1、 Acknowledgments This report was prepared for AASHTO by the Lexington, Kentucky office of Wilbur Smith Associates 2006, by the American Association of State Highway and Transportation Officials. All Rights Reserved. This book, or parts thereof, may not be reproduced in any form without permission of
2、 the publisher. Printed in the United States of America. ISBN: 1-56051-343-8 2006 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.1Framework for Self-Assessment Purpose The primary purpose of this Self-Assess
3、ment Guide is for state transportation agencies to evaluate their performance in carrying out the non-metropolitan local consultation process required by Federal law for statewide transportation planning and other state actions. The Tool could also be used by other participants in the process, e.g.,
4、 to provide the perspective of local officials and/or Rural Planning Organizations (RPOs). While there is a well-established formal consultation process for metropolitan areas to participate and/or interact with in the decision-making process by the state transportation agency, no such process has p
5、reviously existed for local officials in non-metropolitan areas. It has recently been recognized by state and national interests that consultation with local officials should be an integral part of statewide transportation planning and programming in non-metropolitan areas. Planning and programming
6、involve many steps, including: evaluation of existing conditions; forecasts of future socioeconomic and transportation data; development of alternative transportation projects, programs, and policies for existing and future conditions; evaluation of alternatives; fiscal analysis; and identification
7、of projects for implementation. Each step in statewide planning and programming has its set of parameters and procedures, e.g., the methodologies used for forecasts or the establishment of the criteria used for prioritizing projects. The involvement of local officials should be one of the major elem
8、ents in the state transportation agencys planning and programming process. Their input can provide important information, such as local knowledge about future economic development activities or a different perspective on needs, priorities, evaluation criteria, and potential impacts. Through this non
9、-metropolitan local consultation process, both the state transportation agency and the local and regional bodies can make better decisions and, therefore, provide better service to their citizens. Background The Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991 Set forth the legal req
10、uirement for state transportation agencies to consult with non-metropolitan officials as part of the overall statewide transportation planning and programming process; and Required consultation, not only for the transportation planning process, but also the funding of projects, programs, and policie
11、s to maintain and improve transportation systems. The Transportation Equity Act for the 21stCentury (TEA-21) of 1998 Continued the requirement for local consultation; and Required a study by the Federal Highway Administration (FHWA) to determine how well the states were doing. 2006 by the American A
12、ssociation of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.An Evaluation Tool for the Non-Metropolitan Local Consultation Process 2 Rural transportation workshops were conducted by Dye Management Group under the guidance of FHWA in 1998
13、 and 1999 to document states local consultation activities and share practices among the states. A May 2000 report documented a study by the National Academy of Public Administration (NAPA) which found that: Consultation with local officials is an essential component of transportation delivery syste
14、ms in the states; Consultation can be most useful for all parties if conducted using a framework of continuous dialogue on planning, programming, implementation, and feedback; States have different characteristics that must be considered in designing unique, state-specific, consultation processes; M
15、any different consultation processes are being used by state transportation agencies; No single process or set of practices will meet the consultation needs of all states; and Previous research and experience in other fields identified long-established principles of effective consultation that can b
16、e used to improve local consultation practices over time. A supplemental report was produced by the National Academy of Public Administration on Rural Transportation Consultation Processes in April 2001, which identified various state local consultation practices, such as: State consultation tours S
17、tate processes to compile transportation needs State hearings State processes for interactive exchange of views with local officials Use of RPOs Use of Metropolitan Planning Organizations (MPO) to coordinate with and/or plan for adjacent non-metropolitan areas Allocation of funds and/or responsibili
18、ties to local governments Placing local government representatives on state policy-making and advisory bodies Other “active listening” practices On January 23, 2003, FHWA and Federal Transit Administration (FTA) finalized their rulemaking for consultation with non-metropolitan local officials under
19、23 CFR Part 450. The key focus of this revision was to have a separate documented process for involving non-metropolitan local officials in the state transportation planning process and the development of the State Transportation Improvement Program. Technical corrections were made in the February 1
20、4, 2003 Federal Register to modify the definition of “non-metropolitan local official” to include both elected and appointed officials. In January 2004, AASHTO, with support from FHWA, sponsored a workshop in St. Louis to bring together representatives from 30 state transportation agencies, the Nati
21、onal Association of Counties (NACO), and the National Association of Development Organizations (NADO) to 2006 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.A Self-Assessment Guide for States 3discuss experi
22、ences and provide suggestions on implementing the final rule on Non-Metropolitan Local Official Consultation. Common features identified as important to the Non-Metropolitan Local Official Consultation process were: Adaptability over time and over different audiences Buy-in from local officials and
23、DOT staff by using tools/strategies targeted to a specific audience or a specific process Credibility, created by opportunities for meaningful input Descriptive consultation process that is well-documented Education of local officials and DOT staff to create motivation and capacity for participation
24、 by local officials Feedback to enhance the consultation process 23 CFR Part 450.212 (i) now requires that the state transportation agencies evaluate the effectiveness of the consultation process two years after the initial process implementation, i.e., by February 2006, and then every five years th
25、ereafter. The rule requires state transportation agencies to solicit feedback for improvement in the process for involving local officials from non-metropolitan areas of the state. What Is Self Assessment and Why Is It Needed? To ensure that the purpose and goals of the Non-Metropolitan Local Offici
