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20 Type I Type II Type III Program establishment Needs identification Design Outreach Project preordination Construction Education Funding allocation Operations Consensus building Figure 4-1. Spectrum of guideline types. MVFC Mississippi Valley Freight Coalition transportation mobility by incorporating freight into estab- Nation'sPort Nation'sPort lished policy, planning, and programming activities. In some NRDC Natural Resources Defense Council-- instances institutional arrangements are created to promote a Southern California Clean Air Program specific project; in other cases, they provide an overall voice to SCNFGC Southern California National Freight the freight community. Institutional arrangements also can be Gateway Collaboration Agreement used to identify and allocate funding to specific improvement TCIFCG Trade Corridors Improvement Fund projects. The definition of the specific need and purpose of the Consensus Group institutional arrangement is a key to success. Given that a need and purpose are fundamental components 4.2 Type I--General Guidelines of an organization, all institutional arrangements presented illustrate the use of this guideline. Institutional arrangements To develop successful institutional arrangements for freight come in three basic forms: addressing a specific project-level transportation, basic guidelines must be followed. Many need, acting in an advisory role, or performing an advocacy arrangements have proven successful; many have been less function. Example 1-1 describes an organization focused on a successful. As described in Chapter 3, these arrangements can very specific project-level need and purpose while Example 1-2 be grouped by type. Although many arrangements meet the illustrates moving from a narrow focus to a broader purpose criteria of multiple types and/or evolve from one to the other over time. Example 1-3 illustrates the definition of the purpose over time, the underlying basis for all institutional arrange- within the documentation of the arrangement. ments can be encompassed in certain overarching guidelines, driven by a general set of success factors. The following pro- vides a set of universal guidelines designed to initiate a success- Guideline 2. Form deliberate strategies. ful arrangement. These universal guidelines should be reviewed Defining the need and purpose provides the overall objec- and considered for all three types of institutional arrangements. These guidelines are presented in sequence but can be used tive of the institutional arrangement; however, it does not independently based on the needs of the arrangement. define the action items or focus areas necessary to ensure Thirteen overarching guidelines have been developed as success. A set of deliberate strategies provides the participants summarized in Table 4-2. Each guideline is described and with a checklist of priorities that will guide the institutional illustrated using case study examples. Table 4-2 shows which arrangement's activities. These strategies provide a frame- of the 16 case studies illustrate use of which guidelines. Shad- work designed to achieve the established purpose. For freight ing indicates detailed examples for that guideline. All case transportation advisory committees, strategies may consist of studies are provided in detail in Appendix C. needs identification, consensus building, developing political support, and advising work program development. All these strategies or actions would be designed to promote freight Guideline 1. Identify need and purpose. transportation system investments in the region. The ability to The first step in developing a successful institutional arrange- complete these activities also allows the institutional arrange- ment is to define its purpose. Institutional arrangements ment to evaluate its level of success. For more specific insti- are developed to address a specific need. The definition and tutional arrangements, activities could include developing understanding of this need cut across all types of institutional specific evaluation criteria, establishing MOUs, and other arrangements. The development of a freight transportation processes necessary to implement a specific program or de- advisory committee enables a region to better plan for freight velop a stand-alone entity. These strategies are, in large part,

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21 Table 4-1. Summary of guidelines. Type I 1 Identify need and purpose 2 Form deliberate strategies 3 Seek the support of a champion 4 Identify and recruit stakeholders 5 Build political support 6 Develop information-sharing and outreach venues 7 Partner with academia 8 Engage stakeholders as needed 9 Secure dedicated funding and resources 10 Use consensus-based process 11 Ensure short- and long-term progress 12 Develop and use performance measures 13 Encourage cost sharing Type II 14 Define specific program elements 15 Develop implementation process 16 Establish protocols for implementation 17 Identify evaluation criteria 18 Define funding allocation process 19 Require on-time completion of projects 20 Require project audits 21 Perform site visits 22 Ensure focus stays on purpose/mission Type III 23 Build consensus on specific project parameters 24 Seek out champions and develop a diverse coalition of interest groups 25 Provide a neutral forum 26 Secure private-sector involvement/commitment 27 Develop mitigation strategy for project impacts 28 Establish clear decision-making authority 29 Remain focused on defined mission 30 Adopt a product orientation 31 Identify, monitor, and address obstacles 32 Develop partnership agreements 33 Negotiate third-party agreements early 34 Allocate risk between owner and contractor 35 Establish funding firewalls and sunset clauses 36 Consider design-build procurement 37 Understand how bond rating agencies make decisions 38 Establish cost-sharing structure 39 Maintain adequate contingency and reserves 40 Maximize use of available funding cycles

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22 Table 4-2. Summary of Type I--general guidelines. Nation'sPort CALMITSAC SCNFGC CREATE TCIFCG DVRPC FSTED FMSIB CVISN NRDC MVFC ACTA KCSP FTAC IRAP I-95 Guideline 1 Identify need and purpose 2 Form deliberate strategies 3 Seek the support of a champion 4 Identify and recruit stakeholders 5 Build political support 6 Develop information-sharing and outreach venues 7 Partner with academia 8 Engage stakeholders as needed 9 Secure dedicated funding and resources 10 Use consensus-based process 11 Ensure short- and long-term progress 12 Develop and use performance measures 13 Encourage cost sharing Note: Shading indicates that this is a detailed example of the guideline. Example 1-1. Alameda Corridor Transportation Authority The Alameda Corridor Transportation Authority (ACTA), a joint powers authority of the cities of Los Ange- les and Long Beach, is the governing entity responsible for one of the largest and most successful public works projects in Southern California, the Alameda Corridor. Combining capacity improvements and environmen- tal enhancements, the project dramatically improved railroad access to the largest port complex in the United States by consolidating harbor-related railroad traffic onto a single 20-mile corridor between the Ports of Los Angeles and Long Beach and the railroad mainlines near downtown Los Angeles. The issue identified in the beginning was the need to improve traffic conditions in the port area for both highway and rail corridors and to address the effect of this traffic on surrounding communities. The success of this project could not have been possible without a clear purpose to accomplish this goal. To achieve this success, ACTA's purpose has evolved over the life of the Alameda Corridor project. The original pur- pose was to design and construct the Alameda Corridor. Beyond this initial purpose, ACTA is responsible for making debt service payments and maintaining the right-of-way and related facilities. When the design and construction phase of the project was completed in 2002, the purpose of ACTA expanded to other areas including data collection for supporting initiatives, design, and construction of highway improve- ments; assisting in goods movement studies; investigating funding options for goods movement projects; and participating in additional railroad projects. ACTA's success story is defined by its ability to identify its purpose in the early stages of the Alameda Cor- ridor project. By working through a step-by-step process toward its goal, the organization that eventu- ally came to be ACTA was able to work through public and private concerns with a clear mission of where it was headed and remain focused on the railroad access problem to be solved.

