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NCFRP NATIONAL COOPERATIVE FREIGHT RESEARCH PROGRAM REPORT 2 Sponsored by the Research and Innovative Technology Institutional Arrangements Administration for Freight Transportation Systems

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TRANSPORTATION RESEARCH BOARD 2009 EXECUTIVE COMMITTEE* OFFICERS CHAIR: Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley VICE CHAIR: Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board MEMBERS J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, KY Allen D. Biehler, Secretary, Pennsylvania DOT, Harrisburg Larry L. Brown, Sr., Executive Director, Mississippi DOT, Jackson Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA William A.V. Clark, Professor, Department of Geography, University of California, Los Angeles David S. Ekern, Commissioner, Virginia DOT, Richmond Nicholas J. Garber, Henry L. Kinnier Professor, Department of Civil Engineering, University of Virginia, Charlottesville Jeffrey W. Hamiel, Executive Director, Metropolitan Airports Commission, Minneapolis, MN Edward A. (Ned) Helme, President, Center for Clean Air Policy, Washington, DC Randell H. Iwasaki, Director, California DOT, Sacramento Susan Martinovich, Director, Nevada DOT, Carson City Debra L. Miller, Secretary, Kansas DOT, Topeka Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore Pete K. Rahn, Director, Missouri DOT, Jefferson City Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson Tracy L. Rosser, Vice President, Regional General Manager, Wal-Mart Stores, Inc., Mandeville, LA Rosa Clausell Rountree, CEOGeneral Manager, Transroute International Canada Services, Inc., Pitt Meadows, BC Steven T. Scalzo, Chief Operating Officer, Marine Resources Group, Seattle, WA Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin Linda S. Watson, CEO, LYNXCentral Florida Regional Transportation Authority, Orlando Steve Williams, Chairman and CEO, Maverick Transportation, Inc., Little Rock, AR EX OFFICIO MEMBERS Thad Allen (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, Washington, DC Peter H. Appel, Administrator, Research and Innovative Technology Administration, U.S.DOT J. Randolph Babbitt, Administrator, Federal Aviation Administration, U.S.DOT Rebecca M. Brewster, President and COO, American Transportation Research Institute, Smyrna, GA George Bugliarello, President Emeritus and University Professor, Polytechnic Institute of New York University, Brooklyn; Foreign Secretary, National Academy of Engineering, Washington, DC James E. Caponiti, Acting Deputy Administrator, Maritime Administration, U.S.DOT Cynthia Douglass, Acting Deputy Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT LeRoy Gishi, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, DC Edward R. Hamberger, President and CEO, Association of American Railroads, Washington, DC John C. Horsley, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC Rose A. McMurry, Acting Deputy Administrator, Federal Motor Carrier Safety Administration, U.S.DOT Ronald Medford, Acting Deputy Administrator, National Highway Traffic Safety Administration, U.S.DOT Victor M. Mendez, Administrator, Federal Highway Administration, U.S.DOT William W. Millar, President, American Public Transportation Association, Washington, DC Peter M. Rogoff, Administrator, Federal Transit Administration, U.S.DOT Joseph C. Szabo, Administrator, Federal Railroad Administration, U.S.DOT Polly Trottenbeg, Assistant Secretary for Transportation Policy, U.S.DOT Robert L. Van Antwerp (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC *Membership as of October 2009.

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NATIONAL COOPERATIVE FREIGHT RESEARCH PROGRAM NCFRP REPORT 2 Institutional Arrangements for Freight Transportation Systems CAMBRIDGE SYSTEMATICS, INC. Fort Lauderdale, FL WITH GILL V. HICKS & ASSOCIATES, INC. Pacific Palisades, CA AND NETWORK PUBLIC AFFAIRS, LLC Long Beach, CA Subject Areas Planning and Administration Highway Operations, Capacity, and Traffic Control Rail Freight Transportation Marine Transportation Research sponsored by the Research and Innovative Technology Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2009 www.TRB.org

