrative characteristics,
• developing a work plan and schedule to implement the service option selected,
• detailing administrative and operational procedures,
• specifying personnel requirements,
• identifying implementation responsibilities by agency and organization, and
• identifying funds to be used for implementation.

The projected budget is obviously of primary importance. It involves not only calculating costs and revenues, allocating costs to participants, and assigning fiscal responsibility, but establishing funding sources (including policies and procedures for obtaining funds from various sources). Once a capital program is developed, a funding plan will also be provided to indicate which federal and state programs will be the funding source, and how much local funding will be required. Similarly, an operating budget for the next four or five years should also be developed, based on the costs, ridership, and revenues already projected in previous tasks. This budget will also include a funding plan, showing needed assistance by source through the period. States and communities with successful coordination efforts have found it important to designate one agency to provide leadership and task management during this process. As noted earlier, MPOs can play this role, but other agencies do effectively provide this support.

11. MEASURE PERFORMANCE, MONITOR AND EVALUATE

As agencies cooperate to develop coordinated transportation services, the development and adoption of appropriate performance measures, and the data to support them, are key to their ability to evaluate services and the benefits of coordination. Such measures provide useful information in the improvement of service, as well as in the development of support for further collaboration.

Benefits become apparent when measures are put in place that gauge system performance and cost as well as compare the costs of providing services before and after coordination. Transit operators typically use such measures as operating cost per revenue vehicle hour, operating cost per passenger boarding, fare box revenue per operating cost, passenger boarding per revenue vehicle mile, and passenger boarding per revenue vehicle hour. These measures allow transit operators to assess for management purposes the effectiveness of individual routes by volume, time of day, and day of the week. An investment analysis may also provide further information on the economic benefits of coordination, such as identifying prevention savings in accessing health care, employment and nutrition services.

KEYS TO SUCCESS: HOW TO MAKE THE COORDINATION OF TRANSPORTATION SERVICES WORK

Coordination starts with:

• Working to understand each others programs.
• Realizing there are mutual benefits to be gained by working together.
• Jointly establishing workable goals and objectives.
• Developing a comprehensive understanding of the user markets, travel patterns and mobility needs, the overlaying existing services, and the identification of redundancies and gaps in those service areas - over time and geography.
• Planning, consensus building, negotiating, and agreeing to develop a shared service plan.

Coordination involves an understanding of these major objectives:

• coordinate and focus community planning on decision-making for specialized transportation in order to centralize control of funding, which provides more dollars to work with for the coordinated service, centralize operational control, thereby achieving greater service efficiency and effectiveness, and make transportation services more visible in the community and less confusing for consumers;
• reduce expenditures on capital equipment, administration and overhead, and direct operating costs;
• increase the amount of service through more trip-making, providing service to larger areas, providing service to more persons, and providing service to more population groups;
• improve the use of resources (efficiency) through lower unit costs, improved labor productivity, and improved vehicle utilization; and
• improve the provision of services (effectiveness) through productivity and accessibility increases, increased service quality, better financial management, greater local political support, increased provision of social services, and greater non-transportation benefits.

The choice of objectives is dependent on the needs that have been identified in the service area. Successful coordination partners:

• Establish mutually acceptable goals and objectives that guide the allocation of transportation resources in their community.

• Understand and document in detail the transportation needs and resources in their area.
• Involve the local community at all stages in the planning process.
• Understand the grant application processes, requirements and schedules, including all Federal, State, and local program options of potential fund sources.
• Develop transportation service options that address community identified needs in the most cost-effective manner possible.
• Structure an implementation plan that allows for a smooth, steady progression toward full system service.
• Monitor the results of their services and make changes, if needed, to more cost-effectively meet the established goals and objectives.
• Maintain good community relationships, and actively market services to the public.

The benefit of identifying specific strategies to achieve particular objectives is that this act changes transportation coordination from a general concept into a specific plan. When someone says, "I want to reduce direct costs by lowering maintenance costs," it is very easy to see if this specific plan has been accomplished or not. By making the objectives specific, they become measurable and therefore easier to address and monitor.

FOR FURTHER ASSISTANCE . . .

Many people have been involved in this area for a long time, and are available to help. A list of coordination resources is provided in the Resource Guide for Coordinated Transportation Planning of the Transportation Coordination Toolkit.

The National Transit Resource Center includes a wide range of materials on transportation coordination strategies and experiences. The Resource Center may be contacted at 1 (800) 527-8279 or on the web at: www.ctaa.org/ntrc.

The Office of Family Assistance/HHS has published and disseminated joint guidance on the use of TANF, Welfare-to-Work (Department of Labor) and Job Access (FTA) funds to provide transportation services that is available on the following website: www.acf.dhhs.gov/news/welfare/pa002.htm.

Also, you may find answers to your questions on the web page for the Coordinating Council on Access and Mobility on the Internet. If you don't find the question directly, there are discussion groups on that web page to which you may post your particular question. The address for the Council’s web page is www.ccamweb.org.