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23 Example 1-2. Nation'sPort Nation'sPort is a non-profit organization formed to promote commercial freight interests in the New York/ New Jersey harbor area. In partnership with the Port Authority of New York and New Jersey (PANYNJ), Nation'sPort's initial focus was coordinating local private-sector support with the U.S. Army Corps of Engineers (USACE) to deepen the New York harbor and berth access. The group was successful in bringing USACE's attention to the issue and the dredging project is on track for completion in 2014. Once this initial goal was achieved, the entity remained dormant until 2006 when it was urged to under- take a new, broader purpose of promoting sustainable goods movement through a comprehensive logistics system while enhancing the region's economy. This restructured mission for Nation'sPort pro- vided a new direction for the entity. This new purpose allows Nation'sPort to focus on gathering the sup- port of both public and private stakeholders in the success of the mobility of goods in the port region. It continues to develop a strategic freight logistics plan that will guide its efforts. It sees its mission as mainly strategic rather than project oriented. It is working in partnership with PANYNJ to reach out to as many stakeholders, public and private, as possible to advance freight logistics in the harbor area. Nation'sPort is an example of an organization redefining itself as the need originally identified changed. Being sensitive to the changing environment has allowed Nation'sPort to make changes as necessary to fur- ther its purpose. Example 1-3. Southern California National Freight Gateway Collaboration Agreement The Southern California National Freight Gateway Collaboration Agreement was signed by 19 Federal, state, and local government agencies (including 3 Southern California ports) on October 12, 2007. The three-page agreement documents these agencies' intent to collaborate on the challenges of growing freight volumes in Southern California, coupled with limited infrastructure capacity and funding and unacceptable environmental and human health impacts associated with freight movement. The agreement among numerous agencies at several levels of government is a testament to the success in demonstrating the need for collaboration. Such collaboration is unusual, but in an arena where transporta- tion, environmental, and economic factors are all relevant, the senior agency leaders were clearly persuaded and motivated to offer their commitment to a new effort. The purpose for the collaboration was docu- mented in the agreement itself: The purpose of this agreement is to promote cooperation, coordination, and collaboration among the sig- natories to advance projects for sustainable and efficient freight transportation operations while all signa- tories pursue their normal responsibilities under the law. This agreement is not intended to limit, increase, or affect the authority of any agency under the law. The undersigned agree to cooperate with all stakehold- ers in the Area to improve freight throughput capacity while protecting and enhancing the natural and human environment. covered by the guidelines provided in this document; how- to raise awareness of its freight-related mission. Example 2-2 ever, creating a plan early in the process will help determine is a regional example where the leadership formed strategies the direction of the institutional arrangement. early on to keep members engaged. Institutional arrangements considered successful have clearly identified strategies that help keep the organization fo- Guideline 3. Seek the support of cused on its mission and members engaged. For instance, a champion. Kansas City SmartPort (KCSP) has employed specific mar- keting strategies to achieve its mission. Example 2-1 illus- Institutional arrangements typically consist of various stake- trates a state-based organization that has developed strategies holders who come together for a common purpose. However,

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24 Example 2-1. California Marine and Intermodal Transportation System Advisory Council The California Marine and Intermodal Transportation System Advisory Council (CALMITSAC) is a multi- stakeholder group that has been meeting since 2001 to raise awareness of the importance and needs of California's port and marine transportation system. Since its formation, CALMITSAC has been creating spe- cific strategies to deal with the growing quantity of maritime cargo handled by the California ports. The group's first milestone publication came in 2003, California Marine Transportation System Infrastructure Needs. This report represented the first consensus listing of maritime infrastructure projects needed statewide. In 2004, Assembly Bill 2034 was passed into law requiring CALMITSAC to produce a strategies plan to the legislature. This plan, Growth of California Ports: Opportunities & Challenges, was delivered in April 2007 and included 54 specific recommendations on the following topics: economic growth, environment, project priorities, funding, intermodal trucking availability and terminal productivity, legislation, marine transportation system security, and education. Every 2 years, a report is written by a CALMITSAC member with an academic affiliation who conducts exten- sive research and works closely with the Council to frame each report. These biannual Strategic Analysis reports serve as the main educational and outreach vehicle for state and Federal lawmakers for the orga- nization. In addition, these reports lay out recommendations for action to foster the development of a marine transportation system in California that is safe, secure, efficient, environmentally sound, and can expand to meet the demands of the global economy. By producing regular written consensus reports that are of high quality, based on objective research and statistics, and contain recommendations for action on several mission areas including security, infrastructure, environment, and competitiveness, CALMITSAC has created deliberate strategies that have helped the group support its state-oriented mission of raising local and national awareness on the importance of California's ports and maritime system. Example 2-2. Delaware Valley Regional Planning Commission--Goods Movement Task Force The Delaware Valley Regional Planning Commission (DVRPC) Goods Movement Task Force (GMTF) is a freight advisory committee composed of about half private sector and half government representatives. Meeting since 1992, it has successfully built relationships among its members and improved their collective under- standing of the Philadelphia region's freight system through planned strategies. The task force was formed to give freight a stronger voice in the regional transportation planning process. The GMTF's purpose is to maximize the Delaware Valley's position in the global economy by promoting local freight operations and implementing a regional goods movement strategy. It has ensured this happens by taking specific steps to keep the freight industry engaged and working together. One strategy, employed by the Executive Committee, is to develop a theme for each year and plan all quarterly meetings around this theme. This helps members to know ahead of time what topics will be discussed. In addition, the task force clearly defined its structure so that it is organized into logical, pertinent subcommittees making the most use of the members' time for each meeting. Finally, the leadership uses membership involvement strategies (e.g., tours and speaking engagements) to help members learn from one another and provide valuable insight to the GMTF discussion. These and other strategies have ensured that freight is effectively represented and included in the regional transportation planning and programming processes. In addition to awareness, the common understanding and regional freight focus fostered through the GMTF has resulted in funding for freight-specific infrastruc- ture improvements in the Delaware Valley region.

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25 in order for the institutional arrangement to achieve success, improved efficiencies in business practices. In these instances, it is critical to have the support of a champion. A champion can the champion often must provide the architecture or frame- take several forms: an elected official, a dedicated staff person, work as well as a range of incentives to stimulate participation. or a lead organization that may campaign toward a legislative Examples of champions were found in many of the entities mandate for implementation or for the funding needed to interviewed. For instance, the Miami-Dade Freight Trans- accomplish the defined goals. The champion often is in the best portation Advisory Committee (FTAC) has enjoyed the tireless position to promote the common purpose, provide dedicated effort of a coordinator who makes sure the council meets to staff and funding, or serve as an objective contracting agent. As discuss important freight issues to provide recommendations the key motivator, the champion is responsible for keeping to the MPO. In the case of the Maine DOT Industrial Rail Ac- other stakeholders engaged. This requires a common goal, cess Program (IRAP), the Maine DOT fully supports the pro- showing evidence of progress/success, and a tireless commit- gram and sees the importance in the mission of the program. ment to motivate participation. A local or regional freight task The Mississippi Valley Freight Coalition (MVFC) executive force can be used to identify, prioritize, and fund specific im- officers have championed their effort through an MOU and provement projects. In this case, the champion must be in a po- pooled funds. Example 3-1 illustrates the outcome of a dedi- sition to follow through with implementation of these improve- cated lead agency championing the effort for the CVISN Pro- ments to be effective. More formalized programs can also be gram while Example 3-2 shows how losing a champion can developed through public and private participation to facilitate affect the institutional arrangement. Example 3-1. Commercial Vehicle Information Systems and Networks The Commercial Vehicle Information Systems and Networks (CVISN) Program provides a framework for organizing, deploying, and funding the implementation of technology to automate various motor car- rier regulatory and safety enforcement functions. The program is managed by FMCSA. Although deploy- ment planning and implementation of the program requires the full participation of FMCSA, state agen- cies with motor carrier safety or regulatory responsibilities, and industry, FMCSA is the champion, providing the national reach to unite a diverse set of public and private stakeholders and incentivize investments in new business and enforcement processes and technologies. FMCSA cannot achieve its mission of reducing crashes involving trucks and buses without the support of the states, which are responsible for administering and enforcing commercial vehicle regulations. States, on the other hand, typically cannot fully finance the technology infrastructure required for CVISN, nor are individual states well-suited to coordinate activities across states to promote uniformity and stan- dards. States wishing to receive Federal CVISN funds must enter into formal partnership agreements with FMCSA. These agreements (1) specify what is required of states in order to qualify for and receive CVISN grant money and (2) outline what they can expect from FMCSA. In general, FMCSA has primary responsibility for managing and overseeing the CVISN program at the national level, including evaluation of the effectiveness of the program. States are responsible for planning, deploying, operating, and maintaining their CVISN architecture and services. Example 3-2. Chicago Region Environmental and Transportation Efficiency Program The Chicago Region Environmental and Transportation Efficiency Program (CREATE) is a public-private part- nership created in 2003 that includes the state and city transportation departments, passenger rail services, and six of the largest North American freight railroads. The CREATE Program consists of approximately 78 projects of national and regional significance aimed at addressing existing and future congestion issues on the rail system, which, if not addressed, are expected to bring adverse effects to the national economy and the transportation system. In order to complete the 78 projects, Federal funding is necessary. (continued)