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NATIONAL COOPERATIVE FREIGHT NCFRP REPORT 2 RESEARCH PROGRAM America's freight transportation system makes critical contributions Project NCFRP-09 to the nation's economy, security, and quality of life. The freight ISSN 1947-5659 transportation system in the United States is a complex, decentralized, ISBN 978-0-309-11806-4 and dynamic network of private and public entities, involving all Library of Congress Control Number 2009938782 modes of transportation--trucking, rail, waterways, air, and pipelines. 2009 National Academy of Sciences. All rights reserved. In recent years, the demand for freight transportation service has been increasing fueled by growth in international trade; however, bottlenecks or congestion points in the system are exposing the COPYRIGHT INFORMATION inadequacies of current infrastructure and operations to meet the Authors herein are responsible for the authenticity of their materials and for obtaining growing demand for freight. Strategic operational and investment written permissions from publishers or persons who own the copyright to any previously decisions by governments at all levels will be necessary to maintain published or copyrighted material used herein. freight system performance, and will in turn require sound technical Cooperative Research Programs (CRP) grants permission to reproduce material in this guidance based on research. publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, The National Cooperative Freight Research Program (NCFRP) is FMCSA, FTA, RITA, or PHMSA endorsement of a particular product, method, or practice. a cooperative research program sponsored by the Research and It is expected that those reproducing the material in this document for educational and not- Innovative Technology Administration (RITA) and administered by for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. the Transportation Research Board (TRB). The program was authorized in 2005 with the passage of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU). On September 6, 2006, a contract to begin work was executed between NOTICE RITA and The National Academies. The NCFRP will carry out applied The project that is the subject of this report was a part of the National Cooperative Freight research on problems facing the freight industry that are not being Research Program conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. Such approval reflects the adequately addressed by existing research programs. Governing Board's judgment that the program concerned is of national importance and Program guidance is provided by an Oversight Committee comprised appropriate with respect to both the purposes and resources of the National Research of a representative cross section of freight stakeholders appointed by Council. the National Research Council of The National Academies. The NCFRP 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 Oversight Committee meets annually to formulate the research balance of disciplines appropriate to the project. The opinions and conclusions expressed program by identifying the highest priority projects and defining or implied are those of the research agency that performed the research, and, while they have funding levels and expected products. Research problem statements been accepted as appropriate by the technical committee, they are not necessarily those of the Transportation Research Board, the National Research Council, the RITA, or the recommending research needs for consideration by the Oversight Federal Highway Administration, U.S. Department of Transportation. Committee are solicited annually, but may be submitted to TRB at any Each report is reviewed and accepted for publication by the technical committee according time. Each selected project is assigned to a panel, appointed by TRB, to procedures established and monitored by the Transportation Research Board Executive which provides technical guidance and counsel throughout the life Committee and the Governing Board of the National Research Council. of the project. Heavy emphasis is placed on including members The Transportation Research Board of the National Academies, the National Research representing the intended users of the research products. Council, the Federal Highway Administration, the Research and Innovative Technology The NCFRP will produce a series of research reports and other Administration, and the National Cooperative Freight Research Program do not endorse products or manufacturers. Trade or manufacturers' names appear herein solely because products such as guidebooks for practitioners. Primary emphasis will they are considered essential to the object of this report. be placed on disseminating NCFRP results to the intended end-users of the research: freight shippers and carriers, service providers, suppliers, and public officials. Published reports of the NATIONAL COOPERATIVE FREIGHT 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

