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11 Local and Regional Rail Freight Transport (AR040) 2.4.4 Funding Opportunities Freight Transportation Data (ABJ90) Motor Vehicle Size and Weight (AT055); Organizational requirements need to be identified to make Freight Transportation Planning and Logistics (AT015) effective use of available tools. Reauthorization should be Intermodal Freight Transport (AT045) monitored to maximize funding opportunities for institutional Urban Freight Transportation (AT025) arrangements; funded programs could affect the types of institutional arrangements that are developed. Effective insti- In response to the presentation, committee members offered tutional arrangements that can provide matching funds will the following input by category. be more competitive pursuing Federal funding. 2.4.1 Partner Involvement 2.5 Characterization of Freight Institutional Arrangements Building and sustaining private-sector involvement should be started at the grassroots level, involving private Each freight institutional arrangement is designed to meet companies in efforts to improve day-to-day urban freight the specific need of a group of stakeholders. The mission, or- operations. The private-sector is motivated by operational ganization, mandate, resources, processes--all the factors improvements; efforts to maintain or enhance operational that define an institutional arrangement--are designed to improvements provide opportunities to build communica- address the identified need. Institutional arrangements can tion and trust. FHWA is working to develop a workshop to be defined by issue or scale, function, and legal structure. engage the private sector in transportation planning. Cargo Each of these elements affects the make up of members and owners are difficult to engage; they see many institutional ultimately what the freight institutional arrangement can ac- arrangements as "all talk and no action"; they don't want to complish. An advisory committee or coalition that spans ju- be seen as potential funding partners; they are looking for risdictional boundaries may be categorized by regional- or reliability, velocity and cost savings--without this focus they corridor-level issues, may require memoranda of understand- will not participate. The private sector is stove-piped; ocean ing (MOUs), and may be housed within a regional trans- carriers, truckers, railroads, third-party logistics providers portation authority or be part of newly created coalition. As (3PLs), terminal operators, and warehouses often are insu- part of this research project, each of these approaches (i.e., lar and do not communicate well or often enough with one issue/scale, function, and legal structure) was considered as a other. possible way to organize focused guidance. 2.4.2 Implementation and Performance 2.5.1 Issue and/or Scale Arrangements that identify bottlenecks and improvements are useful, but implementation is critical. Focus on the ability The issue and/or scale of a freight arrangement directly of the institutional arrangement to produce its desired result; affects the identification of members, the scope of the project document what did and did not work. Identify the current (micro versus macro), the legal implications, funding oppor- limitations of institutional arrangements and provide guid- tunities, organizational format, and logistics. The following ance on how to improve them. Opportunity costs should be describes examples of scale: evaluated as part of the prioritization process. Gateway or Port--An arrangement that addresses the spe- cific needs of a gateway or port; a hub of freight activity like 2.4.3 Organization Evolution a port complex or international border crossing. Although there is no one-size-fits-all approach, it is im- Metro Freight--An arrangement that addresses the freight portant to provide advice on the key factors that make needs of an urbanized area; a network of local and state cor- an institutional arrangement succeed or fail. There is a need ridors and freight hubs, focused on access and distribution to refine and expand transportation planning institutions activities. at all levels, enable MPOs to deal with all aspects of urban State Freight--An arrangement that addresses the freight freight transportation, encourage states to create freight needs of a state; a network of highway or rail corridors offices and/or institutions, fill the gap at the multi-state providing key intercity, interstate, and international freight level, and strengthen the national freight program. There is flows. a strong need for more effective multi-state institutional Multi-State Network--An arrangement that addresses arrangements. the freight needs of multiple states; a national network of

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12 freight systems or a coalition of multiple states working to by geography into national, state/multi-state, and regional/ address freight issues of national or regional concern. local. Corridors--An arrangement that addresses the freight needs Public-benefit-corporation-based arrangements are iden- of a specific corridor; a defined buffer around a single facil- tified by the legal structure used to bring them into exis- ity or multiple transportation facilities working to address tence. The legal breakdown includes public authorities, a specific bottleneck. public corporations, and nonprofit corporations. Private-benefit-corporation-based arrangements are also 2.5.2 Function identified by the legal structure. The legal breakdown in- cludes joint-venture companies, publicly held companies, The functions of a freight arrangement dictate the types of and privately held companies. activities and processes that will be undertaken. Functions provide the architecture or foundation for what the arrange- Each legal structure was viewed from four angles: funding, ment is attempting to accomplish (e.g., plan, construct, and purpose, control, and governing arrangement. advocate). Examples of functions are as follows: The funding category considered the source of funds for the Policy and/or Advocacy--An arrangement whose func- tion is to establish policy as it relates to freight mobility arrangement. For public agencies the only funding source either at the national, state, or local level, providing a is public. Public-benefit corporations range in source from voice for the freight community. public, often self-sustaining through taxes, to public or pri- Planning--An arrangement whose function is to consider vate sources through dues, fees, and project revenues. Private freight mobility in long-range planning efforts. corporation funding is fully private. Capital Improvements--An arrangement whose function The purpose category considered the general purpose of is to provide for and help execute capital improvement each type of structure. Public agencies generally have a projects to enhance freight mobility, whether through public purpose while public-benefit corporations vary securing funding or public partner outreach. from narrow public function to private activities. Private Operations--An arrangement whose function is to oper- companies are in business for financial purposes. ate and maintain a freight facility or service to encourage The control category considered the basis for manage- freight mobility. ment of the structure. Public agencies are controlled by Regulation/Safety--An arrangement whose function is to the executive branch of a political jurisdiction. Depend- provide regulation for safe movements in freight trans- ing on the type of public-benefit corporation, the control portation, including enforcement. could be either public or private. Private companies are Research/Education--An arrangement whose function managed privately. is to provide research and an information-sharing plat- The governed by category considered the administrative form to enhance public and private knowledge about structure by which each type is governed. Public agencies fol- freight movement and its effects on the transportation low statutes and administrative regulations. Public-benefit system. corporations follow statutes, trust, or association. Private Forum--An arrangement whose function is to provide a companies are governed by owners or shareholders. forum for freight stakeholders to come together to iden- tify issues, build consensus, and collaborate on common Table 2-3 provides an overview of these legal structures. issues. 2.5.3 Legal Structure 2.5.4 Examples of Characterization Understanding the range of legal requirements or options The three elements described above provide critical input allows a group interested in forming a freight-related orga- to the character and make up of a freight institutional arrange- nization to know the capabilities and limitations of certain ment. Figures 2-1 through 2-3 illustrate the elements for three types of arrangements. Although the legal structure may not existing institutional arrangements. The function of an insti- define the mission of an arrangement, it directly affects the tutional arrangement provides the definition of the technical success of that mission. On the simplest level, freight institu- direction of an institutional arrangement and is responsible tional arrangements can be a public agency, a public-benefit for development of the mission, which brings together the corporation, or a private-sector company. stakeholders and/or partners and serves as the motivation for creating a freight institutional arrangement. Chapter 3 will Public-agency-based arrangements are identified by define and group institutional arrangements by functional their location in government. These locations are grouped characteristics.