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26 Example 3-2. (Continued) In 2005, the CREATE Program lost its strongest champion at the Federal level when a former member of several subcommittees of the House Transportation and Infrastructure (T&I) Committee, including the T&I Subcommittee on Railroads, retired just before SAFETEA-LU authorization. It was then left to others to champion the project during final Congressional deliberations, which may have resulted in CREATE not receiving the Federal funding anticipated from the Projects of National and Regional Significance (PNRS) Program in SAFETEA-LU. It had requested $900 million in Federal funding in addition to state, local and private contributions but, instead, it only received $100 million, which has been released in increments. CREATE's goals could be advanced with strong champions throughout the nation who recognize the national significance of the program and will support the lobbying efforts to secure more funds in the next Federal transportation authorization. Without a strong champion at the Federal level who will help secure a dedicated funding source, the program will continue to be implemented in phases, resulting in significant delay. Guideline 4. Identify and recruit ers can be organized to solve a key freight bottleneck that is big- stakeholders. ger than an individual agency or company. It is critical that the individual stakeholders represent affected agencies and com- One of the key success factors for an effective institutional panies as well as being leaders and decisionmakers who can en- arrangement is identifying and recruiting stakeholders to sure the commitment of resources. achieve the defined purpose or mission. Given that freight Many entities have successfully identified and recruited transportation is, in large part, driven by the private sector, this stakeholders to achieve the defined purpose or mission such as requires a mix of public and private stakeholders--public CREATE, which united several public and private parties to ad- transportation agencies and authorities to drive the funding, dress a freight bottleneck in the region; DVRPC, which reaches permitting, and programming of projects and private trans- out to various freight-related entities to join in the transporta- portation companies to drive the needs identification, priori- tion planning process for a region; and KCSP, where investors tization, and buy-in for specific projects and programs. To re- are stakeholders representing a mix of public and private part- cruit the appropriate partners successfully, a win-win scenario ners. Example 4-1 shows an organization that successfully must be defined and promoted. A group of like-minded stake- reached out to a wide range of stakeholders to ensure the right holders can be brought together to promote mutual benefits at individuals participated and contributed to the overall mission a regional level to drive economic development, mobility, and of the group. Example 4-2 discusses an entity that is building overall competitiveness. At a specific project level, stakehold- its membership after broadening its mission over time. Example 4-1. California Marine and Intermodal Transportation System Advisory Council The California Marine and Intermodal Transportation System Advisory Council (CALMITSAC) was created as a California-focused group to help the state develop a strategy to deal with the growing amounts of maritime cargo being handled by the California ports. This group of like-minded stakeholders was needed in order to act effectively in concert and address California's marine transportation system issues. As a result, a mix of public and private stakeholders were identified and recruited, including State legislative staff, Maritime Administration (MARAD) officials, the Marine Exchanges of Northern and Southern California, the California Association of Port Authorities, the Pacific Merchant Shipping Association, the California State Lands Commission, academics in trade and transportation fields, labor unions, and waterfront employers. This multi-stakeholder group, later referred to as CALMITSAC, has been meeting since 2001 to raise awareness of the importance and needs of California's ports and marine transportation system. One of CALMITSAC's key success factors has been its ambition to bring a wide range of stakeholders together to ensure that the right individuals participate and contribute to the overall mission of the group.

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27 Example 4-1. (Continued) As a result, CALMITSAC has continued to broaden its membership to include stakeholders who will iden- tify, prioritize, and recommend actions to improve California's maritime transportation system, making sure they represent affected agencies and companies like the California Chamber of Commerce and the BNSF Railway Company, as well as leaders and decisionmakers such as the California Department of Trans- portation and the California Business, Transportation, and Housing Agency. Most recently, the group has reached out to a major national environmental group, the Natural Resources Defense Council, which is working to reduce the pollution levels and community impacts produced by California's port operations. By identifying and recruiting this wide range of public and private stakeholders, CALMITSAC has proven that it is possible for diverse members to look past their individual agendas in service of CALMITSAC's overall mis- sion to foster the development of a marine transportation system in California that is safe, secure, efficient, environmentally sound, and capable of expanding to meet the demands of the global economy. Example 4-2. Nation'sPort Nation'sPort is a non-profit organization formed to fulfill the need to create a single organization that would serve as a voice for a full range of freight interests in the Ports of New York and New Jersey region. There was no umbrella organization to bring the needs of these stakeholders together in a cohesive fashion. Therefore, one of its challenges has been to integrate the various public and private sectors' needs and expectations into one single voice advocating for the Ports of New York and New Jersey. Nation'sPort began primarily as a private-sector group that is now motivated by the desire to encour- age the general public's interest in the Port. However, it recognized the need to promote the benefits of the Port in terms of economic development, freight mobility, and overall competitiveness at the regional level. To do this, a mix of public- and private-sector members needed to be represented. As a result, Nation'sPort became a more formal structure consisting of five standing committees dealing with specific issues (Inland Transportation, Port, Land Use & Development, Labor & Workforce Devel- opment, and Technology & Systems Integration). Each committee represents a diverse constituency tailored to each issue. For example, the Inland Transportation Committee includes members from trucking, railroads, construction, engineering, communities, and planning agencies, while the Labor & Workforce Development Committee involves representatives from employment and training organi- zations, educational institutions, and a range of employers. Nation'sPort also intends to establish an Advisory Board made up of local and state governmental entities concerned with freight transporta- tion. It expects to get the New York and New Jersey MPOs and state DOTs involved, expand union involve- ment, and build positively on the established working relationship with the Port Authority of New York and New Jersey. In conclusion, Nation'sPort has recognized the importance of including a mix of public and private members in order to have the appropriate stakeholders and resources to encourage a strong regional collaboration and integrate the various constituents' needs and expectations into a regional logistics strategy for the Port's region. Guideline 5. Build political support. more difficult to engage stakeholders, solicit dedicated fund- ing, and implement recommendations. In the most extreme The success of an institutional arrangement is directly linked cases, support can result in a mandate that provides the author- to its political support. Although many institutional arrange- ity to implement specific actions. Recommendations from ments are technically driven in nature, the ability to implement an advisory committee are given more credence when the specific objectives is directly affected by the support of commu- members are politically appointed. In some instances, legisla- nity and business leaders. Without political support, it may be tive bodies can create new funding programs designed to tackle