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COOPERATIVE RESEARCH PROGRAMS CRP STAFF FOR NCFRP REPORT 2 Christopher W. Jenks, Director, Cooperative Research Programs Crawford F. Jencks, Deputy Director, Cooperative Research Programs William C. Rogers, Senior Program Officer Eileen P. Delaney, Director of Publications Hilary Freer, Senior Editor NCFRP PROJECT 09 PANEL David L. Ganovski, David Ganovski & Associates, LLC, Berlin, MD (Chair) Christina S. Casgar, San Diego Association of Governments, San Diego, CA Gary Gallegos, San Diego Association of Governments, San Diego, CA Arthur Goodwin, Alameda Corridor Transportation Authority, Carson, CA Michael Huerta, MPH Consulting, LLC, Washington, DC Thomas O'Brien, California State University--Long Beach, Long Beach, CA George E. Schoener, I-95 Corridor Coalition, Reston, VA Sotirios Theofanis, Rutgers, The State University of New Jersey, Piscataway, NJ M. J. Fiocco, RITA Liaison Joedy W. Cambridge, TRB Liaison Elaine King, TRB Liaison Martine A. Micozzi, TRB Liaison

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FOREWORD By William C. Rogers Staff Officer Transportation Research Board This report describes successful and promising institutional arrangements for improving freight movement, now and in the future. It provides a resource, with 40 guidelines reflecting lessons learned from existing arrangements, designed to help agencies and industry represen- tatives' work together to invest in and improve the freight transportation system. The enclosed CD-ROM includes appendices consisting of a literature review, workshop material, detailed case studies, and interview guide. This report and the material provided in the appendices pro- vide guidance to elected officials, transportation planners, and the freight industry on the devel- opment of new and refinement of existing freight institutional arrangements. The freight industry is a unique blend of private- and public-sector organizations, each with its own objectives and constraints. Political and jurisdictional boundaries do not define market relationships, but can affect them. New forms of public-private, private- private, and public-public arrangements are needed to address challenges, particularly, increased congestion and delay on freight transportation corridors and hubs, that do not conform to government jurisdictions, geographic boundaries, or traditional dividing lines between government and business. Over the past several decades, public agencies and pri- vate businesses have begun developing innovative freight institutional arrangements to meet freight transportation challenges. As a result, public agencies are developing a better understanding of the freight transportation system and its needs, while private industry is becoming more knowledgeable about transportation planning programs. Under NCFRP Project 09, Cambridge Systematics, Inc., along with Gill V. Hicks & Asso- ciates and Network Public Affairs, LLC, developed a report that describes how to develop and sustain freight institutional arrangements. The report describes organizational and societal motivations for developing arrangements and the levers of influence for each of the parties in the arrangement (e.g., leadership, money, and regulation). The report also describes the factors that have contributed to or impeded the success of arrangements (including any fed- eral constraints) and made recommendations for advancing the state-of-the-practice. The report also presents an approach to developing and maintaining an arrangement, including: (a) methods for assessing the need for an arrangement and for defining its goals and scope; (b) types of institutional arrangements (from ad-hoc to formal) and factors that influence their selection; (c) methods to overcome common challenges to successfully implement and sustain an arrangement; (d) methods for evaluating the success, structure, and performance of an arrangement, including ways to measure benefits and costs to the parties of the arrange- ment; and (e) relevant tools and resources such as checklists, self-assessments, templates, memoranda of understanding, and model legislation.

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CONTENTS 1 Summary 2 Chapter 1 Introduction 2 1.1 Research Need 2 1.2 Research Objective 3 1.3 Organization of the Report 4 Chapter 2 Overview of Institutional Arrangements 4 2.1 Definition 4 2.2 Literature Review 7 2.3 Stakeholder Workshop 8 2.4 Follow-Up Interviews and Case Study Development 11 2.5 Characterization of Freight Institutional Arrangements 15 Chapter 3 Institutional Arrangement Types 15 3.1 Type I 16 3.2 Type II 16 3.3 Type III 19 Chapter 4 Suggested Guidelines for Establishing Freight Institutional Arrangements 19 4.1 Guideline Development and Application Process 20 4.2 Type I--General Guidelines 40 4.3 Type II Guidelines 47 4.4 Type III Guidelines 57 Chapter 5 Application of Guidelines 57 5.1 Getting Started 57 5.2 Effective Use of Guidelines 58 5.3 Conclusions 59 Appendixes and Supporting Material