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Transportation for Communities - Advancing Projects Through Partnerships



User's Manual

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General Key Decision Information

Key Decision Name

The key decision name is a short schematic to indicate in which phase the key decision occurs and the corresponding number.

Each of the four phases has a shorthand acronym:
LRP - Long Rang Transportation Planning
COR - Corridor Planning
PRO - Integrated Programming and Fiscal Constraint
ENV - Environmental Review
PER - Permitting

ENV and PER may occur at the same key decision. The Decision Guide illustrates a merged environmental review/NEPA process with Section 404 permitting.

While the key decisions are numbered sequentially in the Decision Guide, the numbers are provided to give each key decision a unique identifier. There is no intent to specify the order in which they must be executed.

Key Decision Title

The key decision title is a brief statement indicating the activity at that key decision. The descriptions below provide consistent terminology across the titles to describe the action that is occurring:

  • Adopt - Formal, written, binding, long-term decision by an authorized agency. Usually occurs where law or regulation requires that a formally constituted body has a stated role. Usually occurs at the end of a process.
  • Approve - Formal, unwritten, binding, long-term decision by a body. Approval implies implementation and actor participation and can happen throughout a proces
  • Reach Consensus - An agreement to move on in the process; can only occur in the process, not at the end of the process.

Key Decision Description Paragraph

Each key decision is accompanied by a short paragraph describing the importance of the key decision to the overall transportation process. The paragraph also highlights significant facts about the key decision such as important relationships to other key decisions.

Decision Guide Structure - A User's Manual
The Decision Guide is basically a structure outlining the order and relationship for all of the key decisions that occur through four phases of transportation decision making. Between these key decisions are many smaller decisions and process steps that represent the technical transportation process. The philosophical basis of TCAPP is that collaboration at the highest level within any process requires collaboration at the steps that support the key decisions. In essence, institutionalizing collaboration at the key decisions is expected to foster collaboration in the supporting technical process; however, exactly how collaboration is implemented in the technical process will vary from state to state or region to region.

Key Decisions
Key decisions are the points in each phase of transportation decision-making that meet at least one of the following criteria: (1) requires approval from high levels of authority, (2) needs consensus among many decision makers, or (3) required by law or regulation.

The basic information at each key decision answers three main questions:

  • Who are the collaborative decision making partners?
  • What information do the decision makers need?
  • How does the technical process support making the decision?

The key decision information is presented in a tab structure. Each tab contains one or more tables of information needed for collaborative decision making. This information is the most basic structure of the Decision Guide and supports all of the information found in TCAPP. The information that follows provides greater detail about this structure and how it supports collaboration.

Level 1 - External view of the Decision Guide Each key decision is numbered sequentially within that phase. There are two ways to understand what is happening at that decision at this level: the hover text and the drop down title menu. As you scroll across the individual key decisions, you will see a pop-up text appear with a brief description of what occurs at each individual step. Below each phase (LRP, COR, PRO, ENV) is a drop down menu which provides the key decision number and corresponding title.

This view of the Decision Guide provides the primary transportation decision making process as currently mandated. When viewed through a specific application, the key decision titles remain the same, but the text in the pop-up box may contain more information specific to that topic. For example, LRP 2: Approve Vision and Goals generally refers to "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"; however, the importance of this key decision to performance measures is "Selection of performance measurement factors, based on vision and goals of the long-range plan." In this way the basic decision is supplemented by specific enhancements that may apply.

This pop-up is meant to quickly give an idea about what happens at that key decision, but its not enough information to build a collaborative process upon. For this more detailed information, you will need to click on the key decision numbered box.

Level 2 - Key Decision Data View
Information within each key decision is presented in a standard format. The following descriptions will acquaint you with the information provided and its structure.

Each key decision is provided with a number to place it within a phase of the Decision Guide and the sequence within that phase. The short title of the key decision states the primary action taken. Following the name and title is a brief description of the larger meaning of the decision and how it relates to other decisions, planning partners, and integration with external participants in the process.

tab image


Basics Tab

  • Purpose and Outcome
  • Partner Roles

Each key decision has a stated purpose and anticipated outcome. If this decision is federally mandated, the purpose and outcome will relate to this intent. In all cases the purpose and outcome are intended to be specific and concise.

Each of the four decision making partners usually have a role at the key decision. The partner roles (decision maker, advisor, and observer) will vary between the agencies at different key decisions. The "No Role" indication means that at this particular key decision, the partner has no formal responsibility. For a full understanding of the variation between the partner roles, see How Does My Agency Fit In?.