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28 freight mobility issues. Political support is one of the key suc- collaboration among members toward their funding goal. cess factors for most institutional arrangements. Example 5-1 illustrates an organization that employed vari- The degree of political support for the organizations that ous levels of political engagement to rally the support needed were studied varied. In some cases (such as, CALMITSAC), to be successful. Example 5-2 shows the effect of having this support resulted in a state-legislated mandate. In others, strong political support to bring the public and private sec- such as TCIFCG, local political support resulted in greater tor together. Example 5-1. Freight Mobility Strategic Investment Board The Freight Mobility Strategic Investment Board (FMSIB) is an independent state agency created by the Washington State legislature in 1998 to implement a strategic investment program exclusively for freight mobility needs. The 12-member board evaluates and scores project applications every 2 years using rigorous evaluation criteria that are competitively neutral across jurisdictions and modes. The FMSIB also advocates for funding at the state and Federal levels, in addition to advising the State legislature on freight trends and concerns. Because FMSIB can count on the political support of the State legislature, the private carriers, and the local communities, it has been able to fund and complete strategic investment projects to improve freight mobility in the State of Washington. First, being created by the legislature gave FMSIB clear statutory guidance with defined roles, responsi- bilities, and goals to improve freight mobility in the region and, to some degree, promoted FMSIB as the authority for freight investments in the region. Elected leaders became freight champions, which has been crucial when advocating for funding at the state and Federal levels. In addition, FMSIB has had the support of the private freight carriers (shipping, trucking, and railroads). The Board, appointed by the Governor, includes a member of each private carrier industry and, as such, the private-sector Board members are directly involved in the decision-making and project selection process. This has resulted in a greater willingness of the private carriers to participate in planning and to secure private partners and private funds to leverage the largest amount of non-state funds necessary to improve the movement of freight in the State of Washington. Finally, as its mission states, FMSIB is charged with finding solutions that lessen the traffic and environ- mental impacts on local communities. The project prioritization and scoring process has bonus points for projects that reduce environmental impacts and improve environmental benefits (i.e., reduce vehicle emissions, reduce train whistle noise in crossing vicinity, and improve local air quality). As a result, local communities also support FMSIB's projects. Example 5-2. Chicago Region Environmental and Transportation Efficiency Program The Chicago Region Environmental and Transportation Efficiency (CREATE) Program is a public-private partnership created in 2003 that includes the state and city transportation departments, passenger rail services, and six of the largest North American freight railroads. CREATE is aimed at addressing existing and future congestion issues on the rail system, which are expected to bring adverse effects to the national economy and transportation system if not addressed in the near future. One of the key factors of the CREATE Program's success in being recognized as a project of regional and national significance has been the strong political support from all of its stakeholders. Since its genesis, a strong leadership presence from political leaders has helped bring private industry into the project design process. Support from communities and freight organizations was also achieved thanks to the political leaders at the Chicago Department of Transportation (CDOT) and at the Illinois Department of Transportation (IDOT) who have actively promoted the benefits of CREATE to gain public support for the projects. Over 15 businesses have produced letters of support stating how the CREATE Program improve- ments will benefit their businesses. To add significant local resident appeal for neighborhoods bisected

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29 Example 5-2. (Continued) by freight lines and obtain their support, several key grade separation improvements were also included in the overall list of projects. In the end, the support of political leaders, private and public partners, businesses, and local communities promoting not only the local and regional benefits but also the national benefits made the case for invest- ing in CREATE projects. This helped position the project to better compete for the Projects of National and Regional Significance (PNRS) Program dollars. As a result, CREATE received funding from the PNRS Program and is recognized nationally as a single project that will benefit the movement of goods and passengers. Guideline 6. Develop information-sharing ment's mission or purpose. In some instances, this consists and outreach venues. purely of information sharing and education relative to freight transportation system needs. It can also consist of orga- Most institutional arrangements specialize in informa- nized, formal solicitation of stakeholder input on project tion sharing, outreach, and education. These activities are identification and priorities within established transportation responsible for building consensus on needs and priorities, programs. educating communities and stakeholders about the impor- Information sharing takes on many forms (e.g., the I-95 tance of freight transportation, and ensuring that all inter- Corridor Coalition's development and distribution of "les- ested parties are current on developments and activities sons learned" reports and participation in industry confer- associated with the institutional arrangement. E-mail distri- ences). Nation'sPort has provided a forum for all members bution and website development, along with brochures and to provide input into the entity's strategic planning process. newsletters, are effective tools for defining the identity of Example 6-1 provides detail on an organization that used an the institutional arrangement, distributing information, extensive marketing program to reach potential stakehold- and soliciting feedback and input. Project awareness helps ers. Example 6-2 focuses on information sharing as a way to build support and acceptance of an institutional arrange- improve the understanding of freight in its region. Example 6-1. Kansas City SmartPort Kansas City SmartPort, Inc. (KCSP) is a non-profit, investor-based economic development organization supported by both the public and private sector. It was formed in 2001 to promote and enhance the 18-county, bi-state Kansas City region as a leading North American logistics hub. KCSP has encouraged regional economic growth by attracting logistics businesses to locate in the region and has promoted the efficient movement of goods by facilitating freight information to key stakeholders. KCSP is a strong example of an organization that has been able to define its mission of positioning the Kansas City region as a top logistics hub thanks to an assertive marketing and media campaign that branded the region as "America's inland port solution." The marketing outreach has included marketing trips, trade missions, presentations, brochures, newsletters, and events that have helped build consensus on KCSP's mission at the local, regional, and national level. Overall, KCSP serves as the clearinghouse for all the freight-related information in the region. KCSP main- tains a comprehensive database of available logistics sites, freight service providers, educational and training opportunities on supply chain management, and relevant news and articles, making it easier for potential logistics business customers or clients to be better informed when they want to relocate to the region. Having all this information available in one location on the KCSP website (www.kcsmartport.com) has facilitated the communication among all freight stakeholders in the region. The website is KCSP main resource to educate public and private stakeholders and to ensure all interested parties are current on developments and opportunities associated with freight-related businesses in the region. The website and outreach venues mentioned earlier have been valuable tools effectively used by KCSP to promote itself as the freight umbrella group of the Kansas City region.