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13 Table 2-3. Legal structures underpinning freight institutional arrangements. Government Public-Benefit Corporation Private Corporation Joint Publicly Privately National Regional/Local Public Public Nonprofit Venture Held Held Agency State Agency Agency Authority Corporation Corporation Company Company Company Public or Public/often Public/often private, self-sustaining self-sustaining Funding Public Public Public dues, fees, Private Private Private through taxes, through taxes, project fees fees revenues Public or private Private Private Private activities activities activities activities Narrow public Any public without with with with Purpose Public Public Public function function commercial monetary monetary monetary or monetary profit profit profit profit purposes purposes purposes purposes Executive Executive Executive Private, branch of a branch of a branch of a subject to Control Public Public Private Private Private political political political extensive jurisdiction jurisdiction jurisdiction disclosure Statutes and Statutes and Statutes and Owners Owners Owners Governed Board, trust, administrative administrative administrative Statutes/board Statutes/board and/or and/or and/or By association regulations regulations regulations shareholders shareholders shareholders Amtrak, USPS, Transit, port, Trade D/B & JB Hunt, Depts of state toll road, associations, DBFOM Delta HNTB, Examples Transportation, DOTs, Public universities, USDOT multistate United Way, consortia, Airlines, HDR, HEB Public Safety, Works, MPOs Corporation authorities Red Cross, terminal Jacobs Grocery Motor Vehicles for Public (TVA) universities railroads Engineering Broadcasting PANYNJ Port Authority of New York and New Jersey Issue/Scale Gateway/Port: Port of New York/New Jersey Primary Function Operations: Manages and maintains the seaport in addition to bridges, tunnels, bus terminals, airports and PATH. Secondary Function Planning: Identify and meet the critical transportation infrastructure needs of the bistate region's businesses, residents, and visitors. Secondary Function Capital Improvements: Undertake port and regional improvements not likely to be financed by private enterprise, including the development of major infrastructure. Legal Structure Public Authority: Board Commissioners are appointed by the Governors of NY and NJ. Issue/Scale Gateway/Port Metro Freight State Freight Multistate Network Corridors Function Policy/Advocacy Planning Capital Improvements Operations Regulation/Safety Research/Education Forum Legal Structure Public Agency Public Authority Not-for-Profit Private Firm Figure 2-1. Characterization example: Port Authority of New York and New Jersey.

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14 FMCSA CVISN Commercial Vehicle Information Systems and Networks Program Issue/Scale Multistate Network: Part of the National ITS Architecture sponsored by U.S. DOT Primary Function Safety: Support Federal Motor Carrier Safety Administration (FMCSA) mission to improve safety and security and reduce the number and severity of CMV crashes. Secondary Function Operations: Deploy the CVISN architecture in the 30 participating states. Legal Structure Public Agency: FMCSA Issue/Scale Gateway/Port Metro Freight State Freight Multistate Network Corridors Function Policy/Advocacy Planning Capital Improvements Operations Regulation/Safety Research/Education Forum Legal Structure Public Agency Public Authority Not-for-Profit Private Firm Figure 2-2. Characterization example: Commercial Vehicle Information Systems and Networks Program. CVSA Commercial Vehicle Safety Alliance Issue/Scale Multistate Network: Association of state, provincial, and Federal officials responsible for the administration and enforcement of motor carrier safety laws in the United States, Canada and Mexico. Primary Function Policy/Advocacy: Provide leadership to enforcement, industry and policymakers. Secondary Function Safety: Promote commercial motor vehicle safety and security by providing leadership to enforcement, industry, and policy makers. Legal Structure Not-for-Profit Issue/Scale Gateway/Port Metro Freight State Freight Multistate Network Corridors Function Policy/Advocacy Planning Capital Improvements Operations Regulation/Safety Research/Education Forum Legal Structure Public Agency Public Authority Not-for-Profit Private Firm Figure 2-3. Characterization example: Commercial Vehicle Safety Alliance.