Integration Tab

  • Integration Type
  • Linkages to Other Phases of Transportation Decision Making

Integration in TCAPP refers to the involvement of external planning processes within transportation decision making. The table provides information related to data, analysis, or decision that is an input into transportation decision making from each of the six sub-processes: land use, air quality conformity, natural environment, human environment, capital improvement planning, and safety/security planning.

Linkages are an essential feature of the Decision Guide and necessary to support tiered decision making. The table provides the relationship to specific key decisions in other phases as well as what is linked and for what purpose. The linkages are a two way transfer of information. The use of the Decision Guide in an Application may result in additional linked information; however, the table in the Integration tab represents a basic requirement for a collaborative process.

Policy Questions Tab

  • Policy Questions
  • Questions to Incorporate Stakeholder Interests
  • Questions to Gather Stakeholder Interests

Questions represent a way to both solicit information and to validate that information has been considered. The Decision Guide uses a question format to identify essential information that must be collected and considered in a collaborative process. In some instances this may not include all of the transportation information that is used in the supporting technical process. However, when information is required in order to reach a collaborative decision, it has been identified.

The questions included in this tab represent those needed for a full consideration of both partner and stakeholder interests. They allow consideration of non-transportation options as solutions as well as ensure that stakeholders are both asked for input and informed of decisions reached and why.

Case Study Example Tab

TCAPP provides extensive case study examples in support of collaborative decision making. At the key decision level case study examples provide specific information relevant to the individual decision. The link provided to each case study takes the user directly to the pertinent text while providing the full report for additional information. To return to the key decision data from the case study report, you will need to use the back button.

Technical Support Tab

  • Supporting Data
  • Tools and Technology

The Technical Support tab links the technical process to the decision making process through the identification of data, tools, and technology that help policy makers as they approve or adopt the key decision. The identified data is needed to support the questions listed in the Decision Making Questions tab. The tools and technology categories identified are needed to support gathering, analysis, or communicating the data and information needed to inform partners and stakeholders.

Special Topics Tab

TCAPP provides the framework necessary to collect and combine additional information to support and enhance collaboration. Because the Decision Guide represents an organizing structure, more data can be added over time. The information in this tab is represented in topic-related tables to provide the user with additional information that may be considered at this key decision. Currently identified special topics include:

  • Performance Measures



  • Basics
  • Integration
  • Decision Making Questions
  • Case Study Examples
  • Technical Support
  • Special Topics

Purpose

This is a statement describing why this decision is made and why it is a key decision.

Outcome

This is a statement describing the product of the key decision.


Partner Roles

The foundation of TCAPP is the formation of collaborative relationships among partners. The four partners with decision making roles in the transportation process are: FHWA, State DOTs, MPOs, and resource agencies.

It is imperative to understand each partner’s role. The roles impact the influence a partner can have on a decision and shows each partner where their input is most needed and necessary. Partners know when and where they need to provide crucial information or advice. Partners without a specific interest in an individual key decision may participate as observers or may have no role. In this way the roles define those partners that must agree to the decision to move the process forward.

Each partner is assigned one of the following roles at every key decision based on their specific interests.

  • Decision Maker - 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 issues of concern. The advisor does not need to agree to the decision for the process to move forward, but may have decision-making power in subsequent key decision points or phases so agreement is preferable.
  • Observer - Limited involvement in the decision - kept updated but does not provide opinions or direction.
  • No Role - No participation in the KDP.


Integration with other Planning Processes

This information refers to the interaction between the transportation decision making process and other processes that have the ability to effect transportation decisions. For example land use planning may greatly impact the capacity needed in adjacent roads. Identifying these influences will ensure that important values and goals outside of the transportation process are recognized and accommodated early in the process.

There are six external processes that have been integrated into the transportation process: Land Use, Natural Environment, Human Capital, Air Quality, Capital Improvement, and Safety and Security. Not all of these will have a role at every key decision. To learn more about each specific external process, visit the Integrated Planning application.

The information provided in the first integration table identifies whether the integration is in the form of data, analysis, or decision that is being transferred from the external process: integration type. Other relevant information is provided for a more comprehensive understanding of the relationship between processes at the key decision.

Process

Integration Type

Integration Description

The external process that integrates with the current key decision

The manner of input that comes from the external process. There could be more than one integration type for an external process.