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30 Example 6-2. Mississippi Valley Freight Coalition The Mississippi Valley Freight Coalition (MVFC) is a regional organization created in 2006 to cooperate in the planning, operating, preservation, and improvement of the transportation infrastructure in the 10-state Mississippi Valley region. Its charter specifies three objectives to develop information sharing and outreach venues to support the coalition's mission of maximizing the operational efficiency of the freight transportation system in the region. These objectives are Share information to improve the understanding of freight issues and the management of freight services and facilities; Reach out to and share ideas with the private sector on how to make freight-flow efficient; and Gather, analyze, and share information on the movement of freight with sister agencies and private sector interests. The MVFC has successfully achieved these three goals thanks to the effective communication that exists within the MVFC committees and outside the Coalition. By having newsletters, workshops, a user-friendly website, and other marketing materials, all parties interested in improving freight mobility in the region are kept informed and involved in the MVFC efforts. Staff reports quarterly on the progress of the MVFC projects and keeps the states in a dialogue on what is happening with the Coalition's efforts. At least annu- ally, a workshop conference is held to bring all regional freight stakeholders together to share ideas with the ultimate goal of providing a learning experience for all members. By keeping all committee members, the private sector, other public agencies, and advocacy organizations informed of recent news that may affect the Coalition's efforts or affect freight in the region, the MVFC ensures everyone is engaged with what the Coalition is doing while providing a common voice for the region's freight transportation issues. Guideline 7. Partner with academia. focus on research, outreach, and consensus-building activi- ties. It is less involved in institutional arrangements designed Over the years, academia has played an important role in to prioritize and fund improvement projects or establish new many institutional arrangements. In fact, some are housed in authorities. or led by transportation research centers at universities. Fewer examples are available for institutional arrangements Academia provides many resources, including staff, research that have partnered with academia; however, it is important funding, stakeholder outreach, and continuity over time. In to note the success of the ones that have reached out to this addition, universities can provide a neutral forum for discus- source. Example 7-1 illustrates how an institutional arrange- sions among a diverse set of stakeholders. For many institu- ment administered by a university program can benefit from tional arrangements, these resources are critical factors for the neutral perspective of the university environment. Exam- ongoing success. In addition, some have been the motivator ple 7-2 points out the success of other academic opportu- for developing freight transportation coalitions. Academia nities through intense study programs in current subject typically involves itself in institutional arrangements that matter related to freight transportation. Example 7-1. Mississippi Valley Freight Coalition The Mississippi Valley Freight Coalition (MVFC) is a regional organization created in 2006 to cooperate in the planning, operating, preservation, and improvement of transportation infrastructure in the 10-state Mississippi Valley region. It is administered by one of the University Transportation Centers (UTCs) spon- sored by the U.S. DOT at the University of Wisconsin--Madison, the National Center for Freight and Infrastructure Research and Education (CFIRE). As the administrator, facilitator, and coordinator of the Coalition, CFIRE serves as an external entity that is not associated with any of the state DOTs. In addition,

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31 Example 7-1. (Continued) while the center is responsible for research and education efforts for freight infrastructure at a national level, as the Midwest Regional UTC it is in a position to independently facilitate the collaboration of all 10 states rather than one of the states facilitating the Coalition. It is the UTC's mission to work for the benefit of the region, not a particular state, which brings objectivity to the Coalition's work. Furthermore, since CFIRE partners with other universities in the region (University of Toledo in Ohio, University of Illinois-- Chicago, University of Wisconsin--Milwaukee, and the University of Wisconsin--Superior), it can provide a comprehensive geographical perspective of the region. CFIRE's research and technical capabilities are a tremendous asset to the MVFC and have resulted in a win-win scenario. As a research institution, CFIRE is always aware of the latest initiatives, developments, technologies, and tools, and it applies that knowledge to the benefit of the MVFC projects. University research assistants benefit from being exposed to real transportation projects while working toward a graduate degree and are also less expensive than private consultants; therefore, the MVFC can complete more projects within a limited budget. But above all, partnering with academia has offered MVFC objec- tivity and a different perspective to maximize the operational efficiency of the freight transportation system in the region through the university environment. Example 7-2. I-95 Corridor Coalition The I-95 Corridor Coalition is a group of stakeholders representing various organizations along the length of the I-95 corridor traversing the East Coast of the United States. The organizations include transporta- tion agencies, toll authorities, public safety groups, and transportation industry associations. This multi- jurisdictional cooperative effort aims to improve the transportation conditions along the I-95 corridor. The strength of the Coalition lies in its ability to provide objective analysis in order to address transporta- tion problems in a manner that transcends individual organizations. The coalition is continually working to create an effective approach to an ever-changing political and technological landscape with particular emphasis in areas such as information exchange. The Coalition provides training to further the education of its members. The Consortium for ITS Training and Education (CITE) is an international consortium of universities that is using distance learning technologies to educate professionals in the latest technologies and applications. The Coalition also supports two academies, the Operations Academy and the Freight Academy, that provide participants from Coalition member agencies and others from around the country with opportunities for immersion in current subject matter for periods of a week or longer. Although not housed in a university, the Coalition provides academic opportunities to train and inform its members on current issues in the freight industry to better respond to the constantly shifting environment of freight logistics. Coalition members directly benefit from Coalition investments in education programs. Guideline 8. Engage stakeholders as needed. tion. It is important to take into account the interests of the private sector (e.g., promoting lower shipping costs, The success of an institutional arrangement often is improved velocity, and greater reliability of shipments). driven by its ability to generate ongoing, long-term stake- Considering these issues will help keep the private sector holder involvement. Although many stakeholders may involved. Many programs have adopted short-term quick- originally agree to participate in an institutional arrange- fix elements to their programs to ensure that stakeholders ment, it can become increasingly difficult to engage them remain involved. As programs advance, stakeholders over time. Showing significant progress and forward mo- should only be engaged when there is a concrete purpose-- mentum is critical, especially for private-sector participa- i.e., the group should not meet just to meet. A lack of a

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32 substantive agenda and program will lead to reduced par- holds leadership symposiums and meets across the state to ticipation over time. maintain and encourage attendance at its meetings. Exam- Many examples exist of entities engaging stakeholders ple 8-1 discusses an organization that uses specific strategies throughout their process, including FMSIB where all stake- to keep members engaged. Example 8-2 describes an advi- holders are part of the decision-making process, thereby keep- sory committee taking deliberate steps to keep its members ing their interest in the entity's mission. Also, CALMITSAC engaged. Example 8-1. Delaware Valley Regional Planning Commission--Goods Movement Task Force The Delaware Valley Regional Planning Commission (DVRPC) is the MPO for the greater Philadelphia area covering eight counties plus the City of Philadelphia and spans both Pennsylvania and New Jersey. The Goods Movement Task Force (GMTF) is a long-standing freight advisory committee within this MPO. The Executive Committee and members meet quarterly to discuss freight-related issues in the region. The task force strives to keep its members engaged and working together. Because meeting atten- dance is voluntary, the leaders of the task force aim to provide compelling agenda content, including relevant topics and interesting speakers. This provides incentives for both private- and public-sector interests to be involved and encourages regular attendance at the quarterly meetings. Another way the task force keeps members engaged is by including components such as tours of freight facilities, a simulated supply chain re-created in a conference room, tracking several types of freight for a day, and similar activities designed to showcase members' operations and build awareness and goodwill. Another relationship-building tool is providing a social hour before each meeting for members and guest speakers to interact with the Executive Committee in a relaxed atmosphere. The effort exerted keeping members engaged over time has proven successful for the GMTF given that members feel their time has been used effectively for topics of interest to them and their industry counterparts. Example 8-2. Miami-Dade MPO Freight Transportation Advisory Committee The Freight Transportation Advisory Committee (FTAC) was created to advise the Miami-Dade MPO Gov- erning Board on issues related to freight movement and truck traffic demands. FTAC members represent freight, logistics, shipping, trucking, warehousing, and intermodal interests. The Committee acts as the institutional voice for freight at the County level by providing a forum for the freight community to dis- cuss transportation needs and integrate freight in the MPO planning process. Although FTAC members are appointed by the MPO Governing Board, it does not necessarily mean members will fully participate and contribute to the freight transportation issues discussions. The FTAC has to make sure its members are engaged and contributing to the Committee. Having MPO staff dedicated to coordinating the committee's work has been key to the development of FTAC and to keeping members and stakeholders engaged. The FTAC Coordinator develops a substantive agenda for each FTAC meeting and makes sure each meeting centers on topics related to freight mobility need- ing the MPO's attention. The Coordinator also searches for freight projects being considered by the Florida Department of Transportation or other agencies possibly needing the attention of the MPO. In addition, the Coordinator invites private consultants, public-sector representatives, and other freight stakeholders to make presentations to the committee in order to foster the sharing of ideas about the freight issues being presented or discussed. As a result, FTAC members have engaged in pro- ductive discussions of the issues presented, contributed to recommendations on the freight transporta- tion issues affecting Miami-Dade County, and passed resolutions with suggested actions for the MPO Governing Board.