26、al Consultation Process are being met, it is important to critically and honestly evaluate how effective each state has been in implementing the process. One means of conducting such an evaluation is through a self-assessment tool that can be used by an individual, a state agency, a local government
27、, a regional agency, and/or a group of interested agencies and stakeholders. Self-assessment tools typically have a checklist or matrix that (1) sets evaluation criteria, standards, and measures and then, (2) provides an organized, consistent methodology to assess (i.e., define, rate, rank, or weigh
28、) how successful the action, process, or program has been and to identify possible improvements in the process. What Are the Steps to Undertake a Self-Assessment Tool? Identify the core requirements for the non-metropolitan local official consultation process. Identify the components that must be pa
29、rt of the consultation process to satisfy the federal requirements. Identify special institutional, governance, and geographic characteristics of the state that require flexibility in the consultation process (and in the self-assessment tool). Identify current consultation strategies to address stat
30、e-specific consultation needs. Identify criteria, as well as standards/measures for the criteria, to assess the implementation of those strategies. Identify elements in the consultation process that are done well and those that need improvement based on the states criteria, standards, and measuremen
31、ts. Identify specific strategies and steps to improve the consultation process. 2006 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.An Evaluation Tool for the Non-Metropolitan Local Consultation Process 4 Ex
32、pectations The following Self-Assessment Guide is designed for state transportation agencies to assess their processes for consultation with non-metropolitan local officials during statewide transportation planning and programming. This self-assessment tool has been designed to be flexible so that i
33、t may be adapted to each states process. Based on the outcome of the self assessment, the tool should be used to identify opportunities and actions to improve the states local consultation process. The Self-Assessment Guide is organized by the major components of the non-metropolitan local consultat
34、ion process, as follows: Section 1: Commitment Section 2: Participation Section 3: Education Section 4: Communication Section 5: Outcome Section 6: Feedback Each section has specific questions to be answered and some statements of Self Assessment criteria to describe how well the state has performed
35、 on that element of the process. At the end of each section, an opportunity is given to indicate how successful the state has performed, based on these four measures: 1. Needs to Begin 2. Needs Substantial Action 3. Needs Some Action 4. Done Well Also at the end of each section, an opportunity is gi
36、ven to make notes on concerns and/or actions needed to improve the local consultation process. 2006 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.5Non-Metropolitan Local Consultation Process A Self-Assessme
37、nt Tool for States Section 1: Commitment Driving Factor: State transportation officials can serve as catalysts for envisioning, organizing, and sustaining a proactive and credible non-metropolitan local consultation process that provides opportunities for continuing active and meaningful input into
38、state transportation decision-making on planning, projects, programs, and policies. A. Has the state leadership shown a strong commitment by making non-metropolitan local consultation a priority in the statewide transportation planning process, project selection, and the development of projects, pol
39、icies, and programs? Self-Assessment Criteria: The state transportation agency has established a prescribed and documented non-metropolitan local consultation process. Key decision-makers in state government understand the local consultation process and the need for the process, and they have expres
40、sed and followed through on their commitment. State transportation agency officials have made a strong commitment to the non-metropolitan local consultation process by directing that non-metropolitan local officials must be given the opportunity to be actively involved in the states transportation d
41、ecision-making process. The state transportation agency has provided sufficient financial and staff resources to support the non-metropolitan local consultation process. The state transportation agency has established a continuing partnering and/or communications process with local and regional offi
42、cials, and their respective state organizations, to ensure the dissemination of information and gathering of input for the transportation decision-making process. Legal, policy, and organizational issues and concerns have been identified, at both the state and local level, and barriers to the local
43、consultation process have either been overcome or are actively being addressed. Applying Self-Assessment Criteria Select the statements that apply to your current status: the more positive statements that you have, the higher the level of performance. 2006 by the American Association of State Highwa
44、y and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.An Evaluation Tool for the Non-Metropolitan Local Consultation Process 6 Performance Rating: (Circle one rating that best describes your process.) 1. Needs to Begin 2. Needs Substantial Action 3. Needs S
45、ome Action 4. Done Well B. Is there a governing and management framework established to guide the non-metropolitan local consultation process? Self-Assessment Criteria: A specific office or staff has been assigned day-to-day responsibilities for implementation of a proactive and effective non-metrop
46、olitan local consultation process and for communicating and coordinating with the various participants. The state transportation agency has entered into agreements or a mutual understanding, as appropriate, with RPOs and/or local governments to carry out the elements of the non-metropolitan local co
47、nsultation process and to define roles and responsibilities for all participants. Performance Rating: (Circle one rating that best describes your process.) 1. Needs to Begin 2. Needs Substantial Action 3. Needs Some Action 4. Done Well C. Do the non-metropolitan consultation staff and participants h
48、ave a clearly defined mission and process? Self-Assessment Criteria: The overall mission and goals of the local consultation process have been clearly defined. The local consultation process mission and goals were established with input and concurrence from key state decision-makers and local offici
49、als. The mission and goals are consistent with carrying out a long-term process that is continuing, comprehensive, and coordinated among all participants. The state transportation agency has defined the types of actions and decisions to be addressed in the local consultation process. Key elements of the process have been identified that are critical to its success, and tasks and a schedule have b