The specific information that is being integrated. It could be the elements of a plan, the specific piece of data, or the exact decision from the external process that partners at this key decision must consider to ensure the transportation process is also considerate of outside issues.

Linkages to Other Phases of Transportation Decision Making

This table identifies how the key decision is connected to other key decisions. One important aspect of TCAPP is that it supports a seamless transfer of information across phases or internal to transportation decision making. This feature is essential to prevent re-do loops.

Understanding and applying these linkages means that the partners at this key decision will recognize how their decision will impact specific key decisions in other phases. This recognition that the transportation processes are indeed linked should 1) encourage practitioners to produce information that can be used later and 2) remind them to look at information from previous key decisions.

Linkages to other Phases of Transportation Decision Making

Key Decision

What is Linked?

Purpose of Linkage

A key decision in a different phase that is linked to the current key decision.

Information transferred could be data, a decision, or an analysis.

Why the linkage is necessary to support a collaborative process.

The indication of To: or From: indicates whether information is transferred to the related key decision or being received from the key decision

DECISION MAKING QUESTIONS TAB

In order to support an individual key decision, partners must be convinced that their interests have been addressed. This consideration of a broad range of interests is the basis of collaboration. The four partners in the transportation decision making process (FHWA, State DOTs, MPOs, and resource agencies) have specific interests related to their organization’s mission in each phase. Visit "How Does My Agency Fit In" for a summary of each partner’s interest in each phase of transportation decision making.

Policy Questions

The questions listed are those the partners should discuss to ensure each partner’s interests are being captured or at least considered at this key decision. Asking these questions and participating in the ensuing discussions allows the partners to voice their desires and also understand when they may need to compromise in order to meet future interests.

Stakeholder Interests

Stakeholder interests are specific to the area they represent, and therefore cannot be considered without first gathering this information. In order to fully consider stakeholder interest, the questions are grouped into two types: questions to gather stakeholder interests, and questions to incorporate stakeholder interests.

Questions Partners ask to Gather Stakeholder Interests

These are questions that the policy makers ask the technical staff to determine which stakeholders have interests to protect at this key decision and to collect those interests for reference when making the actual decision. The answers to these questions should provide a comprehensive understanding of what the stakeholders consider important relevant to this key decision.

Questions Partners ask to Incorporate Stakeholder Interests

These are questions policy makers should discuss in order to make a decision. By asking these questions, the partners will consider the interests of stakeholders; building trust between the partners and stakeholders.


CASE STUDY EXAMPLES

Real-world examples are an extremely useful learning tool. In-depth case studies of successful practices in collaborative decision making in each phase of transportation decision making were used to inform the design of the Decision Guide. Key decisions are linked to supporting information within these case studies to the extent possible.

Case Study Example(s):

Case studies identified in this table link to a specific paragraph or section within the case study which provides support for the key decision. It is not necessary to read through an entire case study to find this example; however, full versions are available in the Case Studies section on TCAPP.

Supporting Data for the Decision Point

This table lists the specific data or information that is necessary to support the key decision. It may include previous plans, existing agreements, funding issues, and other information that the practitioner should collect for decision makers to consider.

Supporting Tools and Technology

At almost every key decision, there are tools that can support decision making or enhance collaboration between decision makers and stakeholders. Tools have three main uses: to gather information or data, to analyze data, and to communicate information or results. This table provides categories of tool and the associated use at the key decision, as well as a brief description of the tool’s purpose at the key decision.

Supporting Tools and Technology

Category

Detail

Gathering - Tools whose purpose is to gather data or information that can be placed directly in front of decision makers without any analysis required.

Analysis - Tools whose purpose is to evaluate data in order to produce a result that can be utilized by decision makers.

Communication - Tools that present information or decisions so that partners/stakeholders can understand the process and feel included.

The category or type of tool (with illustrative examples) recommended to support decision-making at the key decision along with the purpose for which it is intended.



SPECIAL TOPICS TAB

The Decision Guide will incorporate other research project results over time and this information will often be incorporated into the key decision data. The Special Topics tab will provide any information relevant to this key decision from topics such as performance measurement, greenhouse gas considerations, community visioning, and other areas of concern to transportation practitioners.

Key Decision Relationship to Other Topics

The information in this table provides an overview of the relationship between this key decision and other special topics. This may be a relationship with an external process, a new regulation, or any transportation decision making topic requiring collaboration.

Key Decision Relationship to Other Topics

Topic Description

Topic name/description

Explanation of the relationship to the decision making process, support for collaboration, and linkages to additional supporting information.



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