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33 Guideline 9. Secure dedicated funding to organize technical research programs, outreach programs, and resources. and bottleneck analyses. Still others have found a funding stream through member dues and sponsorships. Dedicated One of the challenges for many institutional arrangements funding often is one of the deciding factors between success is the lack of a dedicated funding source. As with any trans- and failure for any given institutional arrangement. portation program, a dedicated funding source ensures conti- The need for dedicated funding is one of the most common nuity over time, evidence of an ongoing commitment, and challenges identified by all types of institutional arrangements. resources to advance priorities. Allocation of staff time is often For example, CALMITSAC members had strong political sup- a driving force behind the establishment of freight advisory port for a legislative mandate for its program but have not been committees. The lead agency, often an MPO, assigns dedicated able to secure funding to pursue its goals. Although the I-95 staff to an institutional arrangement to ensure development of Corridor Coalition has enjoyed funding for most of its duration, agendas, distribution of relevant materials, meeting logistics, it has not always had a consistent or known amount. Maine and technical support to the committee. Statewide programs IRAP has received strong support for its program's purpose, but have been successfully created through funding provided by does not always know if it will receive funding each year or for the state legislature. Larger coalitions have been successful in how much. Examples 9-1 and 9-2 illustrate the stability that a securing Federal earmarks as well as participant contributions dedicated funding source can provide to an organization. Example 9-1. Florida Seaport Transportation and Economic Development (FSTED) Council The FSTED Council was created by the Florida Legislature in 1990 to finance seaport transportation and sea- port facility projects to further the state's economic development mission. This program evolved because of the need for flexibility to invest in Florida's seaport capacity so seaports could better respond to the global marketplace and compete for international trade, which is vital to the state's economy. Prior to the early 1990s, individual seaports pursued funding independently from state and Federal sources with limited success. The Florida Ports Council (FPC), a trade association representing Florida's seaports, saw this as an opportunity to encourage a multimodal approach to transportation. In addi- tion, the cruise industry was booming, and the seaports were at the limit of their ability to fund new facility expansion or maintain their current facilities. At this time, the FPC approached the legisla- ture for state money to fund seaport activities. The FPC worked with the 14 seaport directors to collec- tively come to the Florida Legislature and request a dedicated funding source to fund seaport capital improvement projects. They based this request on the fact that seaports had never been allocated state transportation funding but were a huge asset to the state's economic development. As a result, during the 1990 legislative session, a bill was passed that created the FSTED program and resulted in a dedi- cated state funding source for this program to support and encourage the movement of people and goods through Florida's seaports. This funding would be provided only for approved projects. This dedicated funding source has been the key to the success and longevity of this program as it keeps the ports engaged and communicating with each other on how to best carry out Florida's eco- nomic development mission. Without this funding, the continuity and commitment of the stakeholders to discuss and address the combined needs of Florida's 14 deepwater seaports likely would not exist. Example 9-2. Commercial Vehicle Information Systems and Networks The Commercial Vehicle Information Systems and Networks (CVISN) Program consists of a framework for organizing, deploying, and funding the implementation of technology to automate various motor carrier regulatory and safety enforcement functions with the ultimate goal of improving commercial motor vehicle safety. The program is managed by FMCSA; however, deployment, planning, and imple- mentation of the program require the full participation of FMCSA, state agencies with motor carrier (continued)

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34 Example 9-2. (Continued) safety or regulatory responsibilities, and the industry. This participation includes providing funds to sup- port the planning, deployment, and operation of CVISN-related systems for all 50 states. In 2005, in order to seed the deployment of CVISN, SAFETEA-LU legislation authorized $100 million in Federal deployment funds to support states' implementation of CVISN functionality. SAFETEA-LU authorized the U.S. DOT to provide up to $3.5 million to each state to support the planning, deploy- ment, and operation of CVISN-related systems. The legislation dictates that Federal CVISN deployment funds cannot be used to fund more than 50 percent of a project's total budget. As such, states must identify matching funds that total 50 percent of a project's budget. The matching funds must be derived from non-Federal (i.e., state or private sector) sources and must be related to the state's CVISN Program. This 50-50 funding match requirement has enabled Federal and state partners to pool their funds and accomplish more than if they were left to fund the program independently. As a result, as of August 2008, 20 states are considered "Core CVISN Compliant" or have deployed all of the core CVISN capabilities. The dedicated funding source and local match requirement has provided FMCSA and its state and industry partners with the financial resources to identify expanded CVISN func- tionality that is being integrated into the CVISN Program so as to achieve nationwide deployment and continue improvements to commercial motor vehicle safety. Guideline 10. Use a consensus-based process. have an equal voice. This process is useful for allocating funds to multiple stakeholders for specific improvement Most institutional arrangements consist of a mix of pub- projects. lic and private stakeholders brought together for a common Many organizations have consensus building as a goal in- purpose. A consensus-based process should be used in cluding (1) MVFC where all state DOT secretaries and freight- order to keep the stakeholders engaged and the institu- related staff collaborate for the same goal, (2) FSTED where all tional arrangement on track to achieve this common pur- port directors cooperate with each other on what is best for the pose. Consensus can be built through collaboration where ports in Florida as a whole, and (3) FMSIB where all members a committee or coalition works together to define common participate in project discussions and come to agreement on goals. This is common for institutional arrangements that project selection. Example 10-1 discusses an organization that focus on regional economic development programs de- makes consensus-building part of its approach to provide signed to make their region more competitive for freight- objective analyses of transportation problems. Example 10-2 dependent industries. For more formal decision-making demonstrates the outcome of stakeholders who reached con- activities, such as setting program or project priorities, a sensus on a project list to make their case for funding projects voting structure can be used. Although this may fall short in their region. Example 10-3 illustrates the effective use of of achieving a true consensus, it ensures that all members advocacy and education reflecting consensus building. Example 10-1. I-95 Corridor Coalition The I-95 Corridor Coalition is an organization created to deal with highway safety, mobility, and efficiency on a multi-state and--jurisdictional basis. The strength of the Coalition lies in its ability to provide objective analysis in order to address transportation problems in a manner that transcends individual organizations. The coalition's approach is based on the 4-Cs--Consensus, Coordination, Cooperation, and Communication. The I-95 Corridor Coalition's decision-making process seeks consensus among its members. No member has any more clout than any other. This approach ensures that the Coalition's work continues to meet the needs of its member organizations. The Coalition's flexibility in legal structure has allowed for a bottom-up and top-down approach that provides forums for decisionmakers to gather and improve

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35 Example 10-1. (Continued) the transportation system collaboratively. The voluntary membership helps to ensure that members are involved for the good of the mission and do not have a personal agenda. This approach makes it possible to strive for and achieve consensus among the members of the Coalition. Without consensus, an organization cannot move forward easily. Consensus facilitates the I-95 Corridor Coalition's ability to pursue and implement studies and projects that address mutual interests and needs in a timely and cost-effective manner. Example 10-2. Trade Corridors Improvement Fund (TCIF) Consensus Group (TCIFCG) The Trade Corridors Improvement Fund (TCIF) Consensus Group is a new cooperative effort among a group of Southern California county transportation commissions that traditionally had competed for trans- portation funds. They came together with the goal of ensuring that Southern California received a pro- portionate share of the TCIF. This fund included $2 billion designated for infrastructure improvements along trade corridors in the State of California with a high volume of freight movement. The county transportation commissioners had a common goal: to obtain a proportionate share of the TCIF funds in order to complete or advance a consensus list of short-, medium-, and long-term priority freight projects previously identified by the counties in a Southern California Multi-County Goods Movement Action Plan. When funding for infrastructure investments on the state highway system through the Corridor Mobility Improvement Account (CMIA) was made available in 2007, Southern California counties each fought for their own share of the CMIA funds and most came up short in the fierce competition for funds. Based on this experience, the Southern California county transportation commissioners recognized that a new form of col- laboration among them was necessary in order to compete for the TCIF funds. Since Southern California ports handle over 80% of the state's containerized cargo, the transportation commissioners formed the TCIFCG and used a consensus-based approach to compete as a region and make the case that Southern Califor- nia should receive a similar proportion (80%) of the statewide trade corridor funding (TCIF) to improve the numerous trade corridors in the region serving the Ports of Los Angeles and Long Beach. There was internal agreement within the participating group of Southern California counties as to the priority of projects on the regional list, which was individually approved by each commission board. This set of project priorities was then provided as a single consensus communication to the state, whose role was to assign a portion of the state funds available. Despite the collaborative efforts of the TCIFCG, the group was not successful in obtaining its goal of a proportionate share of the TCIF money based on the percentage of the state's cargo transiting the region. The final share allocated to Southern California was estimated to be about 55% instead of the 80% expected. However, united by a strong common goal, the county members of the TCIFCG achieved one important objective: they successfully demonstrated a new model of regional collaboration in a statewide competition for infrastructure needs. Example 10-3. Natural Resources Defense Council The Southern California Clean Air Program of the nationwide nonprofit Natural Resources Defense Council (NRDC) is a small team of attorneys whose mission is to use litigation, advocacy, and public education to pro- mote public policy that reduces emissions of pollutants, including greenhouse gases. The team focuses about half its time and efforts on goods movement, a major source of emissions in the area, and has had some suc- cess in moving toward its goals. (continued)

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36 Example 10-3. (Continued) Both the nonlitigation advocacy and public education functions of this Clean Air team are examples of using a consensus-based process to achieve organizational goals. Advocates who work on the team often testify at public hearings for projects relating to goods movement and collaborate in this effort with other like-minded environmental and community-based groups, both formally and informally. The pres- ence of multiple speakers and groups all voicing similar concerns with the potential environmental or public health impacts of a project is a clear influence on public decisionmakers. The team's public educa- tion efforts, through speaking to various interest groups, also are an example of consensus building. One example of an advocacy partnership is the Coalition for Clean and Safe Ports, a collaboration of sev- eral national and local environmental groups, including NRDC's Clean Air Team, social justice groups, and labor unions. Their specific short-term goal was to influence the development of truck fleet replacement programs by the Ports of Los Angeles and Long Beach. Guideline 11. Ensure short- and evolve into new authorities as their vision gels into specific long-term progress. projects and/or investments. Although the overall mission may remain similar, the specific day-to-day operation of A successful institutional arrangement should have the institutional arrangement, as well as the legal structure, short-and long-term elements. The short-term elements could change significantly. will ensure that the stakeholders remain engaged and that Most institutional arrangements studied have some form the institutional arrangement focuses on remedying the of short- or long-term elements; some have both. It is im- needs of today. The long-term elements ensure that the portant to document short- and long-term progress, espe- work undertaken by the institutional arrangement contin- cially from organizations that have been in existence for a ues to move in an agreed-upon direction and sets a prece- while. Example 11-1 describes an organization that had its dent for longevity. The long-term elements must also take beginnings in the early 1980s. Example 11-2 discusses an into account shifts in priorities due to the ongoing evolu- organization that has been around since 1993. Both exam- tion of the institutional arrangement. Some institutional ples demonstrate short- and long-term elements that have arrangements that begin as advisory groups or coalitions been vital to their success. Example 11-1. Alameda Corridor Transportation Authority The Alameda Corridor Transportation Authority (ACTA) is the result of an evolving process to address capacity improvements and environmental concerns along the Alameda Corridor, a 20-mile stretch between the Ports of Los Angeles and Long Beach and the railroad mainlines near downtown Los Angeles. From concept to reality, the Alameda Corridor project took 18 years to complete (19842002). The process began prior to 1984 with a coordinated planning effort focusing on highway and railroad access to the Ports of Los Angeles and Long Beach by the Southern California Association of Governments (SCAG). In late 1981, SCAG created the Ports Advisory Committee (PAC) to bring together a diverse collection of interest groups to begin the communications and consensus building process. In a step-by-step approach, the PAC initially focused on highway access. After only 5 months, in March 1982, the PAC agreed on a comprehensive list of highway improvements that included widening of Alameda Street from four to six lanes from the ports to State Route 91. From 19821984, the PAC focused on devel- oping a railroad access plan for the Ports of Los Angeles and Long Beach. By 1985, the next element was to pursue the Alameda Corridor concept, for which the SCAG created the Alameda Corridor Task Force (ACTF),

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37 Example 11-1. (Continued) whose membership was similar to that of PAC, with the addition of the California Public Utilities Commis- sion (CPUC) and each of the cities along the corridor. The ACTF evolved into a Joint Powers Authority with design and construction responsibility for the Alameda Corridor. The Consolidated Transportation Corri- dor Joint Powers Authority was created in August of 1989. The agency changed its name to the Alameda Corridor Transportation Authority (ACTA) in November 1990. Continuing to make long-term progress, ACTA's Governing Board approved the Environmental Impact Report (EIR) for the project in 1993 and the Environmental Impact Statement (EIS) in 1996. Construction began in 1997 with the building of the $6 million railroad bridge over the Los Angeles River at the northern end of the corridor. Construction of the main trench section in the mid-corridor started in 1999 and was completed in 2002. This history of ACTA points to the success of ensuring long- and short-term progress. Without the short- term focus the project might not have gotten underway, but without the long-term vision it would never have turned into the success it is considered today. Example 11-2. I-95 Corridor Coalition The I-95 Corridor Coalition was formed in 1993 to facilitate transportation management and operational improvements along the I-95 Corridor region covering the East Coast of the United States. With its successful alliance among transportation authorities, agencies, and related organizations, the Coalition has become a model for cooperative multi-regional transportation planning. Starting with a focus on Intelligent Transportation Systems (ITS) technology, the Coalition has broadened its approaches as it has expanded to better meet the needs of the corridor. The Coalition's forward-looking initiatives over the years are designed to save lives, time, and money with technological improvements and inno- vative projects implemented for the benefit of the corridor. Additionally, the Coalition has developed a 2040 Strategic Vision for the I-95 Corridor to assist member agencies in developing their transporta- tion plans and to define the Coalition's priorities. The Coalition is also exploring various approaches for financing large projects where the costs of the improvements are too great for a single entity to fund and where benefits accrue to the entire region or the nation. Another key factor in the longevity of the Coalition has been the structure of the organization and the non-binding agreement between the transportation authorities, agencies, and related organizations to promote transportation issues in the region through volunteer and participatory activities. The Coali- tion's structure reflects both a bottom-up and top-down approach that provides a forum for decision- makers to gather and improve the transportation system collaboratively. In the beginning, the Coalition's primary goal was to develop ITS to enhance the transportation system. Over the years, the Coalition has expanded its focus to include other areas that affect the corridor such as safety, multimodal projects, planning, financing, and information management. The long- and short-term elements described above show the importance of being cognizant of both of these elements when ensuring the focus of the overall mission. This approach has proven successful for the Coalition over the last 16 years.

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38 Guideline 12. Develop and use the institutional arrangement. An annual "report card" on performance measures. key successes and failures is an effective tool for ongoing performance monitoring. The use of performance measures has become common The institutional arrangements studied in this project are practice within the transportation industry and has direct at varying levels of developing and using performance mea- application to institutional arrangements. The ability to sures to monitor the progress of their programs. Some show progress helps ensure continued support by stake- measure completion of projects, some measure meeting holders as well as funding agencies. Performance measures attendance, and others do not have a set list of measures to vary significantly by type of institutional arrangement. Ad- monitor the development of their program. For instance, visory committees and coalitions can be evaluated by levels CREATE monitors expected benefits while FTAC observes of stakeholder participation and meeting attendance, iden- the completion of tasks in the Unified Planning Work Pro- tification and completion of research initiatives, identifica- gram (UPWP) as a measure of performance. Example 12-1 tion of bottlenecks, and recommendations for improvements. presents a state-legislated program and its accountability to Transportation authorities can be evaluated on schedule, the legislature on the progress of its program. Example 12-2 budget, implementation and operation, and resulting effect shows how an investor-based program stays responsible to of a project. Performance measures evolve over time with the investors. Example 12-1. Freight Mobility Strategic Investment Board The Freight Mobility Strategic Investment Board (FMSIB) is an independent state agency created by the Washington State legislature in 1998 to implement a strategic investment program exclusively for freight mobility needs. FMSIB is required to keep the legislature current on the status of all the freight mobility investment projects selected to be funded. Twice a year, the board performs a complete project status review on all of its projects and reviews the progress and any changes for each project quarterly. When a project is unable to fulfill its commitment as communicated to the legislature and the Office of Financial Management (OFM), FMSIB either moves the project to a later biennium or to a deferred projects list. Avail- able funds are then redirected, after approval from OFM and the legislature, to projects that can advance and can fulfill their commitment. Because of this accountability, many key members of the State of Washington's legislature are pleased with FMSIB. Since its inception, FMSIB has been committed to achieving its legislative mandate and goals. Its annual report highlights how successful FMSIB has been in using the greatest amount of state funds possible by bringing public and private partners together to favor a higher participation percentage match to state funds for each project. The annual report serves as a report card where key successes are highlighted and challenges and opportunities are identified. By keeping the legislature informed on FMSIB's performance and doing what is required by statute, policymakers have become freight advocates and continue to seek alternatives to provide funding for freight investments in the state. Example 12-2. Kansas City SmartPort Kansas City SmartPort, Inc. (KCSP) is a non-profit, investor-based economic development organization formed in 2001 to promote and enhance the 18-county, bi-state Kansas City region as a leading North American logistics hub. KCSP carries out its mission by engaging in different projects and activities in three main mission areas: Economic Development, Intelligent Transportation Systems (ITS), and Business Services. In order to show investors progress and ensure their continued support, KCSP's performance is evaluated based on the achievement of the goals set for the organization by the board of directors every year. The President works closely with the Chairman of the Board of Directors to lead the organization and achieve the goals set for the organization. KCSP goals for 2008 were to attract new or more freight-

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39 Example 12-2. (Continued) related businesses, measured by the number of payroll jobs created; attract new large logistics businesses to the area, measured by square footage expected to be developed in the region; conduct as much mar- keting and outreach as possible, measured by number of conferences attended, interviews to the media and transportation consultants, and articles in newspapers and magazines among other activities; continue the development of the Trade Data Exchange project (ITS project), measured by the progress on the proj- ect; and maintain the financial health of the organization, measured by the amount of funds attracted from investors and Federal and state grants. By using performance measures to evaluate KCSP's achievement of its mission goals, KCSP has been able to quantify its level of success and use its performance and accomplishments as another marketing tool to effectively promote the benefits KCSP generates in terms of economic development, ITS, and business services in the region. Ultimately, investors continue to contribute to the organization because they see the return on their investment in the results KCSP has achieved. Guideline 13. Encourage cost sharing. Examples of cost sharing are becoming more frequent as Over the last few decades there have been discussions about public entities reach out to the private sector. In the case of public investment in private infrastructure. Although many CREATE, the organization partnered with the private rail- believe that public funds should not be used to promote for- roads and agreed to provide matching funds to aid in alleviat- profit business, others have recognized the public benefits pro- ing the bottleneck in the region. CVISN, a Federal program, vided by investments in private infrastructure. To mitigate requires states to provide matching funds (which may be pri- these conflicts, many institutional arrangements have been vate) in order to share the cost of implementing this program. successful in sharing project costs by requiring a match to pub- In Example 13-1, a state program partners with the seaports to lic funds or, at a minimum, prioritizing those projects that provide funding for economic development. Example 13-2 have a private match. This approach has enabled institutional describes a state program sharing costs with the public and arrangements to better use limited public funds for specific im- private sector to improve economic viability of the state's provement projects, resulting in greater community support. railroads. Example 13-1. Florida Seaport Transportation and Economic Development (FSTED) Council Although Florida's seaports are public entities, they operate like businesses in order to fulfill their pub- lic purpose. This means they have to be flexible to respond to market demands and customer needs. The FSTED Council was charged with improving the "movement and intermodal transportation of cargo or passengers in commerce and trade and . . . support[ing] the interests, purposes, and require- ments of ports located in the state." The business of Florida's seaports is vital to the state's economic health. Since the creation of this program, state law has provided specific guidelines on what types of projects are eligible for funding under this program, including specific port facility and port transportation projects. The law also specified these projects must be funded on a 50-50 matching basis; funding is available for all of Florida's deepwater seaports, as defined in law. However, in order to be eligible for funding, a pro- posed project must be consistent with a seaport's comprehensive master plan as required by law. In 1996 and 1999, the legislature granted the FSTED Council bonding authority in order to provide funding for port and intermodal projects. This matching requirement guarantees that individual ports are ready to invest in the project as well, prevents the state from having to bear the sole financial responsibility for the projects, and ensures the project is a port priority.